DR Piyush Chaubey PSIR 2023

National Power
The Concept of power is ages old. Power had been studied by Thucydides in the West as well as
Kautilya in the East during 5th and 4th century BC respectively (Modelski, Kautilya:Foreign Policy
and International System in the Ancient Hindu World, 1964, p. 549). The writings by ancient scholars
confirm the origin, the process of progress and the essence of concept of power as well as its significance
in the international system. Power was not studied separately but it was accompanied by morality
(E.H.Carr, 1995, p. 93). The concept of becoming more powerful emerged out of the insecurity which
existed in the psyche of human minds.
National Power is the ability or capability of a nation to secure the goals and objectives of its national
interests in relation with other nations. It involves the capacity to use force or threat of use of force or
influence over others for securing the goals of national interest.
Morgenthau -Power is the power of man on others” and as a “man’s control over the minds and actions
of other men.”
Charles P. Schleicher -“Power is the ability to exercise such control as to make others do what they
otherwise would not do by rewarding or promising to reward them, or by depriving or threatening to
deprive them of something they value.” Also viewing power as an influence relationship, K. J. Holsti
suggests that power is a multidimensional concept consisting of (1) the acts by which one actor
influences another actor, (2) the capabilities utilized for this purpose, and (3) the response solicited”.
According to Organski, “Power = Economic Productivity per Capita x Population The gross national
product (GNP) was the measure chosen because it combined the demographic and the economic aspects
of a nation’s productivity”
NATIONAL POWER
“National Power is that combination of power and capability of a state which the state uses for
fulfilling its national interests and goals.” —Padelford and Lincoln
“National Power denotes the ability of a nation to fulfill national goals. It tells us as to how
much powerful or weak a particular nation is in securing its national goals.” —Hartman
In simple words, it can be said that National Power is the ability or capability of a nation to
secure the goals and objectives of its national interests in relation with other nations. It involves
the capacity to use force or threat of use of force or influence over others for securing the goals
of national interest. In this way, we can define National Power as “the ability to control the
behaviour of other states in accordance with one’s own will.” National Power is the currency
of international relations.
Main Features of National Power
National Power has a non-stable, dynamic character and as such it has to be continuously or at
least periodically and regularly evaluated for understanding the role of the nation in
international relations.
National Power is both a Means as well as an End in International Relations: National
Power is the means to control the behaviour of other states with a view to accomplish certain
ends. In actual practice power is pursued as an objective or as an end. Nations want power not
only for their immediate but also for their future needs. They, therefore, always try to build up
a reserve of power and hence pursue power as an end.
National Power is the Ability to Secure Goals of National Interest: National Power is the
ability or capacity of a nation to influence or change the behaviour of other nations with a view
to secure the goals of its national interest. It is a relationship in which a powerful nation is in a
position to achieve its desired goals of national interest in international relations.
National Power is Dynamic and Relative in Character: National power is always relative to
time and resources. The power of a nation has to be analyzed both through an analysis of the
capabilities and ability of the nation as well as by a comparison of its national power with other
nations.
No Two Nations Have Equal Power: Further, it must be noted that no two nations have or
can have absolutely equal power. There can be only a rough equality between two equally
powerful super powers or great powers or major powers. The power of a nation is always more
or less than the power of every other nation.
Actual Power and Potential Power: Actual power is the power which is immediately
available, whereas potential power is the power that can be generated in situations of crisis and
times of need. It refers to the crisis- management ability as well as the possible availability of
power in the years to come.
National Power is the Currency of International Relations:
National Power is the Basis as Well as a Means of Foreign Policy: National Power is the
very basis of the foreign policy of a nation. Only that foreign policy can be effective in securing
the goals of national interest which is backed by adequate national power. The ability of the
statesmen and diplomats to act and react with others is again determined by the national power
of their respective nations.
Dimensions of National Power:
The three forms of national power are inseparable from each other. Without economic power
no nation can develop her military power, and without the latter no nation can play an active
role in international relations. Psychological power can be enduringly and really effective only
when it is backed by economic and military power. Some of the major dimensions of national
power in international politics are as follows: 1. Military Power 2. Economic Power 3.
Psychological Power.
Psychological Power: Psychological power means the power of opinion and image of the
nation. The role of propaganda and persuasive negotiations in international relations is a well
known fact. These means are used by the states for securing an intended change in the
behaviour of other states.
The three forms of national power are inseparable from each other. Without economic power
no nation can develop her military power, and without the latter no nation can play an active
role in international relations. Psychological power can be enduringly and really effective only
when it is backed by economic and military power. Between 1950 and 1962 India was
successful in exercising psychological power over a large majority of nations.
Methods of Exercising National Power:

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Persuasion:-Persuasion is widely used by diplomats and statesmen for securing the desired and
defined objectives of the foreign policy. It is an effective method of exercising power. But
success in persuasion can be achieved only when it is supplemented by other methods and
when it is backed by a strong national power and effective foreign policy.
Rewards:-The second popular method of exercising power is the offering of rewards. These
rewards can be material or economic or psychological. A nation can give material help to
another nation in times of crisis or even otherwise.
Punishment:-A third way of exercising power is punishment. A powerful nation can inflict
punishment on an offending or unhelpful state by imposing economic sanctions or norms or
policies or placing trade restrictions or ensuring a denial of a possible reward. Denial or
reduction in foreign aid or loan or refusal to export certain items or technology can be used by
a powerful nation for inflicting a punishment or pressure on other nations.
Force:-The last method of exercising power is the actual use of force or physical violence. By
the use of military power or physical force, a powerful nation can compel a desired change in
the behaviour of another nation. As a method of exercising power, force is related to
punishment.
Comprehensive National Power
Comprehensive national power is a concept that is based on the contemporary political thought
of the People’s Republic of China and refers to the general power of a nation-state. According
to Wu Chunqin, calculating CNP can aid a nation not just for war but also to “coordinate a
political and diplomatic offensive, to psychologically disintegrate the enemy forces and subdue
them. Chinese political thinkers believe that CNP can be calculated numerically and there are
a number of indices, which combine various quantative indices to create a single number,
which purports to measure the power of a nation-state. CNP generally means the sum total of
the powers or strengths of a country in economy, military affairs, science and technology,
education and resources, and its influence. More abstractly, it refers to the combination of all
the powers possessed by a country for the survival and development of a sovereign state,
including material and ideational ethos, and international influence as well. CNP has a wider
coverage, stressing comprehensiveness and all aspects, apparently including material strength,
ideational ethos and international influence. But CNP stresses material strength or command
power although it does not ignore completely the importance of ideational ethos or soft power.
Both CNP and national strategic resources focus on the study of grand strategy. In short CNP
may be simply defined as the comprehensive capabilities of a country to pursue its strategic
objectives by taking actions internationally and the core factors to the concept are strategic
resources, strategic capabilities and strategic outcomes, with the strategic resources as the
material base.
Ashley Tellis defines national power as a product of the interaction of two components, that is,
the capability of a country to command its economic innovation cycle at a given time, and use
such command power to form effective military capabilities and, in turn, to create a stable
political environment, intensify the existing economic advantages and provide basic conditions
for maintaining its strategic advantages and seek gains in the international system.
Michael Porter lists five major resources, that is, physical resources, human resources,
infrastructure, knowledge resources and capital resources .Accordingly, the national strategic
resources are divided into eight categories, with 23 indictors. Those categories constitute CNP
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(a) Economic Resources- Economic resources are measured by the gross domestic product
(GDP).
(b)Human Capital-Generally, human capital is expressed in the number of years of education

received by a population. The more the number of years of education received, the more skillful
the workers and the higher the labour productivity to stimulate economic growth.
(c)Natural Resources. Usually, natural resources refer to the abundance, quality, reachability
and costs of major natural resources.
(d) Capital Resources
Knowledge and Technology Resources- Knowledge and technology resources are deemed as
the most important strategic resources
Government Resources- Due to limitations by calculable indicators, the use is of only one
indicator here, that is, the fiscal spending of the central government, which includes both
current and capital spending, both commercial and service spending and spending on both non-
financial public undertakings and public organisations. It reflects the ability of a national
government to mobilise and utilise resources.
Military Resources-Military power is an important part of CNP. It reflects the abilities of a

country in maintaining social stability and stops separatism and also reflects the external power
for seeking the maximisation of interest abroad. Military power is also a kind of “output” of
the national powe
(h) International Resources-These include four categories of indicators. (1) Volume of exports
and services. (2) Volume of imports and services. (3) Royalty and licence fees receipts. (4)
Royalty and licence fees payments.
The United States remains the superpower in the world. CNP of the United States in 1980
accounted for 22.48 per cent in the world’s total, and 22.78 per cent in 1998. The US still ranks
first in the world. China has risen to the second world power. In 1980, CNP of China accounted
for 4.76 per cent in the world’s total, lower than that of the former Soviet Union and Japan,
ranking fourth in the world. But by 1998, it rose to 7.78 per cent, rising by 3.04 percentage
points. The relative gap between China and the United States has been narrowed. The relative
changes in CNP of the five major countries inevitably caused major adjustment of national
security strategies and foreign strategies of the respective countries. In the eyes of the United
States, the rapid rise in China’s CNP will inevitably make China its strategic rival and even a
challenge. It is, therefore, necessary to adopt precautionary and containment strategies against
China. Paul Kennedy, professor of Yale University, holds that China perhaps is the only
country that will constitute real challenges to the dominance of the United States. 17 Japan,
however, has seen China as a real strategic threat, so it has strengthened its strategic alliance
with the United States against China. To India, China has always been a major strategic threat;
it has for a long time maintained its military spending at about 2.4-3.5 per cent of its GDP.
Understanding Hard, Soft and Smart Power
The discipline of realism has treated power as the exclusive and central to global politics. Hans
Morgenthau famously proclaimed that international politics, like all politics, is a struggle for power and
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‘whatever the ultimate aims of international politics, power is always the immediate aim’. According to
the author, the ‘ubiquity of the struggle for power in all social relations on all levels of social
organization’ made the arena of international politics a necessity of power politics. E.H Carr was in
agreement with Morgenthau and asserted that politics, at its heart, is power politics. For all realists,
calculations about power lie at the core of how states perceive the world around them.While realists are
in agreement that power is a key determinant in political relations, there is a variation in how individual
realists understand the concept. For instance, classical realists posit that the permanent struggle for
power stems from the fundamental human drive for power (Morgenthau, 1954). In contrast, for
structural or neo-realists, it is the architecture of the international system that forces states to pursue
power and maximize their power position.
Neoliberals, such as Keohane, have argued how states with convergent interests create international
institutions and arrangements that effectively tame state power, highlighting processes of social choice
(Keohane and Martin, 1995). Scholars of the liberal international relations theory stress that many
important international outcomes cannot be adequately explained with reference to power and are
better understood by the concepts of democracy, particular configurations of domestic interests, liberal
values, economic interdependence or international institutions. liberals theorist stress more of
commercial and economic network and interdependence rather than power struggle.
Apart from above mentioned theoretical tradition, there are two other dominant traditions of power
analysis in IR: the ‘elements of the national power approach’, which depicts power as property of
states, and the relational power approach, which depicts power as an actual or potential relationship
(Baldwin). In other words, some realists define power in terms of resources, while others define it in a
relational manner as the ability to exercise influence over other actors.
Proponents of the elements of the national power approach associate power with the possession of
specific resources. All of the important resources that a state possesses are typically combined to
determine its overall aggregate power.
Joseph Nye splits power into two forms: hard and soft. Hard or command power is the oldest form of
power; it is connected to the idea of an anarchic international system, where countries do not recognize
any superior authority and thus have to focus on power politics. Hard power is defined as an ability to
reach one’s goals through coercive actions or threats, the so-called ‘carrots’ and ‘sticks’ of international
politics. Historically, hard power has been measured by such criteria as population size, territory,
geography, natural resources, military force, and economic strength.
The inventor of the ‘soft power’ label is the American expert Joseph Nye, who served as a senior official
in both the state and defence departments. In 1990s Joseph Nye argued that the changing nature of
international framework has re-emphasized the use of intangible forms of power, such as culture,
ideology, and institutions.
Nye’s insight was that the US won the Cold War with a combination of soft and hard power—
institutions and ideas mattered as much as infantry.
In his 1990 book, Bound to lead: the changing nature of American power, Nye called soft power the
co-optive power of the US. Culture and communications could direct the decisions and behaviour of
others without the need for military force. Soft power means getting others to want what you want,
using the intangible resources of culture, ideology and institutional norms. Ideas and culture can set
international standards in the same way that American software set standards for the world’s computers.
The lifestyle promoted by American media and the promise of plenty offered by American supermarkets
helped undermine the Soviet Union, along with the hard power of military forces and nuclear weapons.
In the Cold War victory, Mickey Mouse, movies and the Big Mac marched with the marines.
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Hard power rests on command, coercion or inducement: ‘the ability to change what others do’, Nye
wrote. Soft co-optive power, Nye said, is ‘the ability to shape what others want’.Soft-power institutions
set agendas, define values and persuade others about what’s desirable or even legitimate.
Soft power rests on the ability to shape the preferences of others, without the use of force, coercion or
violence, but through intangible assets such as an attractive personality, culture, political values,
institutions, and policies that are seen as legitimate or having moral authority (Nye, 2008: 95).
Legitimacy is central for soft power.
Roots of soft power could be traced in Carr’s writings when he divided power into three categories:
military power, economic power, and power over opinion. Military and economic powers are obviously
the attributes of hard power, while the power over opinion could be viewed as the variant of Nye’s soft
power. legitimacy is central soft power. When a state is able to sincerely attract and convince other with
use of its values and set of practices, the country is considered to have an effective soft power. For
instance, the Fulbright program is an influential and aspect of American educational soft power. In
another example, Hollywood and Broadway are significant aspects of American cultural soft power.
According to Nye (2008), soft power of a country rests primarily on three resources: its culture, its
political values, and its foreign policies (when they are seen as legitimate and having moral authority):
1. Culture is the set of practices that create meaning for a society, and it has many manifestations.
2. Government policies at home and abroad are another potential source of soft power. Similarly, foreign
policies strongly affect soft power. Government policies can reinforce or diminish a country’s soft power
3. Domestic or foreign policies that appear to be hypocritical and indifferent to the opinion of others or
based on a narrow approach to national interests can undermine soft power.
Jonathan McClory expanded on Nye’s pillars and assessed the soft power of countries according to five
categories: Government (political values of the country), Culture (set of practices that created meaning
for the society), Diplomacy (foreign policy), Education, and Business/Innovation.
Soft Power Actors
Agents of soft power: States, NGOs, Civil society, MNEs and network of actors.
The Effectiveness of Soft & Hard Power in Contemporary International

Relations
What determine the effectiveness of soft power?

Heng explains the importance of the nature of soft power resources in his comparison of Japanese and
Chinese soft power strategies. He stresses for example that Japan’s war history forms the main
limitation to its soft power, whereas China’s “competitive state-led model and its authoritarian political
system” hinder the full utilisation of its soft power potential.
State’s historical legacy and societal system – determine the strength and therefore the effectiveness of
its soft power.
Another important aspect of the hard-soft-power continuum is time. Soft power in contrast to hard
power takes relatively long to build as its intangible resources develop over a long period of time.
Similarly, the temporal dimension of the gain of hard power and soft power strategies differs: while
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military or economic coercion tends to result in an immediate but short- duration outcome, attraction
and persuasion have the tendency to cause long-term change.
How Characteristics of the contemporary world order weaken

the effectiveness of hard power strategies?
• Characteristics such as globalisation-driven economic interdependence; the rise of
transnational actors; the resurgence of nationalism in weak states; the spread of
military technology; and the changed nature of international political problems
have weakened the effectiveness of hard power. For example: U.S. invasion into Iraq
in 2003. According to Steinberg, “the strategy [of the invasion of Iraq] failed to
understand what elements of power were needed most to defeat the emerging
threat” from terrorist groups.
• This misunderstanding resulted in ignoring two key elements of soft power: The Bush
administration firstly forgot about the USA’s dependence on their allies’
intelligence and policy forces and on global public support; and secondly, the
question of the legitimacy of the invasion was not attributed any importance.
• It is hard to find successful foreign policies solely based on hard power resources.
Many states now enact soft power rather than hard in its external relations. For
example: India’s foreign policy for instance is presently within the process of this
transition. Wagner lists two main reasons for this transition: On the one hand,
“India’s hard power approach of the 1970s and 1980s was not very successful”
(Wagner, 2005); and on the other hand, the economic advancement after 1991
facilitated the use of economic tools in foreign policy.
Why soft power solutions tend to last longer than hard power
solutions?
o Hard power forces one to act in a way different to one’s usual behaviour, one
does so involuntarily. But soft power changes one’s attitude to the end that
one acts voluntarily in a way different to one’s usual behaviour.
o Gallarotti stresses that hard power evokes compelled action, whereas soft
power induces voluntary action.
Blur borders between hard power and soft power

• Smith-Windsor argues that the borders between hard and soft power blur. He
stresses that armed forces can also be “called to participate in humanitarian and
interposition peacekeeping operations” expressing the attractiveness of military
means. The use of armed forces is, according to him, therefore not to be seen at the
hard power pole of the hard-soft-power continuum.
• Indeed, some foreign policy strategies may be perceived as effective combinations
of the two poles of the power continuum. This idea was taken up and coined “smart
power” by Nossel elaborated by Nye. According to Wilson, smart power is “the
capacity (...) to combine elements of hard and soft power in ways that are
mutually reinforcing”
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Weakness of soft power

• Cooper lists three points of weakness. He firstly questions the strength of culture as
a soft power resource as cultural influence does not equal political power.
• Secondly, the desirability of the outcomes of soft power strategies depends on
particular circumstances which cannot necessarily be influenced by states.
• Finally, he challenges the actual benefit of agenda setting as the positive results of
those practices seem to occur long after their originators’ demises.
• For example: The U.S. Africa Command can be seen as an unsuccessful soft power
strategy. According to Morrison and Hicks, it was initially set up for three reasons: oil,
terrorism and ungoverned spaces in Africa, and China’s increased influence in Africa.
Despite these hard power reasons, AFRICOM was sold as a soft power strategy
which resulted in the perception of imperialist intentions the USA might pursue
in Africa.
Conclusion
Ineffective soft power strategies are usually the exception. The best example of
effective soft power can be found in European Union and its ability to attract
new members.The EU’s “soft power derives from its readiness to offer a seat at
the decision-making table”. This attractiveness assures peace and safety among
European states and the process of EU enlargement further strengthens its position
at the global level. Thus, the EU’s soft power is beneficial for its member states as
well as for the EU itself.It appears that soft power strategies are more effective in
the contemporary international system than hard power strategies. The demise
of hard power is caused by changes in the world order, whereas the strength of soft
power is based on its endurance and sustainability.
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Forms of Power in Global Politics
!Fast power
"John Chipman gave this concept, on the model of Neo Darwinism, he underlines that
in international politics it is not survival of the ttest but survival of the fastest
"Speed being the important element in global politics, every country is focussing on
rapid deployment of forces by the military or the foreign ministry sending a special
envoy in an emergency situation. Present Indian PM has himself exercised fast power
by acting very quickly on many issues, taking initiatives quickly and implementing them
fast. For example: Decisions to conduct surgical strikes by Indian military on the
terrorist bases in Pakistan as pre-emptive strikes in the interest of national security
!Smart Power
"Smart power is presented as an innovation. The term was originally introduced by
Suzanne Nossel in a 2004 Foreign Affairs article. According to Chester A. Crocker,
smart power "involves the strategic use of diplomacy, persuasion, capacity building,
and the projection of power and in uence in ways that are cost-effective and have
political and social legitimacy" – essentially the engagement of both military force and
all forms of diplomacy
"Smart power is de ned in slightly different ways by different authors, but the
mainstream understanding emphasizes the mixture of hard and soft power elements
into ef cient strategy.
oIn Nye’s own terms
“Smart power is the combination of the hard power of coercion and payment with
the soft power of persuasion and attraction. I de ned smart power as the ability to
combine hard and soft power resources into effective strategies”
oErnest J. Wilson de ne smart power as
… the capacity of an actor to combine elements of hard power and soft power
in ways that are mutually reinforcing such that the actor’s purposes are
advanced effectively and ef ciently
oAccording to Hilary Clinton
“For me, smart power meant choosing the right combination of tools –
diplomatic, economic, military, political, legal, and cultural – for each
situation”
"In The Future of Power (Nye 2011), Nye provided guidelines for an American smart
power strategy. Essentially Nye’s analysis points in two directions. On the one hand,
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there is the instrumental de nition of smart power as ‘the ability to combine hard
and soft power resources into effective strategies’ (Nye 2011). On the other hand,
there is an argument to the effect that smart power in practice involves a synthesis of
the traditional opposites of realism and idealism
"The idea of smart power seems to include attention to vision and values. Smart power
is comprised by two elements: the quest for building society among states and
between states and non-state actors; as well as the desire for cleaner forms of power
projection (Chong 2015)
Sharp power
Joseph Nye provides this de nition of sharp power: The deceptive use of information for
hostile purpose. It is used to describe aggressive and subversive policies employed by
authoritarian governments as a projection of state power in democratic countries,
policies that cannot be described as either hard power or soft power
Joseph Nye’s Soft Power
Joseph S Nye, in his article “Soft Power”, Foreign Policy, Autumn 1990, concentrates on
changing nature of power in the world politics. He realizes the waning of military power and its
resources. Here, power is diffused and diversi ed with many players. To understand this situation,
he introduces soft power and its resources would be a useful tool to in uence and shape other
preferences without coercion, threat, sanction and so on.
In his book titled, Soft Power: The Means To Success In World Politics, Public Affairs, New
York, 2004, Nye identi es various sources of soft power from culture resources, values and ideals,
and the substance and style of foreign policy. He outlines various strategies to wielding of soft
power and its importance in the policy outcome. This volume has not focused on theoretical
conceptualization of what constitutes soft power and how hard power resources generates attraction.
Further, Nye in his book, The Future of Power, Public Affairs, New York, 2011, argues that a
country in the world could derive soft power from all the resources namely military, economic,
culture, policy, ideas and values, institutions that available in the particular circumstances with
prudent and skill to convert these resources into preferred policy outcomes.
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Nye’s soft power theory invites criticism

In the initial period, the word soft power stretched and twisted in all directions because lack of
proper understanding. Historian Niall Ferguson has described that “soft power is a non-
traditional forces such as culture and commercial goods”. Josef Joffe, in his article, Perils of
Soft Power, has argued that cultural resources are not much in uential factors in world
politics
Soft power is misunderstood in a way many believe that it is an alternative to hard power and
holds an ethically superior position than hard power
Soft power is mere words and states nd it dif cult to trust, as per realist soft power is not
more than strategy of pursuation.
In his article, “Power and the Battle for Hearts and Minds: On the Bluntness of Soft Power” in
Berenskoetter Felix and M. J. Williams, (ed) Power in World Politics, Routledge, London, 2007,
Lukes clearly expresses that Nye makes no distinction between different ways in which soft power
can co-opt, attract and entice those subject to it. Lukes concludes that Nye’s strategic conception of
soft power in international relations is a “blunt instrument”.
Janice Bially Mattern criticised Nye’s view of power, saying, “power is a relationship rather than
a ‘hard thing’; a process rather than a hard condition; and an idea or belief rather than a hard fact of
truth
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Collective Security
Collective Security is currently regarded as the most promising approach to
international peace. It is regarded as a valuable device of crisis management in
• It is designed to protect international peace and security against war and

aggression in any part of the world. Collective Security postulates a commitment
on the part of all the nations to collectively meet an aggression that may be
committed by any state against another.
• Collective Security is also regarded as a deterrent against aggression in so far as
it lays down that the collective power of all nations will be used to repel
aggression or war against any state.
It is based on the principle, ‘Aggression against any one member of the

international community is an aggression against international peace and security.
As such it has to be met by the collective efforts of all the nations’. In other words
Collective Security has been ‘One for All and All for On
In simple words, Collective Security system guarantees the security of each state of
the world against any war or aggression which may be committed by any state
against any other state
De nitions
—George Schwarzenberger -“Collective Security is machinery for joint action in
order to prevent or counter any attack against an established international order.
—Palmer and Perkins -“Collective Security clearly implies collective measures for
dealing with threats to peace.
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Features of CS
A. Device of uneven Power Management of Anarchic worl

B. It accepts Universality of Aggression: in other words there is aggression and it
universally hurts International peace and orde
C. All Nations are committed to pool their power and collective action for ending
Aggression
D. Global Preponderance of Power must be there to meet challenge of aggression
E. Presence of an International Organisation id best of institulization of Collective
security syste
F. Collective Security System works as Deterrent against War and aggression
Collective Security can be an effective deterrent against a state with aggressive
designs. Under this system each nation knows that any aggression against another
nation shall be met by the collective power of all other nations.
G. Aggression/war is the enemy and not the State which commits it:Finally,
Collective Security regards ‘aggression’ or ‘war’ as the enemy and not the state
which may resort to war or aggression. A collective security action is limited to
the elimination of war, aggression or threat of war or aggression not aggressive
state
Ideal Conditions for the Success of Collective Security
1. Consensus on the de nition of Aggression

2. More broad based and more powerful International Organization United Nations
3. More powerful role of UN Security Council and strong commitment of its
permanent members in favour of collective security of international peace and
security
4. Existence of a permanent international peace keeping force
5. An established procedure for termination of every collective security action
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6. Popularization of peaceful means of con ict resolution

7. Sustainable socio-economic development of all the nations
8. Strengthening of peaceful means of crisis-management and international peace-
keeping
Di erence between Collective Security and Collective Defence

in International System:
A collective defence arrangement is made by a group of nations who have a common
perception of threat to their security from a common enemy
Usually, a collective defence system is organised as an alliance involving a regional
defence system.
Collective Security stands for a universal system in which all states of the world
participates. It is designed to act as a deterrent against any aggression against any
nation
Dissimilarities between Collective Security and Collective

Defence:
• Collective Defence is a limited or group system, whereas Collective Security is a

global system. CD involves only some states who come forward to join hands
against a common enemy. CS involves all the states of the world
• In Collective Defence possible threat is known not in Collective Security. In
Collective Security threat to security is sudden. Any war or aggression by any one
state against any other state is covered under the system of collective security
• In Collective Defence enemy is known in advance, Collective Security the
enemy is every aggressor
• Collective Defence admits Advance Planning, Collective Security does not
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Collective Security and Balance of Power:
A. Similarities:
1.Similarity in Method - Both accepts utility of war, force although CS is more

about smart Powe
2.Both are defensive in nature-Both stand for the creation of a preponderance of
power as a means for preventing or for defeating aggression against any member of
the system
3.Both accept War as a Means:
4.Both believe in Military Cooperation among States for ending Aggression:
Finally, both have faith that mutual cooperation including military cooperation among
the members of the system can be turned into a military action against aggression.
B. Dissimilarities
1. Balance of Power is a Competitive System Collective Security is a Cooperative

System
2. In Balance of Power only Major States are Actors, in Collective Security all
States are Actor
3. Balance of Power Alliances are De nite, Collective Security Cooperation is
Genera
4. In Balance of Power enemy is either from within or from outside, in Collective
Security the enemy is always from within
5. Balance of Power is a Group System, Collective Security is Global System:
6. Balance of Power admits Neutrality, Collective Security rules out neutrality
7. Balance of Power involves a general alliance among some states, Collective
Security system is a general agreement covering all State
8. Basis of Balance of Power is Mutual Fear, while that of Collective Security is
Mutual Cooperation
9. Balance of Power operates in the Absence of a Global Organisation, Collective
Security essentially involves the existence of an International Organisation
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The operation of Collective Security necessitates the existence of an international

institution, like the United Nations, for organizing the creation of a global
preponderance of power necessary to meet an aggression in any part of the system. In
contrast, a state can pursue a Balance of Power unilaterally, and if it makes alliance,
relatively simple rules and institutional arrangements are likely to suf ce.
UN Collective Security System
In this Charter “International Peace and Security” have been used 32 times.
Collective Security system has been laid down in Chapter VII of the U.N. Charter
and its title reads: “Action with respect to Threats to the Peace, Breaches of the
Peace, and Acts of Aggression.” It contain 13 Articles, from Art. 39 to 51, which
together provide for a collective system for preserving international peace and
security
Art. 39 makes it the responsibility of the Security Council to determine the existence
of any threat to the peace, breach of peace, or act of aggression and to decide about
measures that are to be taken for managing crisis for restoring international peace and
security
Art 40 lays down that as the rst step towards preventing the aggravation of the
situation involving a threat to or breach of international peace and security, the
Security Council can take provisional measures like cease re, and call upon the
concerned parties to comply with these
Art. 41 refers to the enforcement actions, other than the collective military action.
The Security Council can recommend to the members of the United Nations for
compelling the concerned parties to end the violation of peace and security. It can
recommend sanctions against the state involved in aggression
Art. 42 empowers the Security Council to take military action for securing or
maintaining international peace and security
Arts 50 lays down the ways in which non-member states can adjust their policies and
actions towards the decision that may be taken up by the Security Council under
Articles 41 and 42
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Art. 51, however, accepts the right of the states “to individual or collective self-
defence if an armed attack occurs against a member, until the Security Council has
taken the measures necessary to maintain international peace and security.
Criticism Against Collective Security:

1. It is Idealistic in Nature and Scope: The concept of Collective Security is based
upon certain idealistic assumptions which make its operationalization dif cult
For example: It assumes that there can be a complete international understanding
regarding the nature of all threats or aggressions against international peace and
security
2. At times it is not possible to identify the Aggressor
3. Admits War as a means this is something buying peace with violence, it is a kind of
all nations balance of power System
4. Rules out ‘Neutrality’ in times of War, in other Words once decision has been take
war become evident. The concept of Collective Security makes it an international
obligation of all the nations to pool their resources and undertake collective action in
the event of an aggression. It, as such, rules out neutrality
5. A Limited Concept: The concept of Collective Security, as laid down in the U.N.
Charter, has two inherent limitations. It accepts the right of the states to undertake
war as a measure of self-defence against any aggression. In practice this provision
gives a legal basis to an aggression or war in the name of action in self-defence
Secondly, it admits the right of the nations to establish regional defence pacts and
organisations for protecting their security. It admits regional security systems as
devices for preserving peace and security.
6. Absence of a Permanent International Peace Keeping Force:- Another major
limitation of the Collective Security system is the absence of a permanent peace
keeping force
7. Lack of provisions for the termination of Collective Security Action
8. Dependence on Powerful States
9. Dangerous:-Some critics hold the view the Collective Security system is a
dangerous system as it can transform a local war into a global war involving all the
nations.
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Multinational Corporation
S.Krasner outlined ‘The most prominent contemporary NGOs are multinational

corporations (MNCs)’. They are huge rms that own and control plants and of ces in
at least more than one country and sell their goods and services around the world.
They are large corporations having branches and subsidiaries operating on a
worldwide basis in many countries simultaneously. Peterson, E. R said ‘MNCs are
“major driver of global economic integration” and “establish unprecedented linkages
among economies worldwide”. The biggest and the most effective industrial
corporations are based in the United States, Europe and Japan. MNCs can be
classi ed according to the kinds of business activities they pursue such as extractive
resources, agriculture, industrial products, transportation, banking, and tourism
• They are very effective in directing foreign policy of states, including that of the most
powerful ones, and they set agenda for international politics.
• They have become a major factor in national economic decision making process
(Peterson, 1995). As mentioned by Miller (1994), the activities of MNCs “may seem
evidence of the growing inability today of the sovereign state to control and regulate
effectively economic activities within the private sector. If that is so, then one of the
traditional rationales for modern sovereignty is undermined”.
• They have enormous “ exibility in moving goods, money, personnel, and technology
across national boundaries, and this exibility increases their bargaining power with
governments”. Dozens of MNCs have annual sales of tens of billions of dollars each.
Many of them have more economic activity than the GDPs of the majority of the states
in the world. For instance, MNCs such as General Motors, Exxon, Royal Dutch Shell,
General Electric and Hitachi outranked the GDP of nation-states like Taiwan, Norway,
Turkey, Argentina, Pakistan, Malaysia and Nigeria.
• MNCs challenge the state sovereignty of host countries. Host countries may lose control
over their economies. They may create political and social division and prevent the
development of domestic industries in host countries. They may produce specialized
products of which the buyer is usually the parent company. They may manipulate prices
of imports and exports in host countries (Brown, 1995: 212-213). For instance, generally
Turkey has to accept the price set by US MNCs specializing on military equipment parts,
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since Turkey has no choice to buy component parts of American made weapons, which it
has already bought.
• MNCs serve national interests of home countries as instruments of global economic

development, a mechanism spreads ideology and a tool of diplomacy.
Theoretical basis of MNCs
• Different economic schools of thought treat MNCs differently. J.S Goldstein, in his
book International Relations out lined that according to liberalism, MNCs are
vanguard of the new world order since they possess the most ef cient means of
production . Liberal economists argue that “the global ef ciency and the increased
generation of the wealth result from the ability of MNCs to invest freely across
international borders”. Some economists even welcome the replacement of the
nation-state by MNCs as the main economic unit (Barnet, R. J. and Cavanagh,
J. Global Dreams: Imperial Corporations and the New World Order.
• Realist and nationalist perspective argues that MNCs are instruments of home
states. For them, MNCs either serve national interests of the state or become a
threat to the state.
• The Marxist tradition considers MNCs as the instrument of exploitation and as an

extension of the imperialism of strong capitalist states (Mingst).Their-monopolistic
power causes uneven development and inequality in international division of labor.
They bring mal-development into host countries. dependency theory, consider
MNCs as instruments for colonization.
• In today’s world, it could be argued that the combination of these three

perspectives, that is an eclectic approach, seems to be more relevant regarding
MNCs as well as other economic issues. Bennett calls the relationship between
MNCs and host countries as “a ‘love-hate’ syndrome” that is, host countries may
have both advantages and disadvantages in its relations with MNCs.
• In order to minimize the negative impact of MNCs
• Government interventions through nationalization,
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• Government participation and government initiation of joint development projects.
• Furthermore, governments have to maintain control over tax revenues, in ation

rate, credit policies, trade balances, balance of payments, trade restrictions,
monetary values, employment, and economic planning to decrease their
dependence on MNCs.
• Host countries may place restrictions on the ownership and behavior of

subsidiaries and on the freedom of businesses. Because only by controlling these
elds a host country may have an upper hand vis-à-vis MNCs.
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Transnational Actors
Principal actors of the world politics are nation-states, but they are not the only actors.
The international system consists of nation-states, international organisations, and private
actors. The increasing number of international organisations is parallel to the increasing
levels of economic, political, social and cultural transactions between individuals,
societies and states. The growth of so many kinds of transnational actors actors challenges
and even weakens the “state-centric” concept of international politics and replaces it with
a “transnational” system in which relationships are more complex. Miller, L. H. In
Global Order: Values and Power in International Politics argued These
organisations changed the international environment’.
The proliferation of transnational state actors has recently led some observers of
international relations to conclude that states are declining in importance and that
transnational and non-state actors are gaining status and in uence.
New theories of international relations such as the “complex interdependence” of Robert

Keohane and Joseph Nye (1989) were formed in order to explain new developments.
Kegley and Wittkoph (1995) accurately point out that “as the world grown smaller, the
mutual dependence of nation-states and other transnational political actors on one another has
grown”.
Following the traditional classi cation, transnational actors are divided into two
categories: international intergovernmental organizations (IGOs) and international non-
governmental organizations (NGOs) (Brown, 1995; Miller, 1994). The rst group consists
of the transnational that are created by nation-states. They are of cially documented by
government agencies. The second group of transnational international actors is
established not by nation-states, but by certain group of individuals, businessmen and
other societal forces. This group has no legal bonds with nation-states; therefore, they are
truly transnational.
INTERNATIONAL NON-GOVERNMENTAL
ORGANIZATIONS (NGOs) and IR
Non-governmental organisations are institutions that are established by private enterprises
under state laws. There are many kinds of NGOs such as transnational, government
organised, government-regulated and initiated, business and industry, donor-organised,
donor-dominated, people’s organisations, operational, advocacy, transnational social
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movements, quasi. S.Brown in his book New Forces, Old Forces, and the Future of
World Politics, said They have become “crucial participants in the international policy
process”.
• NGOs create and/or mobilize global networks by creating transnational organisations,

gathering information on local conditions through contacts around the world, alerting
global network of supporters to conditions requiring attention, creating emergency
response around world, and mobilizing pressure from outside states.
• Mingst, K. (1999). In his book Essentials of International Relations argued They

participate in IGO conferences by mobilizing transnational social movements
organizations around issues in IGOs, building transnational social coalitions, raising
new issues, supporting IGO development, addressing IGO meetings, submitting
documents to governmental organizations’ meetings, improving skills in conference
diplomacy, and increasing expertise on issues.
• They facilitate inter-state cooperation by preparing background papers and reports,

educating delegates and representatives of states to narrow technical gap, serving as
third party source of information, expanding policy options, facilitating agreements,
and bringing delegates together in third party fora.
• NGOs conduct many kinds of activities within states such as linking to local partners,
linking to transnational social movements with complementary skills, working in
national arenas to harmonize state policies, providing humanitarian aid, and protecting
accompaniment of persons in danger.
• They also enhance public participation within states by reminding government

delegates that they are being watched, enhancing public understanding, increasing
transparency of international negotiations and institutions, and provoking public
protest.
• As a by-product of intensi ed globalization process, NGOs which operate at

transnational level have become more signi cant determinants of foreign policies of
nation-states. Like their counterparts that operates at domestic level and lobby in their
respective countries, they lobby at international and transnational levels. Human rights
advocates, gender activists, religious movements, developmentalists, and indigenous
peoples have invaded the territory of nation- states.
As pointed out by S. Brown, “as the countries and sectors of world society have
become more and more interdependent, it has become commonplace for
nongovernmental groups representing similar communities in their various countries to
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closely coordinate their policies and to constitute (or reconstitute) themselves as

international nongovernmental organisations (INGOs)
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Debate between Neo Realist and Neo Liberals

• Neo-liberals believe that cooperation is easy to achieve in areas where states have mutual
interests. Neo-liberals see institutions and regimes as significant forces in international
relations.
• Neo-realists believe that international cooperation will not happen unless states make
it happen. For them, it is hard to achieve, difficult to maintain, and dependent on state
power. Neo-realists state that neo-liberals exaggerate the impact of regimes and
institutions on state behaviour.
• Neo-liberals claim that they facilitate cooperation, and neo-realists say that they do not
mitigate the constraining effects of anarchy on cooperation.
• Neo-realists state that anarchy requires states to be preoccupied with relative power,
security, and survival in a competitive international system.
• Neo-liberals are more concerned with economic welfare or international political

economy issues and other non-military issue” areas—such as international
environmental concerns.
• Realists and Liberals debate on democratic peace theory, Jackson and Sorensen argue:
-For Liberals, democracies do not go war against each other owing to their domestic
culture of peaceful conflict resolution, their common moral values, and their mutually
beneficial ties of economic cooperation and interdependence. These are the foundation-
stones upon which their peaceful relations are based. For these reasons an entire world
of consolidated liberal democracies could be expected to be a peaceful world.
• Realists emphasis that there is always the possibility that a liberal or democratic state
will revert to authoritarianism or another form of non-democracy. Furthermore, today's
friend might very well turn out to be tomorrow's enemy, whether they are a democracy
or not. States cannot transcend the persistence and permanence of anarchy and the
insecurity that involves
• Realists and liberals have been debating on the Issues of economic interdependence
since the 1970s and globalisation since the 1990s.
• For Realists, globalisation does not alter the most significant feature of world politics,
namely the territorial division of the world into nation-states. Here, states retain
sovereignty, and globalisation does not render obsolete the struggle for political power
between states. Nor does it undermine the importance of the threat of the use of force or
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the importance of the balance of power. Globalisation may affect our social, economic,
and cultural lives, but it does not transcend the international political system of states.
• Liberals tend to see globalisation as the end product of a long running transformation of
world politics. For them, globalisation fundamentally undermines Realist accounts of
world politics it shows that states are no longer such central actors as they once there. In
their place there are numerous actors, of differing importance according· to the issue-
area concerned. Liberals are particularly interested in the revolution in technologies and
communications represented by globalisation. This increased interconnectedness
between societies, which is economically and technologically led, results in a very
different pattern of political relations from that which has gone before. States are no
longer sealed units, if ever they were, and as a result the world looks more like a cobweb
of relations than like the state model of Realism or the class model of Marxist theory "
Neo-realists argue over regime
1. Regimes enable states to co-ordinate

2. Regimes generate differential benefits for states
3. Power is the central feature of regime formation and survival
4. The nature of world order depends on the underlying principles and norms of
regimes
Neo-liberal Institutionalist argue over regime
1. Regimes enable states to collaborate

2. Regimes promote the common good
3. Regimes flourish best when promoted and maintained by a benign hegemon, but
they may survive without a hegemonic support
4. Regime promote globalization and a liberal world order
Roles of international institutions and regimes
1. Provide a flow of information and opportunities to negotiate;

2. Enhance the ability of governments to monitor others' compliance and to implement
their own commitments - hence their ability to make credible peace
3. Strengthen prevailing expectations about the solidity o f international agreements.
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Feminist theories of international relations
Introduction
Breaking with the powerful bond among manly men, states and war, feminist theories of
international relations have proliferated since the early 1990s. These theories have introduced
gender as a relevant empirical category and analytical tool for understanding global power
relations as well as a normative position from which to construct alternative world orders.
Feminism shifts the study of international relations away from a singular focus on inter-state
relations toward a comprehensive analysis of transnational actors and structures and their
transformations in global politics.
With their focus on non-state actors, marginalized peoples and alternative conceptualizations of
power, feminist perspectives bring fresh thinking and action in the post-9/11 decentred and
uncertain world.
International relations have had great significance for patterns of gender relations, just as gender
dynamics have influenced global processes of militarization and economic globalization.
Cynthia Enloe suggest that ‘the personal which is political’ is also, quite likely, ‘international’. In
Bananas, Beaches and Bases (1989), she exposed how international politics frequently involves
intimate relationships, personal identities and private lives. These informal politics are altogether
less transparent than the stuff of official politics and they are typically ignored by International
Relations scholars.
How gender relations were always integral to international relations? Example given by
Feminists:
• Diplomatic wives smooth over the workings of power among states and statesmen;
• trustworthy marital contracts facilitate transnational money laundering and sex trafficking;
• Global icons such as Cosmopolitan conquer foreign cultures and prepare them for the
onslaught of Western capitalism;
• Women and men organize in kitchens, churches and kin-communities to overthrow
authoritarian regimes and make peace in the face of brutal conflict (Cockburn 1998; True
2003).
Understanding basics of feminism
Making Women Visible
If we start with feminism’s first contribution – making women visible – an early contribution of
feminist theorists is revealing that women were and are routinely exposed to gendered
violence.
For example, former UN Secretary General Ban Ki-moon’s ‘UNiTE’ campaign to end violence
against women estimated that up to seven out of ten women will experience violence at some
point in their lives – and that approximately 600 million women live in countries where
domestic violence is not yet considered a crime.
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Many societies are thought of as predominantly peaceful or stable despite high levels of
violence against a particular portion of the population. It also presents a very different image
of violence and insecurity to that viewed through the security agendas of states, which is
characteristic of traditional IR viewpoints.
Feminism has also highlighted women’s absence from decision-making and institutional
structures. For example, in 2015 the World Bank estimated that globally women made up just
22.9% of national parliaments.
The traditional focus on states and relations between them overlooks the fact that men are
predominantly in charge of state institutions, dominating power and decision-making
structures. It also ignores other areas that both impact global politics and are impacted by it.
This is a gendered exclusion as women contribute in essential ways to global politics even
though they are more likely to populate those areas not considered high politics and their day-
to-day lives may be considered peripheral.
Exposing and deconstructing socially constructed gender norms.
Feminist theorists have worked to demonstrate that this distinction between private and public
is false.
It is important to understand the distinction between ‘sex’ as biological and ‘gender’ as socially
constructed. Gender is understood as the socially constructed assumptions that are assigned
to either male or female bodies – that is, behaviour that is assumed to be appropriate
‘masculine’ (male) or ‘feminine’ (female) behaviour.
These socially and politically produced gender identities shape and influence global interactions,
and IR as theory – and global politics as practice – also produces such gendered identities in
perpetuating assumptions about who should do what and why.
Gender identities are also imbued with power, in particular patriarchal power, which
subordinates women and feminine gender identities to men and masculine gender identities.
What this means is that socially constructed gender identities also determine distributions of
power, which impact where women are in global politics.
Where are the women in Global politics?
Cynthia Enloe (1989) asked the question ‘where are the women?’, encouraging IR scholars to
see the spaces that women inhabit in global politics and demonstrating that women are
essential actors in the international system.
She focused on deconstructing the distinctions between what is considered international and
what is considered personal, showing how global politics impacts on and is shaped by the daily
activities of men and women – and in turn how these activities rest on gendered identities.
Traditionally, the military and war making have been seen as masculine endeavours, linked
with the idea that men are warriors and protectors, that they are legitimate armed actors who
fight to protect those in need of protection – women, children and non-fighting men.
For Example: The issue of sexual and gendered violence in conflict has only recently entered
the international agenda. It was ignored before. Comparatively, the mass rape of women
during and after the Second World War was not prosecuted as the occurrence was either
considered an unfortunate by-product of war or simply ignored.
However, with the 2002 Rome Statute recognising rape as a war crime. However, this
recognition has not led to the curtailment of conflict related sexual violence and this form of
violence remains endemic in many conflicts around the world, as does impunity for its
occurrence.
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IR is shaped not only by gender but also by other identities
IR is shaped not only by gender but also by other identities, such as class, race or ethnicity. We
can call it intersectionality.
Intersectionality refers to where these identities intersect, and in turn how different groups of
people are marginalised, suggesting that we must consider each in tandem rather than in
isolation. In examining wartime rape, Lori Handrahan (2004, 437) has shown the intersection
of gender and ethnic identities, where the enemy’s women become constructed as ‘other’ and
violence against them consequently comes to represent the ‘expansion of ethnic territory by
the male conqueror.
This rests on gendered constructions, which occur at the intersections with other forms of
identity, such as ethnicity or race. Gendered constructions that see women characterised as
protected mean that conquering them – through rape or sexual violence – is representative of
power and domination over one’s enemy.
What have feminists exposed in traditional global politics?
Feminism has not only exposed gender violence and women’s marginalisation in global politics
but also challenges gendered constructions of women as inherently peaceful, as in need of
protection or as victims.
Feminists see these constructions as further evidence of gender inequality and also as
contributing to the exclusion of women from traditional IR perspectives in the first instance.
If women are assumed to be victims rather than actors or as peaceful rather than aggressive or
as only existing in the domestic or private realm (rather than the public sphere), then their
experiences and perspectives on global politics are more easily ignored and justified as marginal.
Accounts of women disrupting these gender identities, such as being agents of political violence
for example, have challenged these assumptions. This is an important contribution of feminism
and one that challenges the construction of gendered identities that do not reflect the
diversity of women’s engagements with IR and in practice perpetuate women’s limited access
to power.
Therefore, taking feminism seriously is not simply about upending the historical
marginalisation of women, it also provides a more complete picture of global politics by taking
into account a broader range of actors and actions.
Understanding peace: Is women’s’ security central?
Building peace after conflict is an increasingly central concern of IR scholars – especially as

conflicts become broader and more complex. Peacekeeping missions are one way that the
international community seeks to institute sustainable peace after conflict and the United
Nation’s traditional peacekeeping role.
Feminist theorists have demonstrated the ways that peacekeeping, as security-seeking
behaviour, is shaped by masculine notions of militarised security.
Feminist IR scholars have shown, violence against women often continues in the post-conflict
period at rates commensurate to or even greater than during the conflict period. This includes
rape and sexual assault, domestic violence and forced prostitution, as well as those selling sex
to alleviate financial insecurity.
The dominant approach to keeping peace often obscures these kinds of violence. Issues like
gender equality and domestic violence (and human rights) are considered ‘soft’ issues as
opposed to the ‘hard’ or real issues of military security. This understanding of peace, then, is
one in which women’s security is not central.
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Donna Pankhurst (2008) has theorised what she terms a post-conflict backlash against women,
one that is chiefly characterised by high rates of violence and restrictions on women’s access to
political, economic and social resources post-conflict.
The restriction of women’s access to such resources – such as basic food, housing and
education – makes them more susceptible to gendered violence. This often begins with
women’s exclusion from peace negotiations and deals, which instead focus on elite actors who
are predominantly men, often militarised men.
In peacekeeping missions, women are also underrepresented. In 1993, women made up only
1% of deployed personnel. That figure had only risen to 3% for military and 10% for policy
personnel by 2014.
In October 2000 the UN Security Council devoted an entire session to Women, Peace and
Security – adopting Resolution 1325 as a result. This resolution called for a gender perspective
to be ‘mainstreamed’ throughout peace operations and for women to be included in peace
agreements and post-conflict decision-making – in addition to the protection of women and
girls during conflict.
A United Nations study by Radhika Coomaraswamy (2015) found that gender in peacekeeping
continues to be under-resourced politically and financially, and the gendered elements of post-
conflict reconstruction are still marginalised in missions. Women still experience high rates of
violence post- conflict, are still excluded from peace processes and still ignored in peace-
building policy.
This is demonstrated, for example, in national and international attempts to disarm former
combatants after conflict and reintegrate them into post-conflict society.
Megan Mackenzie (2010) has attributed this to constructed gender identities that minimise the
idea that women are agents in conflict or involved in war-making, instead constructing them as
victims with limited agency. In other words, they are subject to war rather than war’s actors.
This means not only that women are excluded from disarmament programmes because of
socially produced gender norms but also that they are unable to access the material and
economic benefits that may flow from such programmes – or the political and social gains they
could make from being recognised as legitimate veterans in post-conflict societies.
Gendered international division of labour
In the global context, a gendered international division of labour has emerged as migrant Third
World women become a cheap and flexible source of labour for MNCs in free trade zones.
Saskia Sassen’s (1991, 1998) research shows how global cities, the nodal points for global
financial markets and economic transactions, are dependent on a class of women workers.
Like ‘intimate others’ of economic globalization, domestic workers, typically immigrant women
of colour, service the masculinized corporate elite in these urban centres (Boris and Prugl
1996; Stasilius and Bakan 1997; Chin 1998; Chang and Ling 2000).
feminist research reveals an even darker ‘underside’ of globalization, in the phenomenal
growth of sex-tourism, ‘male-order’ brides and transnational trafficking of women and girls for
prostitution (Pettman 1996; Prugl and Meyer 1999; Berman 2003).
For subordinate states in the world system, these economic activities are key sources of foreign
exchange and national income (Jeffrey 2002; Hanochi 2003). For example, Chin (1998) shows
how Malaysian political elites maintained the legitimacy of their export-oriented development
strategy in the 1980s and 1990s by importing female domestic servants from the Philippines
and Indonesia.
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Postcolonialism in International Relations Theory
What does it mean?
Postcolonialism examines how societies, governments and peoples in the formerly colonised
regions of the world experience international relations.
It highlights the impact that colonial and imperial histories still have in shaping a colonial way
of thinking about the world and how Western forms of knowledge and power marginalise the
non-Western world.
It is not only interested in understanding the world as it is, but also as it ought to be. It is
concerned with the disparities in global power and wealth accumulation and why some states
and groups exercise so much power over others.
Basics of postcolonialism
Core idea of their argument
A key theme to postcolonialism is that Western perceptions of the non-West are a result of the
legacies of European colonisation and imperialism.
Discourses (primarily things that are written or spoken) has constructed non-Western states
and peoples as ‘other’ or different to the West, usually in a way that made them appear to be
inferior. In doing so, they helped European powers justify their domination over other peoples
in the name of bringing civilisation or progress.
Take for example, the issue of global inequality. Postcolonialism suggests that in order to better
understand how global class relations emerge and are maintained, we must address ideas
about why these relations appear normal.
Postcolonialism argues that addressing and finding solutions to poverty and global inequality
come up against representations of the other that make it difficult for Western policymakers to
shed their biases and address the underlying global structural factors such as how capital and
resources are accumulated and flow around the world generating inequality.
View on key concepts such as power, the state and security
In analysing how key concepts such as power, the state and security serve to reproduce the
status quo, postcolonialism proposes a more complex view of such concepts than is
characteristic of traditional theories.
For example, the concept of sovereignty, and with it the contours of the modern state, were
imposed on the colonial world by European powers. Yet it is a concept that is usually taken for
granted by scholars of realism and liberalism.
Postcolonialism also challenges the Marxist perspective that class struggle is at the root of
historical change – instead demonstrating how race shapes history. It analyses that focus only
on class fail to consider how the identification of the ‘Third World’ as ‘backward’, ‘primitive’
or ‘non-rational’ are linked to persistent economic marginalisation.
While mainstream IR theories see the international system as an anarchy, postcolonial
scholars see it as a hierarchy.
Postcolonialism also demonstrates how Western views about Islam and its adherents are a
manifestation of the West’s own insecurities. The rise of political Islam across the Muslim world
– watermarked by Iran’s Islamic Revolution in 1979 – not only confronted neo-imperialist
interventions but also revealed the impacts of core cultural and social shifts accompanying a
more interconnected global economy.
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In the West, however, the view of this resurgence has been interpreted by prominent
policymakers and academics as a ‘clash of civilizations’ (Huntington 1993) and worse, as a
direct threat to Western civilization.
Edward Said (1997) showed how Western media, film, academia and policy elites rely on a
distorted lens or framework used to describe the history and culture of Arab peoples and
adherents of Islam.
He called it Orientalism because it constructs a particular idea of the so-called ‘Orient’ that is
distinct from the West and its inhabitants’ characteristics that are essentially the opposite of
the West.
For Example: People of the Orient may be characterised as being exotic, emotional, feminine,
backward, hedonistic, non-rational and so forth. This is in contrast to the more positive
attributes usually associated with the West such as rationality, masculinity, civilization and
modernity.
Frantz Fanon (1967) shows how race shapes the way that the coloniser relates to the colonised
and vice versa by capturing how some people under colonial rule began to internalise – that is,
identify with – ideas of racial difference that saw ‘others’ as inferior to white Europeans. He
explains that the ‘black man’ is made to believe in his inferiority to the ‘white colonisers’
through psychological aspects of colonisation, such as the imposition of the coloniser’s
language, culture, religion and education systems.
Post Colonialism highlights how racialised othering frames not just history, but contemporary
debates such as national security, nuclear politics, nationalism, culture, immigration,
international aid and the struggle for indigenous rights.
Views on Modernity and Globalisation
The rise of post-colonialism is also closely related to the process of comprehensive western
reflection on modernity.
Postmodernism reflects modernity deeply and comprehensively. It reveals a postmodernist line of

thought through a thorough deconstruction of modernity.
It reveals a postmodernist line of thought through a thorough deconstruction of modernity. The

essence is to "rewrite modernity." The problem is that the development of modernization in the
western world is closely related to the colonization, invasion, and expansion of territory. That is to
say, no colonization and invasion, no modernity in the West. The problems of European modernity
always develop within the range of global colonization.
History shows that modernity, in the whole world, is a phenomenon that occurs in collusion with
colonization. In this process, western countries use an unbalanced power to force people of other
areas "to use a language of modernity which everyone must use whether or not it properly
expresses their reality”. Post-colonialism is a response to coloniality in the process of modernity.
Reflection on modernity will certainly lead to reflection on globalization. The age of post-colonialism
is simply the age of globalization. The attention paid to globalization and the reflection on modernity
can never be separated.
As Giddens says, globalization is the extension of modernity in the whole world. Historically,
western bourgeois initiated and led the globalization movement. In this process, western bourgeois
tries to create a world according to their own perceptions, tries to subjugate the uncivilized and
semi-civilized countries to the civilized countries, tries to subjugate farmers to bourgeois, and tries
to subjugate the East to the West.
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The process of globalization itself creates imperialism. If globalization is unavoidable, it will be

realized by way of colonialism. The most outstanding feature of colonialism is that it is related to
the capitalistic system. This system nourishes colonialism and makes it a global phenomenon.
The economic and political conflicts in the process of globalization are all closely related to the
differences in cultural values. So Arif Dirlik points out that narratives of globalization are more
hegemonic than discourses of modernization because they internalize and rebuild other cultures
and bring other cultures back to their origin in their rebuilt forms.
Post colonialism reflects globalization from the point of view of colonization and discusses the
cultural relations between the East and the West from the perspective of globalization-the
orientalization and the cultural hegemony of the West to the East.
Feature of post-colonialism
One of the main features of post-colonialism is orientalism, a western re-explanation and
deconstruction of eastern theoretical discourse. Edward Said uses Foucault's theory of discourse
and power to criticize orientalism as a way of thinking and as a way of theoretical discourse. He
said orientalism is the way in which the West controls and rebuilds the East. Whether it is a
subject or a way of thinking and a way of theoretical discourse, orientalism is written, studied,
built, and controlled by the west.
According to Said, the concept of the East in orientalism is based on an ideological supposition or
assumption, but not on a geographical concept. It is the historical and cultural relations between
Europe and Asia that determine the existence of the East and the West. The East is not a natural
existence.
Another main feature of post-colonialism is to uncover and criticize cultural hegemony as a new
form of colonization. Post-colonialism uncovers and criticizes cultural hegemony through an
analysis of the political and ideological characteristics of culture, the combination of culture and
power, and culture's participation in imperialistic undertakings.
According to Edward Said, there is no pure cultural form. Culture is the root of national identity
that may lead to war and battles. Culture is never adiaphorous. When talking about culture, we
should first ask whose culture it is and which country and nation the culture belongs to, who the
main body representing the culture is, who the culture serves, etc. In other words, culture is
consequentially "polluted" by the main body's political system, ideology, and values. Said says,
culture is a battlefield in which all kinds of forces fight against one another; culture is a stage on
which various politics and ideologies conflict; this gives culture political and ideological
characteristics.
Postcolonialism: Feminist Perspective
There are internal debates among postcolonial scholars and in this case also a significant overlap
with feminism – especially ‘third wave’ feminism that became prominent in the 1990s.
bell hooks (2000) observed that the so-called ‘second wave’ of feminism of the mid- to late
twentieth century had emerged from women in a position of privilege and did not represent
African American women such as herself who remain on the margins of society, politics and the
economy. She called for an alternative, critical and distinctive feminist activism and politics.
For example: does a black woman from a poor neighbourhood on Chicago’s south side experience
sexism in the same way as a white woman from its wealthier suburbs? Women who share the same
ethnic identity might experience sexism in different ways because of their class. The same might
be true for women of colour and white women from the same social class. Women of colour and
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white women in the United States experience ‘heteropatriarchy’ – a societal order marked by
white male heterosexual domination – differently even if they come from the same social class.
Feminist postcolonial scholars like Geeta Chowdhry and Sheila Nair call for more attention to
the intersections of race and/or ethnicity, nationality, class and gender. By doing so they
address the ways that different aspects of one’s identity, such as race, gender, class, sexuality
and so forth, intersect to create multiple and distinct forms of oppression so that no one
aspect can be privileged over another in understanding oppression.
Postcolonial feminists share a desire to go beyond simply analysing the impacts of patriarchy,
gender inequality and sexual exploitation. Instead, they highlight the need to fight not only
patriarchy (broadly understood as the power of men over women) but also the classism and
racism that privileges white women over women of colour.
For example: While Western feminism has often portrayed the veil as a symbol of oppression of
women, many Algerian women adopted the veil, standing alongside men, when protesting French
rule. To them, it was a symbol of opposition to white, colonial patriarchy. In many other parts of
the colonised world, women stood shoulder to shoulder with men in nationalist movements to
overthrow colonial rule, showing that women in different cultural, social and political contexts
experience oppression in very different ways.
Postcolonial feminists are committed to an intersectional approach that uncovers the deeper
implications of how and why systemic violence evident in war, conflict, terror, poverty, social
inequality and so forth has taken root.
Postcolonial feminism asserts that women of colour are triply oppressed due to their (1)
race/ethnicity, (2) class status and (3) gender. An example can be found in the employment
conditions of the many women in the Global South who work in factories producing textiles,
semi-conductors, and sporting and consumer goods for export to the West.
Conclusion
Postcolonialism interrogates a world order dominated by major state actors and their domineering
interests and ways of looking at the world. It challenges notions that have taken hold about the way
states act or behave and what motivates them. It forces us to ask tough questions about how and
why a hierarchical international order has emerged and its further challenges mainstream IR’s core
assumptions about concepts such as power and how it operates. Postcolonialism forces us to reckon
with the everyday injustices and oppressions that can reveal themselves in the starkest terms
through a particular moment of crisis.
Neo-Functionalist Regional Integration Theory: Put to Test in Asia
The neo-functionalist theory is a dynamic and predictive model, which has been adapted and
modified in different periods of the European integration. Its flexibility compared to other
integration theories is the reason why it is a useful tool and a relevant method in assessing the
burgeoning integration movements in other geographies. Yet its application elsewhere remains
problematic because of the important number of factors involved in the process.
There has not been any official indication from India or ASEAN to establish a structured regional
integration between them, but their will to build a closer relationship is apparent. Nonetheless,
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this rapprochement and cooperation on economic ventures, is only in its beginnings. Even within
ASEAN, political and economic integration and cohesion is not complete.
Nevertheless, as the neo-functionalist model has been useful to explain the beginning of European
integration in a particular historical context, it may demonstrate if a similar process could emerge
in the South Asia region, with ASEAN as its main player. It will also help to assess what role India
can play in ASEAN’s evolution, comparable with the U.S.’ guarantor role over the European
integration at its beginning, and what level of cooperation may be attained between India and
ASEAN.
Opportunities Stimulating Rapprochement between India and ASEAN
The South Asian region is a subsystem of the international scene, with states having historical,
geo-strategic and socio-cultural links with one another. In this vast region, sometimes described
as Indo-Centric, India’s importance is apparent in demographic and economic terms.
In the wake of the Cold War, as many other countries have also done, India has tried to redefine
its role in the international system. Hence, successive Indian governments have tried to
emphasize the role their country plays in the Asian continent, believing it is time they counted
more in the international system.
The Gujral Doctrine, adopted in 1996, announced a roadmap to build trust between India and
South Asian nations and generate an atmosphere of understanding and cooperation between
India and these countries.
India had, in fact, ignored ASEAN during the Cold War, mostly because the latter had modest
beginnings. However, ASEAN launched an enlargement movement in the 1990s and decided to
deepen the existing cooperation in many areas during the 2000s.
The 1990s is also the period in which India “discovered” ASEAN, while trying to overcome the
financial crisis that hit the country in 1991. Since then, successive Indian governments have
sought for ways to improve trade with the members of ASEAN.
In exchange, New Delhi has been declared a “sectoral dialogue partner” by ASEAN in 1992,
following India’s request for the establishment of a Regional Forum of ASEAN, a platform
aiming to develop security cooperation.
Especially after the 1997 Asian economic crisis, ASEAN members’ and India’s economies grew
more interdependent, and they have decided to enhance their dialogue in economic and
financial fields to avoid further crises.
It should be noted that the implementation of economic liberalization policies in India and the
implementation of the “Look East Policy,” aiming at reinforcing ties with Southeast Asia,
correspond to a time when an ascending China became a worrying factor in the region, on both
economic and political terms.
While seeking to expand regional markets for industrial development, trade and investments,
India also developed its relations with Mekong-GANGA Cooperation and BIMSTEC.
ASEAN kept India apart while establishing the “ASEAN + 3” mechanism in 1997, that brings
together the members of ASEAN with Asia’s three leading economies: China, South Korea and
Japan. The members of ASEAN, however, decided to create a completely different mechanism,
specific to India, called “ASEAN + India.” The first gathering of the mechanism took place in
2002.
The establishment of a specific mechanism for India demonstrates that the members of ASEAN
do not consider India as simply another major economy in the region, but as an alternate
partner. The mechanism produced its first tangible outcome in November 2004 with the
conclusion of the Partnership for Peace, Progress and a Common Prosperity Agreement.
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ASEAN-India Free Trade Area (AIFTA) came into effect in January 2010. AIFTA is the result of
acknowledging that the trade volume between India and ASEAN has grown considerably since
1992.
The ASEAN-India Free Trade Area represents one of the World’s largest free trade agreements, a
market of almost 1.8 billion people with a combined GDP of $2.8 trillion plus.
The neo-functionalist perspective suggests that sectoral integration may ultimately boost a
spill-over effect, which will in turn call for more integration. In the case of India and ASEAN,
rapprochement in one economic sector creates strong incentives for rapprochement in further
sectors.
Besides, in order to develop common economic ties with India and create economies of scale,
ASEAN countries may boost their integration efforts in some economic sectors. The developing
institutional ties with India may eventually encourage ASEAN to reinforce its institutions, to
work progressively without reference to local governments.
As the cooperation deepens, exactly as the neo-functionalist approach suggests it will, whether
or not India and ASEAN will need to develop specific structures to manage their relationship
remains to be seen.
The growing economic interdependence between ASEAN and India has encouraged them to
work on enhancing private sector engagement. In this context, the ASEAN-India Business
Council (AIBC) was activated. The AIBC has opened the way for the organization of a number of
ASEAN-India Business Summits (AIBS) and ASEAN-India Business Fair (AIBF).
The ASEAN-India Aviation Cooperation Framework, which laid the foundation for closer aviation
co-operation between ASEAN and India. In line with this engagement, the ASEAN-India Air
Transport Agreement (AI-ATA) was implemented in 2011.
As these examples show, each cooperation effort between ASEAN and India is bringing new
cooperation initiatives in divergent domains which in turn have the potential to deepen,
progressively creating a positive cycle of rapprochement.
Neo-functionalism supposes that the nature of the liberal economy will inevitably encourage
states to develop further cooperation in sectors other than the initial cooperation sector. In
Europe, for example, the integration of the coal and steel sectors has brought about
integration in agriculture, transport, fishing and finances with time.
In November 2014, during the ASEAN Summit, India’s Prime Minister Narendra Modi announced
that he has decided to implement the “Act East Policy” to replace the “Look East Policy.” As the
change of name suggests, India accepted the need for a more action-based policy with the
region lying to India’s East.
The fact that India and some countries of ASEAN have comparable economic development levels
makes it easier for the economic agents to develop common initiatives of cooperation.
According to neo-functionalism, the determination to establish a common market will bring
the need to develop common structures and economic interdependence between nations and
that will push the involved states toward institutional and social interdependent relations.
This doesn’t mean, however, that ASEAN will become a full-fledged economic and political
union and will deterministically end up with more cooperation with India. Yet, the ever-
developing partnerships between India and ASEAN makes the former as an alternate power,
or a regional pole, capable of challenging China’s tremendous economic weight in the region,
even though India lacks system-shaping capabilities.
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Obstacles of Deepening Cooperation between India and ASEAN
Despite the opportunities that can be observed in the relations between India and ASEAN, several
challenges may equally be found, which can be assessed as set-backs to any further cooperation
attempt between these two sides.
Decreasing role of national government and shift of focus on supranational organisation

The neo-functionalist approach claims that national governments engaged in an
integration movement will end-up conceding more and more authority to the regional
organizations they have created. Similarly, citizens of these nation-states are expected to
progressively shift their expectations to these organizational structures rather their own
national governments. This is supposed to lead to the creation of institutions that work
without reference to “local” governments.
Neo-functionalist thinking claims that during the integration process, interest groups and
diverging social segments will transfer their allegiances away from national institutions
toward supranational bodies. They are supposed to do so, because citizens realize that
these newly formed institutions will offer a better platform through which they may
pursue their material interests.
This is what the neo-functionalism calls “technocratic automaticity,” a process within which
the institutions become more powerful and more autonomous from the member states.
Neo-functionalism thus stresses the specific role of supranational organizations with their
own power and jurisdictions.
Challenges in ASEAN
From this perspective (given above), ASEAN has a long way to go, and consequently so do the
institutional relations between India and ASEAN. It is true that ASEAN leaders adopted a
document called ASEAN 2020 back in 1997, in the hope of strengthening the foundation of a
community of nations in Southeast Asia. India has been included in the targets of ASEAN 2020
through the “Plan of Action to Implement the ASEAN-Indian Partnership for Peace, Progress and
Shared Prosperity 2016-2020” in 2015.
Platforms such as ASEAN Regional Forum, ASEAN Defence Ministers Meeting Plus One, ASEAN-
India Senior Officials’ Meeting, ASEAN-India Joint Cooperation Committee are not independent
or autonomous enough to claim that they will trigger any technocratic automaticity. These are
rather loose inter-governmental cooperation and consultation forums, which are certainly
allowing the two sides to get progressively closer.
A rules-based and norms-based regional bureaucratic structure is not yet complete within
ASEAN, a fact that constitutes a setback for regional integration from a neo-functionalist
perspective. The existing or lacking supranational institutions and their capacity problems are
thus a major obstacle to put in place a regional integration in Southeast Asia.
Citizens who are supposed to transfer their loyalties from the national governments toward
the regional organization are not easily found, either.
Another major challenge for regional integration initiatives in Southeast Asia is the high level
of political and socio-cultural diversity among ASEAN countries. With diverging political
regimes and ideologies, it becomes hard for ASEAN countries to define in the same manner the
national or common interests and challenges that they have to face.
In the lack of shared and tangible values, any effort of rapprochement and eventually regional
integration would need to find a framework in which nation-states may involve both political elites
and their people in the process. In fact, both parties, ASEAN and India, are aware of this fact, and
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they are planning to develop mechanisms that would underline common values, which are
expected to trigger further rapprochement between all involved countries.
THE IMPACT OF BREXIT: A NEOFUNCTIONALIST PERSPECTIVE
Brexit
The history of Brexit can be traced to the UK’s initial membership in the EU as a nation. The UK
joined the EU during the first expansion: it was one of the later members to join the Union—not part
of the initial ‘Inner Six’—and did so in order to gain economic and political stature. This late entry
can be linked to the UK’s Western power alliances with the United States and an insecurity in joining
the relatively new movement of the EU, as well as a desire to retain its own sovereignty as a nation
which was formerly a world power. Britain’s engagement with European policy has historically
favoured less integration, which can also be characterised as a sign of reluctance to relinquish
sovereignty.
The UK never adopted the Euro, was reluctant to join the Schengen Zone, and was instrumental in
blocking certain sovereign curtailing issues within the EU. The Brexit crisis began in 2016, when
Britain called for a national referendum. The crisis was not limited to the UK: countries such as
France (Frexit), Italy (Irexit), the Netherlands (Nexit), and Greece (Grexit) were all discussing leaving
the EU.
The international trend of dissatisfaction with the EU throughout Europe was exemplified in Brexit,
as the crisis which pioneered the way for the rest of Europe. The issue was centred around not only
the curtailing of sovereignty through further integration, but also the negative impact of the EU on
individual member states, as seen with Greece and the Eurozone crisis of 2008—which affected
most members of the EU—as well as the 2015 migration crisis which threatened border security.
Brexit has shown the costs associated with exiting, not only to areas such as international trade, but
also financial and political repercussions on domestic levels. The UK is indebted to the EU as a
result of triggering article 50, a cost that outweighs the benefits to EU member states. This harsh
reality has been a national deterrent for many talks within European countries, and has precipitated
a movement and motivation for change from within, rather than for change without the EU.
Neofunctionalism and the gap in modern integration theory Gap:
Modern international relations theory fails to address the current trends observed in cycles of
European crisis integration. Although theories such as realism propose integration through
regional and global cooperation, they fail to address the historical and crisis-related contexts
that underpin the integration of the EU.
Integration theory, while proposed initially by Ernst B Haas in 1968, has been relatively
underdeveloped in the nearly 50 years since. Although modern theorists such as Andrew
Moravcsik have critiqued neofunctionalism as an underdeveloped framework that does not
follow the conventions of a modern theory, there has been no suitable replacement to this
work that identifies the issues in European integration in the wake of the recent Brexit crisis.
Neofunctionalism suggests that regional integration is an inevitability of international
cooperation, and that the ‘spillover’ of technologies, cultures, and governance is a
geographically oriented process that cannot be avoided. Neofunctionalism was initially
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developed as one of the first frameworks to assess European integration during the emergence
of a European union.
Neofunctionalism is largely unexamined with regard to the EU’s recent development, and has
been critiqued by scholars as an overly optimistic perspective that favours unlimited and
continuous integration, which has no valid standing in the modern context.
The original framework of Neofunctionalism argued for an optimistic ‘even closer union’ to be
created by the then European Community (EC) through inevitable spillover and the predicted
continuation of growth in the union. Since 1968, against the predictions of other major
theories that the union of Europe would collapse, the EC continued to integrate and
strengthen regional dependency into the institution that became the EU. The EU has
integrated beyond its original intentions, adopting not only an international currency shared
by a number of the Union’s member states, but also integrating domestic issues such as
transport, border controls, and trade into the supranational union.
As the pioneer of the concepts of the spillover effect and regional integration in the European
context, Haas’s work demonstrates not only the EU’s potential for continued integration into a
supranational body that transcends the limits of an international organisation of states, but also
highlights the ability the EU has to adapt and grow through crises.
Crisis according to Neofunctionalist:
Neofunctionalism explains this trend of strength through diversity in the EU as a product of

supranational integration and a process of further policy development. This has been examined
since the EU’s inception, as ‘Group conflict is a given and expected form of conduct in the nations
under study. French, German or Italian policy engages as the result of this conflict. Historically, Haas
explains the process of regional growth through change as an effect of integration. The recent
crisis of Brexit is the latest stage of this process, and according to Haas, the very structure that
strengthens ties within the EU.
Brexit was prompted due to the growing sense in Europe of national sovereignties being curtailed
by the growing supranationalism of the EU, and that countries would become more autonomous
and affluent if they chose to remove themselves from the EU.
This opinion was not solely due to the growing number of crises in the EU, but also due to issues
such as the Free Movement of Persons (as outlined in the Schengen Agreement) and the Eurozone.
Both of the examples (above)—in conjunction with crises such as migration—helped form the
opinion of the EU that member states are linked more by misfortune than with unified strength,
and were a burden to sovereign interests.
Engaged with the negative spillover effects of the EU, the apparent negative perception of the EU
can be examined prior to the Brexit referendum. The reality of Brexit served as a deterrent in the
wake of the referendum, and the incentives of regional integration were thrown into stark
contrast with the imminent isolation of the UK. With this differing perspective on a Europe
without union, loyalties of the remaining countries readjusted.
Haas argues that the union of the EU is one of convenience, that it is a result of mutually
benefitting from the unification of national interests under a single body to prevent future dissent.
The Brexit crisis follows the concerns of member states that the EU was unable to provide that
stability, and was ultimately countered by the reality of Brexit, and the detrimental impact it posed
to the UK as a nation. Now outside the EU, without the benefits of trade and collaboration but still
beholden to the union for reparations for its exit, Brexit has demonstrated that the safety of
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Europe for nations lies in the unification of powers, and that individual countries are more subject
to conflict than they are as a single body in the face of crisis.
Neofunctionalism also explains this crisis as a result of the evolving loyalties of nations. The
change in common opinions of national parties from wanting to leave the EU, to wanting to
change it from within, is what Haas would describe as the ‘response to a pressure for conformity
exercised by the new centre of power’.
In this case, the centre of power relocated during the Brexit agreement, moving from the states
threatening to leave back to the institution itself. The evolution of Brexit is proving the detrimental
impact that exiting the EU would have on states, highlighting how Britain is crippled and divided by
the choice to leave.
Brexit, instead of becoming the suspected symbol of independence in Europe, has become the
catalyst for uniting the continent. The countries of the EU have become united through the
example that has been made of the UK, and shifted their loyalty to the EU as a result. This,
according to Haas, is the epitome of his theory of continued integration, that despite the concerns
of individual countries within the Union, the body of actors continues to operate in a manner that
furthers integration on all levels.
GLOBAL CONCERN
Democracy
What is a good Democracy?
A good democracy can be said to be one that presents a stable institutional structure that
realizes the liberty and equality of citizens through the legitimate and correct functioning of its
institutions and mechanisms. A good democracy is thus first and foremost a broadly legitimated
regime that completely satisfies its citizens (quality in terms of result).
A good democracy is one in which the citizens, associations and communities of which it is
composed enjoy at least a moderate level of liberty and equality (quality in terms of content).
In a good democracy, there are the citizens themselves who have the power to check and
evaluate whether the government pursues the objectives of liberty and equality according to
the rule of law. They monitor the efficiency of the application of the laws in force, the efficacy
of the decisions made by government, and the political responsibility and accountability of
elected officials in relation to the demands expressed by civil society (quality in terms of
procedure)
Can Democracy be Multicultural? OR Can Multiculturalism be Democratic?
Multicultural theorists such as Iris Young and Will Kymlicka have been examining the
relationship between democratic institutions and multicultural societies in terms of how
democracy is reflected by or modifies itself to accommodate multiculturalism. But an
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underlying question about the fundamental compatibility of democracy and multiculturalism

has been somewhat overlooked.
In this context, Bhikhu Parekh has been crucial to the debate in ways that need to be accounted
for.
Bhikhu Parekh has urged that democracy be seen, not hegemonically as ‘a paternalist, and
even an imperialist project’, (although some in the West act as if that is what it is), but as ‘an
expression of our shared humanity and the duties arising out of it’. He understands
multiculturalism as a feature of modern democratic life.
European critics of immigration and of the Muslim inroads into ‘European civilisation’ have
generally blamed multiculturalism for democracy’s trouble. They have held minorities
responsible for their own marginalisation (and radicalisation) in traditional monocultural
societies.
British Prime Minister David Cameron thus has condemned ‘segregated communities’ that are
conducive to Islamic extremism and a life ‘apart from the mainstream’. He excoriated what he
called a ‘hand’s-off tolerance’ that permits terrorism to take root inside Britain.
American critics of multiculturalism such as Samuel Huntington and Arthur Schlesinger Jr. were
worried that democratic solidarity cannot withstand the pressure of a fractious, multi-identity
society, an identity that appears to undermine consensus and national identity.
Benjamin R. Barber in the book Multiculturalism Rethought: Interpretations, Dilemmas and
New Directions. Argues that democracy and multiculturalism are in deep tension with one
another and that the democratic idea is more at home in monocultural than multicultural
societies.
Bhikhu Parekh has acknowledged in the conference in June 2011, cultural diversity can raise
issues of ‘moral diversity’ that are difficult to address.
Can democracy survive multiculturalism?
Political history of the modern world suggests that by the end of the nineteenth century the
fundamental challenge for democracy had become less about how to establish democratic
governance per se than how to make democracy –designed for small monocultural societies –
work effectively and justly in large-scale multicultural societies.
Today in our age of interdependence, the challenge has become even more daunting; for
nations depend not just on themselves and their own populations for their success, but are
constrained to depend on one another.
Cross-border international organisations – whether the UN system, or the G9 or independent
transnational NGOs – are not up to cross-border challenges, so that democracy’s problems with
multicultural diversity are compounded globally. The international order often complicates
what are already national quandaries.
India, confronting an international adversary in Muslim Pakistan must also face the dilemma of
being not just the largest Hindu nation on earth, but also the third largest Muslim nation in the
world.
Although Muslims constitute less than 16 per cent of India’s total of 1.2 billion people, India comes
behind only Indonesia and Pakistan. If one combines these startling demographic realities with the
patterns of diversity associated with colonialism, trade, international education, job mobility, the
flow of capital and large-scale immigration, it becomes apparent why democracies must deal with
multiculturalism just about everywhere in the world.
There are a tiny number of countries that claim, enduring monocultural traditions, but even here
appearances are not necessarily what they seem, and change is coming. For Example: Finland is
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often regarded as isolated and monocultural, yet 17 per cent of its population is Swedish, and it is
subject to increasing immigration from beyond Europe.
Two thousand years of growth in the scale of society and the growing mobility and
multicultural diversification of nations around the world raise everywhere, the fundamental
question that is at the heart of Bhikhu Parekh’s twin commitments to democracy and to
multiculturalism: can democracy survive multiculturalism? This question has animated an
ongoing but frustrating set of so-called ‘dialogues of civilisations’.
However convenient it is to assume democracy’s hospitality to diversity; the analysis here
suggests the very contrary:
If democracy was born for, designed for and works best under monocultural conditions, then
the conditions presented by democratic multicultural societies as India, America, Brazil or even
Holland or Denmark (recall the cartoon controversy) are anything but hospitable to social
capital, solidarity or the idea of common/ public goods.
Strategies need to be developed to respond to the challenge of making democracy work under
conditions where communitarianism, solidarity, fraternity and ethnic and historical ties have
been eroded.
Strategies that accommodate multiculturalism and democracy
Liberal tolerance
• It originates with early liberals like John Locke, concerned with religious differences and
their destructive potential in undoing democracy’s necessary civic consensus.
• We need not like others or enjoy difference, but we are constrained by democracy to
respect others and tolerate difference. Liberal democracy is nothing if not the politics of
difference adjudicated by law and deliberative compromise. Cultural difference conceals
human commonality, recognised in the doctrine of human rights.
• Example: For 300 years this rights approach has been the primary response of liberal
democracy to multiculturalism and difference. When in the United States, slaves were
emancipated and granted civil and political rights, when subsequently women gained the
vote, the idea was not to obliterate difference or even create a common community
among different groups. It was only to respect the rights of every group and assure their
equal access to civic and political citizenship.
Constitutional patriotism (Jürgen Habermas’ Verfassungspatriotismus) or what in the United
States have been understood as the practices of civil religion:
• It has some affinities for John Rawls’ argument for ‘overlapping consensus’ as a road to
social cohesion in conflicted liberal states. This option works best when it is twinned with a
rights strategy, for it can put meat on the bones of that approach’s skeletal and formalistic
liberalism.
• It is a strategy better understood in the United States, where multiculturalism has been
relatively successful, than in Europe, where it has created anxiety and an intolerant,
reactionary politics.
• America has relied on civil religion because it is a nation of immigrants. Not to say that
anti-immigrant feeling has no traction in a country where up until recently one in five
Americans insisted their President was not born in the United States.
• The most recent example of this approach to dealing democratically with difference comes
from the Arab Spring, in particular Egypt (Tahrir Square incident) during the tumult of the
winter of 2011. Christians and Muslims (who at the start of the revolution had been
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attacking and killing one another in the name of their rival religions) found themselves
united in a broad national civic action against President Mubarak’s corrupt regime.
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INTRODUCTION TO COMPARATIVE POLITICS

Comparative Government vs. Comparative Politics
• Comparative politics is concerned with the study of all forms of political activity, governmental as well as
nongovernmental. The field of comparative politics has an 'all encompassing' nature and comparative
politics specialists tend to view it as the study of everything political.
• The distinctiveness of comparative politics, most comparativists would argue, lies in a conscious and
systematic use of comparisons to study two or more countries with the purpose of identifying, and
eventually explaining differences or similarities between them with respect to the particular
phenomena being analysed.
• For a long time comparative politics appeared merely to look for similarities and differences, and directed
this towards classifying, dichotomising or polarising political phenomena.
• Comparative political analysis is however, not simply about identifying similarities and differences.
The purpose of using comparisons, it is felt by several scholars, is going beyond 'identifying similarities
and differences' or the 'compare and contrast approach', to ultimately study political phenomena in
a larger framework of relationships. This, it is felt, would help deepen our understanding and broaden
the levels of answering and explaining political phenomena.
• It may, however, be pointed out that for long comparative politics concerned itself with the study of
governments and regime types, and confined itself to studying western countries.
• The process of decolonisation especially in the wake of the Second World War, generated interest in
the study of 'new nations'. The increase in and diversity of unit cases that could be brought into the
gamut of comparison, was accompanied also by the urge to formulate abstract universal models, which
could explain political phenomena and processes in all the units.
• Simultaneous to the increase and diversification of cases to be studied was also expansion in the
sphere of politics so as to allow the examination of politics as a total system, including not merely the
state and its institutions but also individuals, Social groupings, political parties, interest groups, social
movements etc.
• Certain aspects of institutions and political process were especially in focus for what was seen as their
usefulness in explaining political processes, e.g., political socialisation, patterns of political culture,
techniques of interest articulation and interest aggregation, styles of political recruitment, extent of
political efficacy and political apathy, ruling elites etc.
• These systemic studies were often built around the concern with nation-building i.e., providing a politico-
cultural identity to a population, state-building i.e., providing institutional structure and processes for
politics and modernisation i.e., to initiate a process of change along the western path of development.
• The presence of divergent ideological poles in world politics (Western capitalism and Soviet socialism),
the rejection of western imperialism by most newly liberated countries, the concern with maintaining
their distinct identity in the form of the non-aligned movement and the sympathy among most countries
with a socialist path of development, gradually led to the irrelevance of most modernisation models for
purposes of global large level comparisons.
• Whereas the fifties and sixties were the period where attempts to explain political reality were made
through the construction of large scale models, the seventies saw the assertion of Third World-ism and
the rolling back of these models. The Eighties saw the constriction of the levels of comparison with
studies based on regions or smaller numbers of units became prevalent.
• With globalisation, however, the imperatives for large level comparisons increased and the field of
comparisons has diversified with the proliferation of non-state, 'non-governmental actors and the
increased interconnections between nations with economic linkages and information technology
revolution.
• While the term comparative government is quite old, the term comparative politics as mentioned above
is relatively new. In 1955 R.C. Macridis clearly differentiated the two when he pointed out that the
traditional approach was non comparative, descriptive, parochial, static and monographic.
• The traditional approach was non-comparative and descriptive. In that standard textbooks described a
number of countries one after the other in detail, but attempted little comparison. It was hence
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monographic in character i.e. we had excellent country studies but no attempt to understand why
particular countries had a multi-party system or why democracy worked better in one country than
another. This was because the traditional approach was much narrower in scope as it was based on the
formal legal approach that characterised political science as a whole. Consequently, as its name implies,
it was restricted to the study of the formal processes of ' governments and institutions.
• In contrast, comparative politics is wider in scope and encompasses not merely institutions but political
processes as well i.e., it covers political parties, pressure groups and a wide range of informal
institutions and processes as well. This enables better analysis of institutions and processes within states
and between states. Hence, it can be comparative in a way that the traditional approach could not be.
• Second, comparative politics, in contrast to the traditional approach, is multi-disciplinary in outlook,
meaning that it draws not only on political science but also on history, economics and sociology. Part
of this was due to changes in the discipline of political science as a whole, and partly due to the
behavioural approach.
• Third, the traditional approach was parochial i.e. restricted to European governments and therefore
Eurocentric in its outlook and analysis. The post-war period saw a broadening of the field as after
decolonisation, the number of states increased throwing up fresh theoretical and methodological
questions.
• Finally the traditional approach was static; it did not try to understand why systems change.
Comparative politics in contrast, has been preoccupied with questions of how political systems change
from tradition to modernity and the problems that rapid change can produce, and also why some
systems change more slowly than others and retain traditional features.
Previous Year Questions

1. Describe the changing nature of Comparative Politics. (10 Marks, 150 words)
2. Discuss the subject matter of Comparative Politics. (10 Marks, 150 words).
3. Examine the significance of the Comparative Method in political analysis. (20 Marks).
Probable Questions
1. Discuss the Evolution of Comparative Politics in the post World War era. (10 Marks, 150 words)
2. Compare and Contrast the Comparative Government approach with Comparative Politics
approach. (15 marks, 250 words).
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Terrorism
Introduction
Terrorism is not a new phenomenon for this era. Somehow, People throughout history were facing
this phenomenon. Nowadays with regard of globalization, developing speed and the flow of
information speed are increasing. At the same time international community is confronting to a new
form of terrorism which is much more powerful, well organized, deeply ideological, has no care
about modern community morality and with very effective operation.
Various Scientists, legal systems and government agencies use different definitions of "terrorism".
Moreover, the international community has been slow to formulate a universally agreed upon,
legally binding definition of this crime. We can consider that these difficulties arise from the fact that
the term "terrorism" is politically and emotionally charged.
From this research viewpoint, Rhyll Vallis and his colleges have presented the best and the most
comprehensive definition of terrorism.
Most of the formal definitions of terrorism have some common characteristics: a fundamental
motive to make political/societal changes; the use of violence or illegal force; attacks on civilian
targets by "non-state"/"Subnational actors"; and the goal of affecting society. This finding is listing of
three components of terrorism:
• Acts or threats of violence,

• The communication of fear to an audience beyond the immediate victim,
• And Political, economic, or religious aims by the perpetrator(s).
Thus, terrorism is a violence action, which is knowingly, premeditated and preplanned by political,
economic or religious motivations against non-military targets by the terrorist including organized
or non-organized groups.
In terms of the strategic framework, “terrorism is a means to political end” (Crenshaw, 1987); that
is, the act of terrorism is intentional. It is the intention of a terrorist group to carry out a terror act to
communicate its objectives to the established institutions and governments.
The objective might be short term or long term; it may be achieved directly or indirectly. In this view,
“terrorism is a bargaining process with the opponent. It is a coercive method based on ‘the power
to hurt’ and to intimidate the enemy (Crenshaw, 1987; Schelling, 1980)
According to Schmid and Jongman, Terrorism is a method of combat in which random or symbolic
victims serve as an instrumental target of violence. These instrumental victims share class
characteristics which form the basis for their selection for victimization. Through previous use of
violence or the credible threat of violence other members of that group or class are put in a state of
chronic (fear). This group or class, whose members’ sense of security is purposefully undermined, is
the target of terror.
Terrorism is a knowingly, and preplanned action and caused by idea and decision of some who want
to do it. This action has political, economic or religious tendency and is different from motives such
as personal revenge motives.
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From constructivism point of view, terrorism is a social construction. The terrorist actor is a product
of discourse, and hence discourse is the logical starting point for terrorism research. In particular, it
is the discourse of the terrorists' adversaries that constitutes terrorist motivations, strategies,
organizational structures and goals.
Theoretical Approaches to the Study of Terrorism

The Instrumental Approach
Instrumental explanations of terrorism suggest that the act of terrorism is a deliberate choice by a
political actor (Crenshaw). According to this approach the terrorist organization acts to achieve
political ends. Different acts of terrorism are explained as responses to external stimuli, like
government policies.
According to Crenshaw (1995), in this approach, violence is assumed to be intentional for a terrorist
organization. Therefore, violence is not the ends as suggested by some other approaches like the
psychological theories. Terrorists are not lunatics who violate for the sake of violation.
For an advocate of the instrumental approach, attaining the political ends are important, so the
survival of the terrorist organization even though the ultimate aims cannot be achieved could be
explained by the achievement of so-called intermediary aims. Crenshaw suggests terrorism survives
because the terrorist organizations achieve their tactical aims such as publicity and recognition. This
explanation makes sense considering some political changes that terrorist organizations were able to
achieve, despite their failure to reach their ultimate political ends.
The instrumental approach to terrorism is one of the most developed approaches to the subject in
the discipline of political science. It is simple and comprehensible as Crenshaw suggests.
It is comprehensible because the intentions of actors are inferred from their behaviour according to
logical rules. Also, this approach is intellectually satisfying and provides researcher with a rather
easier context of study since information requirements about secretive terrorist organizations are
relaxed. It is substantially influenced by conflict studies, so its range is extremely broad as it is
applied to all manner of conflict regardless of the identity of the actors (Crenshaw).
Organizational Approach
The organizational approach suggests a terrorist organization’s main goal is ‘survival’, like any other
organization such as a state institution or a commercial enterprise. Hence this approach explains
terrorism as a result of an organization’s struggle for survival, usually in a competitive environment.
Leaders of the organization deliver benefits, incentives to the members to provide for the survival of
the organization. The organization responds to pressures from outside by changing incentives
offered to members or through innovation.
Maybe the most interesting explanation about terrorist organizations from this line of literature is
that, terrorist actions do not necessarily or directly reflect ideological values.
Organizational theories suggest that what defines the actions of a terrorist organization is not purely
political. But this approach does not provide us with the necessary simplification we need in theory
building. Because it is difficult to understand the reasons behind terrorist acts since actions are
assumed to depend on the internal, clandestine dynamics of a terrorist organization.
Another problematic assumption in the organizational approach is that terrorist acts are assumed
to appear inconsistent, erratic and unpredictable. It is so because terrorists do not act according to
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external pressures, like from governments. They do not make the cost and benefit analysis of purely
political actions, and act strategically according to the political interactions between the actors. So
although the instrumental theories and economic approach allows us to explain even surprise
attacks that can be stimulated from external pressures, organizational theories do not provide such
an insight, or it is at least difficult to explain the actions of terrorists by the organizational approach
since we can have little information about the inner processes of these organizations.
Another basic argument about this approach is that terrorist organizations are like firms. Albert O.
Hirschman’s economic theory of organizations can be used to explain the maintenance of the
organization in a competitive environment. This line of literature suggests that terrorist
organizations are like firms competing in an environment in which they will always try to survive.
Other terrorist organizations are like rivals in a market place: the Irish Republican Army competes
with the Irish National Liberation Army. Moreover, organizations are more sensitive to their
members’ stimuli than they are to government actions.
Related to the assumptions mentioned above, emphasizing organizational maintenance explains

why terrorist organizations survive although they never achieve their ultimate goals.
Terrorism as Political Communication
This approach suggests that terrorism is employed for communicative purposes. That is terrorism is
a set of actions that uses political violence for communicative aims. So, the ultimate aim of a
terrorist organization in general is to spread political messages and make some segments of the
society or state do something they want.
To sum, terrorism’s ends can vary – they can be a religious, leftist or right-wing terrorist organization
– however, all these acts are designed to influence the relationship between individuals in society
and the state (Kaplan).
Terrorism as a communication approach is substantially different from organizational or

instrumental approaches because their focus of inquiry is on the impact of terrorism according to
the advocates of this approach. Causes of terrorism are not purely political ends or the
organizational goals.
For example, let us take the Oklahoma bombing of 1996. In this case, the individual terrorist made
this attack to protest against certain policies of the US government. Most of the people he killed had
no direct effect on these policies.
This approach is successful in bringing the communication dimension into the theory-building
processes in studies of terrorism. It is really difficult to construct a comprehensive theory of
terrorism without considering the terrorist action’s impact on intended and unintended audiences
and how these actions change and define relationships in society. However, this approach is not
comprehensive itself. It is not capable of explaining the political ends of these organizations. It is
insightful to suggest that action-reaction dynamics are to be understood. But why these actions are
taken, on what grounds, with which political aims are at least as important as the communication
characteristics. Likewise, organizational aspects of the subject are treated as unimportant in this
approach.
This interpretation can be better explained by providing four different arguments from the
supporters of this approach. First, they claim that economic analysis can account for strategic
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interactions among opposing interests. These relationships include terrorist-government, or two

targeted countries relations in transnational terrorism cases.
Second, authors from this line of literature suggest that rational choice models can be applied to
find out how terrorists are apt to respond to policy induced changes to their constraints.
Third, not only economic methodology, but also theories of economics are assumed to be useful in
explaining terrorism. Sandler suggest that theory of market failures can underscore how
independent pursuits of wellbeing by the agents maybe at odds with socially efficient outcomes. This
approach is useful in understanding government failures: they can also stem from well-intentioned
policies too.
Fourth it is suggested that various economic empirical methods can be applied to evaluate
theoretical predictions and policy recommendations.
Religion as Philosophy of Terrorism

• Most of these religious systems of belief convince their believers to exterminate evils through
militant means for the test of their faith or part of God's plan. They believe that it is demand of
God that's why their actions are legitimized and for the protection of their religion in present
and future. Under this sense aspiration for vengeance works as driving force for terrorism in the
form of suicide bombing, war against other faiths and imperialism.
• They consider these acts as test of their sincerity with the religion and accomplishment of
assigned duty by God and the way to achieve the will of God and a way towards heaven.
Criminology further explains these religious creeds mingled with political interests. In this
regard, for the achievement of their political will, the religious figures first blame their own
country's politicians for neglecting the important historical part and lessons of their religious
issues then they blame foreign influence/prevailing international system for influencing their
religious culture. These blames are inclusive of three reasons.
o First, the foreign influence/system doesn't serve the religion's survival interests.
o Second, the system competes and has animosity with world's different religion and
o The third the system is depicted as evil like force or influence
• Simply the militant religion considers secularization, modernization and westernization as the
most specific enemies. Therefore, the religious movements start violent campaign against it as
the legitimate defender of faith and they justify their actions posing themselves only
accountable to God who has chosen them for the sacred mission.
• Religious movements can be quite violent, ferocious, extreme and carrying pre-emptive attacks
in its nature. Simply, in its extremist form religious groups adopt terrorism as a last resort to its
campaign. In its tactics religious terrorism is quite extremist and full of injustices and
maltreatment.
• Strategically it supports pre-emptive attacks for the fear of an existing threat from the opposite
faith and ideology. Because of applying this tactic religious groups and leaders cannot plan their
actions rationally and select inappropriate time and places of target that causes human
sufferings.
• Most of the religious attacks and avenges are related to the historical events; religious terrorism
is based on the idea of never forget the past wounds and previous grievances, they are more
rigid in their actions and more dangerous in consequence of failure of actions; in this term here
is the example of Irish terrorism.
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• In fact, terrorism in the name of religion aims at political motives. Believers of the religious
group consider it righteous to adopt violent means in defines of their faith against other
religions. They consider their religion universal and assume it their great responsibility to
propagate their faith by all violent means.
• Current Terrorism is mostly religion based; suicide bombing, martyrdom and the use of weapons
are symbolic features of it. The significant means of these terrorist networks are Internet,
international media and satellites.
Note: In David Rapoport’s highly influential wave theory the fourth and current wave of
terrorism is characterized by religious terrorism. This evolution of terrorism is generally believed
to have become prominent in the 1990s terrorism. Since 9/11 there has emerged a large school
of ‘new terrorism’ scholars who argue that the new wave of ‘religious’ terrorism has been
revolutionary and is largely distinct from earlier ‘secular’ terrorism. Some of these prominent
scholars include Daniel Benjamin and Steven Simon, Bruce Hoffman, and Walter Laqueur. There
are certain key features that are largely believed to be unique to new terrorism. These include,
in order of prominence, “Increased violence/more deadly, New organisational structures,
Religious motivation [non-political], WMD/CBRN, New technologies, Transnational
terrorism/diaspora”. However, upon reflecting on the history of terrorism it is clear that these
features are either not unique, or are a result of the evolving historical context. Changes in
‘religious’ terrorism are of degree rather than kind. Therefore, the new wave of terrorism is not
distinct from earlier terrorism, but is merely an evolution of it.
Genesis and Different types of Terrorism

Ethno-Nationalist Terrorism
Terrorism motivated by ethno-nationalist and separatist aspirations became prominent only after
the Second World War and dominated the terrorist agenda around the world for more than 50 years
until religious terrorism came to occupy the centre stage. Ethnic terrorism can be defined, as
deliberate violence by a subnational ethnic group to advance its cause. Such violence usually focuses
either on the creation of a separate State or on the elevation of the status of one ethnic group over
others. Tamil Nationalist groups in Sri Lanka and insurgent groups in North East India are examples
of ethno-nationalist terrorist activities.
Religious Terrorism
Present day terrorist activities around the world are motivated largely by religious imperatives. The
practitioners of terrorism motivated either in whole or in part by a religious imperative consider
violence as a divine duty or a sacramental act. It embraces different means of legitimisation and
justification compared to other terrorist groups, and these distinguishing factors make religious
terrorism more destructive in nature. Religious terrorism can be initiated by both a minority and a
majority religion or sect of a nation.
Ideology Oriented Terrorism
Any ideology can be used to support the use of violence and terrorism. Ideology oriented terrorism
is generally classified into two: Left-wing and Right-wing terrorism.
• Left-wing Terrorism- Violence against the ruling elite mostly by the peasant class motivated
by what is called leftist ideologies have occurred time and again in history. However, a
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concrete ideological base for the left and subsequent violent movements was inspired by
the writings of Marx and Engels. This was supported by the writings and speeches of later
communists like Lenin and Mao Tse-tung (Mao Zedong). Leftist ideologies believe that all the
existing social relations and state structures in the capitalist society are exploitative in
character and a revolutionary change through violent means is essential. Examples of leftist
ideologies that have resorted to the use of terror are numerous. These include; the Red
Army Faction or Baader Meinhof Gang in the former West Germany, the Red Brigades in
Italy, the 17 November Movement in Greece, the Shining Path of Peru, People’s
Revolutionary Army and the Motoneros of Argentina and the Maoist groups in India and
Nepal are the most easily identifiable groups closer home.
• Right-wing Terrorism- Right-wing groups generally seek to maintain the status-quo or to
return to some past situation that they feel should have been conserved. Sometimes groups
espousing rightist ideologies might assume ethnic/racist character too. They may force the
government to acquire a territory or to intervene to protect the rights of an ‘oppressed’
minority in a neighbouring country, (i.e. The Nazi Party in Germany). Violence against
migrant communities also comes under this category of terrorist violence. Examples of
these are: Nazism in Germany, Fascists in Italy, white supremacy movements in the US
known as Ku Klux Klan (KKK), the Green Jackets of Denmark in the 1980s etc.
State-sponsored Terrorism
State-sponsored terrorism or warfare by proxy is as old as the history of military conflict. However,
state-sponsored terrorism on a massive scale reappeared in international politics in the 1960s and
1970s, and today along with religious terrorism, state sponsored terrorism has considerably altered
the nature of terrorist activities around the world.
In recent times, some countries have embraced terrorism as a deliberate instrument of foreign
policy. One distinction of state sponsored terrorism from other forms of terrorist activity is that it is
initiated to obtain certain clearly defined foreign policy objectives rather than grabbing media
attention or targeting the potential audience. In a cost-benefit analysis, state-sponsored terrorism is
the most effective means of terrorism from the perspective of the perpetrator.
State-sponsored terrorism was widely employed in Central Asia in the nineteenth century. Russians
supported their fellow Slavs in the Balkans. Bulgaria used the Macedonian revolutionary terrorists
against Yugoslavia after World War I. The Western powers under the auspices of the US supported
all kinds of nationalist and anti-communist rebels throughout the Cold War. The Soviet Union was no
different in its operations during this period. Countries like Iran, Iraq, Sudan, Libya North Korea have
been engaged in sponsorship of political violence of different nature in their ‘enemy’ countries. India
has been facing this problem from Pakistan since Independence.
Narco-terrorism
The term was first used in 1983 by the former President of Peru, Belaunde Terry to describe
campaigns by drug traffickers using terrorist methods such as the use of car bombs, assassinations
and kidnapping against the anti-narcotics police in Coloumbia and Peru. Though initially used in
the context of drug trafficking related terrorism in South America, the term has come to be
associated with terrorist groups and activities around the world and more so in the Central and
South-East Asia. Narco-terrorism has been defined as `the attempt by narcotics traffickers to
influence the policies of the Government by systematic threat or use by violence’. However, it is
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also possible to view narco-terrorism as a means of terrorism or at any rate as a means of funding
terrorism. As the term itself suggests, narco-terrorism combines two criminal activities; drug
trafficking and terrorist violence. Narco-terrorism is motivated mainly by economic reasons as it
helps the terrorist organizations raise huge sums of money with minimum cost for their activities.
Thus, the political, ideological, religious and the ethno-nationalist motives generally associated with
terrorism are secondary to the economic gains associated with it.
In a survey conducted by the United Nations, links between drug traffickers and terrorist groups
were observed in 19 out of 38 countries. These countries include Algeria, Colombia, Comoros,
Ecuador, Germany, Guernsey, India, Italy, Japan, Kenya, Kyrgyzstan, Lithuania, Mauritius, Saudi
Arabia, Turkey, the United Kingdom, the United States of America, Uzbekistan and Yemen. Major
terrorist groups operating on these lines in these countries are: Al Qaeda, the Colombia-based AUC
(United Defences of Columbia), ELN (National Liberation Army), Colombia, and FARC
(Revolutionary Armed Forces of Colombia), the tri-border Islamic Group in Argentina, Paraguay
and Brazil, the Shining Path in Peru, the PKK (Kurdistan Workers Party) in Turkey, IMU (Islamic
Movement of Uzbekistan) in Uzbekistan, the Islamic Jihad in Palestine, Hizbollah in Lebanon, and
the RIRA (Real Irish Republican Army) in Northern Ireland. Islamist terrorist groups in India
supported by the Pakistan ISI are reported to be active in drug trafficking along the Kashmir Valley
and also in other parts of the country.
Globalization and Terrorism

Globalization of terrorism has caused terrorist targeting easier and at the same time, confronting
with it more difficult. Scientific and technological growth and development, communications and
economics have provided new abilities for terrorists so that they can change and define their goals
from subnational and even national to transnational, international and global level. This has
created a kind of terrorism that can emerge individually and act in the global level hiddenly and
asymmetrically and can affect the whole life of individuals, communities and societies all over the
world. Uniqueness and vastness of activities and effectiveness of new terrorism in the history is in a
form that it is known the new phenomenon of the present era.
Nowadays, terrorists are more organized, more professional and more equipped than their
counterparts in the past. The new phenomenon of terrorism can fight in information, internet,
nuclear, biologic, chemical (NBC) wars or everything else which can be changed to weapons of
mass destruction.
Globalization has provided some effective Economic facilities to terrorist groups. Globalization has
substantially enhanced new communication facilities; thus, many powerful equipment’s are ready to
make widespread, faster and safer relation between members of international terrorist groups all
over the word.
Globalization provides so many public access technological and scientific achievements which
terrorist groups and also sympathetic individual terrorists as well as ordinary people can achieve and
equipped themselves by these kinds of tools and facilities. Globalization has augmented the risk of
the proliferation of nuclear, chemical, and biological weapons throughout the world.
The worldwide expansion of the Al-Qaeda network is a prominent example of social globalization
causing terrorist military globalization. This global terrorist organization is believed to operate in
more than 60 countries. Terrorist groups especially Al-Qaeda have some more possibility for
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achieving new technologies, tools, information and equipment to expand their activity all over the
word and as a global network act so fast and more easily than before.
The use of superior technology by Al-Qaeda to hijack planes for the 9/11 attacks raised the
concern that terrorists can use catastrophic technology, such as weapons of mass destruction, to
perform their attacks.
Globalization is a significant threat to terrorism in the current scenario, and terrorism has a negative
effect on globalization. On the contrary, if globalization policies are developed carefully, then
globalization may be one of the effective ways to curb terrorism (Murphy 1990, 2002).
British sociologist Anthony Giddens determines that a misleading perception about globalization
exists. This perception indicates that globalization is merely the dominance of the West over the rest
of the world, but in reality, it affects the United States as much as it affects other countries. The
best example of this scenario is the terrorist attack in the United States on September 11, 2001.
The study of Bockenforde (2003) shows that a substantial surge in social globalization has prevailed
in the last few decades. For example, the mixture of people, ideas, and culture has created new
scopes of military globalization, terrorism, and humanitarian issues.
Book Reviews
Brynjar Lia in ‘Globalization and the Future of Terrorism: Patterns and Predictions’ tried to explain
terrorism in terms of global era. Globalization and the Future of Terrorism shows us that while
predicting terrorism is a highly speculative business, there are ways of identifying certain long-term
causes, driving forces and their links with society. Terrorists are usually integral players in local and
sometimes global politics. Hence, when the local, regional and international contexts change, so
does terrorism.
Peter R. Neumann in his book ‘Old & New Terrorism: Late Modernity, Globalization and the
Transformation of Political Violence’ (2009) makes a credible case that globalization has been a
facilitating factor in the transition from older to newer terrorism. ‘Old’ and ‘new’ terrorism are
illustrated by case studies on the IRA and al-Qaeda which Neumann discusses in terms of structure,
aims and method. Neumann suggests that the anti-globalization movement and anti-immigrant
groups in Western Europe and North America may soon resort to terrorist methods.
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Collective Security
Collective Security is currently regarded as the most promising approach to
international peace. It is regarded as a valuable device of crisis management in
• It is designed to protect international peace and security against war and

aggression in any part of the world. Collective Security postulates a commitment
on the part of all the nations to collectively meet an aggression that may be
committed by any state against another.
• Collective Security is also regarded as a deterrent against aggression in so far as
it lays down that the collective power of all nations will be used to repel
aggression or war against any state.
It is based on the principle, ‘Aggression against any one member of the

international community is an aggression against international peace and security.
As such it has to be met by the collective efforts of all the nations’. In other words
Collective Security has been ‘One for All and All for On
In simple words, Collective Security system guarantees the security of each state of
the world against any war or aggression which may be committed by any state
against any other state
De nitions
—George Schwarzenberger -“Collective Security is machinery for joint action in
order to prevent or counter any attack against an established international order.
—Palmer and Perkins -“Collective Security clearly implies collective measures for
dealing with threats to peace.
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fi
.
Features of CS
A. Device of uneven Power Management of Anarchic worl

B. It accepts Universality of Aggression: in other words there is aggression and it
universally hurts International peace and orde
C. All Nations are committed to pool their power and collective action for ending
Aggression
D. Global Preponderance of Power must be there to meet challenge of aggression
E. Presence of an International Organisation id best of institulization of Collective
security syste
F. Collective Security System works as Deterrent against War and aggression
Collective Security can be an effective deterrent against a state with aggressive
designs. Under this system each nation knows that any aggression against another
nation shall be met by the collective power of all other nations.
G. Aggression/war is the enemy and not the State which commits it:Finally,
Collective Security regards ‘aggression’ or ‘war’ as the enemy and not the state
which may resort to war or aggression. A collective security action is limited to
the elimination of war, aggression or threat of war or aggression not aggressive
state
Ideal Conditions for the Success of Collective Security
1. Consensus on the de nition of Aggression

2. More broad based and more powerful International Organization United Nations
3. More powerful role of UN Security Council and strong commitment of its
permanent members in favour of collective security of international peace and
security
4. Existence of a permanent international peace keeping force
5. An established procedure for termination of every collective security action
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6. Popularization of peaceful means of con ict resolution

7. Sustainable socio-economic development of all the nations
8. Strengthening of peaceful means of crisis-management and international peace-
keeping
Di erence between Collective Security and Collective Defence

in International System:
A collective defence arrangement is made by a group of nations who have a common
perception of threat to their security from a common enemy
Usually, a collective defence system is organised as an alliance involving a regional
defence system.
Collective Security stands for a universal system in which all states of the world
participates. It is designed to act as a deterrent against any aggression against any
nation
Dissimilarities between Collective Security and Collective

Defence:
• Collective Defence is a limited or group system, whereas Collective Security is a

global system. CD involves only some states who come forward to join hands
against a common enemy. CS involves all the states of the world
• In Collective Defence possible threat is known not in Collective Security. In
Collective Security threat to security is sudden. Any war or aggression by any one
state against any other state is covered under the system of collective security
• In Collective Defence enemy is known in advance, Collective Security the
enemy is every aggressor
• Collective Defence admits Advance Planning, Collective Security does not
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Collective Security and Balance of Power:
A. Similarities:
1.Similarity in Method - Both accepts utility of war, force although CS is more

about smart Powe
2.Both are defensive in nature-Both stand for the creation of a preponderance of
power as a means for preventing or for defeating aggression against any member of
the system
3.Both accept War as a Means:
4.Both believe in Military Cooperation among States for ending Aggression:
Finally, both have faith that mutual cooperation including military cooperation among
the members of the system can be turned into a military action against aggression.
B. Dissimilarities
1. Balance of Power is a Competitive System Collective Security is a Cooperative

System
2. In Balance of Power only Major States are Actors, in Collective Security all
States are Actor
3. Balance of Power Alliances are De nite, Collective Security Cooperation is
Genera
4. In Balance of Power enemy is either from within or from outside, in Collective
Security the enemy is always from within
5. Balance of Power is a Group System, Collective Security is Global System:
6. Balance of Power admits Neutrality, Collective Security rules out neutrality
7. Balance of Power involves a general alliance among some states, Collective
Security system is a general agreement covering all State
8. Basis of Balance of Power is Mutual Fear, while that of Collective Security is
Mutual Cooperation
9. Balance of Power operates in the Absence of a Global Organisation, Collective
Security essentially involves the existence of an International Organisation
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The operation of Collective Security necessitates the existence of an international

institution, like the United Nations, for organizing the creation of a global
preponderance of power necessary to meet an aggression in any part of the system. In
contrast, a state can pursue a Balance of Power unilaterally, and if it makes alliance,
relatively simple rules and institutional arrangements are likely to suf ce.
UN Collective Security System
In this Charter “International Peace and Security” have been used 32 times.
Collective Security system has been laid down in Chapter VII of the U.N. Charter
and its title reads: “Action with respect to Threats to the Peace, Breaches of the
Peace, and Acts of Aggression.” It contain 13 Articles, from Art. 39 to 51, which
together provide for a collective system for preserving international peace and
security
Art. 39 makes it the responsibility of the Security Council to determine the existence
of any threat to the peace, breach of peace, or act of aggression and to decide about
measures that are to be taken for managing crisis for restoring international peace and
security
Art 40 lays down that as the rst step towards preventing the aggravation of the
situation involving a threat to or breach of international peace and security, the
Security Council can take provisional measures like cease re, and call upon the
concerned parties to comply with these
Art. 41 refers to the enforcement actions, other than the collective military action.
The Security Council can recommend to the members of the United Nations for
compelling the concerned parties to end the violation of peace and security. It can
recommend sanctions against the state involved in aggression
Art. 42 empowers the Security Council to take military action for securing or
maintaining international peace and security
Arts 50 lays down the ways in which non-member states can adjust their policies and
actions towards the decision that may be taken up by the Security Council under
Articles 41 and 42
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Art. 51, however, accepts the right of the states “to individual or collective self-
defence if an armed attack occurs against a member, until the Security Council has
taken the measures necessary to maintain international peace and security.
Criticism Against Collective Security:

1. It is Idealistic in Nature and Scope: The concept of Collective Security is based
upon certain idealistic assumptions which make its operationalization dif cult
For example: It assumes that there can be a complete international understanding
regarding the nature of all threats or aggressions against international peace and
security
2. At times it is not possible to identify the Aggressor
3. Admits War as a means this is something buying peace with violence, it is a kind of
all nations balance of power System
4. Rules out ‘Neutrality’ in times of War, in other Words once decision has been take
war become evident. The concept of Collective Security makes it an international
obligation of all the nations to pool their resources and undertake collective action in
the event of an aggression. It, as such, rules out neutrality
5. A Limited Concept: The concept of Collective Security, as laid down in the U.N.
Charter, has two inherent limitations. It accepts the right of the states to undertake
war as a measure of self-defence against any aggression. In practice this provision
gives a legal basis to an aggression or war in the name of action in self-defence
Secondly, it admits the right of the nations to establish regional defence pacts and
organisations for protecting their security. It admits regional security systems as
devices for preserving peace and security.
6. Absence of a Permanent International Peace Keeping Force:- Another major
limitation of the Collective Security system is the absence of a permanent peace
keeping force
7. Lack of provisions for the termination of Collective Security Action
8. Dependence on Powerful States
9. Dangerous:-Some critics hold the view the Collective Security system is a
dangerous system as it can transform a local war into a global war involving all the
nations.
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Nuclear proliferation as Global Concer

Nuclear weapons are the most powerful and destructive weapons held in the arsenals of
any modern states. Since the creation of the nuclear bomb, many have feared that a
nuclear war could lead to the end of life on earth as we currently know it. The Treaty on
the Non-Proliferation of Nuclear Weapons (NPT) is the central organisation working
towards maintaining nuclear peace and preventing the further spread of nuclear arms
(Graham 2004, 285). The NPT’s main focus is preventing further nuclear proliferation
(Ford 2007, 403).
Why States prefer to develop Nuclear Weapon

State Survival Theory
Realists generally believe that states must ght for their own survival; this is due to their
theory that the world is in a state of anarchy (Mearsheimer). The side to ‘develop a
nuclear bomb rst would have the ability to win the war, and survive’.
Carranza argues that using nuclear weapons to defend a state can be a positive action, as
other states are less likely to be aggressive towards a nuclear-armed state.
This highlights the bene ts of proliferation, and supports the survival theory. Another
reason for less potential aggression from other states is due to the fear that just one single
nuclear exchange between two states could lead to devastating effects.
The Cold War saw an acceleration of states that sought to gain nuclear weapons in the
interest of their survival.,In particular, for the UK and France. A secondary argument
relates to ‘great power’ status as the reason for both the UK and France seeking nuclear
weapons.
The necessity for the UK’s nuclear weapons program has been questioned on numerous
occasions. For example, Hill argue that the UK’s nuclear weapons had absolutely no
in uence at all during the Cold War, and did not deter any potential enemies.
This highlights that a state’s survival by means of nuclear weapons is not always
necessary, but this does not necessarily remove the desire for proliferation. This could at
times be seen as the state survival theory being used as an excuse or a fear campaign to
gain public support for nuclear development.
After China’s rst nuclear tests in 1964, India started pushing forward with nuclear
development, with their program starting in 1967, and rst test in 1974. There are many
arguments for why India wanted nuclear weapons, mainly focused on the concept of state
survival. For example, Riedel believes that the 1962 Himalayan border war between India
and China was the most in uential factor in India’s decision to develop a nuclear arsenal.
This can be seen to emphasise India’s desire for nuclear weapons as a decision based on
the state’s survival. Furthermore, in 1972 Pakistan started working towards obtaining a
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nuclear capability due to India’s nuclear program and, in particular, the 1971 Indo-
Pakistani War that cost Pakistan a lot of territory.
National Prestige Theory

It has been argued that many authoritarian regimes seek nuclear weapons for national
prestige, often thought to be a way of becoming an international player. For example,
North Korea’s recent nuclear weapons proliferation and tests are believed by some to be
for national prestige, both internationally and domestically.
However, many disagree with the national prestige theory in the case of North Korea’s
motivation for nuclear weapons. For example, Faulkner argues that North Korea’s nuclear
program is centred on their Military First Policyand rewarding loyal military leaders with
the funding and resources necessary to produce nuclear weapons. This could imply that
Kim Jong-Il/ Kim Jong-un sought nuclear weapons as a means to maintain power, by
keeping military leaders happy. For North Korea, it can be argued that national prestige
maybe an internal prestige, one based on keeping the regime in power.
Many also see North Korea’s nuclear program as at least partly due to state survival. This
argument is in line with North Korea’s of cial reasoning behind its nuclear program. The
US and South Korea have been cited by the North Korean government as the biggest
threats to their survival.
Gebru believes that no one theory explains North Korea’s intentions; rather a mixture of
reasons are most likely behind their ongoing nuclear program. This includes national
prestige theory, which could be being used to support the North Korean government’s
public projection of their state’s world power status to the North Korean people.
Great Power’ Status

Gowing has argued that both the UK and France entered their respective nuclear
programs because of ‘great power’ status theory. Gowing describes ‘great power’ status as
the phenomenon of past powerful states looking to regain/retain at least a minimal amount
of their past or current power.’ Pifer believes that there were genuine fears about NATO’s
reliability, but the desire to retain some power was also a factor in seeking nuclear arms.
Another factor was that the US was seen as having too much control over NATO which,
considering both states’ previous levels of military power, left them feeling powerless.
The Role of Nuclear Weapons in International Politics

Bernard Brodie described nuclear weapons as the absolute weapons. Moreover, he also
stated that a war which involves the use of the weapons would be immeasurably more
destructive and horrible than any war the world has ever known. Andrew Krepinevich’s
argument contributed to the understanding about this absolute weapon.
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He argued that nuclear had brought a revolution to the use of warfare, especially after the
assembling of nuclear warheads with ballistic missiles. This nuclear revolution provided
the opportunity for instant complete destruction of its target. Furthermore, it becomes a
political fabric for strategic equation. Nuclear weapons, undoubtedly, has changed the
doctrine of the use of military capability.
The Realist ApproachesSeen Nuclear weapons as the ultimate weapon in this era,
nuclear weapons would become the answer to enhance military capability according to
the realists. For this reason, these weapons become a guarantor for the state’s survival.
Consequently, nuclear weapons become a number one instrument to acquire the national
interests.
In offensive realists view, nuclear weapons have become the key to survival. The anarchy
conditions make a state vulnerable to invasion. To avoid this condition, pursuing the
highest military capability is needed.
The defensive realists believe that because of anarchy conditions, states will enhance their
military capability. When all states have high military capability, invasion will be rare
because the price of invasion is costly. In contrast with the offensive realists, defensive
realists suggest states to adopted moderate strategy in order to avoid expansion behaviour.
According to this view, nuclear states must apply moderate nuclear strategy such as the no
rst use principle.
The Liberalist Approach-The Liberalists believe that the interdependence condition

among the international politics will reduce con ict. In terms of nuclear weapons, the
ownership of these weapons among nuclear states would prevent these countries from
waging a war among each other.
As the liberalists believe that international institutions play an essential part in

international politics, nuclear regime is a necessity. It will regulate the behaviour of the
states toward nuclear weapon.
The Constructivists Approach -The constructivists believe that anarchy is a product of a

state’s own perception. It includes threat perception as something that is measured by the
actor. Reputation becomes an important part of it. Jonathan Mercer argued that
reputation is what someone else thinks about you. In other words, it is not something that
you own and control. It is needed in developing a deterrence strategy against the
adversaries in order gain the objective.
The role of nuclear weapons in international politics becomes more important, since
threat perception is based on the other states measurement. Nuclear weapons become
essential because the fear of weapons destruction power is obvious.
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Addressing Nuclear Non-Proliferation and

Disarmament Challenges in South Asia
The NPT centric international nuclear order is based on legal, technical, political and
normative pillars that have proven to be partially successful in achieving nuclear non-
proliferation goals.
For example, President Kennedy’s prediction – that the world could see 15 to 25 new
nuclear states by the 1970s – has not yet come to pass. Despite some of non-proliferation
achievements, the nuclear order has failed to address challenges associated with
India and Pakistan that are undermining the spirit of the nuclear taboo and
challenging the e cacy of the broader nuclear non-proliferation regime.
What are the challenges to the nuclear regime?

Since its inception, the NPT has been an in exible treaty that
has failed to address three basic issues. They are:
• The status of new nuclear weapons states that are outside the NPT
• Creating balance between non-proliferation and peaceful uses of nuclear

technologies
• Stabilizing deterrence at the regional level in order to connect regional states to

the global disarmament endeavour.
• Complex dynamics in South Asia:

India and Pakistan acquired nuclear deterrence while staying outside of the
NPT. Though, nuclear weapons have prevented the reoccurrence of major
conventional wars deterrence has remained fragile and peace precarious.
• The South Asian region is at risk of a breakdown in strategic stability due to the
complex dynamics that in turn is a challenge for the broader nuclear order.
• These include both states’ non-NPT status, their distinct strategic national
directions, unresolved territorial disputes, cross-border terrorism, their
doctrinal ambiguities, huge disparities in states’ defence budget,growing
fabrication of weapon grade ssile material, geographical proximity,
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inadequate early warning systems and the absence of Con dence Building
Measures (CBMs)
• Gregory Koblentz rightly suggests that the ‘concept of strategic stability is no

longer just a product of the interaction between comparable nuclear forces,
but increasingly between nuclear forces and nonnuclear technologies such as
missile defences, anti-satellite weapons, and conventional precision strike
weapons.
• The South Asian region has undergone an increasing up-gradationof existing

asymmetries in conventional forces, inducting new non-nuclear technologies
such as missile defence, anti-satellite weapons and conventional counter forces.
Damaged rule based non-proliferation:
• The U.S. political decision on NSG waiver, offering India an outreach to global
fuels and reactors thus reversing thirty years history has damaged rule-based
broader non-proliferation order leading to encourage horizontal and vertical
proliferation.
• A non-NPT state has been offered bene ts of NPT states without getting it to
freeze production of weapon grade ssile material, sign the Comprehensive Test
Ban Treaty (CTBT), follow International Atomic Energy Agency’s (IAEA) full
scope safeguards, adhere to a restraint regime and a meaningful arms control
mechanism.
• Inferior Neighbour:
• Pakistan sought nuclear weapons to establish deterrence and offset its conventional
inferiority to India.
• Introduction of new technologies such as low yield nuclear weapons and short-
range missiles (60–70 km), in response to the Indian Cold Start Doctrine
(CSD), is a part of Pakistan’s all-range countermeasures capabilities against
India.
Disarmament is a distant goal
• Although the nuclear learning curve has substantially increased in terms of

institutionalization of command and control (C2) systems, the introduction of
robust safety and security cultures, and active participation of the two states in
global forums surely helped preserve nuclear taboo but disarmament remains at
best a distant goal as neither state is bound to NPT article VI.
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How to deal with the non-proliferation and disarmament

challenges of South Asia?
Multilateral Approach
The NPT clauses on non-proliferation and peaceful uses require major changes if a better
non-proliferation regime is to emerge. The NSG is under immense stress against the
backdrop of globalization, and the rising demand for energy security in developing
countries in Asia and shifting global energy trends from fossil fuels to alternative
energy sources. A new criterion could be devised by the NSG members to
accommodate India and Pakistan on the basis underlined below:
• Have India sign the bilateral moratorium on non-testing with Pakistan.
• Have India immediately slow down its ssile material production and sign a
bilateral moratorium
on ssile material with Pakistan before the discussion on universal FMCT.
• Initiate a bilateral agreement between India and Pakistan on a separation plan

and open up all peaceful facilities for IAEA’s veri cation and full-scope
safeguards.
• NSG membership can immediately lead to the institutionalization of meaningful

arms control agreements between India and Pakistan to reduce existing stockpiles
and stop future growth. The US should advocate a new arms control treaty
involving China, India and Pakistan.
The problem of Indo-Pakistan nuclear status outside the NPT can be addressed through
the NSG membership. The NSG would bene t by extending its membership to India and
Pakistan. It would allow both states to retain their nuclear weapons and constraint their
future nuclear growth.
• U.S. Leverage
• The U.S. should adopt a policy of discouraging India and Pakistan from
pursuing missile defence capabilities but must ensure China must take
leap in South Asia and Indian Ocean region.
• An of cial dialogue process between India and Pakistan should be resumed

to mitigate the nuclear risks that new technologies continue to pose.
• Bilateral Approach
• India and Pakistan should discuss the stability of nuclear deterrence in

the region, the status of Kashmir, and relations with Afghanistan.
Pakistan should understand and adress india’s reservation against China
agreesive military, naval presence at Gwadar and Giligit Balistan. Both
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countries should immediately revive the Lahore Declaration (1999), Simla

Agreement(1972) and resume all existing nuclear CBMs thereby
immediately opening up suspended communication channels.
• Promote transparency with each other on their nuclear doctrine,

posture, and modernization plans through budgetary constraints. Such
transparency is necessary for a substantive dialogue to build mutual
understanding and pave the way for future reductions.
• Discuss the consequences of using nuclear weapons, build training centers

to reduce the risks of nuclear escalation and empower the academic
community in both countries, are a necessary step to enhance escalation
control strategies.
• The two countries should endeavour to nd common ground on the

settlement of the bilateral disputes, especially over Kashmir. Also, the
two states should promote trade and build interstate cooperation where it is
possible. This process would help to secure peace thereby making the
nuclear taboo resilient in South Asia leading India and Pakistan to become
part of global endeavour for disarmament.
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International World order
In international relations experts conceive order as the body of rules, norms, and
institutions that govern relations among the key players in the international
environment
An order is a stable, structured pattern of relationships among states that involves
some combination of parts, including emergent norms, rule making institutions, and
international political organisations or regimes. An order is distinguished from chaos,
or random relationships, by some degree of pattern and structure. Ikenberry 2001)
Therefore an order as a set of “governing arrangements between states, including its
fundamental rules, principles, and institutions”(Ikenberry), Well-established
theoretical concepts of institutions and regimes can be constitutive of order but are
not synonymous with it. Order presumes some degree of institutionalization or
established structure—established through ordering mechanisms that play some role
in governing the relationships and behaviors among actors in a system. International
order refers to patterns of relations that have become established and, to some degree,
institutionalized as institutions and practices.
In the modern era, the foundation of international order was built on the bedrock
principles of the Westphalian system, which are conservative conceptions of order
built on pure balance-of-power politics in order to uphold the equality and territorial
inviolability of states
International order is well managed through ordering mechanisms, including a global
economic system supported by extensive rules and institutions, a web of security
alliances, and a series of environmental and human rights norms that stand.
Ikenberry referred to the postwar order as a hegemonic liberal order for a reason:
United States has used power, as well as idealistic notions of shared interests, to
underwrite the rules-based order. In this sense, it employed both hard and soft power
to construct the order
The postwar international order is composed of many elements, each mutually
reinforcing. Those elements include U.S. power and sponsorship; a set of legitimate
global institutions, including the UN and the World Trade Organization (WTO), as
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well as many issue speci c organisations in such areas as air traf c control, electronic
standards, and accounting; a set of international legal conventions, from arms control
regimes to the laws of war, that constrain the actions of states; and an emerging set of
inchoate but often powerful shared norms.
The postwar version of international order is an especially complex and extensive set
of norms, institutions, treaties, and other mechanisms that has been created in service
of the following core principles: economic stability, nonaggression, coordinated
activity on shared challenges, and the advance of liberal values.
Ikenberry has de ned the postwar order as a combination of “economic openness,
reciprocity, [and] multilateral management,” which he refers to as the “organizing
arrangements of a distinctly liberal Western order” that promote larger ambitions than
merely countering Soviet power (Ikenberry, 1999)
The postwar liberal order was grounded most powerfully on two architectures. First
was the trade regime that contributed to the liberalisation of global economies and
linked the world community together in expanding and deepening networks of
interdependence.
Second dominant component of the order has been in the security realm. The
functions of this security order were not merely to obstruct large-scale aggression but
also to shape the use of force— limiting it, so as not to trigger unnecessary con ict,
and enabling it to prevent unchecked aggression or abuse. In so doing, the security
order should incentives regional and middle powers to follow the “rules of the game,”
minimizing the use of force as a tool for managing inter-state relations. An effective
order also should be able to punish violations of that central rule (Jones and Wright,
2014). This order was considered liberal for more reasons than its promotion of open
trading regimes. The postwar order came to embrace goals of democratization and
the protection of human rights, which have become deeply embedded in the U.S. and
global vision for order.
Ikenberry, Stewart Patrick, and others have described, this order was not global at
rst. It was initially built within the global democratic community in competition
with the Soviet bloc; the order, in that sense, was a strategy for competitive
advantage, and it served that role exceptionally well. In contrast, the United States
has been more willing to integrate nondemocratic powers into the economic order.
For example, at the end of the Cold War, the United States envisioned slowly
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integrating the Soviets into the Western order, beginning with such steps as sup-
porting observer status in the GATT for the members of the Soviet Union (White
House, 1990, p. 9). Later, the United States advocated for expanding the G-7 to the
G-8 to include Russia and soften the blow of NATO expansion (Goldgeier and
McFaul, 2003, p. 183). Today, most countries, including most global powers, are part
of the core. More broadly, the United States has used its power to create much of the
postwar order, write the rules in ways that serve its interests, and enforce those rules.
Challenges to existing orde
1. Some leading states that see many components of the order as designed to
constrain their power and perpetuate U.S. hegemon
2. Volatility from failed states or economic crise
3. Shifting domestic politics in an era of slow growth and growing inequality
Pandemic and Political Order
Major crises have major consequences, usually unforeseen. The Great Depression
spurred isolationism, nationalism, fascism, and World War II—but also led to the
New Deal, the rise of the United States as a global superpower, and eventually
decolonization.
The 9/11 attacks produced two failed American interventions, the rise of Iran, and
new forms of Islamic radicalism. The 2008 nancial crisis generated a surge in anti-
establishment populism that replaced leaders across the globe.
Different regimes and Different response
• Some countries have done better than others in dealing with the crisis so far. Some
democracies have performed well, but others have not, and the same is true for
autocracies.
• The factors responsible for successful pandemic responses have been state capacity,
social trust, and leadership. Countries with all three—a competent state apparatus, a
government that citizens trust and listen to, and effective leaders—have performed
impressively, limiting the damage they have suffered.
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• Countries with dysfunctional states, polarized societies, or poor leadership have

done badly, leaving their citizens and economies exposed and vulnerable
Economic and political consequences: Erosion of the liberal international orde
• Economically, a protracted crisis will mean more business failures and devastation
for industries such as shopping malls, retail chains, and travel. Levels of market
concentration in the U.S. economy had been rising steadily for decades, and the
pandemic will push the trend still further.
• Only large companies with deep pockets will be able to ride out the storm, with the
technology giants gaining most of all, as digital interactions become ever more
important
• The political consequences could be even more signi cant. Populations can be
summoned to heroic acts of collective self-sacri ce for a while, but not forever.
• A lingering epidemic combined with deep job losses, a prolonged recession, and an
unprecedented debt burden will inevitably create tensions that turn into a political
backlash—but against whom is as yet unclear
• Poor countries with crowded cities and weak public health systems will be hit hard.
Not just social distancing but even simple hygiene such as hand washing is
extremely dif cult in countries where many citizens have no regular access to clean
water
• The global distribution of power will continue to shift eastward, since East Asia has
done better at managing the situation than Europe or the United States. Even
though the pandemic originated in China and Beijing initially covered it up and
allowed it to spread, China will bene t from the crisis, at least in relative terms
• The United States has bungled its response badly and seen its prestige slip
enormously. The country has vast potential state capacity and had built an
impressive track record over previous epidemiological crises, but its current highly
polarized society and incompetent leader blocked the state from functioning
effectively
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• Over the years to come, the pandemic could lead to the United States’ relative
decline, the continued erosion of the liberal international order, and a resurgence of
fascism around the globe
• However, it could also lead to a rebirth of liberal democracy, a system that has
confounded skeptics many times, showing remarkable powers of resilience and
renewal
• Elements of both visions will emerge, in different places. Unfortunately, unless

current trends change dramatically, the general forecast is gloomy
Attacks on the liberal world order: Rise of Fascis
• Nationalism, isolationism, xenophobia, and attacks on the liberal world order have
been increasing for years, and that trend will only be accelerated by the pandemic
• Governments in Hungary and the Philippines have used the crisis to give
themselves emergency powers, moving them still further away from democracy
• Barriers to the movement of people have appeared everywhere, including within

the heart of Europe; rather than cooperate constructively for their common bene t,
countries have turned inward, bickered with one another, and made their rivals
political scapegoats for their own failures
• The rise of nationalism will increase the possibility of international con ict.
Leaders may see ghts with foreigners as useful domestic political distractions, or
they may be tempted by the weakness or preoccupation of their opponents and take
advantage of the pandemic to destabilize favourite targets or create new facts on the
ground
• In dealing with the citizens, governments have often made matters worse rather
than better—whether by design, by inciting communal tensions and undermining
social cohesion, or by simple incompetence
• India, for example, increased its vulnerability by declaring a sudden nationwide

shutdown without thinking through the consequences for the tens of millions of
migrant laborers who crowd into every large city
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• Displacement caused by climate change was already a slow-moving crisis brewing

in the global South. The pandemic will compound its effects, bringing large
populations in developing countries ever closer to the edge of subsistence
• Popular outrage will grow, and dashing citizens’ rising expectations is ultimately a
classic recipe for revolution. The desperate will seek to migrate, demagogic leaders
will exploit the situation to seize power, corrupt politicians will take the
opportunity to steal what they can, and many governments will clamp down or
collapse
• A new wave of attempted migration from the global South to the North, meanwhile,
would be met with even less sympathy and more resistance this time around, since
migrants could be accused more credibly now of bringing disease and chaos
• Past pandemics have fostered apocalyptic visions, cults, and new religions growing
up around the extreme anxieties caused by prolonged hardship
• Fascism, in fact, could be seen as one such cult, emerging from the violence and
dislocation engendered by World War I and its aftermath. Conspiracy theories used
to ourish in places such as the Middle East, where ordinary people were
disempowered and felt they lacked agency
Will the democracies become more resilient
• Just as the Great Depression not only produced fascism but also reinvigorated
liberal democracy, so the pandemic may produce some positive political outcomes,
too. It has often taken just such a huge external shock to break sclerotic political
systems out of their stasis and create the conditions for long-overdue structural
reform, and that pattern is likely to play out again, at least in some places
• The practical realities of handling the pandemic favour professionalism and

expertise; demagoguery and incompetence are readily exposed. This should
ultimately create a bene cial selection effect, rewarding politicians and
governments that do well and penalizing those that do poorly
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• Brazil’s Jair Bolsonaro, who has steadily hollowed out his country’s democratic
institutions in recent years, tried to bluff his way through the crisis and is now
oundering and presiding over a health disaster
• The pandemic has shone a bright light on existing institutions everywhere,

revealing their inadequacies and weaknesses. The gap between the rich and the
poor, both people and countries, has been deepened by the crisis and will increase
further during a prolonged economic stagnation
• The crisis has also revealed government’s ability to provide solutions, drawing on
collective resources in the process. A lingering sense of “alone together” could
boost social solidarity and drive the development of more generous social
protections down the road, just as the common national sufferings of World War I
and the Depression stimulated the growth of welfare states in the 1920s and 1930s
• The crisis may ultimately spur renewed international cooperation. While national
leaders play the blame game, scientists and public health of cials around the world
are deepening their networks and connections
Can China ll the vacuum created by USA to position itself as the

global leader in pandemic response?
Mistakes and opportunitie
• China is working to tout its own system, provide material assistance to other
countries, and even organize other governments
• After all, it was Beijing’s own missteps—especially its efforts at rst to cover up
the severity and spread of the outbreak—that helped create the very crisis now
af icting much of the world. Yet Beijing understands that if it is seen as leading,
and Washington is seen as unable or unwilling to do so, this perception could
fundamentally alter the United States’ position in global politics and the contest for
leadership in the twenty- rst century
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• Even when the full scale of the crisis emerged, China tightly controlled
information, shunned assistance from the CDC, limited World Health Organization
travel to Wuhan. It likely led to undercounted infections and deaths
• As the crisis worsened more, some observers speculated that the coronavirus might
even undermine the leadership of the Chinese Communist Party. It was called
China’s “Chernobyl”
• Yet by early March, China was claiming victory. Mass quarantines, a halt to travel,
and a complete shutdown of most daily life nationwide were credited with having
stemmed the tide
• China is working to turn these early signs of success into a larger narrative to
broadcast to the rest of the world—one that makes China the essential player in a
coming global recovery while airbrushing away its earlier mismanagement of the
crisis
• A steady stream of propaganda articles, tweets, and public messaging, in a wide

variety of languages, touts China’s achievements and highlights the effectiveness of
its model of domestic governance. “China’s signature strength, ef ciency and speed
in this ght has been widely acclaimed,” (Foreign Ministry spokesman Zhao
Lijian)
• He added, set “a new standard for the global efforts against the epidemic”. These
messages are helped by the implicit contrast with efforts to battle the virus in the
West, particularly in the United States—Washington’s failure to produce adequate
numbers of testing kits, which means the United States has tested relatively few
people per capita
• China has seized the narrative opportunity provided by American disarray, its state
media and diplomats regularly reminding a global audience of the superiority of
Chinese efforts and criticizing the “irresponsibility and incompetence” of the “so-
called political elite in Washington,” as the state-run Xinhua news agency put it in
an editorial
• Chinese president understands that providing global goods can burnish a rising
power’s leadership credentials. He has spent the last several years pushing China’s
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foreign policy apparatus to think harder about leading reforms to “global

governance,” and the coronavirus offers an opportunity to put that theory into
action. For example: When no European state answered Italy’s urgent appeal for
medical equipment and protective gear, China publicly committed to sending 1,000
ventilators, two million masks, 100,000 respirators, 20,000 protective suits, and
50,000 test kits
• Beijing’s edge in material assistance is enhanced by the simple fact that much of
what the world depends on to ght the coronavirus is made in China
• The United States, by contrast, lacks the supply and capacity to meet many of its
own demands, let alone to provide aid in crisis zones elsewhere. The U.S. Strategic
National Stockpile, the nation’s reserve of critical medical supplies, is believed to
have only one percent of the masks and respirators and perhaps ten percent of the
ventilators needed to deal with the pandemic
Material goods is not the only response in crisis
• Crisis response, however, is not only about material goods. During the 2014–15
Ebola crisis, the United States assembled and led a coalition of dozens of countries
to counter the spread of the disease. The Trump administration has so far shunned a
similar leadership effort to respond to the coronavirus. Even coordination with
allies has been lacking
• China, by contrast, has undertaken a robust diplomatic campaign to convene dozens

of countries and hundreds of of cials, generally by videoconference, to share
information about the pandemic and lessons from China’s own experience battling
the disease
• They include calls with central and eastern European states through the “17 + 1”
mechanism, with the Shanghai Cooperation Organization’s secretariat, with ten
Paci c Island states, and with other groupings across Africa, Europe, and Asia
• China’s chief asset in its pursuit of global leadership—in the face of the
coronavirus and more broadly—is the perceived inadequacy and inward focus of
U.S. policy
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• In the current crisis, USA can still turn the tide if it proves capable of doing what is
expected of a leader: managing the problem at home, supplying global public
goods, and coordinating a global response
• USA’s continuing global edge in the life sciences and biotechnology can be
instrumental in nding a real solution to the crisis: a vaccine. The U.S. government
can help by providing incentives to U.S. labs and companies to undertake a medical
“Manhattan Project” to devise, rapidly test in clinical trials, and mass-produce a
vaccine
• It is worth noting that despite Washington’s mismanagement, state and local

governments, non-pro t and religious organizations, universities, and companies
are not waiting for the federal government to get its act together before taking
action
• USA cannot simply ignore the need for a coordinated global response. Only strong
leadership can solve global coordination problems related to travel restrictions,
information sharing, and the ow of critical goods. The United States has
successfully provided such leadership for decades, and it must do so again
Effective cooperation with China is require
• Leadership will also require effectively cooperating with China, rather than getting
consumed by a war of narratives about who responded better. Little is gained by
repeatedly emphasizing the origins of the coronavirus which are already widely
known despite China’s propaganda
• Most countries coping with the challenge would rather see a public message that
stresses the seriousness of a shared global challenge and possible paths forward
(including successful examples of coronavirus response in democratic societies
such as Taiwan and South Korea).
• There is much Washington and Beijing could do together for the world’s bene t:
coordinating vaccine research and clinical trials as well as scal stimulus
• Ultimately, the coronavirus might even serve as a wake-up call, spurring progress
on other global challenges requiring U.S.-Chinese cooperation, such as climate
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change. In the current crisis, as in geopolitics today more generally, the United
States can do well by doing good
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SYSTEMS APPROACH
 The origin of Systems approach can be attributed to the field of biology, cybernetics and operations
research, anthropology, economics and sociology.
 Ludwig Von Burtalanffy and others founded the society for General Systems Research and also a journal
on Behavioural Science.
 After the second world war that a good number of writers in various disciplines began to write about the
need for the unification of science. In 1952 a group, holding a meeting in university of Chicago, which
reflected multi-disciplinary concerns and consisted of scholars from history, political science, economics
, sociology, psychology, social psychology, anthropology, mathematical biology and medicine, started
discussion with a view to finding out how the study of political science could be made scientific.
 The most prominent among these are a number of systemic approaches which stem from
the general system theory. The system theory had its origin in the natural sciences but generally
speaking, the theory originated in movements aimed at the unification of science and scientific analysis.
 The proponents of the theory sought to find unifying elements which would offer a broader perspective
for creative analysis. In the period after the Second World War, this crystallized around the concept of
systems, which Von Betrallanfy, the German biologist, defined as a set of “elements standing in
interaction”.
 This concept is based on the idea that objects or elements within a group are in some way related to one
another and in turn, interact with one another on the basis of certain identifiable processes. The term
“system” is useful for organizing ones knowledge about many social objects and the use of the system
approach to politics allows one to see the subjects in such a way that “each part of the political canvas
does not stand alone but is related to each other parts”, or that “operation of the one parts cannot be
fully understood without references to the others.
 Political and social thinkers have often proclaimed a certain conception of system to explain the
phenomena of politics. Marx classified societies into systems on the basis mode of production as feudal,
bourgeois and proletarian; Weber divided societies into systems of authority: traditional, Charismatic
and rational- legal.
 Unlike Marx, who thought that system change was dialectical, Weber believed that it was evolutionary.
Classical writers viewed monarchies, aristocracies and democracies as political systems.
 Almond classified political systems into primitive, traditional, transitional and modem.
 Coleman spoke of competitive, semi-competitive and authoritarian systems and later divided them into
dictatorial, oligarchical and representational systems.
 Eisenstadt suggested a long list of primitive, patrimonial, feudal, bureaucratic, democratic, autocratic,
totalitarian and underdeveloped systems.
 Edward Shills classifies systems into political democracies, titular democracies, modernising oligarchies,
totalitarian oligarchies and traditional oligarchies.
 Classifications of systems reveal a variety of interpretations. The emergence of many new nations, the
amassing of new data and technological advances has increased the complexity of this subject. Many
social scientists now use system as the basic concept of their political analysis. Different systems, such
as political, economic, social, and cultural-psychological. The analyst abstracts from the whole society
some elements which are more coherent and call them a system.
 Conceptually measurable amounts are called variables, constant elements are termed parameters. The
variables of a political system may consist of structures, functions, roles, actors’ values, norms, goals,
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inputs, outputs, response and feedback. These terms will be explained below as we analyze the concept
of political system.
DAVID EASTON’S INPUT OUTPUT MODEL
Use of the systems approach to politics allows one to see his subject in such a way that each part of the
political canvass does not stand alone but is related to each other part, or that the operation of no one part
can be fully understand without reference to the way in which the whole itself operates.
What the systems theory presumes include:
 The existence of a whole on its merits.
 The whole consisting of parts.
 Each whole influencing the other and in turn being influenced itself.
 The parts of the whole are not only interrelated but they interact with one another and in the process
creating a self-evolving network.
 The parts relate themselves into a patternal relationship, while the whole exist and keep on existing.
Political Systems or the Input-Output Approach is one derivative of the systems analysis. David Easton has
been one of the early scientists to have introduced the systems approach to political analysis. He selects the
political systems as the basic unit of analysis and concentrates on the infra-system behavior of various
systems. He defines political system as “those interactions through which values are authoritatively
allocated and implemented for a society” (A Framework of Political Analysis).
A preview of some of the characteristic features of Easton‟s Political System is as follows:

 The political system implies a set of interaction through which values are authoritatively allocated. This
means the decisions of those, who are in power are binding.
 Political system is a system of regularized persistent pattern of relationship among the people and
institutions within it.
 Political system like any other natural system, has in it a self regulating system which enables it to change,
correct and adjust its processes and structures.
 Political system is dynamic in a sense that it can maintain itself through the feedback mechanism. The
feedback mechanism helps the system to persist, though everything associated with it may change
radically.
 Inputs further classified as demands and supports put the political system at work while outputs through
policies and decisions throw back what is not accepted as feedback.
For Easton his political system is organic consisting of various functional parts; i.e. system, input, output,
demand, support and feedback. Easton saw his political system in a state of constant flux but still
persisting its existence, even under the pressure of constant crisis.
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System approach developed by David Easton
 The first part of his political system was the input concept, which refers everything in the environment
of a political system that is relevant to political stress. Input summarizes all of the activities and events
that either contribute to the persistence of modes of allocating values for a society or threaten the
persistence of such processes. Inputs may be further classified into Demands and Supports.
 Demands are claims to societal values and status and are the components of political processes that
provide the process with its justification. If individuals and groups did not seek to have the society fulfill
their demands, there would be no need for a system that authoritatively allocated values for that society.
 However demands also constituted a source of stress for the system. If demands cannot be fulfilled then
the support for the system could decline. Thus for the system to persist, it must fulfill the demands made,
but it may not be able to process all the demands at all times because there may be too many of them
for the system to process or the demands may be incompatible with other demands that are being
processed.
 Now if the system is to persist then it has to develop Cultural Norms which place limits on the content
and amount of the demands being made so that the system is able to process it with normality. Thus the
first reason political system persists through change is because cultural norms limit stress by controlling
the flow of demand.
 Support: was the second type of input. Supports indicate trust, confidence and affection towards the
political system. Support is directed to what Easton calls “the basic political objectives”. Support may be
of two types:
 1) Specific Support, which is given in return for the fulfillment of demand. It resembles the nature of the
barter system.
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 2) Diffused support for the system is expressed as a belief in the legitimacy to the personnel and rules.
It is quite similar with the expression of patriotism.The second reason why political system persist
through change is because of the diffused support the system holds.
 Now the other half of the analysis of the political system starts with the Output process. Outputs are
authoritative allocations of values or decisions of the authorities about the goals to which the human
and material resources of the society will be committed. In general they are responses to demands and
represent efforts to meet or suppress them.
 When the specific demands of the masses have been met or effectively suppressed or when people
themselves belief that their demands are unattainable, specific support for the political system is
generated which in turn allows the state to persist.
 Putting his analysis a little further, Easton states that, to perform their functions effectively the
authorities must gain information about the state and about the consequences of their outputs. Thus
the system must have a Feedback to supply this information. This feedback provides the means
through which the political system is enabled to cope with stress.
 Underlying the cultural norms that control the flow of demands, the diffused support for the political
objectives and the actual fulfillment of demands is the flow of from the political masses to the authorities
and vice-versa. Authorities can communicate to people through arresting them and the people through
rioting. With all these concept in Easton attains the high level of analysis of the political system.
 The input-output analysis is indeed an excellent technique for political analysis since it is focused on the
„overview‟ of entire political system. Orang Young has described this analysis as “undoubtedly the most
inclusive systematic approach so far constructed specifically for political analysis by a political scientist.
Limitations and Challenges
 However Easton‟s political system approach has been severely criticized. Prof: S P Verma regards it
as an abstraction whose relation to empirical politics is impossible to establish. However, the analysis
suffers from some weaknesses. First, its basic presupposition that questions concerning systematic
persistence are the most important and inclusive subjects for political analysis may not be always
tenable. Second, such a focus may be fruitful, but does not invariably result I a general theory of
politics. Finally, it is predominantly limited in terms of the interactions among the different political
systems.
 Conceptual Inadequacy : In his work there is an excessive pre-occupation with persistence and
stability in the face if changes and conflict in actual political life. There is too much attention paid to
the central orienting conception of the allocation of values.
 William Mitchell criticized Easton’s concept of politics as the allocation of values, as leading to
misleading assumptions in theorizing politics. It may mean that the political system has a single
function of allocation only. Moreover, the polity does not allocate all values of a society. The economy
distributes income and resource.
 Easton’s pre-occupation with boundary was also criticized. It was pointed out that political system
cannot be isolated from economic, social and cultural-psychological systems. Evans concluded that
Easton failed to define the ‘political’ and distinguish it from the ‘non-political’ , making his notion of
the boundary vague.
 The above problems arose due to the Easton’s avoidance of the human element. Easton. Almond and
Parsons belonged to the school which ignored both individuals and aggregation of people as active
participants in politics.
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 The method itself is difficult to operate. It has not yielded any testable hypothesis. Thorson argues
that Easton has created a general theory of politics and it is difficult to apply this for the study of any
concrete , actually existing political system.
 Easton’s approach has certain ideological orientations. It seems to justify the status quo. It is
essentially a static system of analysis. A conservative bias is an inbuilt feature of functionalism from
which the system. The main object of the systems approach, like other behavioral paradigms, is to
validate the assumptions of the dominant ideology of a liberal capitalist society.
 Eugene Miller says that in the name of a scientific and casual theory, he presented a status oriented
general theory of political system. Easton refused to take cognizance of political conflict, catastrophic
change, class antagonism and resolution. He himself admits “ There can be little doubt that political
science as an enterprise has failed to anticipate the crises that are upon us”.
STRUCTURAL FUNCTIONAL APPROACH
 Structural Functional approach is a form of systemic analysis which looks at political system as a coherent
whole which influences and is in influenced by their environments. A political system is held together by
the presence of legitimate force throughout the system. It has three characteristics: comprehensiveness,
independence and existence of boundaries.
 The interactions that take place within a system are not between individuals but between the roles which
these individuals adopt. Lastly, the political system is an open system and is involved in communications
with systems, beyond its boundaries.
 Gabriel Almond's conceptual framework evolved through three phases. He wrote an article in 1956 in
which he said that system is an "inclusive concept which covers all of the patterned actions relevant to
the making decisions." For him, system was more important than process because system implied
totality, interactions among units within the totality and stability in these interactions, which he
described as "changing equilibrium".
 In 1958 and 1959, Almond and his colleagues at Princeton University focused on the politics of
developing countries. They applied their concepts of structures and functions to
changes taking place in these developing countries avoiding the examination constitutions and formal
government institutions. Later Almond and Coleman edited and published a book entitled Politics of
Areas on this subject.
 Almond and his collaborators introduced new concepts of comparative politics. The concept of political
system replaced the state and its legal apparatus. Structure replaced institution; role took the place of
substituted for power. Almond suggested that all political systems have four characteristics: Almond and
his collaborators introduced new concepts of comparative politics. The concept of political system
replaced the state and its legal apparatus. Structure replaced institution; role took the place of
substituted for power.
Almond suggested that all political systems have four characteristics:

 All political systems have structures.
 The same political functions are performed in all political systems.
 All political structures are multifunctional.
 All political systems-are mixed in the cultural sense.
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Model of structural functional analysis
Almond then outlined his own functional categories classifying them into inputs and outputs:
Input functions:
 Political socialization and recruitment : The function of political socialisation and recruitment are
performed usually by the political structure, political parties. The child is socialized by the political
parties, educational institution, family, organizations, etc. And they are recruited directly to the political
parties by its senior members. These two are the primary input functions performed by the structures.
 Interest articulation : Interest articulation means the identification and coordination of different
interests of the people by interest groups or pressure groups. Based on these interests later the
demands are prepared by them for its implementation. Caste, educational, business, farmers, laborer’s
interest groups perform their role in society to bring out their interests.
 Interest aggregation : After interest articulation, the necessary demands from the groups were
communicated to the political parties for its aggregation. This process is called as lobbying. The political
parties then accept or reject the various demands and formulate it in the form of a proposal for law.
 Political communication : The final input function is political communication. In this function the
aggregated demands or interests are communicated to the political system by the political parties for its
acceptance. Usually the people’s representatives in the legislature, who are the members of different
political parties, perform these functions. The political parties have the responsibility to inform the public
about respective legislative proposals and they work as the channel of communication. After political
communication, the output structures start to carry out their functions.
Output Functions
 Rule making : Rule making is the primary output functions performed by the political structure,
legislature. After the political communication the political system receives necessary demands from the
environment or society, and starts the conversion process, i.e., the transformation of different demands
into formal rules and regulations.
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 Rule application : The function of implementation of the rules is done by the executive wing of the
government or political system, the other political structure. Through its various Ministries and
departments the executive enforce the laws prepared from the legislature.
 Rule adjudication : Rule adjudication is the final output function performed by the judiciary. The laws
once implemented by the executive went to the hands of judiciary for interpretation. Judiciary interprets
and judges in all cases reached before it.
The outputs are functions and correspond to the traditional legislative, executive and judicial functions.
They show a bias towards American and European conceptions of government showing traditional
orientation of comparative politics. Almond, however, argued that input functions are crucial in
characterizing the political systems of developing countries.
 These input functions constitute the ingredients of the system: who recognises, deliberates and resolves
problems and issues. Spiro called this a process of flow and interpreted it as consisting of demands and
supports for action.
 Almond says that political socialisation takes place through the family, school, church, trade union, party
and even government agencies. It also involves recruitment of people from different social groups into
political parties, civil service etc.
 Interest articulation is the expression of political interests and demands for action. Interest
aggregation is the combining of those interests and demands which are articulated by interest groups
and political parties. Political communication helps all these political functions. Political socialisation,
recruitment, articulation and aggregation occur through communication.
 Gabriel Almond says that political culture is dualistic, not monistic. Political systems may
be represented as modern and traditional, developed and underdeveloped, industrial and agrarian.
 Political systems have evolved through stages of development. Structures become more differentiated
as systems reach higher stages of growth. Almond divided them into primitive, traditional, transitional
and modem systems.
 Less developed systems display 'traditional' styles of diffuseness, particularism, and ascriptiveness. The
more developed systems display 'rational' styles of specificity, universalism, achievement and affective
neutrality. Yet this process of modernisation is never complete.
Limitations and Challenges

Almond's structural functionalism has been criticized on three grounds:(1)Conservative Ideology;
(2)Conceptual Confusion; and(3) Operational Limitations.
1. Conservative Ideology
 Critics have found that structural functionalism is based on a deterministic, conservative and restrictive
ideology. Don Martindale pointed out four defects of functionalism :the conservative ideological bias
and preference for status quo; a lack of methodological clarity; an overemphasis on the role of closed
systems in' social life, and failure to deal with social change.
 C. Wright Mills criticized the conservative bias in the writings of the advocates of functionalism, which
was a grand theory that neither related to facts nor reached a level of theory.
 Barrington Moore, Alf Dahrendorf and Andrew Hacker also criticized its conservative bias. Spiro
considered Almond's work as ethnocentric and Lijphart considered its emphasis on stability as reflecting
Anglo-American liberal, capitalist norms. Sanford made a similar charge against Almond.
 Other critics accuse functionalists of "a liberal bias "who believe that any interference
with freedom of the market-place leads to inefficiency and limits on the system's natural benefits.
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 Charles Powell saw in Almond's methodology a reflection of "American cultural mythology".

 He concluded that Almond's structural functionalism is "establishmentarian, non-operational, formally
inadequate. As a vehicle for research it goes nowhere, and as a language of discourse it leads to
confusion, the pluralistic neutralism of structural-functionalism renders it useless as a theory."
2. Conceptual Confusion
 J.C.Jurcie argued that "functionalism is limited by its lack of explanatory power, its satisfactoriness in
explanation and the constricting effect of its assumptions, about the nature and working of social
systems."
 Groth's criticism of Almond's theory had three points against it: ambiguity in terminology, difficulties in
determining political relationships, and confusion in the use of facts and values.
 Malamson and Kind also criticized his obsession with empirical detail detached from theory and
obscurity of his languages.
 Mackenzie thought structural functionalism as a mere jargon which mystified truth. He said, "Almond's
terms are in one sense no better than the old terms because they offer no better definitions."
 S.E. Finer said about the vocabulary of Almond's political system: "What Almond has to say could have
been said without using this system approach and it would have been said more clearly."Finer hated
the use of "modish" concepts. He thought that Almond's conception of "political" was misconceived and
that his notion of system, with its inputs and outputs was "otiose and confusing".
 Hempel argued that functionalism is illogical, Sherman Roy Krupp thought that it has tendency to
exaggerate the cohesiveness of systems and to obscure goals resulting in vague description and lack of
analysis.
3.Operational Limitations
 Structural functionalism has a methodology where ideal situations are often confused with the observed
situations of systems.
 Terry N. Clark complained about the structural functional overemphasis of institutionalized political
behaviour. Other critics said that "structural functionalists have not taken the enormously step of
refining, operationalising and testing hypotheses."They attributed these failings to the limitations of
the writers, early stage in the evolution of the theory and the deficiencies of functionalism itself.
 According to Holt and Turner, Almond viewed the modern system are structurally differentiated and
secular but they found limitations with this formulation. They said “it is difficult to apply on a broad
basis to include both historical and contemporary cases. The formulation also tends in effect to equate
the modem political system with modem Anglo American democratic system. its definitions employ
too many dimensions, and it neglects the problem of variation in the societal functions of
govemment."
 According to Almond; there was no modem system in the Soviet Union. Its structure lacked
differentiation and autonomy. Thus it was, in Almond's view, traditional. Holt and Turner refuted this
description by referring to the variety of interests that were expressed, particularly during the post –
Stalin period. Almond's categories become too rigid and specific cases do not relate to his conceptual
scheme. Other critics, however, suggest that functional theory, if handled with care, could produce
empirically testable hypotheses and prove useful in research.
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FOREIGN POLICY DECISION MAKING IN INDIA: ACTORS, INSTITUTIONS

AND PROCEDURES
Introduction
The emergence of globalization and the cosmopolitanization of state craft have redefined the concept
and scope of Foreign Policy. In the borderless global village when the gap between internal and
external affairs is gradually narrowing down, the matter of external relation no longer remains the
isolated business of foreign office only. Though the Ministry of External Affairs is the pivotal player in
India‘s external relation, other important agencies such as the Cabinet, Ministry of Defence, Ministry
of Commerce and Industry, National Security Council, Prime Minister‘s Office and Parliament also are
contributing significantly for the planning and formulation of India‘s Foreign Policy. Apart from these
core agencies various other peripheral agencies also are involved in Foreign Policy decision making
process, which is a highly complex and multi-stage process.
ACTORS AND INSTITUTIONS OF FOREIGN POLICY DECISION MAKING

IN INDIA
Decision making in Foreign Policy, being the most complex process, need multiple specialized
agencies, individuals and institutions to deal with range of issues of different subjects. Though the
Ministry of External Affairs is primarily responsible to deal with the matters related to foreign affairs,
agencies like, the Cabinet, the Prime Minister‘s Office, Ministry of Defence, the National Security
Council, the Strategic Policy Group and the Parliament play important role in the formulation of India‘s
external policy. They analyse the foreign policy issues and take decisions to address these issues. In
this regard, this section gives a comprehensive account on the structure and functions and the role of
these agencies on India‘s Foreign Policy decision making process.
MINISTRY OF EXTERNAL AFFAIRS

Ministry of External Affairs (MEA) is the primary institution of Foreign Policy Decision Making in India.
The ministry issues passports, gives consular services to Indian citizens visiting abroad and ensures
their safety and security. It is also responsible for the issuance of visas to foreign tourists visiting India.
Above all, the ministry plays a larger role in the planning and formulation of Indian’s foreign policy.
The ministry manages and coordinates the efforts of other stake holder of foreign policy decision
making and channelizes their efforts to materialise India’s foreign policy objects.
Structure and Organisation of MEA
Being one of the important portfolios, the Ministry of External Affairs is led by one of the senior and
experienced Cabinet Ministers along with one or two Ministers of State (MoS) or Deputy Ministers to
assist him. Presently, the Ministry is headed by a Cabinet Minister besides two Ministers of State. As
the supreme head of the ministry, Minister for External Affairs is authorized to conduct and coordinate
all the works of the ministry, whereas, the junior ministers are put in charge to look after some
administrative and divisional works. During Nehru period the Secretary General was the supreme
authority of the administrative activities and all major administrative and policy making activities
functioned under his command. At Present, including Foreign Secretary, the ministry consists of eight
secretaries namely, Secretary (East), Secretary (Special Assignment), Secretary (DPA & ER), Secretary
(West), Special Secretary (Americas & CPV). Below the Secretaries, there are five Additional
Secretaries namely, Additional Secretaries (IO), Additional Secretaries (AD), Additional Secretaries
(FA), Additional Secretaries, (Pr Chief Controller of Accounts), and Additional Secretaries (L&T).
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The ministry is also divided into several administrative divisions, which is broadly Classified into two
categories, (i) the Specialized and Support Divisions and (ii) the Territorial Divisions. Each of the
Division has been assigned to look after the issues related to their respective Jurisdiction and the
Foreign Secretary coordinates these divisions and oversees the functions of the ministry.
Besides the administrative divisions, the Ministry of external affairs also consists of several territorial
divisions led by specialized officers and these divisions are responsible to analyse and report the
significant political developments of these regions to the government. Moreover, these divisions also
coordinate and oversee India‘s external relation with its respective regions.
The MEA is also supported by a large number of Foreign Missions and Posts extended across the globe.
The missions are led by Ambassadors and High Commissioners, who work under the control of
Ministry of External Affairs. These missions are generally situated at the capital of the respective
country and in most of the cases maintain several consulates at different parts of the country. The
Consulate General normally heads the consulate supported by a large number of supporting staff.
Functions of MEA
With the emergence of India as one of the aspiring global power and transformation of Indian
economy, the role and function of MEA has been multiplied gradually. Like any other foreign office,
the prime function of MEA is to plan, formulate and manage India’s external relations with other
nations as well as protect and promote India’s national interest at the global stage. Besides, the
ministry is also responsible to setup and manage India’s foreign missions and diplomatic institutions
and extend consular activities to Indian and foreign nationals.
The detail functions of the MEA have been stated below:
Planning and Formulation of Foreign Policy: After the military disaster of 1962 war, the East Asia
Research and Coordination Division was created in 1963 to conduct research and planning on
China, which was later institutionalised as the Current Research Division in 1965. Since then, the
Policy Planning and Research Division is engaged in planning and formulation of India’s foreign
and strategic policy. Through the division, the MEA awards research projects to the academia,
think-tanks, research organisations, and foreign policy institutes of India and assists them
financially to organise seminars, conferences and studies to deliberate on various facets of India's
external relations. (Bandyopadhyaya, The Making of India's Foreign Policy). The MEA prepares a
Monthly Summary of important developments and global events for the Cabinet and senior
officials of Government of India, on which the government prepares its future policy.
Managing India’s External Relations: The prime and foremost duty of MEA is to manage India‘s
External Relations with foreign States and international entity, such as United Nations, regional
and international institutions and transnational actors. It selects and sends Indian representatives
to these international entities to conduct India’s external policy with the respective institutions
and to report the political developments of the region.
Diplomatic and Consular Activities: The ministry is responsible to setup and manage India’s
foreign missions, posts and consulates abroad and appoints India’s representatives to run these
missions. Using these diplomatic channels, it reaches out to foreign states and conveys India’s
positions and concerns on significant international events. Through these missions, it provides
necessary information and guidance to Indian and foreign nationals. Likewise, all matters related
to the power, privileges and functioning of Indian and foreign representatives, diplomats and U.N.
Officials also come under the supervision of MEA.
Matters related to VISA, Immigration and Pilgrims: Besides managing India’s external relations,
MEA is also responsible for the issuance and cancelation of Passports to the Indian nationals and
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granting visas and travel documents to the foreign visitors. Similarly, under Reciprocity Act, 1943
(9 of 1943), the ministry also handles the issues related to Immigration to India from the Republic
of South Africa or any other countries. The Ministry has the authority to grant or reject the travel
permission to foreigners for Himalayan expeditions and travel to Protected Areas other than
those with which the Ministry of Home Affairs is concerned. The MEA facilitates travel
arrangements for traders and pilgrims from India to holly places outside India such as, Tibet and
Pakistan and vice versa. Furthermore, the Protection and restoration of non-Muslim shrines in
Pakistan and Muslim shrines in India under Pant-Mirza Agreement of 1955, evacuation of non-
Muslim from Pakistan and protection of rights of the minority communities in India and Pakistan
also come under the preview of Ministry of External Affairs.
Management of India’s Foreign Assistance Programme: Economic aid and foreign developmental
assistance has been the important tool of foreign policy. Despite being a developing country, India
has been running a foreign aid programme since 1960s and its aid budget has been continuously
increasing since the economic reforms period that started in 1991. The MEA is responsible to
manage India’s Economic and technical assistance to foreign nations. Besides financial assistance,
the MEA also handles the Indian Technical and Economic Cooperation (ITEC) ‘Programme, which
was instituted to extend India’s technical and economic assistance to foreign countries on
September 15, 1964. In addition, grants of Scholarship to foreign students, excluding scholarship
to Non-Resident Indians (NRIs) and Political pensions paid to foreign refugees and descendants of
those who rendered services abroad also come under the functions of MEA.
Matters of Detention and Extradition: Being situated in the present epicentre of terrorism, India
is one of the uncommon victims of international crimes such as terrorism. To curb the menace of
transnational crime, the Ministry of External Affairs has been authorized to initiate the diplomatic
negotiations with other states for the Detention and Extradition of criminals and accused persons
from India to foreign and Commonwealth countries and vice versa. The ministry also deals with
the general administration of the Extradition Act, 1962 and handles matters related to preventive
detention in India for reasons of States connected with External and Commonwealth affairs.
Matter Related to Persons of Indian Origin and NRIs: The MEA is responsible for the protection
of Persons of Indian Origin (PIO)and Non-resident Indians (NRI) residing abroad and deals with
their concerns and grievances. The ministry is in charge for collection and dissemination of
information concerning admission of NRI/PIO students to various educational, technical and
cultural institutions in India wherever discretionary quota for NRI/PIO students exists, in
consultation with the Ministry of Human Resource Development and the Ministry of Culture and
awarding of Scholarship to NRI/PIO students for study in India under different schemes in
consultation with the Ministry of External Affairs.
Matter Related to United Nations: The coordination and implementation of all matter related to
United Nations, Specialized Agencies and other International Organisations is also one of the
primary responsibilities of Ministry of External Affairs. It sends the Indian representatives to the
UN and to the specialized agencies and presents India‘s voice at the international forum.
Matter Related to Sea and Land Borders: It is the responsibility of the ministry to administer the
matters related to Law of the Sea, including the Indian Territorial Waters, Contiguous Zone,
Continental Shelf and Exclusive Economic Zones (EEZ), questions of international law arising on
the high seas including fishery rights; piracies and crimes committed on the High Seas or in the air,
offences against the Law of Sovereign States committed on land or the High seas or in the air, legal
matters concerning the International Seabed Area and Authority etc.
Matter Related to Indian Foreign Services: Being the primary institution for conducting Foreign
Policy, the Ministry of External Affairs is also responsible to manage all matter related to Indian
Foreign Service (IFS) including Indian Foreign Service Board. It also deals with issues associated
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with the appointment and regulation of diplomats and other foreign officers working under the
ministry and the management of Foreign Service Training Institute (FPI).
External Publicity and Cultural Activities: External publicity has been one of the important elements
contemporary to international politics. It has been widely used by sates to project their positive image
to the world since world wars and cold war. Looking at the importance of the External Publicity, the
External Publicity (XP) Division was set up and subsequently attached to the MEA in the year 1948.
Since then, The Ministry continues to articulate the position of the Government of India on various
foreign policy issues in the international and domestic media, through press conferences, regular press
briefings, backgrounders, dissemination of statements, effective use of the MEA website and through
electronic communications. The ministry also setup the Public Diplomacy Division in 2006 to update
the policy decision of the Indian foreign policy on daily basis and to reach out to the scholars, thinks
tanks, and media through its outreach activities. Similarly, the Indian Council for Cultural Relations
(ICCR) was also set up in 1950 to promote India‘s cultural heritage abroad by organising a large number
of exhibitions, conferences, seminars, cultural events and lecture-demonstrations abroad.
THE CABINET AND CABINET COMMITTEES

Cabinet is the inner most circle of Council of Ministers (CoM) which often consists of the senior most
ministers of the government. Being the closest allies of the Prime Minister, the cabinet including Prime
Minister itself, takes decisions on subjects of national importance and approves the policy proposals.
The Prime Minister, being the executive head of the government generally calls the meeting of the
cabinet to discuss major issues and follow the policy accordingly.
Composition of the Cabinet
The cabinet is a premier section of the Council of Ministers, selected from both the houses of the
Parliament. Like other ministers, the President appoints the cabinet and distributes the portfolio as
per the advice of the Prime Minister. Most of the members of cabinet are selected form Lok Sabha,
though it has been seen that some significant members are also selected from Rajya Sabha.
The Cabinet Secretariat, headed by the Cabinet Secretary has been set up to look after the business
of the cabinet. The Cabinet Secretary is not the member of the Cabinet, rather a senior Civil Servant
of the government of India appointed to assist the cabinet in policy making and implementation.
Role of Cabinet in Foreign Policy Decision Making:
Cabinet, being the top most decision making body of the government, determines the course of
external relation of the country by giving necessary directions. The member of the cabinet is the most
trusted colleague of the Prime Minister and assists and advises him/her during the time of Foreign
Policy crisis. In the case of any such crisis, the Prime Minister calls the urgent meeting of the cabinet
where the issues are put for discussion and the members put their views and opinions. As the
representative of the department, the members present the concern and opinion of the ministry of
department on that matter before the cabinet. After the discussion the cabinet takes the appropriate
decision to resolve the issues. But during recent times, the formation and policy making of the cabinet
has become the product of political bargaining and negotiation. In the post Narshima Rao era,
coalition became the only source to form the government, hence compelled the Prime Minister to
form the coalition cabinet in order to satisfy the coalition partners. In case of any issue, the Prime
Minister has to negotiate with the partner members and sometimes has to go along with their views
to save the government. India‘s decision to vote in favour of UN Resolution against the Human Rights
violations by the Sri Lankan Army towards native Tamilians is one of the finest examples of such
cases.
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The role of the cabinet is very vital in Foreign Policy making and in resolving the Foreign Policy crisis.
It also takes other decisions to strengthen India‘s internal and external security in collaboration with
Ministry of Home Affairs and Ministry of Defence respectively. For a comprehensive Foreign Policy,
the cabinet also takes combined efforts by taking several ministries into confidence. For example, in
collaboration with MEA, Ministry of Commerce may work to enhance the trade and business, and HRD
ministry for education development.
Cabinet Committee
The cabinet committees are largely divided into two different categories, the Standing Committees
and the ad hoc Committees. The standing committees are those permanent committees that are
formed regularly and deal with certain subjects on regular basis. Though the structure of the
committees changes from time to time, the function of the committees remain almost permanent.
Role of the Cabinet Committees on Foreign Policy:
Though none of the cabinet committee deals with the subject of foreign affairs directly, it does not
mean that foreign affairs remain out of its preview. Moreover, Administrative Reform Commission
used recommendation to setup a cabinet Committee of Foreign Affairs, which was eventually played
down by the government. The Cabinet Committee Security or Economic Affairs, for instance, is meant
to look into the matter related to security and economic affairs, which is not far from the subject of
foreign affairs. The policy decision on national security and economic affairs is bound to affect the
conduct of India‘s foreign relation. Again, the weapon procurement or technology transfer which is
the subject of security committee is directly linked to the foreign affairs, where the diplomatic
negotiations are highly essential.
During the Chinese invention in 1962, an important committee namely, the Emergency Committee‘
was setup to deal with the matter on national emergency. The committee on World Trade
Organisation Matters also works to resolve issues related to India‘s concerns at WTO. The committee
constantly keeps eye on the recent development on the field of global trade and takes action
accordingly to promote India‘s foreign trade.
Cabinet Committee on Economic Affairs and committee on investment are responsible to improve
India‘s economic conditions and to attract the foreign investment into the nation, hence indirectly
related to the matter of foreign economic affairs.
But the cabinet committee is gradually losing its faith and often becomes the spot to settle the
unpleased party members who have been denied a place in the cabinet. The committees now have
become show pieces and hardly offer any meaningful inputs. Most of the cabinet committees were
not carried forward by the successive governments and were abolished intentionally, hence lost the
credibility and potentiality when they were reconstituted late.
THE PRIME MINISTER’S OFFICE

The Prime Minister plays a crucial role in the politico-administrative system of the country and
oversees the day-to-day functioning of the Union Government. The PMO provides the secretarial
assistance and crucial advice to the Prime Minister and works as the centre of the policy making in the
Indian democratic setup. It coordinates various central agencies, like, Cabinet, Cabinet Committees,
Council of Ministries and other such state holders to sort out all the interdepartmental hurdles in the
public and Foreign Policy execution.
During the time of Nehru, the Prime Minister‘s Secretariat (as PMO was called earlier) became the
centre of Foreign Policy Decision Making, as Nehru was handling both the MEA and PMO
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simultaneously. In addition, the leadership of Nehru was so influential, that the role of the cabinet
was minimal and mostly accepted Nehru‘s views on administration.
There is a belief that, Nehru had taken many decisions on Kashmir issue without consulting the
cabinet, not even discussing with his deputy Sardar Patel.
Roxane D.V. Sismanidis writes: Following the legacy, his successors equally enhanced the influence
of the PMO in decision making. Hence, by 1970s it became the ―de facto coordinator and
supraministry of the Indian government. (Foreign Relations (of India), in India: A Country Study,
edited by James Heitzman and Robert L. Worden)
Composition and Function
The Prime Minister‘s office consists of a group of senior bureaucrats and expertise to assist the Prime
Minister in various administrative and coordination activities. Presently, the PMO consists of officers
like Principal Secretary to PM, National Security Advisor, Additional Principal Secretary to PM, Public
Relation Officer, Information Officer, four Joint Secretaries to PM, Private Secretary to PM, two Private
Secretaries, four Officers on Special Duty (OSD), eleven Directors, Five Under Secretaries to deal with
subjects like Funds, Public Affairs, and Administration, and a Reference Officer.
Role of PMO in Foreign Policy Decision Making
The Prime Minister‘s Office is one of the most powerful institutions in Indian Foreign Policy decision
making mechanism. The PMO is responsible for the planning, formulation and execution of all internal
and external policies. The Prime Minister has been the central figure in foreign policy decision making.
Though the management of the external affairs remains under the exclusive jurisdiction of Ministry of
External Affairs, the decision of the Prime Minister remains the deciding factor on any policy
formulation. PMO is put in charge to approve the proposals for the appointment of Indian Heads of
Missions abroad which was primarily the subject of the MEA.
After the formation of the National Security Council (NSC) and with the appointment of the National
Security Advisor, who used to be the Principal Secretary to the Prime Minister, the role of the PMO
has increased into many folds. The National Security Advisor, as the Member of the PMO, provides
necessary advice to the Prime Minister in matters of foreign and security affairs. Hence the PMO plays
an important role in India‘s Foreign Policy decision making. However, the role of the PMO and the
degree of influence is very much contingent on his personality, leadership quality and the stability of
his position within the political system. In foreign policy, the Prime Minister becomes the central figure
when he shows personal interest in the international affairs and the decision-making constraint within
the PMO. In this regard, the country can witness the PMO centric foreign policy and the customized
version of Prime Minister‘s perception towards the international politics. However, when the prime
minister remains detached from the foreign affairs, the decision-making process became more
diffused and collective.
THE NATIONAL SECURITY COUNCIL (NSC)
National Security Council (NSC) is the apex advisory body to the Government of India which gives
advice to the Prime Minister and the government on the matters related to India‘s National security,
Foreign Policy and Defence. Although the Prime Minister and the cabinet take the final decision on
any importance matter of foreign and defence policy, in recent years, the NSC has emerged as a major
stake holder in the shaping of India‘s foreign and security policies. Headed by the National Security
Advisor (NSA), the NSC also assists the government to formulate other significant policies that directly
or indirectly affects India‘s national Interest, such as policies on economic and energy security.
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Members of NSC
At the top, the Prime Minister of India is appointed as the Chairman of the council whereas the
executive head is the National Security Advisor. Other members of the council are Minister of Defence,
Minister of External Affairs, Minister of Finance, Minister of Home Affairs, and Deputy Chairman of
the Planning Commission.
Structural Organisation of NSC
National Security Council, India‘s apex decision making body on national security and Foreign Policy is
a three tier organisation consisting of three different agencies. At the top Strategic Planning Group
(SPG), a bureaucratic decision-making body has been constituted to make long term strategic policy
of India. Below the SPG there is a multidisciplinary National Security Advisory Board (NSAB) to advise
the Prime Minister on national security. At the bottom the Joint Intelligence Committee (JIC) has been
created to be the secretariat of the NSC and to assist the government in formulation and
implementation of the national security policies.
FUNCTIONS OF THE STRATEGIC POLICY GROUP
The Group is headed by the Cabinet Secretary besides other seventeen bureaucrats such as
Secretaries of the important ministries like Home, Defence, Finance, Foreign, Defence Production,
Revenue, Atomic Energy & Space, head of the RAW and IB, Chiefs of Staff of the Indian Army, Navy
and Air Force, CBDT Chairman, Governor of the Reserve Bank of India (RBI), Scientific Advisor to the
Defence Minister and Chairman of the Joint Intelligence Committee (JIC).
Being the highest strategic decision making body within National Security Council, the Strategic Policy
Group is responsible to formulate India‘s long and short term strategic blue prints. It also coordinates
different ministries, departments and agencies with respect to national security matters. The group
constantly observes the national and international security environment and takes necessary steps to
dissolve the possible threats. While Joint Intelligence Committee (JIC) is responsible to handle the
short time threats, the SPG is normally focused to meet the long-term strategic concerns. The SPG
prepares India‘s strategic planning and its execution.
India‘s Nuclear doctrine, strategic analyst P.R. Cherry pointed out that, ―The strategic policy group
comprised serving officials; they were included on the bases of their appointments, not any special
expertise in strategic issues. These busy persons had neither time nor the inclination to delve into
intricate security issues, and were hardly likely to be concerned with the intricacies of a nuclear
doctrine.
THE NATIONAL SECURITY ADVISORY BOARD
The National Security Advisory Board (NSAB) is the second layer of the three tired National Security
Council. It has been constituted to give advice to the government for matters related to national
security and development. Most of the members are not associated with politics and chosen from
outside the government machinery. Hence the advisory body seems more specialized and
professional. It is headed by the Prime Minister and consists of persons with exceptional knowledge
on foreign and strategic policy, Defence and national security, economic development, science and
technology. The size and composition of the board remains unchanged and mostly depends on the
will of the government.
Functions of the NSAB
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NSC also approaches the Board to study some issues and give its suggestions to the government. While
the Joint Intelligence Committee is responsible to look after the short-term security challenges, the
NSAB is meant to analyze and advise on the long term threats. The board consists of twenty three
members presently from different backgrounds, hence it is very difficult to reach any conclusion when
it comes to decision making. Looking at this issue, the South Asian strategic experts Stephen Cohen
and Sunil Dasgupta write―Since the NSAB had only advisory standing, and some members were
working journalists, creating a serious conflict of interest, its work was regarded sceptical by many
observers.
JOINT INTELLIGENCE COMMITTEE
The combined Joint Intelligence Committee (JIC) which is the premiere intelligence system which
combines Intelligence Bureau, Research and Analysis Wing and the Directorates of Military, Naval and
Air Intelligence is set up to give necessary intelligence inputs to the government during the time of
Foreign Policy formation and implementation. Each of the agencies acts individually and collects
relevant information for India.
Functions of JIC
Collection and Assessment of Intelligence Data: The main responsibility of the Joint Intelligence
Committee is to compile and analyze the intelligence data from different sources. It is neither engaged
with anti-real-time spying activities nor conduct intelligence mission to collect the inform.
Coordination and Direction to all Intelligence Agencies: The Joint intelligence committee works like
a coordinating agency between various intelligence agencies. Often the agencies do not pass certain
information to other agencies because of the professional competition. Hence there is more chance
of intelligence failure. It had been experienced during the India Pakistan war of 1965 and Chinese
aggression of 1964. To avoid this, the JIC coordinates among the agencies for maximum information
on any particular subject. It collects certain information from one agency and directs the other
specialized agencies to dig further for more information.
Advises the Government in Decision Making: Besides the operational functions, the Joint intelligence
committee advises and assists the Prime Minister and the Cabinet in decision making on matters
related to foreign affairs, national security and Defence. The JIC reports all the recent developments
on the national and international scenario and analyses how it is going to affect India ‘s interest. In
some cases the government seeks advices of the Committee before making any policy and order the
JIC to evaluate the possible upcoming challenges.
ROLE OF MOD IN FOREIGN POLICY DECISION MAKING
The Defence Minister has been the part of decision making body and gives his observation on behalf
of the Ministry on matters directly or indirectly related to national security and Foreign Policy. He is
also an important member of the union cabinet who takes the decision for the government. Apart
from the political affiliation, his official position as the Defence Minister has enough to say in national
policy making process.
Apart from the Minister of Defence, the Defence Secretary, the three Chiefs of the Staff and Secretary
of the Defence production division also participate in decision making process as the members of
Strategic Policy Group, the important decision making body on foreign on Indian external policy. They
are invited for all the meetings of the SPG and actively participate in the decision making process.
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The Defence ministry collects the intelligence data on the matters related to security and international
strategic development through its various intelligence agencies like Directorate of Military, Naval and
Air Intelligence and shares its concerns with the government. Based on these and other intelligence
reports, the government determines its Foreign Policy and external engagements.
In international relations, Defence cooperation and Foreign Policy go hand in hand. This theory got
strong support after the introduction of the concept of Military Industrial Complex. There is warm
relation between producing and buyer nations. The buyer adopts a friendly Foreign Policy towards the
suppliers or vice versa. Hence, the Ministry of Defence plays a decisive role in extending India‘s
Defence cooperation to foreign countries.
It also advises the government on matters related to foreign Defence cooperation, Joint training and
exercise, and Joint Defence production. Beside the foreign Defence cooperation activities.
ROLE OF THE PARLIAMENT ON FOREIGN POLICY MAKING
The constitution of India has given power to the Parliament to legislate policies on subjects associated
with foreign affairs and Defence. Items 1 to 21 of the union list that directly or indirectly deal with
matters related to Foreign Policy and diplomacy come under the preview of Parliament on which it
can make policies.
The government is also accountable to the Parliament. Therefore, the Parliament can seek information
and ask the government to clarify its stand on certain policies. If the Parliament is not on favour of the
governmental performance, it can drive out the government. Controlling budgetary allotment and
passing necessary resolution, it can force the executive to act according to the will of the Parliament.
To oversee the performance of the Ministry of External Affairs and Ministry of Defence, the Parliament
has set up two important standing committees – the Standing Committee of External Affairs (SCEA)
and the Standing Committee on Defence (SCD).
PRESSURE GROUPS AND MEDIA
Joining politics and participating political process is not the only way to take part in policy formulation,
but the voice of the non-political groups, associations and organisations is also an important source
of influence in shaping the governmental policies. These associations known as pressure or interest
groups are in some way able to influence the governmental policies to suit their interests using various
informal channels. The groups are visible in all forms of government, though they are highly active in
democratic setups. They articulate and carryout the interest of a particular section of people and
pressurize the government to address their concerns through non-political approaches. While most of
the pressure groups participate in domestic issues, some of the organisations do pose interest in
Foreign Policy related matters. However, it is hard to categorize these organisations because of the
close link between the domestic and external activities. Due to its organisational and influential
activities, the groups are able to enlarge its role in governmental activities and decision making. Being
the largest democracy in the world, Indian administrative setups are not far from these influences.
Groups like business houses, arms lobby groups, International Non-Governmental Organisations,
overseas Indian religious and cultural associations are some of the organisations that actively work to
influence India‘s Foreign Policy.
ACADEMIA AND THINK TANKS
In the modern time, decision making is not entirely left to the traditional governmental agencies, but
inputs from non-governmental intellectual resources like academia and think-tanks also have been
the part of the process.
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James G. McGann, Director of the Thinks and Foreign Policy programme of Foreign Policy Research
Institute has categorically analyzed the role of Think Tanks on Foreign Policy.
• Playing a mediating function between the government and the public that helps build trust and
confidence on public officials;
• Serving as an informed and independent voice in policy debates;
• Identifying, articulating, and evaluating current policy issues, proposals and programs;
• Providing a constructive forum for the exchange of ideas and information between key
stakeholders in the policy formulation process.
• Challenging the conventional wisdom and standard operating procedures of bureaucrats and
elected officials
The Institute of Defence Studies and Analysis (IDSA) was established under the guidance of Ministry
of Defence to promote independent research on India‘s Defence and strategic policy and to help the
government to formulate the policies.
Business Houses
Business groups are the largest, perhaps the most active and the most dominating institution among
the interest groups. As Professor Anthony J. Nownes rightly observed ―any way you silence, business
dominates the world of interest groups representation.
The Associated Chambers of Commerce and Industry of India (ASSOCHAM), the Federation of Indian
Chamber of Commerce and Industry (FICCI) have been constantly watching the international trade,
fascicle and monetary policies of the government. Using their ―invisible channels‖ these groups try
to influence the MPs, ministers and bureaucrats through money and other means to clean up
administrative interruptions and to create favourable business environment to suit their trade. But it
was not the case before economic liberation, where the Indian business farms were not active in
international trade and commerce.
Krishna Menon, one of the key technocrats of India‘s external policy during Nehru era also confirms
that no business farms tried to influence India‘s foreign policies during his tenure in the Parliament.
The Government seeks the opinion and concerns of the business houses before declaring any new
policies. The MEA also has been in close contact with business association and makes necessary
arrangements to facilitate their involvement in internal market. The whole diplomatic setup is put in
service to facilitate the Indian farms working abroad. Now-a-days a group of business delegations is
accompanying important state officials during their high-level official visits to foreign countries.
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Indian Foreign Policy:

Continuity & Change
Introduction
Development of Nation-States and increasing interactions among them has resulted
into formation of foreign policy in the modern times. Establishment of the United
Nations and process of decolonization that has liberated many states into sovereign
entities have further provided impetus to interrelationships among states.
There is certain unanimity among scholars and statesmen on the necessity of a

foreign policy for each state, since no state would like to function in complete isolation
from the rest of the world.
Feliks Gross said that even a decision to have no relations with a particular state is
also a foreign policy or, in other words, not to have a definite foreign policy is also a
foreign policy. For example, India’s decision to have no diplomatic relations with Israel
up to 1992 was an integral part of its foreign policy.
A state without foreign policy will look like a team playing football without any
strategy to post the goals, hence all eleven players being clueless about their role and
functions on the playground.
Thus, in a modern state that lacks foreign policy; the External Affairs Ministry will have
no priorities in developing bilateral relations or participating in multilateral forums.
The Defence Ministry will have no clear cut ideas about armed preparations of a
country's military, since no criteria have been set up before it to define friends and to
recognize enemies in the international sphere (military preparedness). The Finance
as well as Commerce Ministry will struggle to take stand on issues of import-export
during bilateral or multilateral trade negotiations (free flow of trade, people, and
information - basic tenet of idealism).
A state without a foreign policy can be compared to a ship in the deep sea without
knowledge of directions. As the radar on the ship navigates it towards land
destination, foreign policy leads the state in fulfilling its national interest and acquiring
rightful place among a comity of nation-states.
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Definition of Foreign Policy: Views by Various Scholars

According to George Modelski, “Foreign policy is the system of activities evolved
by communities for changing the behavior of other states and for adjusting their
own activities to the international environment….. Foreign Policy must throw light
on the ways in which states attempt to change, and succeed in changing, the
behavior of other states.”
● Behaviour of each state affects behavior of every other state in one form or the
other, directly or indirectly, with greater or lesser intensity, favourably or
adversely.
● Function of foreign policy is to try to minimize the adverse effects and maximize
the favorable effects of actions of other states.
● The objective of foreign policy is not only to change but also to regulate
behavior of other states by ensuring continuity of their favourable actions.
For example, Great Britain’s stand on Kashmir was vague during the cold war period.
Here, Indian foreign policy attempted to change Great Britain’s position in India’s
favour. On the other hand, the erstwhile USSR supported India on the Kashmir
question for many years. In this case, Indian foreign policy’s objective was to ensure
continuity of USSR’s favourable position.
Foreign policy is a complex and dynamic political interaction that a state gets involved
in pursuing relations with other states and entities outside the purview of its own
jurisdiction.
As Joseph Frankel puts it, “Foreign Policy consists of decisions and actions, which
involves to some appreciable extent relations between one state and others.” It
implies that foreign policy involves a set of actions by the forces working within the
state's borders and intended towards forces existing outside the country’s borders. It
is a set of tools employed by the state to influence exercise of law making power by
other states as well as actions of non-state actors outside the purview of its
jurisdiction. It comprises formulation and implementation of a set of ideas that govern
the behavior of state actors while interacting with other states to defend and enhance
its interests.
Huge Gibson says, “Foreign policy is a well-rounded comprehensive plan based on

knowledge and experience for conducting the business of government with the
rest of the world. It is aimed at promoting and protecting the interests of the nations.
This calls for a clear understanding of what those interests are and how far we hope
to go with the means at our disposal. Anything less than this falls short of being a
foreign policy. A doctrine of foreign policy can be simple and succinct; or it may be
complicated and vague.
One thing is sure that foreign policy is much more than meetings of diplomats, formal
statements proclaimed by statesmen, and public statements of state leaders. On the
other hand, foreign policy definitely includes the current nature of a state's objectives
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and interests and principles of self-perceived right conduct in dealing with other
states.
Padelford and Lincoln defines it as, “A State’s Foreign Policy is totality of its
dealings with the external environment…..Foreign Policy is the overall result of
the process by which a state translates its broadly conceived goals and interests
into specific courses of action in order to achieve its objective and preserve its
interest.”
In view of such a variety of definitions, we can conclude that the core of foreign policy
consists of achieving the national objectives through the available national means by
interacting with other states.
1. Foreign policy can not exist in a vacuum.

2. Foreign policy of a particular state evolves from historical events responsible for
creation/strengthening of the statehood, principles and ideological
foundations of nation-building, and purpose and interests of the State.
3. Foreign policy can be comprehended only in the greater milieu of form of the
government, economic situation, political conditions, geographical situation
and general culture of the country.
4. All the foreign policy decisions aim at achieving either co-
operation/coexistence or conflict or neutrality towards a particular state or
group of states or the rest of the world.
National Interest and Foreign Policy

In modern times, for consistency and continuity of a foreign policy, it has to gain
legitimacy with the domestic audience, i.e. citizens of a country. This is achieved by
relentless pursuit of perceived national interest through the country's foreign policy.
National interests are needs, aims or desires conveyed to policymakers by the citizens
of a country.
Such aims, needs and desires vary enormously from State to State and time to time.
State conducts its international relations for attainment of national interests, which
are general and continuing ends. State seeks to achieve or protect national interest in
relations with other states. National interest is defined in various terms such as
defence against aggression, developing a higher standard of living or seeking a
rightful place at international organizations such as the United Nations.
Charles Lerche and Abdul Said define national interest as, “The general long term
and continuing purpose which the state, the nation, and the government all see
themselves as serving.”
National Interests are divided into two categories; vital or core interests and less than
vital or secondary interests. Vital interests are most important from the point of view
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of a country's foreign policy. The state is most unwilling to make any compromise with
vital interests and is sure to wage war in its defence. India says Kashmir is an issue of
vital interest for it. China proclaims Taiwan and Tibet are of vital interests to it. The
United States considered toppling the Taliban regime in Afghanistan as an issue of
vital interest to it.
Vital interests of a state are so basic that they acquire near-permanent place on its
foreign policy agenda and often create emotional appeal among the masses. On the
other hand, less than vital or secondary interests are those aims of a state that they
make efforts to fulfill, but refrain from going to war or creating animosity with other
states. For India, a permanent seat at U.N. Security Council, or extradition of main
accused of Bhopal Gas Tragedy are issues of national interests.
But, India will not go to war to achieve these goals nor will it use any other kind of
coercion to the extent of creating animosity with other states. Vital interests are
termed as goals of foreign policy, while the secondary interests are termed as
objectives of foreign policy.
Further, objectives can be divided into specific and general objectives.
The specific objectives are concerned with each individual state and hence differ from
state to state and time to time. The above stated objectives of permanent seat at
UNSC and extradition of culprits of industrial accident are India’s specific objectives
rather than of every state’s concerns. On the other hand, general objectives of foreign
policy make sense with almost every state.
Objectives of Foreign Policy

Following are some of the key general objectives that we can locate in foreign policy
of almost every country:
● A foreign policy protects the unity and integrity of a country. For example, a
major focus of India’s relations with China is to ensure the country's territorial
integrity by rejecting Chinese claims on Indian terrains. It takes note of
incorrect maps of India issued by foreign countries and agencies, and asks to
make appropriate amends in it.
● A foreign policy defends the interests of its citizens. For example, successive
Indian governments keep in mind the interests of farmers while negotiating bi-
lateral and multilateral trade agreements.
● A primary interest of any country is in self-preservation and well-being of
its citizens. In the international arena, interests of various countries often clash
with each other and the states have to protect their own interests vehemently.
● A foreign policy aims at promotion of economic progress of the country. In
modern times, economic development is one of the key factors in determining
a state's international status. Thus, the treaties and agreements concluded with
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other states are drafted in a way to protect and promote economic interests of
its own.
● A foreign policy also protects the interests of its citizens beyond the
borders. For example, the External Affairs Ministry takes up issue of racial
discrimination and harassment of Indian students in Australia with the
Australian government in order to protect its citizens in that country.
● A foreign policy also protects dignity and sentiments of the people of Indian
origin throughout the world. For example, the Indian government had asked
its French counterpart to reconsider the ban on Sikh’s turbans in that country
even though the Sikhs there may not be Indian citizens anymore and had
accepted French citizenship.
● A foreign policy tries to maintain contacts and develop good relations with
all other states in order to enhance economic and technological
cooperation with them with a view to promote its own interests. The Indian
government lost no time in recognizing newly independent African and Asian
countries and immediately established diplomatic relations with them to
create its sphere of influence and good will in those countries. On the contrary,
diplomatic cut-offs with a particular country on issues of ideology or national
interest can also be part of a state's foreign policy. India had not only boycotted
the racist South African regime in the past, but also led the international
imbroglio against it as a matter of its principled stand against racism in the
world.
Although above mentioned examples are Indian foreign policy centric, foreign
policies of almost all the states are full of similar examples.
Influential Factors
Like the general objectives of foreign policy, there are common determinants that can
be applied to any state to assess its foreign policy.
These determinants are of two types:
1. INTERNAL
2. EXTERNAL.
Internal Factors
Size:
Territorial size of a state influences its foreign policy in a sense that bigger the size the
greater role the state can play in international politics. India’s ambitions to achieve
great power status in world politics can be attributed to its size, which is the 7th
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largest sovereign state in the world. Similarly, one of the major factors of importance
of the United States, Russia and China is their gigantic size. On the other hand, smaller
countries generally do not get opportunities to perform larger than life roles in the
international arena.
Smaller island countries in the Asia-Pacific region and in the African continent do not
play significant roles in world politics. Big size makes the geographical location of a
state crucial in the international sphere. India is geo-politically important in world
politics because its vast size places it at the inter-junction of South-East Asia, Central
Asia, West Asia, South Asian countries and China.
India’s huge population, if seen in terms of human resources, also provides strength
to its foreign policy. No important country in the world can ignore such a vast size of
people, and on the other hand, India needs cooperation from other states to fulfill the
growing needs of its population. Thus, territorial size, geographical location and
population play important roles in determining a state’s foreign policy.
However, there are examples of smaller countries acquiring importance in the

international domain, either due to its substantial population, or geographical
location, or superior economy. A case of Bangladesh fits in the first scenario, while a
land-locked country like Nepal becomes important due to its location between two
emerging powers, i.e. India and China.
Japan and South Korea have gained much superior status in world politics, in
comparison to other countries of their size, due to their rich economic structures. Their
substantial population within a small territory and geographical location in the Pacific
Ocean adjacent to Russia and China are also the factors in their emergence on the
world stage.
In the recent past, a small-size Britain dominated world politics for about two
centuries due to its advanced maritime, industrial and management skills. In today’s
world, comparatively smaller countries in the West Asian region have acquired
importance due to rich oil and gas resources. On the other hand, big size countries
like Australia and Canada are not significant actors in international politics because of
their isolated location and smaller population.
Geography:
A state’s climate, fertility of soil, access to waterways, deposits of mineral resources,
diversity of crops, availability of drinking water etc. affect and influence its foreign
policy. Sufficiency of these factors makes the state self-sufficient, and thus, it can
assert itself in relations with other states.
It is observed that land-locked countries, countries in the tropic region and those
bordering superpowers are more dependent on other states than the countries with
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access to warm ports, in the temperate region and at a considerable distance from
superpowers.
After independence, India could not be compelled to join either of superpower blocks
and it could formulate its own policy of non-alignment because it had more than one
ways of doing trade with other countries, it was confident of developing capacities to
utilize natural resources and development of agriculture, and it was at a geographical
distance from the then superpowers, i.e. U.S. and U.S.S.R.
History and Culture:

Historical experiences and cultural traditions of a state exert influence on its foreign
policy. Generally, a state with unified culture and common history finds it easier to
formulate effective and consistent foreign policy. In such a case, the overwhelming
majority of people, who share similar experiences and common perceptions of
historical events, support the state’s foreign policy.
On the other hand, a country with divergent cultures and various historical
experiences in its different parts, finds it difficult to formulate foreign policy in unison.
Without a common anti-colonial legacy and deep-rooted culture of peace and co-
operation in Indian society, it was not possible for the government to formulate a
country's foreign policy in the post-independence era.
Yet, of late, the Indian government has been increasingly facing a dilemma in its
foreign policy on such issues as nuclearisation, strengthening relations with Israel,
engaging Pakistan, atrocities on Tamils in Sri Lanka etc. It is, indeed, an enormous
challenge before the policymakers in India to generate unanimity in the country on
its foreign policy; given the vastness, diversity, different regions’ geographical
proximity with neighboring countries and lineages across the borders.
Economic Development:
Level of economic development influences a state's foreign policy in more than one
way. Advanced industrialist countries play a dominant role in world politics, and
formulate their foreign policies to maintain such superiority. These countries have
large resources at their 12 disposal to build military capabilities on one hand, and
disperse monetary benefits on other states in the form of aid and loan.
They remain in constant search of new markets for their products, access to raw and
natural resources as well as skilled and unskilled labour. It makes it pertinent for them
to develop close diplomatic ties with other states and encourage people to people
contacts among them.
Developing countries, too, follow their suit to receive benefits of trade and
technological breakthroughs. However, developing countries remain dependent on
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advanced industrialist countries to a large extent to get developmental loans, import

of technologies and even food-grains to meet their ends. Accordingly, it has to adjust
its foreign policy.
Similarly poor or least developed countries orient their foreign policy to garner
maximum support from rich nations, in the form of aid, technology, provisions of
health-care and access to higher education etc. In recent years, we have witnessed
that Germany is playing a leading role in Europe’s politics, despite not being a
permanent member of U.N.S.C. and being a non-nuclear state. Germany’s increased
weightage is entirely attributed to its economic development. Talks of the emergence
of China and India on the world stage are based on their economic resurgence in
recent years.
On the contrary, in the post-cold war period, Russia’s influence waned to a

considerable extent as its economic power has diminished after the disintegration of
U.S.S.R. In fact, one of the prominent reasons for the collapse of the U.S.S.R.-led
communist block was said to be stagnant economic conditions prevailing for many
years in those countries.
Technological Progress:
Economic development and technological progress are closely intertwined with each
other. As a result, economically developed countries have technological advantages
too. The advanced industrialized countries provide technological equipment and
know-how to developing and poor countries, but can exert such leverage to mould
their foreign policy.
Technological breakthroughs in the military sphere have further increased the

developing world’s dependency on advanced countries.
Rosenau rightly says, “Technological changes can alter military and economic
capabilities of a society and thus its status and role in the international system.”
However, developing countries can counterbalance advanced countries'

technological dominance by producing semi-skilled, skilled and trained human
resources. Today, Germany, South Korea and Japan are in a position to play crucial
roles in international politics due to their technological excellence. On the other hand,
India and China have gained currency in world politics because 13 of their capabilities
in adapting to new technologies due to their technically skilled labour force.
Military Preparedness:
Capabilities of a state to defend its borders against armed aggression plays an
important role in its foreign policy. Militarily capable states exercise greater
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independence from external forces in formulating their foreign policy. Increased

military preparedness of a country might result in a change in its foreign policy.
Indian foreign policy has acquired new dimensions after nuclearisation, as it attempts
to gain the status equivalent to P-5 countries. Since a country's pride is associated with
military victories; in the case of defeat, the state suffers international humiliation that
negatively affects its foreign policy. India has undergone this experience after the 1962
boundary war with China, when its prestige declined among third world countries.
India had regained the lost pride and prestige in 1971 when it decisively defeated
Pakistan that resulted into latter’s partition and creation of Bangladesh.
National Capacity:
National capacity of a state comprises its economic development, technological
progress and military capability. It exercises profound influence on the state's foreign
policy. In the early 20th century, the United States changed its foreign policy from that
of isolation to engagement, as its national capacity had seen tremendous increments
during that period.
Similarly, today, China is exerting its influence in international politics as it has become
confident of its national capacity.
Social Structure:
Social structure influences, albeit indirectly, foreign policy of any country. It is true that
it is difficult to measure divisions or homogeneity of a particular society, and more
difficult is to judge its impact on foreign policy.
However, it is certain that changes in social structure cause a change in the foreign
policy in the long term. A state divided on racial or religious or regional lines struggles
to put forward its best possible foreign policy, as it becomes difficult for it to receive
cooperation from all quarters of society.
On the other side, a homogenous society produces more coherent, and even
aggressive, foreign policy. In the post-World War II era, nationalism and other
ideologies were used to bridge the social differences to strengthen the country's
foreign policy.
Ideology of State:
A proclaimed ideology of the state comprehensively influences its foreign policy. In
1930s, Nazi Germany’s emphasis upon superiority of Aryan race played important role
in its foreign policy. Similarly, the United States and U.S.S.R. 's stated objectives of
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promotion of democratic system and socialist system respectively dominated much

of their 14 respective foreign policies during the cold war period.
Ideological preferences of the state reflect upon the process of policy formulation as
well. States with democratic values of open debate and dissent tend to listen to the
public opinion seriously. Under democratic set up, pressure groups, political parties
with different shades of ideologies and press indulges in public opinion making that
deeply influences foreign policy of a country. In the 1970s, the United States
government bowed to tremendous domestic pressure to withdraw from the Vietnam
War. It is said that the United States actually lost that war within its borders than in
Vietnam.
On the contrary, there was no scope for building such public opinion in erstwhile
U.S.S.R. due to its authoritarian set up, which had emanated from its ideological
understanding of Dictatorship of Proletariat. In authoritarian systems, only the
government's positions on foreign policy issues are allowed to be published in the
press. Electronic media is also monopolized with government propaganda on foreign
policy.
In democratic systems, the press plays an important role in discussing government’s

actions and inactions, and in the process determining its foreign policy. Thus, the role
of the press becomes important in democratic systems in disseminating information
and views on foreign policy of respective governments.
Form of Government:
Form of government established in a state plays its role in a country’s foreign policy.
Totalitarian or authoritative forms of government, such as governments in one party
system or under complete control of military junta, are capable of quick foreign policy
decisions.
In such systems, decision-making is restricted to the elite core within the government,
making it easier to formulate foreign policy. However, it is observed that decision-
making under a closed system has often, if not always, led to a country's isolation in
international politics as happened with the regimes in North Korea and Myanmar.
Dissenting voices are suppressed by oppressive methods like detention, censorship

and promulgation of strict regulations. On the other hand, within democratic systems,
different forms of government act differently in formulating the foreign policy. In the
West-ministerial system, executives lead the decision making process of foreign
policy formulation.
The legislature does debate the government's foreign policy in the parliamentary
system, however, it is not necessary for the latter to ask for legislative consent for
foreign treaties and agreements. Thus, governments in the parliamentary system
enjoy considerable autonomy of decision-making in foreign policy matters.
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Under the U.S. style presidential system, Congress’ nod is essential for execution of any
treaty or agreement with other states and foreign entities. The Congress can even
initiate and pass legislations on foreign policy matters that are binding on the
President of the United States for execution.
In a bipartite polity, generally, the government of the day enjoys a clear majority on its
own, which makes it less susceptible to opposition or allies’ pressure in its foreign
policy. In a multi-party polity, coalition governments have to sort out conflicting
viewpoints and interests of two or more ruling parties. This may lead to avoidance or
postponement of the decision on foreign policy.
Leadership:
Leadership plays an influential role in the country’s foreign policy. Rosenau says, “A
leader’s belief about the nature of international arena and the goals that ought to
be pursued therein, his or her peculiar intellectual strengths and weakness for
analyzing information and making decisions, his or her past background and the
extent of its relevance to the requirements of the role, his or her emotional needs
and most of other personality traits these are but a few of the idiosyncratic factors
that can influence the planning and execution of foreign policy.”
Even though government structure and societal realities constrain the qualities of a
leader, during crisis time the leader shows the path to the government and society.
Winston Churchil’s astute leadership had steered England to victory in the second
World war, while Indira Gandhi’s apt decision-making in 1971 helped India not only to
defeat Pakistan militarily but also to counter diplomatic pressures applied by the
United States and China on the latter’s behest.
In recent years, Atal Bihari Vajpayee’s leadership played a crucial role in breaking the
self-imposed freeze on the country's nuclearization.
External Factors:
World Situation:
A prevalent framework of world politics plays a decisive role in deciding the foreign
policy of a country. When India became independent, the world was divided into two
hostile camps, which was much beyond India’s capacity to change.
In the bi-polar world dominated by military alliances, India sought its interest in
maintaining distance from military alliances but forging ties with individual countries
from both the blocks.
In the subsequent years, as Pakistan moved closer to the western block and China
became hostile to India, New Delhi forged closer comprehensive ties with the USSR.
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After the demise of the USSR, India began to reset its relations with the US as it
remained as the only superpower in world politics.
Military Strength of Adversaries:
India had opted for peaceful world order and friendly relations with its neighbours at
the outset of independence. However, disputes with Pakistan over Kashmir and
conflict with China on border issues forced wars on India. Consequently, India had to
adjust its foreign policy goals and embarked upon increasing military strength
commensurate with the strength of its adversaries. This has resulted in India buying
weapons and military technologies from various countries, and accordingly
strengthening bilateral relations with those countries.
Thus, formulation of foreign policy is a result of complex internal and external factors.
These are combined with the country's long term aspirations as well as its leaders’
ambitions to play a role on the world stage that give the final shape to the country's
foreign policy.
Continuity
In the last few years there has been a high degree of continuity in foreign policy
objectives: ensuring a peaceful, secure and stable neighbourhood; securing inward
foreign investment, and increasing India’s influence.
There is a clear recognition that regional stability is essential for India’s development.
This explains the presence of all the leaders of the South Asian Association for Regional
Cooperation and Mauritius at Prime Minister Modi’s swearing in in May, 2014. With
clear- headed pragmatism the government has reinforced the primacy of the
neighbourhood and the Indian Ocean.
Continuity & Change

At the bilateral level there is continuity and, even change, in policy towards the United
States, China and Pakistan. Foreign policy does not change in sharp breaks with the
past, but at a gradual pace.We need to see things as evolving.
● U.S. - There is a growing convergence of views between India and the U.S. on
the security and diplomatic architecture of the Asia- Pacific. A joint statement
issued during President Obama’s visit to India in January, 2015 stated:"We
affirm the importance of safeguarding maritime security and ensuring
freedom of navigation and over flights throughout the region, especially
the South China Sea.” There were direct references to the South China Sea in
the India- U.S. joint statement of September, 2014, and during Prime Minister
Modi’s visits to Japan in 2014 and South Korea in 2015. There is also a
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breakthrough in the implementation of the civil nuclear agreement of 2008.

This is not a new policy, but the pace of developments is a departure from the
past.A second ten-year defence framework agreement, providing for
technology transfers and the co-production of arms in India, and the Logistics
Exchange Memorandum of Agreement, have been concluded. The former
agreement is an example of continuity, the latter an example of change.
● China- Never in history did India have a great power like China on its borders.
In the past, India has relied upon a combination of diplomacy and capacity-
building to prevent strategic surprise. But the present government has
demonstrated a greater firmness in dealing with China, while simultaneously
seeking stronger business ties. As Prime Minister Modi said at the Raisina
Dialogue 2017: "both our countries need to show sensitivity and respect for
each other’s core concerns and interests.”Thus, India deals with China with
confidence and candour. This is the new normal in the relationship. India and
China engage, cooperate and compete simultaneously. Even as China has
become India’s largest trading partner, India has not lost sight of the issues of
contention. Boundary negotiations have reached a point where political will on
both sides is required for a solution. The two countries need to be mindful of
the strategic aspect of the relationship, and recognise that their rise can be
mutually supportive.
The simultaneous rise of China and India as major world economies is a new
factor in the international system. The fact that China is ahead of India shapes
India’s positions towards its northern neighbour. India sometimes has to
concede to China in pragmatic side- stepping. For example, the Asia Industrial
Investment Bank and the New Development Bank of BRICS are headquartered
in Beijing and Shanghai, not in New Delhi or Mumbai, because China is the
stronger economy. Yet, while China remains a challenge, it is also a partner in
the transformation of India.
● Pakistan - India’s complex relationship with Pakistan has swung from dialogue
to crisis. The issues bedevilling the relationship are far from solution. With the
strategic balance slowly shifting in India’s favour, Pakistan has engaged in sub-
conventional and asymmetric warfare. Since the 1990s, Pakistan has adopted
terrorism as policy, yet India has seen economic ascension in this period. With
the internal problems Pakistan faces, India has poor policy options. Neither
dialogue nor its suspension have worked, so India is intent on managing the
relationship, and preventing problems from spilling over. In such a strategic
advance- retreat setting, the government has been firm on bottom lines, but
has also engaged Pakistan.
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At one level, under the present government, we witnessed a change in Pakistan

policy. By engaging Pakistan, the government reversed the suspension of
official- level talks in January, 2013 by Prime Minister Manmohan Singh,
following ceasefire violations across the line of control in Jammu and Kashmir.
Prime Minister Modi and Prime Minister Nawaz Sharif held talks at Prime
Minister Modi’s inauguration in New Delhi in May, 2014, and on the sidelines of
a Shanghai Cooperation Organisation summit in Ufa, in 2015. In another policy
reversal, back- to- back "talks on terror” - led by the two National Security
Advisors – and talks between the two Foreign Secretaries on all other issues,
including Kashmir, were announced.
But soon enough terrorism began to cast its familiar shadow over the
relationship. Following differences on the agenda and programme for the
Pakistani National Security Advisor’s visit, planned talks between the foreign
secretaries and national security advisors were not held in 2014 and 2015. India
made talks contingent upon an end to terrorism.
For the government, terrorism remains the core issue. Lashkar e Taiba chief
Hafiz Mohammed Saeed remains free, with a specious claim to heading a
charitable organization. Despite suspected links to the Pathankot terror attack,
Jaish e Mohammed chief Maulana Masood Azhar is free. Zakiur- Rehman
Lakhvi, Lashkar e Tayabba’s Chief of Operations, and the prime accused in the
2008 Mumbai terror attacks, was released on bail after spending six years in
prison, on the ground of lack of evidence provided by India, something India
disputes.
Yet, the government did not shy away from dialogue. In December, 2015,
official- level talks were held at Bangkok. External Affairs Minister Sushma
Swaraj visited Islamabad in December, 2015, and a Comprehensive Bilateral
Dialogue was announced. Prime Minister Modi visited Lahore to greet Prime
Minister Nawaz Sharif on his birthday the same month. Following a pause after
the Pathankot terror attack, Foreign Secretary talks were held in April, 2016. The
two national security advisors maintained contact, and the chiefs of the two
border forces met to calm border tension.
At present, following the Uri terror attacks, dialogue remains suspended. But
given the fraught history with Pakistan, India will continue to search for
solutions to issues with Pakistan. Thus, broadly, there are elements of continuity
and change in the government’s policy towards Pakistan.
● Bangladesh- An example of both continuity and change in policy is the

resolution of the land boundary dispute with Bangladesh, which had eluded
solution since 1971. This was a pre- emptive good- neighbourly act. For sure,
previous governments had taken steps for resolution of the land boundary
dispute, but the present government has been decisive in taking the new
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approach forward. It showed similar reflexes in resolving a maritime dispute

with Bangladesh.
At the regional level there has been vigour in taking forward initiatives in the
Asia Pacific. This marks change, amid continuity.
● Asia Pacific - The government has pursued a strong Indian Ocean policy, as
well as combating maritime terrorism. In March, 2015, after decades, India
unveiled a vision framework for the Indian Ocean. Going beyond the former
government’s policy of being a "net security provider” to Indian Ocean island
states, the Indian Navy has released a revised maritime security strategy,
Ensuring Secure Seas: Indian Maritime Security Strategy. The government has
announced a new initiative, SAGAR- Security And Growth for All in the Region-
not only to safeguard India and its island territories, but to broaden economic
and security cooperation in the region.
At the global level, there is both continuity and change in the economic realm.
The Diplomacy of Development

Enlisting foreign partners for India’s development has been at the core of India’s
foreign policy since independence. After the economic reforms of 1991, this was
pursued with vigour. Under the present government, the process has been further
energized. There is continuity in policy, and change in the vigour with which it is being
pursued.
At his election in 2014, Prime Minister Modi announced the goal of 8.5 per cent
economic growth. In the year ending March, 2016 the Indian economy grew by 7.3 per
cent. Over the next decade the government hopes to raise the share of manufacturing
in the GDP from 17 to 25 per cent. Foreign policy is an enabler in the process.
In recent years the government has sought billions of dollars in investments in

manufacturing and infrastructure, notably from the U.K., Germany, France, Japan and
the UAE. The government has coupled diplomacy and development in a turn towards
quantifiable outcomes. Prime Minister Modi’s foreign visits have focussed on the
search for technology, resources and best practice.
Culture
Another example of continuity and change all at once is culture. The government has
brought the tenets and symbols of India’s culture into the centre of India’s diplomatic
outreach. This is a continuation of India’s charm offensive in recent years through its
soft power approach to win friends across the world.
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India has always played a major role in international affairs, offering a range of ideas
and interventions in the cultural and political domain. There is a need to integrate
New Delhi’s natural soft power aspects into its external interface. By harnessing such
cultural resources, the government has reached out to the larger world.
But this soft power narration is also an alternate view of the world, aimed at the
international community. The government wants to offer a counter- narrative to the
West- centric view of history and inter- state relations. With thousands of years of
experience in creating a civilisation out of diverse belief systems, India is a beacon
light. The government has seized upon this idea to project a cultural narrative.
The best example of India’s harnessing of soft power to achieve diplomatic objectives
is the commemoration of the first ever International Day of Yoga. With breath- taking
speed the government got 177 of the 193 member states of the United Nations to co-
sponsor a resolution in the United Nations General Assembly in September, 2014 on
commemorating the International Day of Yoga on June 21. The other example is the
promotion of Nalanda University as an international partnership.
It is not as if indigenous traditions were not put at the disposal of India’s foreign policy
mandarins in the past. But what is new is the sustained focus on this.
Change
At the global level, we see a shift towards playing a leading world role, rather than a
mere balancing one, with ambition, energy and confidence.
There is a realisation in the government that, to become a true great power, India will
need to set the agenda on the burning international issues of the day, rather than
merely shaping outcomes. At the end of the Second World War India was a passive
witness to the creation of a new security architecture for the world, as decisions
concerning India were made by the British. But India now is prepared to lead the
negotiation of global covenants.
India is willing to shoulder the responsibility of securing the global commons. This was
demonstrated by humanitarian relief operations in Yemen, Nepal, South Sudan, Fiji,
Sri Lanka and the Maldives, and in India’s continuing lead in UN peacekeeping
operations. India stood in the frontlines in keeping the maritime commons safe and
secure, and in global negotiations, such as on climate change.
We are seeing a policy framework that radiates India’s diplomatic influence beyond
it’s neighbourhood. In 2015 alone Prime Minister Modi made 28 foreign visits. This
shows that India thinks globally, and Indian leaders travel accordingly. There is a
change at the regional level as well.
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● Act East Policy - During colonial rule, India’s links with the East were disrupted.
At independence, India leaned on the West for nation- building. Asia took a
back seat as the West became the main source of technology and capital. With
the end of the Cold War, India again shifted its gaze to the East, drawing from
the rich ties of history. It began to search for new partnerships with a rising East,
led by China. The outcome was the Look East Policy. The evolution of the Look
East Policy to the Act East Policy is a shift from conception to outcomes.
● Afghanistan - In January, 2016, India made a modest supply of three MI 25

ground attack helicopters to Afghanistan. This is not a force multiplier, but
marks a change in policy.
● Israel - There has been a modification in India’s policy towards Israel. In a policy
departure on the conflict in Gaza, which resumed in July, 2014, the government
took a neutral position, calling for peace talks. In another departure, India
abstained from voting on an application by a Palestinian non- governmental
organization for special consultative status in a UN committee. It abstained on
a UN Human Rights Commission resolution that condemned Israel over a July,
2014 UN report on violence in Gaza.
In September, 2014 Prime Minister Modi and Israeli Prime Minister Benjamin
Netanyahu met on the margins of the UN General Assembly at New York. The
first visit of an Israeli defence minister to India took place in February, 2015.
While in the past India had avoided high- level visits to Israel, President Pranab
Mukherjee visited Israel in October, 2015.
Conclusion
The fact that India’s foreign and security policies are ‘enablers’ in the transformation
of India is now well understood among thinking Indians. In that sense, by getting tied
to domestic policy, which receives greater public attention, foreign policy has woven
itself into the people’s consciousness.
India is being recast. At Partition, the Indian state was weak. Strategic thinking was
thus security- oriented, with an avoidance of entanglements, to protect the borders.
To- day India is at the centre of the international security architecture, and key to the
economic and technological debates of the age. By virtue of its economic growth, its
world- class space programme, and its contributions from medicine to IT, India has
become indispensable to global needs and a shaper of the world economy, not just as
a market, but also as an engine of growth and ideas.
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It would thus not be far- fetched to say that what India does will profoundly affect the
future of the world. Terrorism is an example. With swathes of embittered humanity
on the boil, terrorism is at the centre of international discourse. The world now speaks
of 9/11 and 26/11 in the same breath, and, as a major victim, India becomes a natural
partner in fighting terrorism. Similarly, on the emission of greenhouse gases and
climate change, what India does affects the world. This is the foundation for India’s
new foreign policy.
Model Question
Q: Indian Foreign Policy has witnessed several curves with different situations.
Cite some examples.
Answer - Indian Foreing Policy has been received again and again from time to time
considering different situations that have come forward. From focussing upon SAARC
to reinvigorating BIMSTEC, from completely aligning with USSR for a while to opening
a new gate of friendship with USA, Indian Foreign Policy has worked through different
facets and tenets.
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India-Pakistan Relations
The India-Pakistan Relations is one of the most complex bilateral relations in the
world. Innumerable factors design to push these bilateral ties on the boiling pot. The
nefarious colonial designs and weak internal political will invariably create problems
in identifying simple solutions of the lingering issues. In historical perspective it is
clear that India and Pakistan is the core states of South Asia, which are culturally
similar linguistically, unite geographically closed and historically related. But it is
strange that despite the geographical, historical and cultural similarity the relations
between these two states not so much smooth and peaceful. The demand for Pakistan
was itself based on distrust. Roots of this kind of relationship between India- Pakistan
can be seen in the colonial history of Indian subcontinent. British colonial rules
established a tradition by the partition of this subcontinent that creates a chain of
struggles, disputes and instability in the region. Bilateral relations between India and
Pakistan are undoubtedly the most important in South Asia and the world also. But
relations among both states not at all smooth in nature and has been full of ups and
downs.
A Brief Over view of History till 2000
Indo-Pak relations have been defined by the violent partition of British India in 1947, the Jammu
& Kashmir conflict and the numerous military conflicts fought between the two nations.
The partition of British India was one of the largest human migrations ever seen and sparked
bloody massacres of refugees across the region. It displaced up to 12.5 million people, with an
estimated loss of life of 1 million. India became a secular nation with a Hindu majority population
and a large Muslim minority, while Pakistan emerged as an Islamic republic with an
overwhelming Muslim majority population and a very small population subscribing to other
faiths.
1947-1948
The first war between India and Pakistan was fought over Jammu & Kashmir. Armed Pakistani
tribesmen aided by the newly created Pakistani Army invade Jammu & Kashmir in October 1947.
The legal ruler of the State of Jammu & Kashmir, Maharaja Hari Singh, faced with internal revolt
as well an external invasion, requested the assistance of the Indian armed forces and agreed to
accede to India. He handed over control of his defence, communications and foreign affairs to the
Indian government.
Fighting continued through the second half of 1948. The war officially ended on 1 January 1949,
when the United Nations (UN) arranged a ceasefire, with an established ceasefire line, a UN
peacekeeping force and the recommendation that a referendum on the accession of Jammu &
Kashmir to India be held.
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Pakistan controlled roughly one-third of the State of Jammu & Kashmir, referring to it as Azad
(Free) Jammu & Kashmir and claiming that it was semi-autonomous. A larger area, including the
former kingdoms of Hunza and Nagar, was controlled directly by the central Pakistani
government.
1965
In 1965, India and Pakistan fought their second war, that was preceded by skirmishes that took
place between the two nations between April and September. There were thousands of casualties
on both sides in the war, and it witnessed the largest engagement of armored vehicles and the
largest tank battle since World War II. It ended after a UN mandated ceasefire was declared
following diplomatic intervention by the Soviet Union and the United States (US), and the
subsequent signing of the Tashkent Declaration.
1971-1972
East Pakistan (now Bangladesh) became the reason for the third war between India and Pakistan.
The conflict between East and West Pakistan begins when the central Pakistani government that
was seated in West Pakistan, led by Zulfiqar Ali Bhutto, refused to allow Awami League leader
Sheikh Mujibur Rahman, an East Pakistan-based Bengali whose party won the majority of seats in
the 1970 parliamentary elections, to assume the premiership of the country.
The Pakistani military cracked down on protestors in the Dhaka March in 1971 in which students
and teachers were killed in large numbers. India became involved in the conflict in December,
after the Pakistani Air Force launched a pre-emptive strike on airfields in India's northwest. India
retaliated with a coordinated land, air and sea assault on East Pakistan. It compelled the Pakistani
Army to surrender at Dhaka and more than 90,000 Pakistani soldiers were taken prisoners of war.
East Pakistan becomes an independent country, Bangladesh, on 6 December 1971.
In July 1972, the Indian Prime Minister Indira Gandhi and her Pakistani counterpart Prime
Minister Zulifiqar Ali Bhutto signed an agreement in the Indian town of Simla, in which both
countries agreed to "put an end to the conflict and confrontation that have hitherto
marred bilateral relations and work for the promotion of a friendly and harmonious relationship
and the establishment of a durable peace in the subcontinent". Both sides agreed to settle any
disputes "by peaceful means through bilateral negotiations".
The Simla Agreement designated the ceasefire line of 17 December 1971 as being the new "Line
of Control (LoC)" between the two countries, which neither side was to seek to alter unilaterally,
and which "shall be respected by both sides without prejudice to the recognised position of either
side". The Simla Agreement was ratified by the Parliaments of both India and Pakistan in 1972.
1989
Armed insurgency in the Kashmir Valley began. Muslim political parties, after accusing the state
government of rigging the 1987 state legislative elections, formed militant wings.
Pakistan declares that it was providing "moral and diplomatic" support to the militants. However
it is widely believed internationally that Pakistan is actually complicit in stoking the insurgency by
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providing funding, directions, shelter, weapons and training to fighters. India is convinced that the
armed attacks against its forces in Jammu & Kashmir are a clear manifestation of "cross-border
terrorism" by Pakistan in pursuit of its policy of 'bleeding India through a thousand cuts'.
Pakistan denies this.
Militant groups taking part in the fight in the Kashmir Valley continued to emerge through the
1990’s, their ranks bolstered by a large influx of battle-hardened "Mujahideen" who had earlier
taken part in the Afghan war against the Soviets.
Despite centuries of communal harmony in Jammu & Kashmir between Muslims, Hindus and
Buddhists, the minority Hindu community of Jammu & Kashmir (Kashmiri Pandits) in the
Kashmir Valley was targeted by the militants and forced to migrate.
Many pan-Islamic terrorist groups like the Lashkar-e-Taibah (LeT), Jaish-e-Muhammad

(JeM) and Hizbul Mujahideen continued to be active in Jammu & Kashmir. It is widely believed
in international circles, including by several western governments, that these groups are
headquartered in Pakistan and Pakistan Administered Jammu & Kashmir. (For more about this
please click here)
1998
India detonated five nuclear devices at Pokhran. Pakistan responded by detonating six nuclear
devices of its own in the Chaghai Hills. The tests resulted in international sanctions being placed
on both countries. Both countries became the newest Nuclear-armed nations.
1999
Indian Prime Minister Atal Bihari Vajpayee travelled by bus to Lahore (newly opened Delhi–
Lahore Bus service) to meet Prime Minister Nawaz Sharif. The two signed the Lahore
Declaration, the first major agreement between the two countries since the 1972 Simla Agreement.
Both countries reiterated that they remained committed to the Simla Agreement, and agreed to
undertake a number of Confidence Building Measures (CBMs) aimed at improving bilateral
relations.
In May, the Kargil conflict broke out when Pakistani forces intruded and occupied strategic
positions on the Indian side of the LoC, prompting an Indian counter offensive in which Pakistani
forces were pushed back to their side of the original LoC.
Kargil was the first armed conflict between the two neighbours since they officially conducted
nuclear weapons tests. Recognition of the potential for escalation of this conflict and its wider
implications caused the then US President Bill Clinton to summon Pakistani Prime Minister
Nawaz Sharif and demand that he rein in his troops.
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What are the Area of Contention between India

and
Pakistan?
Kashmir:
• Due to political differences between the two countries, the territorial
claim of Kashmir has been the subject of wars in 1947, 1965 and a limited
conflict in 1999 and frequent ceasefire violations and promotion of
rebellion within the Indian side of Jammu and Kashmir.
• The then princely state remains an area of contention and is divided
between the two countries by the Line of Control (LoC), which demarcates
the ceasefire line agreed post-1947 conflict.
Siachen Glacier:
• Siachen Glacier is located in Northern Ladakh in the Karakoram Range.
• It is the 5th largest glacier in Karakoram Range and the 2nd largest glacier
in the world.
• Most of the Siachen Glacier is disputed between India and Pakistan.
• Before 1984, neither of the two countries had any permanent presence
on the glacier.
• Under the Shimla Agreement of 1972, the Siachen was called a barren
and useless.
• This Agreement also did not specify the boundary between India and
Pakistan.
• When India got intelligence that Pakistan was going occupy Siachen
Glacier, it launched Operation Meghdoot to reach the glacier first.
• Following the success of Operation Meghdoot, the Indian Army
obtained the area at a higher altitude and Pakistan army getting a much
lower altitude.
• Thus, India has a strategic advantage in this region.
• Following the 2003 armistice treaty between the two countries, firing
and bombardment have ceased in this area, though both the sides have
stationed their armies in the region.
Sir Creek Dispute:

• Sir Creek is a 96 km estuary in the Rann of Kutch.
• Rann of Kutch lies between Gujarat (India) and Sindh (Pakistan).
• The dispute lies in the interpretation of the maritime boundary line
between the two countries.
• Pakistan claims the entire Sir Creek in accordance with a 1914
agreement that was signed between the Government of Sindh and Rulers
of Kutch.
• India, on the other hand, claims that the boundary lies mid-channel as
per a 1925 map.
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• If one country agrees to the other’s position, the former will lose a vast
amount of Exclusive Economic Zone that is rich with gas and mineral
deposits.
Cross-Border terrorism and ceasefire violations:
• Cross-border terrorism has been an issue since independence.
• Despite the 2003 Ceasefire Agreement post-Kargil Conflict, there have
been regular ceasefire violations from the Pakistan side of the border since
2009, leading to the death and injury of security forces and civilians on
both sides.
• The Modi Government’s massive armed retaliation to Pakistan’s
ceasefire violations led to a rise in the number of infiltrations of terrorists
from across the LoC.
• Subsequent incidents of 2016 Pathankot attack and Uri attack resulted in
the ceasing of any effort to undertake bilateral talks between the two
countries, with Indian Prime Minister declaring that “talks and terrorism
cannot go hand in hand”.
• This was followed by surgical strikes by Indian Army across the LoC to
target the terror infrastructure in PoK.
• India’s current stand is that it will not undertake talks until Pakistan
tackle cross-border terrorism.
• Pakistan, in contrast, is ready for talks but with the inclusion of Kashmir
issue.
Kulbushan Jadhav case:
• Kulbushan Jadhav, a retired Naval Officer was arrested near the Iran-
Pakistan border in Baluchistan region by Pakistan.
• Pakistan accused him of espionage and spying. He was sentenced to
death by Pakistan’s military court.
• India states that Jadhav was a retired Naval Officer who was in Iran on a
business trip and was falsely framed by Pakistan.
• India, for many times, demanded consular access of Jadhav, which was
rejected by Pakistan, citing national security.
• This led to India approaching International Court of Justice (ICJ) and
stating that Pakistan was violating Vienna Convention by denying
Consular Access.
• The ICJ asked Pakistan to review Jadhav’s death sentence and allow
consular access.
Detailed Analysis of few important issues

Water dispute
Water, a resource that flows dynamically and disregards state boundaries,
poses a particular challenge to simplistic notions of state sovereignty. At
the same time dams and river management can engineer new flows and affect
downstream water availability, making transboundary waters a geopolitical
problem.
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Indus Water Treaty

The Indus Water Treaty (IWT), a water sharing agreement, covering three
Eastern and three Western rivers, between India and Pakistan, was signed nearly
60 years back. The Treaty has withstood the acrimonious relationship
between the two neighbours, including the three wars. It is not surprisingly
then that the IWT is considered as one of the most successful water-sharing
arrangements in the world today. (IFTIKHAR A. DRABU, Indus Water Treaty:
Beyond the rhetoric)
Ramaswamy R Iyer writes that at the time, it was necessary to develop
irrigation networks in western Punjab, now a part of Pakistan. Thus, the two
governments decided that Pakistan would have access to the Jhelum,
Chenab and the Indus itself, while India would use water from the Ravi, Beas
and Sutlej rivers. Certain restrictions were placed on India as the upper
riparian. On the rivers allocated to Pakistan, India was not allowed to build
storages. Restrictions were also imposed on the extension of irrigation
development in India (On Pakistan, the lower riparian, there were some
relatively less significant restrictions). There were also provisions regarding
the exchange of data on project operation, extent of irrigated agriculture,
and so on. The Treaty further mandated certain institutional arrangements:
permanent Indus Commission consisting of a Commissioner each for India
and for Pakistan, treaty provided an arbitration mechanism. The settlement
also included the provision of international financial assistance to Pakistan
for the development of irrigation works for utilising the waters allocated to it,
and India too paid a sum of approximately Pounds Sterling 62.06 million in
accordance with Article V of the Treaty. (India, Pakistan, and a History of
Water Sharing: Revisiting the Indus Water Treaty, EPW)
The ‘Sir Creek’ Dispute:

Sir Creek, the 17th and last drainage branch of the river Indus, is a
meandering riverine feature the low-lying marshy region of Rann of Kutch. The
Sir Creek boundary dispute between India and Pakistan is rooted in differing
interpretations of the 1914 resolution passed by the Government of
Bombay (GoB) or Bombay Residency. Pakistan claims that the international
boundary runs along the east bank of Sir Creek. Whereas India claims that the
boundary runs mid-channel on the ‘Thalweg’ principle.
The area is an acknowledged rich fishing ground. The significance of the
overlapping ‘grey zone EEZ’ has also increased because of the possibility of
hydrocarbon reserves. There is an added dimension of delimiting the
extended continental shelf among India, Pakistan and Oman, which is,
however, restricted to seabed resource exploitation. In addition, the socio-
economic effects arising from long imprisonment of fishermen of both countries,
varying from one to three years, cannot be ignored. The boundary dispute in the
Rann of Kutch region led to serious skirmishes between the police and militaries
of both countries during April–June 1965. In essence, the stakes have
‘resource’, ‘socio-economic’ and ‘security’ dimensions, thus giving the Sir
Creek dispute a ‘strategic’ connotation. (Raghavendra Mishra, The ‘Sir
Creek’ Dispute: Contours, Implications and the Way Ahead, IDSA)
Kishanganga Dispute
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THE dispute revolves around a hydroelectric power plant on the Kishanganga

River, which is a tributary of the Jhelum and is known as the Neelum in Pakistan.
Islamabad argues that the 1960 Indus Waters Treaty (IWT) gives Pakistan
control over the waters of the Indus, Chenab and Jhelum Rivers. Pakistan
argues that the Kishanganga project violates both conditions by changing
the course of the river and depleting the water level. In 2018, World Bank
has asked Pakistan to accept India's demand of a "neutral expert" and stand
down from pursuing its stand of referring the Kishanganga dam dispute to
the International Court of Arbitration (ICA).
Recent Concerns
The year 2019 was marked by a downward spiral in diplomatic relations
between the two South Asian neighbors of India and Pakistan. Among the
threats and cross-border strikes, India’s water minister also issued a
statement threatening to utilize all the waters of the Sutlej, Beas, and Ravi Rivers,
letting “not even a single drop of water to reach Pakistan.” The minister was
reiterating the statement of Prime Minister Narendra Modi following the Uri
attack in 2016 that “blood and water can’t flow together.” The preamble of the
treaty asserts that IWT was entered “in a spirit of goodwill and friendship.”
Since neither goodwill nor friendship exists at the moment, critics argue that
India has no obligation to continue with the treaty. (SAYANANGSHU MODAK,
India needs to keep the Indus waters treaty intact, ORF)
Diplomatic sources who have worked closely on India-Pakistan ties, and
experts who deal with water-sharing disputes, indicate that a possible reason for
not having done so all these years was to avoid an explosion of new water
wars within the country.
Is stopping the flow is practical and achievable?
Any blockade of the flow of water to Pakistan would essentially mean blocking
the flow of the three western rivers which incidentally contribute more than
80% of the flow of the Indus basin. The stoppage of the flow of water to Pakistan
can be achieved either by storing this water and/or diverting the flow of
these rivers.
Diversion: To illustrate, the volume of water 117 BCM is enough to inundate,
every year, nearly 120,000 sq kms to a height of say 1 metre. To put it in
perspective, the said volume would inundate the whole of Kashmir valley to
a height of 7 metres in just one year. (IFTIKHAR A. DRABU, Indus Water
Treaty: Beyond the rhetoric, ORF). Diverting flows of any one of the three
rivers would involve construction of a man-made river over hundreds of
kilometres and would pose enormous challenges in design, construction and
maintenance.
Storage: It takes nearly a decade to construct a typical storage the size of Tehri,
even if we start constructing 30 such storage(s) tomorrow, the actual
impounding of the water would happen only in say 2030. Till then, Pakistan will
not actually feel the pinch of the impounding. (IFTIKHAR A. DRABU, Indus
Water Treaty: Beyond the rhetoric, ORF)
In either the storage or the diversion proposal, Pakistan will not feel any impact
of either for at least next 30 to 50 years. Needles to mention, the environmental
impact of either of the above two options would be catastrophic. (IFTIKHAR A.
DRABU, Indus Water Treaty: Beyond the rhetoric, ORF)
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Can India Withdraw from the IWT?

Non exit Partnership: Asma Yaqoob argues that exiting the IWT is easier said than
done. Legally, the treaty is a “non-exit” partnership, and any concerted attempt to
deny Pakistan access to the Indus’ water would also damage India’s global
reputation. A unilateral withdrawal would not sit well with China and Nepal,
with whom India is a recipient of water sharing treaties.
India as a responsible global leader: While Pakistan doesn’t honour its own global
obligations, calls to abrogate the Indus Waters Treaty are knee-jerk emotional
responses that don’t factor in long-term and wide- ranging consequences for India in
the world. Any move by India towards abrogation would alarm other countries
which have rights of use over water from rivers that flow down from India and are
already embroiled in longstanding water disputes. (MAYA MIRCHANDANI Indus
Treaty: Why India cannot afford to fight fire with water)
• For a nation that sees itself as a responsible global leader, an emerging economy
and an aspirant for the UN’s highest table, India must honour its treaty
commitments over a resource that everyday lives depend on.
• The Indus Waters Treaty between two openly hostile nations is held up as a
gold standard globally — an example for other warring nation-states to follow
in the interest of civilian populations which suffer the consequences of war.
Deterioration of relations between the two countries.: In terms of water
availability for Pakistan, it would continue to receive the flows till India plans and
completes its storage and/or water diversion projects. The common man in
Pakistan will see it as India’s attempt to strangulate and starve his people and
his country. It would arouse fear and create uncertainty in his mind. Without
Pakistan actually feeling any impact of the abrogation of the Treaty, such an action
would only provide fodder to lobbies in Pakistan who are keen to see deterioration
of relations between the two countries. (IFTIKHAR A. DRABU, Indus Water Treaty:
Beyond the rhetoric, ORF)
India being a responsible upstream riparian: By keeping to the IWT, India could
leverage its position as a responsible upstream riparian when it engages with
China over water issue. China is an upstream riparian to some of the major rivers
flowing into India from Tibet, as well as a self-proclaimed “all-weather friend” to
Pakistan. (SAYANANGSHU MODAK, India needs to keep the Indus waters treaty
intact)
Kashmir issue
The conflict between India and Pakistan over Kashmir dates back to 1947
when the British withdrew from the subcontinent and the colonial empire
divided into two nation states. Kashmir acceded to India after an attack from
tribal invaders. However, Pakistan views Kashmir as an integral part of its
territory, owing to the strategic location and the valley’s Islamic identity. Since
then, the territory has been disputed between India and Pakistan, with bilateral
talks at times but, often, a militaristic approach to resolving the issue. (Majid
Alam, Pakistan’s Kashmir Policy Post-Article 370, THE DIPLOMAT)
Since Partition Kashmir has been a festering issue which has poisoned
relations between nuclear-armed India and Pakistan; has led to billions of
rupees squandered on defence spending by both countries; has caused three
wars; and has utterly stunted normal economic and trade relations between the
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two countries which could have helped lift millions of Indians and Pakistanis
from abject poverty.
On 5 August 2019, the government of Indian Prime Minister Narendra Modi
decided by presidential order to scrap Article 370 of the constitution. A direct
consequence of this action is that J&K as a state was abolished and replaced by
two Union Territories.
External Affairs Minister (EAM) S. Jaishankar’s remarks on Pakistan-occupied
Kashmir (PoK) during his interaction at The Heritage Foundation in Washington
on October 3, 2019, is one of the most significant expositions on the issue in
recent times. Reiterating India’s claims over PoK, EAM Jaishankar stated: “My
sovereignty and my jurisdiction is laid out by my maps. My maps have been there
for over 70 years. Now, that’s my claim. And naturally if I have a claim, as you
would have a claim, as anybody would have a claim, you would hope one day that if
there are territories in your claim over which you don’t have physical jurisdiction,
one day you will. It’s as simple as that.”
Abrogation of Article 370 of the Constitution has provided a fillip to India’s
position on PoK, signalling a paradigmatic shift in how it seeks to pursue its
strategic interests.
Response from Pakistan and International Community
Pakistan’s Kashmir policy in the last decade has been reactionary, largely
responding to India’s moves in the subcontinent. Indian soldiers observed this
characteristic during the violent protests following the killing of Kashmiri
militant leader Burhan Wani in 2016. Showing solidarity with the militant
leader, then-Pakistan Prime Minister Nawaz Sharif called Burhan Wani a
“martyr” and said July 19 will be observed in Pakistan as “Black Day” to express
solidarity with the people of Kashmir. (Majid Alam, Pakistan’s Kashmir Policy
Post-Article 370, THE DIPLOMAT)
After Abrogation of Article 370 Imran Khan immediately called the move
illegal and a violation of the UNSC resolutions on Kashmir and the Shimla
Agreement between the two countries. In an article for the New York Times,
Khan called the move an illegal annexation of Kashmir and warned of a
nuclear shadow looming over the world.
Imran Khan, addressing the UN General Assembly, rebuked India for its move,
warning of a “blood bath” in Kashmir. Khan’s policy on Kashmir and his
approach toward India had significantly changed. Imran Khan, who had earlier
talked about solving the issue through bilateral talks, now advocated for
international intervention on Kashmir.
Initial solidarity came from China, which said that it would support Pakistan in
“issues related to its core interests.” Turkey and Malaysia also supported
Pakistan on Kashmir. The Organization of Islamic Cooperation also called for
the peaceful resolution of the issue and maintained that Kashmir remained one
of the OIC’s topmost agenda items.
Saudi Arabia maintained neutrality over the Kashmir issue and backed India
on cross-border terror during Modi’s visit to Riyadh in October 2019. The UAE
too has described the decision to scrap Article 370 as India’s internal
matter. Moreover, four permanent members of the UN Security Council – the
United States, Russia, France, and the United Kingdom — rejected the Chinese
proposal for the council to take up the Kashmir issue.
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The U.S. State Department had earlier issued a balanced statement in August
2019, stating India’s insistence that the scrapping of Article 370 was India’s
internal matter. Analysts believe that India has replaced Pakistan as the United
States’ strategic partner, while Islamabad remains a tactical partner in the
subcontinent. (Majid Alam, Pakistan’s Kashmir Policy Post-Article 370, THE
DIPLOMAT)
Meanwhile, China is an increasingly important player in the subcontinent, and
considers Pakistan as “all-weather friend.” The ambitious China-Pakistan
Economic Corridor (CPEC) also has a strong stake in Kashmir, as it passes
through the Pakistan-administered part of the valley. Some analysts have
also claimed that the Kashmir issue provided the catalyst for the recent
standoff at the Galwan Valley between China and India. (Majid Alam,
Pakistan’s Kashmir Policy Post-Article 370, THE DIPLOMAT)
Future Strategy for India after Abrogation of Article 370
It has been argued that strengthening claims on PoK and injecting it into
India’s Kashmir strategy will potentially buttress India’s negotiating
capability, not only vis-a-vis Pakistan but also China, which too is in
possession of parts of the former princely state, including the Trans-Karakoram
Tract provisionally ceded to it by Pakistan in 1963. (Priyanka Singh, “Inserting
PoK into the Kashmir Conundrum”, IDSA Comment)
India’s Kashmir strategy in the past evolved against extreme pressures imposed
by the international community that was influenced by Pakistan-spurred
deceitful, anti-India propaganda. Pushing PoK high on India’s strategic
priorities will make India’s Kashmir policy more effective. However, India
must prepare to face some bigger challenges ahead. Below are a set of
measures that could serve as a primer to deal with such challenges.
Sustain Momentum: The first and foremost challenge is to sustain the present
momentum on PoK. In the coming days, it is all the more necessary that
institutional mechanisms are set up and bolstered to monitor developments in
PoK on a real-time basis. India must also be more open towards cultivating
people from the terrain who are willing to come on board and contribute
towards its broader policy objectives in PoK.
Shore up Public Awareness: There is an urgent need to widen the ambit of
knowledge and awareness on PoK before stimulating a meaningful discourse on
the subject. There is a need for more articulate and balanced voices on PoK. In
this context, raising India’s stand on PoK must spread across ideological aisles.
The MHA has a significant role to play in the dissemination of important facts
and data on PoK.
Sensitise International Public Opinion: On the external front, India must
undertake diplomatic efforts towards sensitising the international community
about its legitimate claims on PoK. Indian foreign office should target especially
those countries who are either involved in developmental/infrastructure
projects in PoK or are willing to do so. With friendly countries like the United
States, Japan and France showing their sensitivity to the Indian position on the
issue vis-à-vis Pakistan, India should activate its diplomatic missions to
communicate its policy shift with regard to Kashmir in general and PoK in
particular.
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China and the Balance of Power in Asia

India is a rising power, but its transformation is occurring in the shadow of
China’s even more impressive ascent. Beijing’s influence will almost certainly
continue to grow and has already upset Asia’s geopolitical balance. India must
decide how to secure its interests in this unbalanced environment by choosing
among six potential strategic options: staying unaligned, hedging, building
indigenous military power, forming regional partnerships, aligning with
China, or aligning with the United States (Rajesh Rajagopalan, “India’s
Strategic Choices: China and the Balance of Power in Asia”, Carnegie, India).
A closer alignment with Washington likely represents India’s best chance to
counter China, while efforts to foster regional partnerships and cultivate
domestic military capabilities, although insufficient by themselves, could play a
complementary role.
CHALLENGES POSED BY CHINA’S RISE
Direct military threat: China represents a direct military threat. China enjoys
critical terrain advantages along the Sino-Indian border, accentuated by far
superior transportation and communications infrastructure in bordering Tibet. The
possibility of another war (like that of 1962) might appear remote, but the
combination of China’s military power and its proclivity to use military force—
as most recently illustrated in the South China Sea—represent a serious threat.
China’s power in international institutions: China’s power in international
institutions ranging from the United Nations Security Council (UNSC) to the
Nuclear Suppliers’ Group (NSG) has at times proved to be an obstacle to Indian
foreign policy ambitions. In 2016, China thwarted India’s efforts to join the
NSG.
• China is likely to continue to obstruct India in this manner, and its
capacity to do so will only grow as its power increases. Moreover, as its
power grows, China has also started establishing international
institutions like the Asian Infrastructure Investment Bank and has also
been shaping other multilateral organizations to promote Chinese
interests, such as the BRICS and the Shanghai Cooperation Organization.
(Rajesh Rajagopalan, “India’s Strategic Choices: China and the Balance
of Power in Asia”, Carnegie, India).
China’s role of an external balancer against India in South Asia: China’s
willingness to play the role of an external balancer against India in South Asia is a
serious challenge, and, in some cases, a military threat. For Example: China’s
support has bolstered Pakistan’s military capabilities and accelerated the
development of Islamabad’s nuclear weapons and missile programs. Apart
from Pakistan, the enhancement of China’s relations with some other Indian
neighbours—including Bangladesh, the Maldives, Nepal, and Sri Lanka—
provides an understandable temptation for these smaller states to attempt to use
China to counter India’s natural domination of the region.
China as economic power: China has used its aid and trade policies to promote
its interests, and it is not difficult to imagine that it could use these tools to pressure
others, especially developing countries, to support China in a potential disagreement
with India. For example, Beijing has used economic boycotts to punish
countries like Norway and South Korea for actions deemed to be unfriendly to its
interests. China has also used aid to advance its foreign policy objectives in its
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relations with countries like the Philippines.(Evan Feigenbaum, “Is Coercion the
New Normal in China’s Economic Statecraft?” Macro Polo, INDIA’S POTENTIAL
POLICY RESPONSES)
India is a powerful state that dominates South Asia, a condition that has given
New Delhi a large margin for error and has historically encouraged Indian
decisionmakers to take a much more relaxed attitude toward its security than is
healthy. But China’s rise is significantly reducing India’s margin for error, and
Indian policymakers need to recognize this changed reality. For all these reasons,
India cannot afford to wait.
NONALIGNMENT: Countries can pursue a strategy of nonalignment to avoid
entanglement related to the balance of power in the international system,
thus enhancing their own strategic autonomy while also seeking benefits
from all sides of the great power equation.
Variants of nonalignment strategies
Military power: Building sufficient military capabilities could conceivably allow
India to deter China from using force against it or, if deterrence were to fail, to
defend itself. Having such military capabilities may also give India a freer hand in a
potential confrontation with its long-time rival Pakistan.
However, the army suffers from equipment shortages, especially artillery. In
addition, there are concerns about the adequacy of the army’s reserves as well as a
shortage of officers—issues that could potentially affect combat effectiveness.
(Sudhi Ranjan Sen, “Indian Army’s Ammunition Stock Will Exhaust After 10
Days of War: CAG Report,” India Today)
Hedging: is a variant of nonalignment that states can pursue in the context of
multiple significant security threats. Hedging is the strategy of remaining neutral
between two major security threats until one becomes sufficiently dangerous to
require siding with the other. Indeed, some proponents of contemporary
nonalignment may actually be hedgers, which would suggest that India should be
prepared for the possibility that “threatening behaviour by one of the major
powers could encourage or even force it [to] be closer to another.” (Khilnani et
al, Nonalignment 2.0)
Thus, while nonalignment is presumed to be a rigid ideological strategy, hedging

is a pragmatic means of retaining a choice to pick sides if need be, while
hoping that such a day never comes. There are at least two additional benefits
to a hedging strategy over nonalignment. Hedging is a risky strategy, even
though it is much more pragmatic than nonalignment.
An additional advantage of hedging over nonalignment is that it is a lot more
flexible. Hedging involves recognizing the need to respond to a threatening
environment and accepting that such a response might include aligning with
one side or another. However, Hedging also suffers from some
disadvantages.
For example: hedging assumes that India faces equal threats from both the
United States and China. This is obviously absurd. After all, for years Indian
decisionmakers have considered China to be a military threat and have
sometimes said so publicly, as Defense Minister George Fernandes did in 1998
when he declared China to be India’s top potential security threat. (John F.
Burns, “India’s New Defense Chief Sees Chinese Military Threat,” New York
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Times). By contrast, no shade of opinion in India considers the United States to

be even remotely a military threat to India.
Secondly, it is not clear that a pure hedging strategy between China and the
United States is possible anymore. For Example: As a recent rigorous
analysis of the hedging concept and its application in East Asia points out,
when it comes to dealing with China, “many regional states are engaging in
various forms of balancing, rather than hedging” (Darren J. Lim and Zack
Cooper, “Reassessing Hedging: The Logic of Alignment in East Asia,”
Security Studies). This is equally true of India. The actions of India and most of
China’s neighbors indicate that they already consider China (and not the United
States) a threat, even if they are careful in their public declarations.
Internal Balancing: Obviously, building up India’s domestic military capabilities is
necessary even if New Delhi adopts any of the other strategic choices. But internal
balancing focuses primarily on building up independent military capabilities
to counter external threats in a way that ideally obviates the need for external
alignments. Internal balancing is a corollary to nonalignment, in that the latter
presumes that a country has sufficient capacity for internal balancing.
Advantage of Nonalignment:
• Proponents of such a strategy assert that India could adopt a modified version of this
same strategy. It could also be argued that nonalignment would promise India a
measure of strategic autonomy by avoiding the potential pitfalls of alliances.
States in alliances face well-recognized conflicting pressures between avoiding
entrapment in others’ wars and abandonment by allies. (Snyder, Alliance Politics)
• Nonalignment would likely reduce tensions with other great powers over
India’s partnership choices. After all, any alignment with the United States would
be viewed unkindly by Beijing and seen as part of a U.S. attempt to contain China;
this would affect India’s ties with China and thus, potentially, also hurt India’s
economic prospects.
• Nonalignment would also help India avoid divisive internal debates about whom
India should align with.
Disadvantage of Nonalignment:
Nonalignment is difficult to pursue without a relatively benign security
environment. Nonalignment is not a feasible option for countries that face
significant security threats that cannot be countered by internal balancing alone.
When internal balancing is insufficient, external balancing becomes necessary. For
Example: India did face security threats from Pakistan and China during the
Cold War, when it was nonaligned.
Nonalignment might actually hurt India’s pursuit of strategic autonomy. States
pursue alignments because a power imbalance can be a greater threat to freedom of
action. When a country is facing serious threats, alignments can actually enhance
strategic autonomy. For Example: Even during the Cold War, New Delhi felt the
need to drop its nonalignment stance twice when threats developed suddenly—in
1962 (when India sought U.S. assistance in its war with China) and in 1971.
Recall that the Soviet Union had to cast several vetoes in the UNSC during the
Bangladesh War—India’s position would have been quite precarious without
this support.
POLICY OF ALIGNMENT
Variants of Alignment strategies
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1. Regional Balancing: Regional balancing is a strategy India could pursue to align

with other Asian countries in order to balance against China. Such partners
could include Australia, Japan, the Philippines, Singapore, and Vietnam. These
countries are also concerned about China’s rise and aggressiveness, and they
may be open to India playing a role in establishing a more favourable balance of
power in the region (Sharon Chen, “India Should Play Bigger Role in South China
Sea, Says Singapore,” Livemint) Over the last two decades, India’s Look East and
Act East policies have aimed at closer economic and strategic links with other
countries in the region. (Amitav Acharya, “India’s ‘Look East’ Policy,” in The
Oxford Handbook of Indian Foreign Policy)
Advantages of regional balancing

It would allow India to balance China without the disadvantage of aligning with
another great power such as the United States. Indeed, there is multipartisan
consensus in India over the need for enhancing India’s ties with countries in
Southeast and East Asia.
A regional balancing strategy would circumvent worries in some corners about a
new wave of U.S. isolationism and the prospect of U.S. unwillingness to balance
against China. There has been increasing concern in the United States about the
cost of the country’s global commitments. Some U.S. strategists have argued that
these commitments are unnecessary and wasteful, calling for Washington to adopt a
more restrained strategy. (Barry Posen, Restraint: A New Foundation for U.S.
Grand Strategy). If India were to emphasize building strategic partnerships with
other Asia Pacific powers, regional balancing could also provide an alternative route
if the United States should prove to be an unfaithful partner. (Rajesh Rajagopalan,
“India’s Strategic Choices: China and the Balance of Power in Asia”, Carnegie,
India)
Unlike an alignment with another great power, India would likely be the more
powerful partner in the relationships that would form a regional alignment in
Asia, where only Japan is of comparable power. This would likely reduce potential
concerns in New Delhi that other great powers may seek to use India as a pawn in
their great power games. (Rajesh Rajagopalan, “India’s Strategic Choices: China
and the Balance of Power in Asia”, Carnegie, India)
This strategy has an inherent legitimacy. A regional balancing strategy involves
defending small powers against a local hegemon, which is an eminently
justifiable and legitimate task. Moreover, India is part of the Indo-Pacific region, not
an interloper that is exploiting the region for its own benefit.
Drawbacks to a regional balancing strategy
The most important one is that China is likely much too strong already for
regional states to balance against it. Balancing becomes progressively more
difficult as the power disparity between a leading power in a region and its
neighbors grows. At a certain point, when the leading power accrues close to a
majority of the region’s total military expenditures, balancing becomes nearly
impossible. (Davide Fiammenghi, “The Security Curve and the Structure of
International Politics: A Neorealist Synthesis,” International Security)
Geography and the challenge of coordination add to the problem. India’s
potential regional partners against China are separated by vast swathes of water,
which tends to be the most difficult geographical obstacle to military power
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projection. Although a couple of the Southeast Asian countries are clustered closer
together, they also would be the weakest members of any such regional alliance.
Alliance with even weaker powers does not solve some of the problems of
alliance politics, such as burden sharing. There tends to be a temptation among
weaker powers to let the stronger members of any alliance pull the most weight. So,
in a potential Asian regional alliance, Australia, Japan, and India would probably
carry most of the burden of balancing China. (Rajesh Rajagopalan, “India’s
Strategic Choices: China and the Balance of Power in Asia”, Carnegie, India)
2. Bandwagoning or Balancing with the United States
Aligning more closely with the United States is India’s last strategic option. To
reiterate, further advancing such a partnership does not require a formal treaty
alliance but rather a deep and abiding relationship of strategic empathy
grounded in only one shared basis: a common interest in together
balancing against China to ensure that it does not become the hegemonic
power in Asia. A relationship based on balancing like military cooperation and
much more. For example: Communications Compatibility and Security
Agreement (COMCASA), Logistics Exchange Memorandum of Agreement
(LEMOA) and the Basic Exchange and Cooperation Agreement for Geo-spatial
Cooperation (BECA).
The primary purpose of the strategic choices considered here is the need to
tackle the challenge of China’s rise. Even those Indian analysts who are
skeptical of deeper U.S.-India ties nevertheless agree that China is “a shared
concern.” (Shyam Saran, “A Lopsided Strategic Partnership,” Business
Standard)
The most important benefit of deepening such a partnership is that this would
help India balance China. This is a unique benefit that by itself should suffice as
the basis of a partnership, because no other country aside from the United
States, or even a combination of countries, can provide India this benefit.
The United States is an attractive partner because of four factors: its power,
its self-interest, its external balancing strategy, and its willingness to partner
with India. (Rajesh Rajagopalan, “India’s Strategic Choices: China and the
Balance of Power in Asia”, Carnegie, India)
The United States also shares India’s interest in ensuring that China does
not dominate the Asia Pacific. Each side has slightly different reasons: for
India, China’s hegemony over Asia would be a direct security threat that would
severely constrain New Delhi’s strategic autonomy. For the United States, China
is not (yet) as direct a military threat, but China’s potential domination of the
Asia Pacific is an unprecedented challenge to U.S. global dominance.
The United States will have to balance China not only because China seeks
hegemony in Asia but also because none of the other Asian powers are likely to
be strong enough to balance China. (John J. Mearsheimer and Stephen M. Walt,
“The Case for Offshore Balancing: A Superior U.S. Grand Strategy,” Foreign
Affairs)
Advantages of Bandwagoning or Balancing with the United States
Such a partnership can help India in balancing China, as a combined result of
U.S. capacity, self-interest, external balancing strategy, and willingness to
partner with India.
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The benefit to partnering with the United States is that this may be the most viable
way of attempting to ensure that no single Asian power dominates. Admittedly, in
the current context, the only Asian power that could dominate Asia is China, which
might make this benefit appear redundant.
U.S. has the capacity to advance Indian interests in multilateral forums. India has
already benefited from the United States’ enormous capacity in such settings: under
the U.S.-India nuclear deal, the United States single-handedly changed the
global rules regulating nuclear commerce to exempt India from some of these
rules. India will continue to look to Washington to support it, not only in the NSG
but also in other technology control regimes. In addition, India will need U.S.
support in its pursuit of a permanent seat on the UNSC and possibly on other
global governance issues.
It would enhance India’s autonomous technological and military capabilities. India
can benefit from this U.S. advantage. A closer strategic relationship would likely
increase U.S. willingness to enhance Indian capacities, especially in areas such as
avionics.
3. A Theoretical Alignment with China
India could also take the counterintuitive step of exploring the theoretical
possibility of an alignment with China. It must be noted, again, that such an
alignment would not necessitate an actual military alliance. Both India and
China tend to be wary of formal partnerships, but both have worked closely with
others in the past, even without the benefit of formal alliances: India with the
Soviet Union, and China with both the United States and Pakistan. (Rajesh
Rajagopalan, “India’s Strategic Choices: China and the Balance of Power in
Asia”, Carnegie, India)
Nevertheless, this option must be considered seriously. Aligning with a powerful
state like China would have at least some significant advantages that should
not be ignored in any Indian strategic calculation.
Advantages
An important Indian objective with regard to a powerful neighbour like China is to
avoid becoming its target, and this type of bandwagoning is not an uncommon tactic
in international politics. (Walt, Origins of Alliances)
Another potential benefit of such an alignment is that China might then be willing to
shift gears and support Indian strategic goals, such as membership on the UNSC
or in the NSG. Weaker states often bandwagon with stronger states in order to
benefit from their power—a strategy called bandwagoning for profit. Before China’s
regional behaviour became aggressive, many of its neighbors were essentially
bandwagoning with it. India’s relationship with the United States after the Cold War
is another example. (David C. Kang, “Getting Asia Wrong: The Need for New
Analytical Frameworks,” International Security)
A third benefit for India from such an alignment is that it could perhaps cut away
one of the strongest pillars of Pakistan’s strategic policy. China is undoubtedly a
more serious threat to India, but Pakistan arguably constitutes a more immediate
challenge. Pakistan has benefited enormously from China’s patronage and continues
to do so.
Important drawbacks of aligning with China

First, most obviously, India and China went to war in 1962 and are still locked in a
territorial dispute that remains a constant sore spot in the relationship. It is difficult
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to align with a country with which one has fought a war and continues to have
a border dispute.
A second serious difficulty to forming a Sino-Indian alignment is the lack of a
common adversary. Alliances are generally motivated by enmities. But there is no
possible target for a balancing alliance with China.
Third, bandwagoning with China would, by definition, relegate India to being a
junior partner, as it is always the weaker state that seeks to bandwagon. Being a
junior partner comes with clear disadvantages including, most obviously, the
reality that China’s interests would be put ahead of India’s. Given New Delhi’s
global ambitions, such a bandwagoning choice is also likely to be domestically
unpalatable. (Rajesh Rajagopalan, “India’s Strategic Choices: China and the
Balance of Power in Asia”, Carnegie, India)
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THE INTERNATIONAL MONETARY FUND

The International Monetary Fund (IMF) is an organization of 189 member countries, each of
which has representation on the IMF's executive board in proportion to its financial
importance, so that the most powerful countries in the global economy have the most voting
power.
Objective
• Foster global monetary cooperation

• Secure financial stability
• Facilitate international trade
• Promote high employment and sustainable economic growth
• And reduce poverty around the world
History
▪ The IMF, also known as the Fund, was conceived at a UN conference in Bretton
Woods, New Hampshire, United States, in July 1944.
▪ The 44 countries at that conference sought to build a framework for economic cooperation
UNACADEMY
to avoid a repetition of the competitive devaluations that had contributed to the Great
Depression of the 1930s.
▪
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Countries were not eligible for membership in the International Bank for Reconstruction
and Development (IBRD) unless they were members of the IMF.
▪ IMF, as per Bretton Woods agreement to encourage international financial cooperation,

introduced a system of convertible currencies at fixed exchange rates, and replaced gold
with the U.S. dollar (gold at $35 per ounce) for official reserve.
▪ After the Bretton Woods system (system of fixed exchange rates) collapsed in the
1971, the IMF has promoted the system of floating exchange rates. Countries are free to
choose their exchange arrangement, meaning that market forces determine the value of
currencies relative to one another. This system continues to be in place today.
▪ During 1973 oil crisis, IMF estimated that the foreign debts of 100 oil-importing developing
countries increased by 150% between 1973 and 1977, complicated further by a worldwide
shift to floating exchange rates. IMF administered a new lending program during 1974–
1976 called the Oil Facility. Funded by oil-exporting nations and other lenders, it was
available to nations suffering from acute problems with their balance of trade due to the
rise in oil prices.
▪ IMF was one of the key organisations of the international economic system; its design
allowed the system to balance the rebuilding of international capitalism with the
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maximisation of national economic sovereignty and human welfare, also known

as embedded liberalism.
▪ The IMF played a central role in helping the countries of the former Soviet bloc transition
from central planning to market-driven economies.
▪ In 1997, a wave of financial crises swept over East Asia, from Thailand to Indonesia to
Korea and beyond. The International Monetary Fund created a series of bailouts (rescue
packages) for the most-affected economies to enable them to avoid default, tying the
packages to currency, banking and financial system reforms.
▪ Global Economic Crisis (2008): IMF undertook major initiatives to strengthen surveillance
to respond to a more globalized and interconnected world. These initiatives included
revamping the legal framework for surveillance to cover spill-overs (when economic
policies in one country can affect others), deepening analysis of risks and financial systems,
stepping up assessments of members’ external positions, and responding more promptly
to concerns of the members.
Functions
▪ Provides Financial Assistance: To provide financial assistance to member countries with

balance of payments problems, the IMF lends money to replenish international reserves,
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stabilize currencies and strengthen conditions for economic growth. Countries must
embark on structural adjustment policies monitored by the IMF.
▪ IMF
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Surveillance: It oversees the international monetary system and monitors the
economic and financial policies of its 189 member countries. As part of this process, which
takes place both at the global level and in individual countries, the IMF highlights possible
risks to stability and advises on needed policy adjustments.
▪ Capacity Development: It provides technical assistance and training to central banks,

finance ministries, tax authorities, and other economic institutions. This helps countries
raise public revenues, modernize banking systems, develop strong legal frameworks,
improve governance, and enhance the reporting of macroeconomic and financial data. It
also helps countries to make progress towards the Sustainable Development Goals (SDGs).
Governance
▪ Board of Governors: It consists of one governor and one alternate governor for each
member country. Each member country appoints its two governors.
o It is responsible for electing or appointing executive directors to the Executive Board.
o Approving quota increases, Special Drawing Right allocations,
o Admittance of new members, compulsory withdrawal of member,
o Amendments to the Articles of Agreement and By-Laws.
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o Board of Governors is advised by two ministerial committees, the International

Monetary and Financial Committee (IMFC) and the Development Committee.
o Boards of Governors of the IMF and the World Bank Group normally meet once a year,
during the IMF–World Bank Annual Meetings, to discuss the work of their respective
institutions.
▪ Ministerial Committees: The Board of Governors is advised by two ministerial committees,
o International Monetary and Financial Committee (IMFC): IMFC has 24 members, drawn
from the pool of 189 governors, and represents all member countries.
• It discusses the management of the international monetary and financial system.
• It also discusses proposals by the Executive Board to amend the Articles of

Agreement.
• And any other matters of common concern affecting the global economy.
o Development Committee: is a joint committee(25 members from Board of Governors

of IMF & World Bank), tasked with advising the Boards of Governors of the IMF and the
World Bank on issues related to economic development in emerging market and
developing countries.
▪ UNACADEMY
It serves as a forum for building intergovernmental consensus on critical development
issues.
▪
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Executive Board: It is 24-member Executive Board elected by the Board of Governors.
o It conducts the daily business of the IMF and exercises the powers delegated to it by the
Board of Governors & powers conferred on it by the Articles of Agreement.
o It discusses all aspects of the Fund’s work, from the IMF staff's annual health checks of
member countries' economies to policy issues relevant to the global economy.
o The Board normally makes decisions based on consensus, but sometimes formal votes
are taken.
o Votes of each member equal the sum of its basic votes (equally distributed among all
members) and quota-based votes. A member’s quota determines its voting power.
▪ IMF Management: IMF’s Managing Director is both chairman of the IMF’s Executive Board
and head of IMF staff. The Managing Director is appointed by the Executive Board by voting
or consensus.
▪ IMF Members: Any other state, whether or not a member of the UN, may become a
member of the IMF in accordance with IMF Articles of Agreement and terms prescribed by
the Board of Governors.
o Membership in the IMF is a prerequisite to membership in the IBRD.
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o Pay a quota subscription: On joining the IMF, each member country contributes a certain
sum of money, called a quota subscription, which is based on the country’s wealth and
economic performance (Quota Formula).
• It is a weighted average of GDP (weight of 50 percent)
• Openness (30 percent),
• Economic variability (15 percent),
• International reserves (5 percent).
• GDP of member country is measured through a blend of GDP—based on market

exchange rates (weight of 60 percent) and on PPP exchange rates (40 percent).
• Special Drawing Rights (SDRs) is the IMF’s unit of account and not a currency.
1. The currency value of the SDR is determined by summing the values in U.S. dollars,
based on market exchange rates, of a SDR basket of currencies
2. SDR basket of currencies includes the U.S. dollar, Euro, Japanese yen, pound sterling
and the Chinese renminbi (included in 2016).
3. The SDR currency value is calculated daily (except on IMF holidays or whenever the
IMF is closed for business) and the valuation basket is reviewed and adjusted every
five years. UNACADEMY
• USE(expressed)
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in SDRs.
• SDRs represent a claim to currency held by IMF member countries for which they may
be exchanged.
o Members’ voting power is related directly to their quotas (the amount of money they
contribute to the institution).
o IMF allows each member country to choose its own method of determining the exchange
value of its money. The only requirements are that the member no longer base the value
of its currency on gold (which has proved to be too inflexible) and inform other members
about precisely how it is determining the currency’s value.
IMF and India
▪ International regulation by IMF in the field of money has certainly contributed towards
expansion of international trade. India has, to that extent, benefitted from these fruitful
results.
▪ Post-partition period, India had serious balance of payments deficits, particularly with the
dollar and other hard currency countries. It was the IMF that came to her rescue.
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▪ The Fund granted India loans to meet the financial difficulties arising out of the Indo–Pak
conflict of 1965 and 1971.
▪ From the inception of IMF up to March 31, 1971, India purchased foreign currencies of the
value of Rs. 817.5 crores from the IMF, and the same have been fully repaid.
▪ Since 1970, the assistance that India, as other member countries of the IMF, can obtain
from it has been increased through the setting up of the Special Drawing Rights (SDRs
created in 1969).
▪ India had to borrow from the Fund in the wake of the steep rise in the prices of its imports,
food, fuel and fertilizers.
▪ In 1981, India was given a massive loan of about Rs. 5,000 crores to overcome foreign
exchange crisis resulting from persistent deficit in balance of payments on current account.
▪ India wanted large foreign capital for her various river projects, land reclamation schemes
and for the development of communications. Since private foreign capital was not
forthcoming, the only practicable method of obtaining the necessary capital was to borrow
from the International Bank for Reconstruction and Development (i.e. World Bank).
▪ India has availed of the services of specialists of the IMF for the purpose of assessing the
state of the Indian economy. In this way India has had the benefit of independent scrutiny
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▪ USE
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position of India having gone utterly out of gear on account of the
oil price escalation since October 1973, the IMF has started making available oil facility by
setting up a special fund for the purpose.
▪ Early 1990s when foreign exchange reserves – for two weeks’ imports as against the
generally accepted 'safe minimum reserves' of three month equivalent — position were
terribly unsatisfactory. Government of India's immediate response was to secure an
emergency loan of $2.2 billion from the International Monetary Fund by pledging 67 tons
of India's gold reserves as collateral security. India promised IMF to launch several
structural reforms (like devaluation of Indian currency, reduction in budgetary and fiscal
deficit, cut in government expenditure and subsidy, import liberalisation, industrial policy
reforms, trade policy reforms, banking reforms, financial sector reforms, privatization of
public sector enterprises, etc.) in the coming years.
▪ The foreign reserves started picking up with the onset of the liberalisation policies.
▪ India has occupied a special place in the Board of Directors of the Fund. Thus, India had
played a creditable role in determining the policies of the Fund. This has increased the
India’s prestige in the international circles.
IMF‘s Criticism
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▪ IMF’s governance is an area of contention. For decades, Europe and the United States have
guaranteed the helm of the IMF to a European and that of the World Bank to an American.
The situation leaves little hope for ascendant emerging economies that, despite modest
changes in 2015, do not have as large an IMF voting share as the United States and Europe.
▪ Conditions placed on loans are too intrusive and compromise the economic and political
sovereignty of the receiving countries. 'Conditionality' refers to more forceful conditions,
ones that often turn the loan into a policy tool. These include fiscal and monetary policies,
including such issues as banking regulations, government deficits, and pension policy. Many
of these changes are simply politically impossible to achieve because they would cause too
much domestic opposition.
▪ IMF imposed the policies on countries without understanding the distinct characteristics of
the countries that made those policies difficult to carry out, unnecessary, or even counter-
productive.
▪ Policies were imposed all at once, rather than in an appropriate sequence. IMF demands
that countries it lends to privatize government services rapidly. It results in a blind faith in
the free market that ignores the fact that the ground must be prepared for privatization.
IMF Reforms
▪ UNACADEMY
IMF Quota: a member can borrow up to 200 percent of its quota annually and 600 percent
cumulatively. However, access may be higher in exceptional circumstances.
▪
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IMF quota simply means more voting rights and borrowing permissions under IMF. But it is
unfortunate that IMF Quota’s formula is designed in such a way that USA itself has 17.7%
quota which is higher than cumulative of several countries. The G7 group contains more
than 40% quota where as countries like India & Russia have only 2.5% quota in IMF.
▪ Due to discontent with IMF, BRICS countries established a new organization called BRICS
bank to reduce the dominance of IMF or World Bank and to consolidate their position in
the world as BRICS countries accounts for 1/5th of WORLD GDP and 2/5th of world
population.
▪ It is almost impossible to make any reform in the current quota system as more than 85%
of total votes are required to make it happen. The 85% votes does not cover 85% countries
but countries which have 85% of voting power and only USA has voting share of around
17% which makes it impossible to reform quota without consent of developed countries.
▪ 2010 Quota Reforms approved by Board of Governors were implemented in 2016 with
delay because of reluctance from US Congress as it was affecting its share.
▪ Combined quotas (or the capital that the countries contribute) of the IMF increased to a
combined SDR 477 billion (about $659 billion) from about SDR 238.5 billion (about $329
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billion). It increased 6% quota share for developing countries and reduced same share of
developed or over represented countries.
▪ More representative Executive Board: 2010 reforms also included an amendment to

the Articles of Agreement established an all-elected Executive Board, which facilitates a
move to a more representative Executive Board.
▪ The 15th General Quota Review (in process) provides an opportunity to assess the
appropriate size and composition of the Fund’s resources and to continue the process of
governance reforms.
UNACADEMY
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WORLD BANK GROUP

With 189 member countries, the World Bank Group is a unique global partnership: five
institutions working for sustainable solutions that reduce poverty and build shared prosperity
in developing countries.
▪ The Bank Group works with country governments, the private sector, civil society
organizations, regional development banks, think tanks, and other international
institutions on issues ranging from climate change, conflict, and food security to education,
agriculture, finance, and trade.
A Group of Institutions
Together, the International Bank for Reconstruction and Development (IBRD) and
International Development Association (IDA) form the World Bank, which provides financing,
policy advice, and technical assistance to governments of developing countries. While the
World Bank Group consists of five development institutions.
▪ International Bank for Reconstruction and Development (IBRD) provides loans, credits,
and grants.
▪
income countries.
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International Development Association (IDA) provides low- or no-interest loans to low-
▪ The International
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Finance Corporation (IFC) provides investment, advice, and asset
management to companies and governments.
▪ The Multilateral Guarantee Agency (MIGA) insures lenders and investors against political
risk such as war.
▪ The International Centre for the Settlement of Investment Disputes (ICSID) settles
investment-disputes between investors and countries.
All of these efforts support the Bank Group’s twin goals of ending extreme poverty by
2030 and boosting shared prosperity of the poorest 40% of the population in all countries.
History
▪ The Bretton Woods Conference, officially known as the United Nations Monetary and
Financial Conference, was a gathering of delegates from 44 nations that met from July 1 to
22, 1944 in Bretton Woods, New Hampshire (USA), to agree upon a series of new rules for
international financial and monetary order after the conclusion of World War II.
▪ The two major accomplishments of the conference were the creation of the International
Bank for Reconstruction and Development (IBRD) and International Monetary Fund
(IMF).
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▪ Founded in 1944, the International Bank for Reconstruction and Development (IBRD) —
soon called the World Bank — has expanded to a closely associated group of five
development institutions.
▪ Originally, its loans helped rebuild countries devastated by World War II. In time, the
focus shifted from reconstruction to development, with a heavy emphasis
on infrastructure such as dams, electrical grids, irrigation systems, and roads.
▪ With the founding of the International Finance Corporation (IFC) in 1956, the institution
became able to lend to private companies and financial institutions in developing
countries.
▪ Founding of the International Development Association (IDA) in 1960 put greater

emphasis on the poorest countries, part of a steady shift toward the eradication of
poverty becoming the Bank Group’s primary goal.
▪ International Centre for Settlement of Investment Disputes (ICSID) founded

in 1966 settles investment disputes between investors and countries.
▪ Multilateral Investment Guarantee Agency (MIGA) founded in 1988 insures lenders and
investors against political risk such as war.
International Bank for Reconstruction and Development (IBRD)
▪
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Following the recovery from World War II, the International Bank of Reconstruction and
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Development broadened its mandate to increasing global economic growth and eliminating
poverty.
▪ The Bank only finances sovereign governments directly or projects backed by sovereign
governments.
▪ Today, the IBRD focuses its services on middle-income countries or countries where
the per capita income ranges from $1,026 to $12,475 per year. These countries, like
Indonesia, India, and Thailand, are often home to fast-growing economies that attract a lot
of foreign investment and large infrastructure building projects.
▪ At the same time, middle-income countries are home to 70% of the world’s poor
people, as the benefits of this economic growth are unevenly distributed across their
populations.
▪ Governance of IBRD:
o IBRD Boards of Governors: The Boards of Governors consist of one Governor and one
Alternate Governor appointed by each member country. The office is usually held by the
country's minister of finance, governor of its central bank. The Board of Governors
delegates most of its authority over daily matters such as lending and operations to the
Board of Directors.
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o IBRD Board of Directors: The Board of Directors consists of currently 25 executive

directors and is chaired by the President of the World Bank Group. Executive Directors
are appointed or elected by the Governors. Executive Directors select the World Bank
President, who is the Chairman of the Board of Directors. Executive Directors
are authorised for daily matters such as lending and operations.
▪ IBRD raises most of its funds in the world's financial markets. This has allowed it to provide
more than $500 billion in loans to alleviate poverty around the world since 1946, with its
shareholder governments paying in about $14 billion in capital.
▪ IBRD has maintained a triple-A rating since 1959. This high credit rating allows it to borrow
at low cost and offer middle-income developing countries access to capital
on favourable terms — helping ensure that development projects go forward in a more
sustainable manner.
▪ IBRD earns income every year from the return on its equity and from the small margin it
makes on lending. This pays for World Bank operating expenses, goes into reserves to
strengthen the balance sheet, and provides an annual transfer of funds to IDA, the fund
for the poorest countries.
International Finance Corporation (IFC)
▪ UNACADEMY
IFC is the largest global development institution focused exclusively on the private sector
in developing countries. The Bank Group has set two goals for the world to achieve by
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2030: end extreme poverty and promote shared prosperity in every country.
▪ It is a private-sector arm of the World Bank Group, to advance economic development by

investing in for-profit and commercial projects for poverty reduction and promoting
development.
▪ IFC is also a leading mobilizer of third-party resources for projects.
▪ Governance of IFC
o IFC Boards of Governors: The Boards of Governors consist of one Governor and one
delegates most of its authority over daily to the Board of Directors.
o IFC Board of Directors: The Board of Directors consists of executive directors and is
chaired by the President of the World Bank Group. Executive Directors are appointed or
elected by the Governors. Voting power on issues brought before them is weighted
according to the share capital each director represents. The directors meet regularly to
review and decide on investments and provide overall strategic guidance to IFC
management.
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▪ IFC raises virtually all funds for lending activities through the issuance of debt obligations
in international capital markets. Our borrowings are diversified by country, currency,
source, and maturity in order to provide flexibility and cost-effectiveness.
▪ Since first being rated in 1989, IFC has been rated triple-A every year by Standard and
Poor's and by Moody's. Our high credit rating is essential for maintaining our ability to
access markets globally and to maintain our low cost of funding.
▪ IFC makes loans to businesses and private projects generally with maturities of seven to
twelve years. It determines a suitable repayment schedule and grace period for each loan
individually to meet borrowers' currency and cash flow requirements. It may provide
longer-term loans or extend grace periods if a project is deemed to warrant it.
▪ It does not have a policy of uniform interest rates for its investments. The interest rate is
to be negotiated in each case in the light of all relevant factors, including the risks
involved and any right to participation in profits, etc.
▪ Through its Global Trade Finance Program, the IFC guarantees trade payment obligations
of more than 200 approved banks in over 80 countries to mitigate risk for international
transactions. The Global Trade Finance Program provides guarantees to cover payment
risks for emerging market banks regarding promissory notes, bills of exchange, letters of
credit, bid and performance bonds, supplier credit for capital goods imports, and advance
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▪ IFC attempts to guideUSE
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toward more sustainable practices particularly with
regards to having good governance, supporting women in business, and proactively
combating climate change.
International Development Association (IDA)
▪ IDA is the part of the World Bank that helps the world’s poorest countries. Overseen by
173 shareholder nations, IDA aims to reduce poverty by providing loans (called “credits”)
and grants for programs that boost economic growth, reduce inequalities, and improve
people’s living conditions.
▪ IDA is one of the largest sources of assistance for the world’s 75 poorest countries, 39 of
which are in Africa, and is the single largest source of donor funds for basic social services
in these countries.
▪ IDA supports a range of development activities that pave the way toward equality,
economic growth, job creation, higher incomes, and better living conditions. IDA's
work covers primary education, basic health services, clean water and sanitation,
agriculture, business climate improvements, infrastructure, and institutional reforms.
▪ Governance of IDA:
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o IDA Boards of Governors: The Boards of Governors consist of one Governor and one
delegates most of its authority over daily matters such as lending and operations to the
Board of Directors.
o IDA Board of Directors: The Board of Directors consists of executive directors and is
chaired by the President of the World Bank Group. Executive Directors are appointed or
elected by the Governors.
▪ IDA lends money on concessional terms. This means that IDA credits have a zero or very
low-interest charge and repayments are stretched over 30 to 38 years, including a 5- to 10-
year grace period. IDA also provides grants to countries at risk of debt distress.
▪ To borrow from the IDA's concessional lending programs, a country's gross national
income (GNI) per capita must not exceed $ 1,145 (the fiscal year 2019).
▪ IDA also provides significant levels of debt relief through the Heavily Indebted Poor
Countries (HIPC) Initiative and the Multilateral Debt Relief Initiative (MDRI).
International Centre for Settlement of Investment Disputes (ICSID)
▪ ICSID was established in 1966 by the Convention on the Settlement of Investment Disputes
UNACADEMY
between States and Nationals of Other States (the ICSID Convention). The ICSID Convention
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is a multilateral treaty formulated by the Executive Directors of the World Bank to further
the Bank’s objective of promoting international investment.
▪ States have agreed on ICSID as a forum for investor-State dispute settlement in

most international investment treaties and in numerous investment laws and contracts.
▪ Bilateral investment treaties (BITs) are proliferating, many such treaties contain text
that refers present and future investment disputes to the ICSID.
▪ ICSID provides for settlement of disputes by conciliation, arbitration or fact-finding.
▪ Governance of ICSID
o Administrative Council:
• One representative of each Member State, and one vote per State.
• Adopts ICSID arbitration, conciliation and fact-finding rules.
• Adopts an annual budget and approves annual report.
• Elects Secretary-General and Deputy Secretaries-General.
• Each State designates persons to a list of arbitrators and conciliators.
o Secretariat:
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• Led by Secretary-General. Provides technical and administrative support to

proceedings.
• Offers training and technical assistance to governments and the public.
• Contributes to the development of investment law through publishing and outreach.
o ICSID Panel of Arbitrators and Panel of Conciliators:
• Each ICSID Member State may designate four persons to each Panel.
o Conciliation Commission or Arbitral Tribunal: an Arbitral tribunal or Conciliation

Commission is constituted by Secretary-General. In most instances, the tribunals consist
of three arbitrators: one appointed by the investor, another appointed by the
State, and the third, presiding arbitrator appointed by agreement of both parties.
▪ Each case is considered by an independent Conciliation Commission or Arbitral

Tribunal, after hearing evidence and legal arguments from the parties. A dedicated ICSID
case team is assigned to each case and provides expert assistance throughout the process.
▪ An ICSID award according to Article 53 of the ICSID Convention is final and binding and
immune from appeal or annulment, other than as provided in the ICSID Convention.
Multilateral Investment Guarantee Agency (MIGA)
▪
UNACADEMY
MIGA is a member of the World Bank Group and its mandate is to promote cross-border
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investment in developing countries by providing guarantees (political risk insurance and
credit enhancement) to investors and lenders.
▪ MIGA was created to complement public and private sources of investment

insurance against non-commercial risks (currency inconvertibility and transfer restriction;
government expropriation; war, terrorism, and civil disturbance; breaches of
contract; and the non-honouring of financial obligations) in developing countries.
▪ MIGA convention that defined its core mission was submitted to the Board of Governors
of the IBRD in 1985 and went into establishing MIGA as the newest member of the World
Bank Group in 1988.
▪ The Convention can be amended by the Council of Governors of MIGA.
▪ The agency opened for business as a legally separate and financially independent
entity. Membership was open to all IBRD members.
▪ Governance of MIGA
o Council of Governors: MIGA is governed by its Council of Governors which represents its
member countries. The Council of Governors holds corporate authority, but primarily
delegates such powers to MIGA's Board of Directors.
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o MIGA Board of Directors: The Board of Directors consists of directors and votes on
matters brought before MIGA. Each director's vote is weighted in accordance with the
total share capital of the member nations that the director represents.
▪ MIGA aims to promote foreign direct investment into developing countries to

support economic growth, reduce poverty and improve people’s lives.
World Bank Group Membership
▪ To become a member of the Bank, under the IBRD Articles of Agreement, a country must
first join the International Monetary Fund (IMF).
▪ Membership in IDA, IFC, and MIGA are conditional on membership in IBRD.
▪ Membership in ICSID is available to IBRD members, and those which are a party to the
Statute of the International Court of Justice (ICJ), on the invitation of the ICSID
Administrative Council by a vote of two-thirds of its members.
World Bank Group and India
▪ India was one of the forty-four original signatories to the agreements reached at Bretton
Woods that established the International Bank for Reconstruction and Development (IBRD)
and the International Monetary Fund (IMF).
▪ UNACADEMY
It was also one of the founding members of the IFC in 1956 and the IDA in 1960. India later
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became a member of the MIGA in January 1994.
▪ India is not a member of ICSID. India claimed ICSID Convention is not fair, convention's
rules for arbitration leaned towards the developed countries. In ICSID, the Chairman of
the Centre is the Chairman of the World Bank. The Chairman appoints the arbitrators. If the
arbitration award is not satisfactory, then the aggrieved party would appeal to a panel,
which will also be constituted by the ICSID. There is no scope for a review of the award by
an Indian court, even if the award is against public interest.
▪ IBRD lending to India commenced in 1949 with a loan to the Indian railways; the first
investment by the IFC in India took place in 1959, and by IDA in 1961 (a highway
construction project).
▪ During the 1950s, the IBRD was India's sole source of World Bank borrowings.
▪ By the end of the decade, India's mounting debt problems became an important factor in
the launch of the IDA, the soft loan affiliate of the World Bank (WB) group.
▪ By the end of the 1960s, the United States, until then India's largest source of external
resources, sharply cut its bilateral aid program. Since then, the WB emerged as the most
important source of official long-term finance.
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▪ During the 1960s and 1970s, the IDA accounted for nearly three-fourths of all WB lending
to India and, in turn, India was by far the largest recipient of IDA funds, accounting for more
than two-fifths of all its lending.
▪ The subsequent decade, with China joining the WB in 1980 and accordingly entering its
own claims to limited IDA resources, the worsening economic fortunes of Africa, and India's
better performance, saw a sharp decline in India's share in IDA.
▪ Instead, its share of IBRD lending grew sharply in the 1980s, buoyed by its
improving credit-worthiness and the Indian government's waning inhibitions with regard
to non-concessional borrowing.
▪ During the 1980s, while the WB shifted its emphasis to stress policy reforms and greater
economic liberalization, it continued to lend to poorly governed public sector
institutions in India and was muted in its criticism of India's closed economy.
▪ The lending portfolio changed sharply after the 1991 macroeconomic crisis. In the
immediate aftermath, India became one of the last important WB borrowers to partake
of structural adjustment lending, which supported policy reforms in finance, taxation,
and the investment and trade regime.
▪ India is currently classified as a “blend” country — defined as one in transition from lower
middle-income to middle-income — and is creditworthy for lending from both IDA and
IBRD.
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▪ India is the largest IBRDUSE DRPIYUSH11
client of the World Bank. Between 2015 and 2018, the World Bank
lent around $10.2 billion to India.
▪ The World Bank Group (WBG) has approved a $25-30 billion commitment plan for India for
the period 2019-22.
▪ MIGA Performance Standards are environmental and social standards which help to
structure and implement sustainable projects. For Indian market, one of the options is a
breach of contract insurance which MIGA would offer to investors. In case the government
doesn’t perform its obligation, under the contract arrangement, then MIGA can come and
cover that risk for investment.
World Bank Reforms
▪ Some critics have pointed out that the World Bank really caters to the agenda of World
Capitalism in the garb of its “Structural Adjustment Programme’ (SAP) and continues to be
dominated by rich countries. SAP is a set of "free market" economic policy reforms imposed
on developing countries by the World Bank as a condition for receipt of loans.
▪ It is argued SAP policies have increased the gap between rich and poor in both local and
global terms.
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▪ The emerging new economic powers, particularly India and China, and some other Asian
and Latin American countries of the world should be given due place and role..
▪ The leadership succession debate should be used to create space for reflection on the
purpose of the multilateral body, the substantive role it should play in the future, the need
to strengthen inclusive multilateralism, and the actions needed to bolster the position of
emerging economies and developing countries.
▪ Failure of World Bank to adapt to the changing world order may see rising economies
going their own way.
o Eg. Establishment of the Asia Infrastructure Investment Bank (AIIB) by China.
o Such a development would signify the emergence of multi-polarity without

multilateralism, and create a climate of conflicting interests and values among a diverse
group of countries.
▪ Deep reforms of the World Bank are necessary as part of rethinking the current world
order, and giving rising powers and developing countries a meaningful voice in this
institution.
UNACADEMY
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WTO
The World Trade Organization (WTO) is the only global international organization dealing with
the rules of trade between nations. At its heart are the WTO agreements, negotiated and
signed by the bulk of the world’s trading nations and ratified in their parliaments.
The WTO has 164 members (including European Union) and 23 observer governments (like
Iran, Iraq, Bhutan, Libya etc).
Goals of WTO
▪ The WTO’s global system lowers trade barriers through negotiation and operates under the
principle of non-discrimination.
o The result is reduced costs of production (because imports used in production are
cheaper), reduced prices of finished goods and services, more choice and ultimately a
lower cost of living.
▪ The WTO’s system deals with these in two ways.

UNACADEMY
o One is by talking: countries negotiate rules that are acceptable to all.
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o The other is by settling disputes about whether countries are playing by those agreed
rules.
▪ The WTO can stimulate economic growth and employment.
▪ The WTO can cut the cost of doing business internationally.
▪ The WTO can encourage good governance. Transparency — shared information and
knowledge — levels the playing field.
o Rules reduce arbitrariness and opportunities for corruption.
▪ The WTO can help countries develop: Underlying the WTO’s trading system is the fact that
more open trade can boost economic growth and help countries develop.
o In that sense, commerce and development are good for each other.
o In addition, the WTO agreements are full of provisions that take into account the
interests of developing countries.
▪ The WTO can give the weak a stronger voice: Small countries would be weaker without
the WTO. Differences in bargaining power are narrowed by agreed rules, consensus
decision-making and coalition building.
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o Coalitions give developing countries a stronger voice in negotiations.
o The resulting agreements mean that all countries, including the most powerful, have to
play by the rules. The rule of law replaces might-makes-right.
▪ The WTO can support the environment and health: The trade is nothing more than a
means to an end. The WTO agreements try to make trade support the things we really want,
including a clean and safe environment, and to prevent governments using these objectives
as an excuse for introducing protectionist measures.
▪ The WTO can contribute to peace and stability: When the world economy is in turmoil, the
multilateral trading system can contribute to stability.
o Trade rules stabilize the world economy by discouraging sharp backward steps in policy
and by making policy more predictable. They deter protectionism and increase certainty.
They are confidence-builders.
History
From the early days of the Silk Road to the creation of the General Agreement on Tariffs and
Trade (GATT) and the birth of the WTO, trade has played an important role in supporting
economic development and promoting peaceful relations among nations.
▪ UNACADEMY
The General Agreement on Tariffs and Trade (GATT) traces its origins to the 1944 Bretton
Woods Conference, which laid the foundations for the post-World War II financial system
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and established two key institutions, the International Monetary Fund (IMF) and
the World Bank.
o The conference delegates also recommended the establishment of a complementary

institution to be known as the International Trade Organization (ITO), which they
envisioned as the third leg of the system.
o In Havana in 1948, the UN Conference on Trade and Employment concluded a draft

charter for the ITO, known as the Havana Charter, which would have created extensive
rules governing trade, investment, services, and business and employment practices.
• The Havana Charter never entered into force, primarily because the U.S. Senate failed
to ratify it. As a result, the ITO was stillborn.
o Meanwhile, an agreement as the GATT signed by 23 countries in Geneva in 1947 came

into force on Jan 1, 1948 with the following purposes:
• to phase out the use of import quotas
• and to reduce tariffs on merchandise trade,
▪ The GATT became the only multilateral instrument (not an institution) governing
international trade from 1948 until the WTO was established in 1995.
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▪ Despite its institutional deficiencies, the GATT managed to function as a de facto

international organization, sponsoring eight rounds (A round is a series of multilateral
negotiations) of multilateral trade negotiations.
▪ So, the GATT became the only multilateral instrument governing international trade from
1948 until the WTO was established in 1995.
▪ The Uruguay Round, conducted from 1987 to 1994, culminated in the Marrakesh
Agreement, which established the World Trade Organization (WTO).
o The WTO incorporates the principles of the GATT and provides a more enduring
institutional framework for implementing and extending them.
o The GATT was concluded in 1947 and is now referred to as the GATT 1947. The GATT
1947 was terminated in 1996 and WTO integrated its provisions into GATT 1994.
• The GATT 1994 is an international treaty binding upon all WTO Members. It is only
concerned with trade in goods.
Why WTO replaced the GATT
▪ The GATT was only a set of rules and multilateral agreements and lacked institutional
structure.
o UNACADEMY
The GATT 1947 was terminated and WTO preserved its provisions in form of GATT 1994
and continues to govern trade in goods.
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▪ The trade in services and intellectual property rights were not covered by regular GATT
rules.
▪ The GATT provided for consultations and dispute resolution, allowing a GATT Party to
invoke GATT dispute settlement articles if it believes that another Party’s measure caused
it trade injury.
o The GATT did not set out a dispute procedure with great specificity resulting in lack of
deadlines, laxity in the establishment of a dispute panel and the adoption of a panel
report by the GATT Parties.
o It made the GATT as a weak Dispute Settlement mechanism.
The WTO and the United Nations (UN)
▪ Although the WTO is not a UN specialized agency, it has maintained strong relations with
the UN and its agencies since its establishment.
▪ The WTO-UN relations are governed by the “Arrangements for Effective Cooperation
with other Intergovernmental Organizations-Relations between the WTO and the United
Nations” signed on 15 November 1995.
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▪ The WTO Director General participates to the Chief Executive Board which is the organ of
coordination within the UN system.
Governance
Ministerial Conference
▪ The topmost decision-making body of the WTO is the Ministerial Conference, which
usually meets every two years.
▪ It brings together all members of the WTO, all of which are countries or customs unions.
▪ The Ministerial Conference can take decisions on all matters under any of the multilateral
trade agreements.
General Council
▪ The General Council is the WTO’s highest-level decision-making body located in Geneva,
meeting regularly to carry out the functions of the WTO.
▪ It has representatives (usually ambassadors or equivalent) from all member

governments and has the authority to act on behalf of the ministerial conference which
only meets about every two years.
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▪ The General Council also meets, under different rules, as
o The General Council,

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o the Trade Policy Review Body,
o and the Dispute Settlement Body (DSU)
▪ Three councils, each handling a different broad areas of trade, report to the General
Council:
o The Council for Trade in Goods (Goods Council)
o The Council for Trade in Services (Services Council)
o The Council for Trade-Related Aspects of Intellectual Property Rights (TRIPS Council)
o As their names indicate, the three are responsible for the workings of the WTO
agreements dealing with their respective areas of trade.
o Again they consist of all WTO members.
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The Trade Policy Review Body (TPRB)
▪ The WTO General Council meets as the TPRB to undertake trade policy reviews of
Members under the TPRM and to consider the Director-General's regular reports on trade
policy development.
▪ The TPRB is thus open to all WTO Members.
Dispute Settlement Body (DSU)
▪ The General Council convenes as the Dispute Settlement Body (DSB) to deal with disputes
between WTO members.
▪ Such disputes may arise with respect to any agreement contained in the Final Act of the
Uruguay Round that is subject to the Understanding on Rules and Procedures Governing
the Settlement of Disputes (DSU).
▪ The DSB has authority to:
o establish dispute settlement panels,
o refer matters to arbitration,
o adopt panel, Appellate Body and arbitration reports,
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maintain surveillance over the implementation of recommendations and rulings
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contained in such reports,
o and authorize suspension of concessions in the event of non-compliance with those

recommendations and rulings.
Appellate Body
▪ The Appellate Body was established in 1995 under Article 17 of the Understanding on
Rules and Procedures Governing the Settlement of Disputes (DSU).
▪ The DSB shall appoint persons to serve on the Appellate Body for a four-year term.
▪ It is a standing body of seven persons that hears appeals from reports issued by panels in
disputes brought by WTO Members.
▪ The Appellate Body can uphold, modify or reverse the legal findings and conclusions of a
panel, and Appellate Body Reports, once adopted by the Dispute Settlement Body (DSB),
must be accepted by the parties to the dispute.
▪ The Appellate Body has its seat in Geneva, Switzerland.
The Council for Trade in Goods (Goods Council)
▪ The General Agreement on Tariffs and Trade (GATT) covers international trade in goods.
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o The workings of the GATT agreement are the responsibility of the Council for Trade in
Goods (Goods Council) which is made up of representatives from all WTO member
countries.
▪ The Goods Council has following committees dealing with specific subjects: (1) Agriculture,
(2) Market access, (3) Sanitary and Phytosanitary (measures for the control of plant
diseases especially in agricultural crops) Measures, (4) Technical barriers to trade, (5)
Subsidies and countervailing measures, (6) Rule of origin, (7) Anti-dumping measures, (8)
Importing licensing, (9)Trade related Investment Measures, (10) Safeguards, (11) Trade
facilitation, (12) Customs valuation.
o These committees consist of all member countries.
The Council for Trade in Services (Services Council)
▪ It operates under the guidance of the General Council and is responsible for facilitating the
operation of the General Agreement on Trade in Services (GATS) and for furthering its
objectives.
▪ It is open to all WTO members, and can create subsidiary bodies as required.
▪ Presently, the Council oversees the work of four such subsidiary bodies:
o
UNACADEMY
the Committee on Trade in Financial Services:
• It carries out discussions on matters relating to trade in financial services and

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formulate proposals or recommendations for consideration by the Council.
o the Committee on Specific Commitments,
o the Working Party on Domestic Regulation,
o and the Working Party on GATS Rules
The Council for Trade-Related Aspects of Intellectual Property Rights (TRIPS Council)
▪ It monitors implementation of the Agreement on Trade-Related Aspects of Intellectual

Property Rights (the TRIPS Agreement).
▪ It provides a forum in which WTO Members can consult on intellectual property matters,
and carries out the specific responsibilities assigned to the Council in the TRIPS Agreement.
▪ The TRIPS Agreement:
o sets the minimum standards of protection for copyrights and related

rights, trademarks, geographical indications (GIs), industrial designs,
patents, integrated circuit layout designs, and undisclosed information.
o establishes minimum standards for the enforcement of intellectual property rights

(IPRs) through civil actions for infringement, actions at the border,
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• and at least in regard to copyright piracy and trademark counterfeiting, in criminal

actions.
WTO Ministerial Conferences (MC)
The first Ministerial Conference (i.e. MC1) was held in Singapore in 1996 and the last one
(MC11) was organised in Buenos Aires in 2017. All these MCs have evolved prevailing current
global trading system.
Singapore, 9-13 December 1996 (MC1)
▪ Trade, foreign, finance and agriculture Ministers from more than 120 World Trade
Organization Member governments and from those in the process of acceding to the WTO
participated.
▪ The following four issues termed as the Singapore issues were first brought up on which
the multilateral body could initiate negotiations:
o trade and investment
o trade facilitation
o transparency in government procurement
o
UNACADEMY
trade and competition
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Geneva, Switzerland 18-20 DRPIYUSH11
May 1998 (MC2)
▪ The Ministerial Declaration included following work programmes:
o the issues, including those brought forward by Members, relating to implementation of

existing agreements and decisions;
o the future work already provided for under other existing agreements and decisions
taken at Marrakesh;
o possible future work on the basis of the work programme initiated at Singapore;
o Priority areas for the next round of comprehensive negotiations on agriculture include
Market access, Export subsidies etc.
Seattle, USA November 30 – December 3, 1999 (MC3)
▪ There were two major issues,
o first, whether to start a new comprehensive round of negotiations such as the Uruguay
Round or confine negotiations to the so-called "built in agenda" of agriculture and
services mandated at the last Ministerial.
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o Secondly, what should the negotiations encompass, more specifically what should be
included in the agenda of the meeting.
▪ The meeting was unable to resolve both issues, and ended in stalemate.
▪ The deliberations were suspended without agreement on a new round of

negotiations and without agreement on a ministerial declaration.
Doha, Qatar 9-13 November 2001 (MC4)
▪ Agriculture: The special and differential treatment for developing countries shall be an
integral part of all elements of the negotiations to enable developing countries to
effectively take account of their development needs, including food security and rural
development.
▪ Services: The negotiations on trade in services shall be conducted with a view to

promoting the economic growth of all trading partners and the development of developing
and least-developed countries.
o It recognizes the work already undertaken in the negotiations, initiated in January 2000
under Article XIX of the General Agreement on Trade in Services (GATS), and the large
number of proposals submitted by members on a wide range of sectors and several
horizontal issues, as well as on movement of natural persons.
UNACADEMY
▪ Market access for non-agricultural products:
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o The negotiations shall take fully into account the special needs and interests of
developing and least-developed country participants, including through less than full
reciprocity in reduction commitments, in accordance with the relevant provisions of
Article XXVIII bis of GATT 1994.
▪ Transparency in government procurement:
o Recognizing the case for a multilateral agreement on transparency in government

procurement and the need for enhanced technical assistance and capacity building in
this area, it agreed that negotiations would take place on the basis of a decision to be
taken, by explicit consensus.
Cancún, Mexico 10-14 September 2003 (MC5)
▪ The main task was to take stock of progress in negotiations and other work under the
Doha Development Agenda.
Hong Kong, 13-18 December 2005 (MC6)
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▪ The WTO member economies aimed to reach a preliminary agreement on liberalization of

farm trade by reducing subsidies, and address other issues at meeting, aiming for a
successful conclusion of the Doha Round in 2006.
▪ After an intense talk, WTO Members have produced an interim package for the Doha
Round negotiation:
o the deadlines for the elimination of agricultural export subsidies (2013) and cotton
export subsidies (2006),
o and also mandates that duty and quota-free access for at least 97% of products
originating from the least developed countries (LDCs) be provided by 2008.
o Regarding non-agricultural market access (NAMA), Members adopted the "Swiss

formula" mandating greater cuts in higher tariffs, and decided that modalities for tariff
reduction be established by April 30, 2006.
• The Swiss Formula (by the Swiss Delegation to the WTO) is a suggested method for
reducing tariff on non-agricultural goods (NAMA) by both developed and developing
countries.
• It makes different coefficients for developed and developing countries.
• Here, tariff-cuts are supposed to be undertaken such that it cuts higher tariffs more
UNACADEMY
steeply than it cuts lower tariffs.
▪ USE
This meeting could have been the DRPIYUSH11
final step of the Doha trade talks launched in 2001.
Geneva, Switzerland 30 November - 2 December 2009 (MC7)
▪ The theme of the Conference is “The WTO, the Multilateral Trading System and the Current
Global Economic Environment”.
▪ Unlike previous Conferences, this meeting was not a Doha Round negotiating session, but
rather a chance for Ministers to reflect on all elements of WTO's work, exchange ideas and
extend guidance on the best way forward in the years to come.
Geneva, Switzerland 15-17 December 2011 (MC8)
▪ The Conference approved the accessions of the Russian Federation, Samoa and
Montenegro.
▪ It adopted a number of decisions on intellectual property, electronic commerce, small

economies, least developed countries’ accession, a services waiver for least developed
countries, and trade policy reviews.
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▪ It reaffirmed the integrality of special and differential treatment provisions to the WTO
agreements and their determination to fulfil the Doha mandate to review them with a
view to strengthening them and making them more precise, effective and operational.
Bali, Indonesia 3-6 December 2013 (MC9)
▪ The Conference adopted the “Bali Package”, a series of decisions aimed at:
o streamlining trade,
o allowing developing countries more options for providing food security,
o boosting least-developed countries’ trade and helping development more generally.
▪ The Bali Package is a selection of issues from the broader Doha Round negotiations.
▪ The Conference also approved accession of Yemen as a new member of the WTO.
Nairobi, Kenya 15-19 December 2015 (MC10)
▪ It culminated in the adoption of the "Nairobi Package", a series of decisions on agriculture,

cotton and issues related to least-developed countries (LDCs).
o Agriculture:
• UNACADEMY
Special Safeguard Mechanism for Developing Country Members;
• USE
Public Stockholding DRPIYUSH11
for Food Security Purposes;
• Export Competition;
o Cotton: Stressing the vital importance of cotton to a number of developing

economies and particularly the least-developed amongst them,
• Developed country Members, and developing country Members declaring themselves

in a position to do so, shall grant preferential trade arrangements in favour of LDCs,
as from 1 January 2016, duty-free and quota-free market access for cotton produced
and exported by LDCs.
o LDC issues:
• Preferential Rules of Origin for Least Developed Countries;
• Implementation of Preferential Treatment in Favour of Services and Service Suppliers

of Least Developed Countries;
• and Increasing LDC Participation in Services Trade;
▪ The decision in Nairobi builds on the 2013 Bali Ministerial Decision on preferential rules of
origin for LDCs.
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▪ The “Nairobi Package” pays fitting tribute to the Conference host, Kenya, by delivering
commitments that will benefit in particular the organization’s poorest members.
Buenos Aires, Argentina 10-13 December 2017 (MC11)
▪ The Conference ended with a number of ministerial decisions, including on fisheries

subsidies and e-commerce duties, and a commitment to continue negotiations in all
areas.
Nur-Sultan, Kazakhstan, 8-11 June 2020 (MC12)
▪ The WTO members have agreed that the organization’s Twelfth Ministerial Conference
(MC12) will take place in June 2020 in Kazakhstan, which joined the WTO in 2015.
The Doha Round
▪ The Doha Round is the latest round of trade negotiations among the WTO
membership. Its aim is to achieve major reform of the international trading
system through the introduction of lower trade barriers and revised trade rules.
▪ The Round is also known semi-officially as the Doha Development Agenda as a

fundamental objective is to improve the trading prospects of developing countries.
▪ UNACADEMY
The Round was officially launched at the WTO’s Fourth Ministerial Conference (MC4) in
Doha, Qatar, in November 2001.
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▪ The Doha Ministerial Declaration provided the mandate for the negotiations, including on
following subjects:
o Agriculture: More market access, eliminating export subsidies, reducing distorting

domestic support, sorting out a range of developing country issues, and dealing with non-
trade concerns such as food security and rural development.
o Non-agricultural market access (NAMA): To reduce or as appropriate eliminate tariffs,

including the reduction or elimination of high tariffs, tariff peaks and tariff escalation
(higher tariffs protecting processing, lower tariffs on raw materials) as well as non-tariff
barriers, in particular on products of export interest to developing countries.
o Services: To improve market access and to strengthen the rules.
• Each government has the right to decide which sectors it wants to open to foreign
companies and to what extent, including any restrictions on foreign ownership.
• Unlike in agriculture and NAMA, the services negotiations are not based on a
“modalities” text. They are being conducted essentially on two tracks:
• (a) bilateral and/or plurilateral (involving only some WTO members) negotiations
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• (b) multilateral negotiations among all WTO members to establish any necessary
rules and disciplines
o Trade facilitation: To ease customs procedures and to facilitate the movement, release
and clearance of goods.
• This is an important addition to the overall negotiation since it would cut bureaucracy
and corruption in customs procedures and would speed up trade and make it cheaper.
o Rules: These cover anti-dumping, subsidies and countervailing measures, fisheries

subsidies, and regional trade agreements.
• “Clarifying and improving disciplines” under the Anti-Dumping and Subsidies

agreements;
• and to “clarify and improve WTO disciplines on fisheries subsidies, taking into account
the importance of this sector to developing countries.
o The environment: These are the first significant negotiations on trade and the
environment in the GATT/ WTO. They have two key components:
• Freer trade in environmental goods – Products that WTO members have proposed
include: wind turbines, carbon capture and storage technologies, solar panels.
• UNACADEMY
Environmental agreements – Improving collaboration with the secretariats of
multilateral environmental agreements and establishing more coherence between
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trade and environmental rules.
o Geographical indications (GI): multilateral register for wines and spirits
• Geographical indications are place names (in some countries also words associated
with a place) used to identify products that come from these places and have specific
characteristics (for example, “Champagne”, “Tequila” or “Roquefort”). Under the
TRIPS Agreement, all geographical indications have to be protected at least to avoid
misleading the public and to prevent unfair competition (Article 22).
• This is the only intellectual property issue that is definitely part of the Doha
negotiations.
• The objective is to “facilitate” the protection of wines and spirits in participating

countries. The talks began in 1997 and were built into the Doha Round in 2001.
o Other intellectual property issues: Some members want negotiations on two other
subjects and to link these to the register for wines and spirits. Other members disagree.
Following these two topics are discussed:
• GI “extension”- Extending the higher level of protection for geographical

indications beyond wines and spirits.
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• Biopiracy, benefit sharing and traditional knowledge
o Dispute settlement: To improve and clarify the Dispute Settlement Understanding, the
WTO agreement dealing with legal disputes.
• These negotiations take place in special sessions of the Dispute Settlement Body (DSB).
▪ With Doha Round seemingly adrift (directionless), the global Great Recession that began in
the second half of 2008 led to fears that the world may face a wave of protectionism that
the WTO would be powerless to prevent. Negotiations continued after the 2008 global
financial crisis with low expectations.
▪ The 2013 Ministerial Conference (MC9) in Bali, Indonesia, delivered a significant

achievement, the first multilateral agreement since the creation of the WTO.
o This was the Trade Facilitation Agreement (TFA), which aims to speed up customs
procedures and make trade easier, faster, and cheaper.
• The TFA was only a small slice of the larger Doha agenda, but the successful deal was
a cause for optimism.
o The talks also reached an interim agreement (a peace clause) on “public

stockholding” continuing exceptions that allow developing countries to stockpile
agricultural products to protect against food shortages.
UNACADEMY
▪ 2015 Ministerial Conference Nairobi, Kenya (MC10) focused on a selected number of
issues that are part of USE DRPIYUSH11
the Doha Development Agenda (DDA). Agreement was reached on
following DDA issues:
o Stopping the use of subsidies and other schemes unfairly supporting agricultural exports
o Ensuring that food aid for developing countries is given in a way which does not distort
local markets
o Seeking to simplify the conditions that exporters from the poorest countries have to
meet, so that their products benefit from trade agreements (so-called rules of origin)
o Giving more opportunities for businesses from the poorest countries to provide services
in the WTO's 164 member countries
▪ However, for many observers, Nairobi signalled the end of the Doha talks, a sentiment that
intensified after the 2016 election of Trump.
o President Trump made clear his preference for bilateral trade when he withdrew from
the 12-country Trans-Pacific Partnership (TPP) shortly after taking office.
▪ In 2017 Ministerial Conference Buenos Aires (MC11), USA reflected the skepticism toward
multilateralism when it blocked agreement on a draft ministerial declaration that would
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have “reaffirmed the centrality of the multilateral trading system and the development
dimension of the organisation’s work.”
o Meanwhile, India, which has repeatedly threatened to block WTO

agreements (including the Trade Facilitation Agreement) unless WTO members
conceded to its demands on public stockholding for food security. India also toughened
its stand on new issues including e-commerce and investment facilitation.
o In the end, it was a relief to many that the United States did not actively seek to
dismantle the WTO—as some had feared. But giving up its traditional leadership role
could lead to a similar result, only more slowly.
WTO Contribution to World
▪ The WTO is one of the three international organisations (the other two are the International
Monetary Fund (IMF) and the World Bank Group) which by and large formulate and co-
ordinate world economic policy. It is playing a crucial role in:
o the international trade,
o global economics,
o and the political and legal issues arising in the international business because of
globalization.
UNACADEMY
▪ It has emerged as the world's most powerful institution for reducing trade related
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barriers between the countries and opening new markets.
▪ It cooperates with the IMF and World Bank in terms of making cohesiveness in making
global economic policies.
▪ Through resolving trade related disputes, the WTO has got the potential to maintain world
peace and bilateral relations between its member countries thorough
following negotiations, consultations and mediations.
▪ Global trade rules: Decisions in the WTO are typically taken by consensus among all
members and they are ratified by members’ parliaments. This leads to a more prosperous,
peaceful and accountable economic world.
▪ Trade negotiations: The GATT and the WTO have helped to create a strong and prosperous
trading system contributing to unprecedented growth.
o The system was developed through a series of trade negotiations, or rounds, held under
the GATT. The 1986-94 round – the Uruguay Round – led to the WTO’s creation.
o In 1997, an agreement was reached on telecommunications services, with 69

governments agreeing to wide-ranging liberalization measures that went beyond those
agreed in the Uruguay Round.
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o Also in 1997, 40 governments successfully concluded negotiations for tariff-free trade

in information technology products, and 70 members concluded a financial services
deal covering more than 95% of trade in banking, insurance, securities and financial
information.
o In 2000, new talks started on agriculture and services. These were incorporated into a
broader work programme, the Doha Development Agenda, launched at the fourth WTO
Ministerial Conference (MC4) in Doha, Qatar, in November 2001.
o At the 9th Ministerial Conference (MC9) in Bali in 2013, WTO members struck
the Agreement on Trade Facilitation, which aims to reduce border delays by slashing red
tape.
o The expansion of the Information Technology Agreement – concluded at the 10th

Ministerial Conference (MC10) in Nairobi in 2015 – eliminated tariffs on an additional
200 IT products valued at over US$ 1.3 trillion per year.
o Most recently, an amendment to the WTO’s Intellectual Property Agreement entered

into force in 2017, easing poor economies’ access to affordable medicines.
• The same year saw the Trade Facilitation Agreement enter into force.
▪ WTO agreements:
o
UNACADEMY
The WTO’s rules – the agreements – are the result of negotiations between the members.
• The current setUSE

is largelyDRPIYUSH11
the outcome of the 1986- 94 Uruguay Round
negotiations, which included a major revision of the original General Agreement on
Tariffs and Trade (GATT).
o Goods: From 1947 to 1994, the GATT was the forum for negotiating lower tariffs and
other trade barriers; the text of the GATT spelt out important rules, particularly non-
discrimination. After 1994, WTO ratified new, comprehensive, integrated GATT as GATT
1994.
WTO AND INDIA

▪ India is a founder member of the General Agreement on Tariffs and Trade (GATT) 1947 and
its successor, the WTO.
o India's participation in an increasingly rule based system in the governance of

international trade is to ensure more stability and predictability, which ultimately would
lead to more trade and prosperity.
▪ Services exports account for 40% of India's total exports of goods and services. The
contribution of Services to India's GDP is more than 55%.
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o The sector (domestic and exports) provides employment to around 142 million people,
comprising 28% of the work-force of the country.
o India's exports are mainly in the IT and IT enabled sectors, Travel and Transport, and
Financial sectors.
o The main destinations are the US (33%), the EU (15%) and other developed countries.
o India has an obvious interest in the liberalisation of services trade and wants
commercially meaningful access to be provided by the developed countries.
o Since the Uruguay Round, India has autonomously liberalised its Services trade regime
across the board.
▪ Ensuring food and livelihood security is critical, particularly for a large agrarian economy
like India.
o India is persistently demanding for a permanent solution on public stockholding

subsidies at WTO.
• At 2013 Ministerial Conference (MC9) in Bali, an interim agreement (a peace clause)

was made on “public stockholding” continuing exceptions that allow developing
countries to stockpile agricultural products to protect against food shortages.
▪ India strongly UNACADEMY

favours extension of higher levels of protection to
geographical indications for products like Basmati rice, Darjeeling tea, and Alphonso
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mangoes at par with that provided to wines and spirits under the Trade-related Aspects of
Intellectual Property Rights (TRIPS) agreement.
▪ Developed countries have been putting pressure on inclusion of non-trade issues such
as labour standards, environmental protection, human rights, rules on investment,
competition policy in the WTO agreements.
o India is against any inclusion of non-trade issues that are directed in the long run
at enforcing protectionist measures (based on non-trade issues, the developed
countries like USA and European Union are trying to ban the imports of some goods like
textile, processed food etc.), particularly against developing countries.
WTO Concerns
▪ In 2001, the WTO membership launched the “Doha Development Agenda” – a massive
attempt to update trading rules. The participating countries spent years trying and failing
to reach an agreement.
o A central problem in negotiation was the difficulty of getting well over 150 countries to
reach a consensus.
o In the previous negotiating round (The Uruguay Round, conducted from 1987 to 1994),
potential hold-out countries could be threatened with exclusion from the new WTO.
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• That trick could not be repeated once they were already in.
▪ The 2017 WTO Ministerial Conference (MC11) Buenos Aires ended without any
substantial outcome as consensus failed the 164-member body.
o The USA blocked a permanent solution on government stockholding for food security
purposes, resulting in India’s toughened stand on new issues including e-
commerce and investment facilitation.
▪ Developed countries led by the US and the European Union sought to find a way out of
the deadlock at the WTO talks by forming large pressure groups on e-commerce,
investment facilitation and MSMEs within the WTO with more than 70 members in each
formulation.
o Though WTO is driven by consensus and even a plurilateral agreement needs approval
of all members, the formation of these groups as an attempt to steer WTO away from
its focus on multilateralism.
▪ It’s fierce defense of ‘Trade Related Intellectual Property’ rights (TRIPs)—patents,

copyrights and trademarks—comes at the expense of health and human lives.
o WTO has protected for pharmaceutical companies’ ‘right to

profit’ against governments seeking to protect their people’s health by providing
UNACADEMY
lifesaving medicines in countries in areas like sub-saharan Africa, where thousands die
every day from HIV/AIDS.
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▪ The U.S.A. has consciously (or not) destroyed the Doha round of trade
negotiations process in formulating excessive demands that no country was prepared to
meet.
o The priority of the Obama administration was not to revive a dying WTO
negotiation, but to concentrate on its newly created alternative, the TPP (Trans-Pacific
Partnership), to contain its competitors: Europe and China.
▪ For years now, the multilateral system for the settlement of trade dispute has been under
intense scrutiny and constant criticism.
o The U.S. has systematically blocked the appointment of new Appellate Body
members (“judges”) and de facto impeded the work of the WTO appeal mechanism.
▪ Chinese mercantilism (try to influence trade and business, especially by encouraging

exports and putting limits on imports), the USA’s aggressive use of unilateral tariff
measures, and the inability of WTO members to reach consensus on expanding its
disciplines to important new sectors in the modern economy reinforce the critique of the
WTO.
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CRISIS AT WTO
A democratic inclusive WTO however, started showing signs of discontent. The issues came
to surface in the very first Singapore Ministerial (1996). Singapore issues spilled over to
Seattle, Cancun and finally to Doha Ministerial. The recent trade war between US and China
where US is increasing import tariffs is a symptom of the larger rot.
Reasons for Crumbling Of WTO
▪ Changing world order: The unipolar world under US was represented through institutions
like WTO. Trade during this phase became rule based in nature which favored the west.
But the world order is now wintessing structural changes with rise of developing countries
and their increasing share in world trade. This is perceived by US and EU as unfavorable
whom they have attacked by resorting to policies of protectionism. E.g. China via trade
war, Solar panel case against India in Dispute Settlement Body.
▪ Process Loopholes: The negotiation process prime facie seems democratic but Ministerial
Conferences are accused of being opaque and overly technical. The green room meetings
prohibit participation of majority of countries. It has proven to be disproportionately
advantageous to developed countries. Moreover, consensus-based rule making has
become a root cause in stagnation in reforms.
▪
UNACADEMY
Nature of agreements: Agreements signed under WTO are alleged to be discriminatory
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and exclusionary in functioning. DDA (Doha Development Agenda) has still not been able
to provide permanent solution to subsidies under domestic support. WTO do not have
any agreement to deal with digital enabled trade i.e. e-commerce.
▪ Allegations are leveled by developed countries against developing of flouting TRIPS. They
oppose generic medicines, compulsory license and import substitution. On the other
hand, developing countries cite public health concerns and level allegations of ever-
greening against pharmaceutical companies.
▪ Dispute Resolution: The dispute resolution mechanism is costly and lengthy. It is majorly
resorted to by developed countries and developing countries are victims to the
mechanism. There is politicization of the Appellate Body appointment and reappointment
process.
Why WTO remains relevant?
▪ Amidst all these challenges that WTO faces, we cannot deny the role it has played in
integrating and opening the world trade.
▪ WTO regulates 98% of global trade flows. The average value of tariffs has reduced by
85% since 1942.
▪ Tariff reduction along with technological advances have driven extra-ordinary
expansion of global trade.
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▪ Trade as a share of GDP has grown from 24% in 1960 to 60% in 2015. Expansion of
trade has fuelled economic growth, created jobs and increased household incomes
around the world.
▪ An ever-deepening rules-based system—notably under the GATT and WTO—brought
more openness, transparency, and stability.
▪ Trade act as a powerful force too for inclusive Growth, by lowering poverty and by
opening opportunities for small firms, women, farmers as well as fishermen.
▪ As nations’ economies have become more and more inter-dependent, breakdown of
a trade organization will be major blow to international trade order.
Agenda for Reforms
▪ Plurilateral trade negotiations- As WTO is a member led organization, all countries

i.e. developing and developed have to join hands to improve its structure and
processes. WTO should move to Plurilateral negotiations where like-minded countries
can come forward to discuss issues specific to them and form rules with respect to the
common issue.
▪ Services : today form a bulk of trade i.e. two third of global GDP, yet global trade policy
lags behind in services facing higher barriers than goods. To rectify these, GATS has to
become more open and transparent. It has to address monopolistic practices, financial
UNACADEMY
regulations and irregular immigration.
▪
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Trade related policies for inclusiveness: All member countries need to understand
different levels of development of different countries. On the basis of this, a
consultation committee has to be formed. The negotiation meetings have to be more
open, transparent and inclusive.
▪ The agreements on agriculture should be restructured to address concerns of
developing countries and Least developed countries.
▪ Social security laws, skill upgradation, flexible mobility of workers within the
international agreements will impart more stability and sustainability to the
multilateral trading system.
▪ Collective Bargain Like Minded Groups like G-33, African community has to increase
their collective bargain in order to demand favorable provision in agreements on
agriculture, services, intellectual property etc. The dispute mechanism should
become more powerful and member driven.
▪ Change in the mindset of developed countries - Developed countries like US and EU
have to be convinced of the larger role WTO played in their growth and maintenance
of open trade system. The time has come for the emerging economies and the
developing world to have a greater say in how to shape multilateralism and its
institutions. The developed nations have to realize this truth.
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EUROPEAN UNION
The European Union is a group of 28 countries that operate as a cohesive economic and
political block.
19 of these countries use EURO as their official currency. 9 EU members (Bulgaria, Croatia,
Czech Republic, Denmark, Hungary, Poland, Romania, Sweden, and the United Kingdom) do
not use the euro.
The EU grew out of a desire to form a single European political entity to end centuries of
warfare among European countries that culminated with World War II and decimated much
of the continent.
The EU has developed an internal single market through a standardised system of laws that
apply in all member states in matters, where members have agreed to act as one.
Goals
• Promote peace, values and the well-being of all citizens of EU.

•
UNACADEMY
Offer freedom, security and justice without internal borders
• USE DRPIYUSH11
Sustainable development based on balanced economic growth and price stability, a
highly competitive market economy with full employment and social progress, and
environmental protection
• Combat social exclusion and discrimination
• Promote scientific and technological progress
• Enhance economic, social and territorial cohesion and solidarity among EU countries
• Respect its rich cultural and linguistic diversity
• Establish an economic and monetary union whose currency is euro.
History
▪ After World War II, European integration was seen as a cure to the excessive
nationalism which had devastated the continent.
▪ In 1946 at the University of Zurich, Switzerland, Winston Churchill went further and
advocated the emergence of a United States of Europe.
▪ In 1952, European Coal and Steel Community (ECSC) was founded under Treaty of Paris
(1951) by 6 countries called Six (Belgium, France, Germany, Italy, Luxembourg and the
Netherlands) to renounce part of their sovereignty by placing their coal and steel
production in a common market, under it.
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o European Court of Justice (called "Court of Justice of the European Communities" until
2009) was also established in 1952 under Paris Treaty.
▪ European Atomic Energy Community (EAEC or Euratom) is an international organisation

established by the Euratom Treaty (1957) with the original purpose of creating a specialist
market for nuclear power in Europe, by developing nuclear energy and distributing it to its
member states while selling the surplus to non-member states.
o It has same members as the European Union and is governed by the European
Commission (EC) and Council, operating under the jurisdiction of the European Court of
Justice.
▪ European Economic Community (EEC) was created by the Treaty of Rome (1957). The
Community's initial aim was to bring about economic integration, including a common
market and customs union, among its founding members (Six).
o It ceased to exist by Lisbon Treaty-2007 and its activities were incorporated in EU.
▪ Merger Treaty (1965, Brussels) in which an agreement was reached to merge the three
communities (ECSC, EAEC, and EEC) under a single set of institutions, creating the European
Communities (ECs).
o The Commission and Council of the EEC were to take over the responsibilities of its
UNACADEMY
counterparts (ECSC, EAEC) in other organisations.
▪ USE
The ECs initially expanded in 1973DRPIYUSH11
when Denmark, Ireland, the United Kingdom became
members. Greece joined in 1981, Portugal and Spain following in 1986.
▪ Schengen Agreement (1985) paved the way for the creation of open borders without
passport controls between most member states. It was effective in 1995.
▪ Single European Act (1986): enacted by the European Community that committed its
member countries to a timetable for their economic merger and the establishment of a
single European currency and common foreign and domestic policies.
▪ The Maastricht Treaty-1992 (also called the Treaty on European Union) was signed on 7
February 1992 by the members of the European Community in Maastricht, Netherlands to
further European integration. It received a great push with the end of the Cold War.
▪ European Communities (ECSC, EAEC, and EEC) incorporated as European Union.

▪ European citizenship was created, allowing citizens to reside in and move freely
between Member States.
▪ A common foreign and security policy was established.
▪ Closer cooperation between police and the judiciary in criminal matters was agreed.
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▪ It paved the way for the creation of a single European currency – the euro. It was the
culmination of several decades of debate on increasing economic cooperation in
Europe.
▪ It established the European Central Bank (ECB).
▪ It enabled people to run for local office and for European Parliament elections in the
EU country they lived in.
▪ A monetary union was established in 1999 and came into full force in 2002 and is
composed of 19 EU member states which use the euro currency. These are Austria,
Belgium, Cyprus, Estonia, Finland, France, Germany, Greece, Ireland, Italy, Latvia, Lithuania,
Luxembourg, Malta, Netherlands, Portugal, Slovakia, Slovenia, and Spain.
▪ In 2002, Treaty of Paris (1951) expired & ECSC ceased to exist and its activities fully
absorbed by the European Community (EEC).
▪ The Treaty of Lisbon 2007:
o European Community (now composed only of EEC, EAEC, as ECSC already ceased in 2002)
was ceased and its activities incorporated in EU.
o EAEC is only remaining community organization legally distinct from the European Union
(EU), but has the same membership, and is governed by many of the EU's institutions.
▪ UNACADEMY
Euro Crisis: The EU and the European Central Bank (ECB) have struggled with high
sovereign debt and collapsing growth in Portugal, Ireland, Greece and Spain since the global
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financial market collapse of 2008. Greece and Ireland received financial bailouts from the
community in 2009, which were accompanied by fiscal austerity. Portugal followed in 2011,
along with a second Greek bailout.
o Multiple rounds of interest rate cuts and economic stimulus failed to resolve the
problem.
o Northern countries such as Germany, the United Kingdom and the Netherlands
increasingly resent the financial drain from the south.
▪ In 2012, the EU received the Nobel Peace Prize for having "contributed to the advancement
of peace and reconciliation, democracy, and human rights in Europe.
▪ Brexit: In 2016, a referendum (called Brexit) was held by U.K. government, and the nation
voted to leave the EU. Now the process is under UK Parliament for formal withdrawal from
EU.
Governance
▪ European Council:
o It is a collective body that defines the European Union's overall political direction and
priorities.
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o It comprises of the heads of state or government of the EU member states, along with
the President of the European Council and the President of the European Commission.
o The High Representative of the Union for Foreign Affairs and Security Policy also takes
part in its meetings.
o Established as an informal summit in 1975, the European Council was formalised as an

institution in 2009 upon the entry into force of the Treaty of Lisbon.
o The decisions of its summits are adopted by consensus.
▪ European Parliament: It is the only parliamentary institution of the European Union (EU)
that is directly elected by EU citizens aged 18 years or older. Together with the Council of
the European Union (also known as the 'Council'), it exercises the legislative function of
the EU.
o European Parliament does not possess as much legislative power as its member
countries’ parliaments do.
▪ Council of the European Union: It is part of the essentially bicameral EU legislature (the
other legislative body being the European Parliament) and represents the executive
governments (Minister) of the EU's member states.
o In the Council, government ministers from each EU country meet to discuss, amend and
UNACADEMY
adopt laws, and coordinate policies. The ministers have the authority to commit their
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governments to the actions agreed on in the meetings.
▪ European Commission (EC): It is an executive body of the European Union, responsible for
proposing legislation, implementing decisions, upholding the EU treaties and managing the
day-to-day business of the EU.
o The Commission operates as a cabinet government, with 28 members of the

Commission. There is one member per member state. These members are proposed by
member countries and European Parliament gives final approval on them.
o One of the 28 members is the Commission President proposed by the European Council
and elected by the European Parliament.
o The Commission is divided into departments known as Directorates-General (DGs) that

can be likened to departments or ministries is headed by a director-general who is
responsible to a commissioner.
o High Representative (HR) of the Union for Foreign Affairs and Security Policy is
appointed by the European Council by voting and The President of the EC must be in
agreement with the decision. HR is charged with shaping and carrying out the EU's
foreign, security and defence policies.
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▪ European Court of Auditors (ECA): It investigates the proper management of finances

within both the EU entities and EU funding provided to its member states.
o It can refer unresolved issues to the European Court of Justice to arbitrate on any alleged
irregularities.
o ECA members are appointed by the Council, after consulting the Parliament, for
renewable 6-year terms.
▪ The Court of Justice of the European Union (CJEU): It interprets EU law to make sure it is
applied in the same way in all EU countries, and settles legal disputes between national
governments and EU institutions.
o It can also be approached by individuals, companies or organisations to take action

against an EU institution, if they feel their rights are infringed under EU system.
o Each judge and advocate general is appointed jointly by national

governments (member country).
o It is located in Luxembourg.
▪ The European Central Bank (ECB): It is the central bank for the euro and administers
monetary policy within the Euro zone, which comprises 19 member states of the European
Union.
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o Governing Council –USE DRPIYUSH11
It is the main decision-making body of ECB. It consists of the
Executive Board plus the governors of the national central banks from euro zone
countries.
o Executive Board – It handles the day-to-day running of the ECB. It consists of the ECB
President and Vice-President and 4 other members appointed by national governments
of euro zone countries.
o Sets the interest rates at which it lends to commercial banks in the euro zone, thus
controlling money supply and inflation.
o Authorises production of euro banknotes by euro zone countries.
o Ensures the safety and soundness of the European banking system.
o It is located in Frankfurt (Germany).
▪ The European system of financial supervision (ESFS): It was introduced in 2010. It consists
of:
o the European Systemic Risk Board (ESRB)
o 3 European supervisory authorities (ESAs):
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• the European Banking Authority (EBA)
• the European Securities and Markets Authority (ESMA)
• the European Insurance and Occupational Pensions Authority (EIOPA)
Functions
▪ EU’s law and regulation is meant to create a cohesive economic entity of its countries, so
that goods can flow freely across the borders of its member nations, without tariffs, with
the ease of one currency, and the creation of one enlarged labour pool, which creates
a more efficient distribution and use of labour.
▪ There is a pooling of financial resources, so that member nations can be "bailed out" or lent
money for investment.
▪ Union's expectations in areas such as human rights and the environment have political
implications for member countries. Union can exact a heavy political cost such as severe
cutbacks and an austerity budget on its members as a condition of giving aid.
▪ This is a great experiment, really, in cooperation amongst nations, who wish to

be economically unified, ceding as little political and national power as possible.
Trade
o
UNACADEMY
Free trade among its members was one of the EU's founding principles. This is possible
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thanks to the single market. Beyond its borders, the EU is also committed to liberalising
world trade.
o The European Union is the largest trade block in the world. It is the world's biggest
exporter of manufactured goods and services, and the biggest import market for over
100 countries.
▪ Humanitarian aid
o The EU is committed to helping victims of man-made and natural disasters worldwide

and supports over 120 million people each year.
o EU and its constituent countries is the world's leading donor of humanitarian aid.
▪ Diplomacy and security
o The EU plays an important role in diplomacy and works to foster stability, security and
prosperity, democracy, fundamental freedoms and the rule of law at international level.
Challenges & Reforms

▪ It is no longer self-evident that all old member states will stay in the Union. The Treaty of
Lisbon gave the members the right to leave the EU. The financial crisis has hit Greece so
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hard that many people have predicted for a long time that the country will exit from the
Union.
▪ Layoffs, redundancies and migration of jobs to countries where labour is cheap affect the
daily lives of European citizens. The EU is expected to find solutions to economic problems
and employment.
▪ There is also demand for standard labour agreements on terms of employment and
working conditions that would apply across Europe and even worldwide. As a member of
the World Trade Organisation, the European Union is in a position to influence
developments worldwide.
▪ EU is a global leader in the development of Key Enabling Technologies (KETs). However,

EU’s record in translating this knowledge advantage into marketable products and services
doesn't match this. KETs-related manufacturing is decreasing in the EU and patents are
increasingly being exploited outside the EU.
▪ Europe is experiencing a renaissance of national sovereignty supported by a nationalistic

turn of public opinion and represented by parties on both ends of the political spectrum.
Popular disaffection toward EU membership is fuelled by the contemporaneous occurrence
of two shocks, the economic and the migration crises.
▪ USA, by withdrawing from the Paris climate change deal, by pulling out of the Joint
UNACADEMY
Comprehensive Plan of Action (JCPOA) on Iran’s nuclear programme, and by attacking
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the integrity of the international trading system through the unilateral imposition of
tariffs, has called into question Europeans’ formerly unshakeable faith in diplomacy as a
way to resolve disagreements and to protect Europe.
▪ European leaders now fear that the transatlantic security guarantee will centre not on
alliances and common interests but purchases of American technology and materiel.
▪ Like the United States, the EU has been forced to reconsider its relationship with a
more assertive Russia with implications for European security and stability. The EU has
sought to support Ukraine's political transition, condemned Russia's annexation of
Crimea in March 2014, and strongly urged Russia to stop backing separatist forces in
eastern Ukraine.
o Democratic regression in Ukraine combined with a hardening attitude in Moscow

imposes constraints on the Ukrainian government’s freedom of maneuver in pursuing its
European Union membership.
▪ Brexit: EU has imposed too many rules on business and charged billions of pounds a year
in membership fees for little in return.
o The EU added eight eastern European countries in 2004, triggering a wave of

immigration that strained public services. In England and Wales, the share of foreign-
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born residents had swelled to 13.4 percent of the population by 2011, roughly double
the level in 1991.
o Brexit supporters wanted Britain to take back full control of its borders and reduce the
number of people coming here to live and/or work.
o They argued that the EU is morphing into a super-state that increasingly impinges on
national sovereignty. Britain has global clout without the bloc, they said, and can
negotiate better trade treaties on its own.
o Withdrawal from the EU is governed by Article 50 of the Treaty on European Union.
o A deal between UK & EU that gives it control over immigration and also preferential
access to the EU’s tariff-free single market of 500 million people (UK), the economic
backbone of the world’s largest trading bloc is rejected by Germany & other EU leaders.
EU & India
▪ The EU works closely with India to promote peace, create jobs, boost economic growth and
enhance sustainable development across the country.
▪ UNACADEMY
As India graduated from low to medium income country (OECD 2014), the EU-India
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cooperation also evolved from a traditional financial assistance type towards a
partnership with a focus on common priorities.
▪ At the 2017 EU-India Summit, leaders reiterated their intention to strengthen cooperation
on the implementation of the 2030 Agenda for Sustainable Development and agreed to
explore the continuation of the EU-India Development Dialogue.
▪ The EU is India's largest trading partner, accounting for €85 billion (95 billion USD) worth of
trade in goods in 2017 or 13.1% of total India trade, ahead of China (11.4%) and the USA
(9.5%).
▪ The EU's share in foreign investment inflows to India has more than doubled from 8% to
18% in the last decade, making the EU the first foreign investor in India.
▪ EU foreign direct investment stocks in India amounted to €73 billion in 2016, which is
significant but way below EU foreign investment stocks in China (€178 billion).
▪ INDIA-EU Bilateral Trade and Investment Agreement (BTIA): It is a Free Trade Agreement
between India and EU, which was initiated in 2007. Even after a decade of negotiations,
India and EU have failed to resolve certain issues which have led to a deadlock.
o "Data Secure" status not granted by EU affecting prospects of India’s IT-enabled exports.
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o Presence of non-tariff barriers on Indian agricultural products in the form of sanitary

and phyto-sanitary(SPS) measures which are too stringent and enable the EU to bar many
Indian agricultural products from entering its markets.
o EU wants India to liberalise accountancy and legal services. India denies on the ground
of already shortage of jobs.
o EU demands tax reduction on wines and spirits but in India these are regarded as ‘sin
goods’ and the states which derive huge revenue from liquor sales would be reluctant to
cut taxes.
o Reduction of taxes on automobiles not acceptable to India as its own automobile

industry would not be able to match the competition from EU automobiles.
o India has rejected an informal attempt by the European Union (EU) to work towards
a global investment agreement at the World Trade Organisation (WTO)-level that would
incorporate a contentious Investor-State Dispute Settlement (ISDS) mechanism which
will allow corporations to take sovereign governments to international arbitration. The
ISDS mechanism permits companies to drag governments to international
arbitration without exhausting the local remedies and claim huge amounts as
compensation citing losses they suffered due to reasons, including policy changes.
The non-tariff barriers in pharmaceuticals that EU has imposed include requirement of

o
UNACADEMY
WTO—Good Manufacturing Practice certification, import bans, antidumping measures
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and pre-shipment inspection among others.
o India has cancelled most individual bilateral investment agreements with EU member
states on grounds that they were outdated. By doing this India is putting pressure on EU
to sign BTIA on favouring terms.
INDIA-EU RELATIONS
Background of India EU relations
▪ In 1962, India was the first developing country to establish diplomatic relations with
European community.
▪ EU-India Cooperation Agreement 1994 provides the legal framework for EU-India
relations. India and the EU have been strategic partners since 2004.
▪ Since the Lisbon summit in 2000 India has belonged to a small group of countries including
US, China, Russia, Japan and Canada among others with whom the EU holds regular
summits.
India-EU relations
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• Trade and Investment:
▪ The EU is India's largest trading partner, accounting for 12.9% of India's overall trade.
Further the trade in services have almost tripled in last decade.
▪ The EU is also the largest destination for Indian exports and a key source of
investment and technologies.
▪ Major EU exports to India include engineering goods, gems and jewellery and chemical
and allied products. The primary EU imports include textiles and clothing, chemical
and allied products and engineering goods.
▪ Overall, the EU is the second largest investor in India, with €70 billion of cumulative
FDI from April 2000 to March 2017, accounting for almost one-quarter of all
investments flows into India.
Comprehensive sectoral cooperation: which includes both energy and climate change;
research and innovation; pharmaceuticals; biotechnologies; agriculture, Digital economy and
Society; competition policy; macroeconomic issues, sustainable urban development;
migration and mobility; and higher education.
EU and India remain close partners in the G20 and have developed a regular macroeconomic
dialogue to exchange experience on economic policies and structural reforms.
Energy Cooperation:
▪
UNACADEMY
EU-India energy cooperation has considerably strengthened over the past years and they
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now have EU - India Clean Energy and Climate Partnership.
▪ Further EU and India also underline their highest political commitment to the effective
implementation of the Paris Agreement and the UNFCCC despite US withdrawing from
the same.
Research and Development:
▪ India, participates in international ITER fusion project which aims to build and operate
an
experimental facility to demonstrate the scientific viability of fusion as a future
sustainable energy source.
▪ India also participates in research and innovation funding programme 'Horizon 2020'
wherein individual scientists can receive grants from the European Research Council
(ERC) or the Marie Skłodowska-Curie Actions (MSCA)
Environment and Water:
The EU and India also cooperate closely on the Indian Clean Ganga initiative and deal with
other water-related challenges in coordinated manner.
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o City to City Cooperation: There is city-to-city cooperation between European and Indian
cities such as Mumbai, Pune and Chandigarh in a first phase and twelve more cities involved
in the current phase.
▪ Now it is being formalized in an India-EU Partnership for Smart and Sustainable

urbanization, which will support the Indian ‘Smart cities’ and 'AMRUT' initiatives to
boost joint research and innovation.
ICT Cooperation:
▪ The EU and India aim to link the ‘Digital Single Market’ with the ‘Digital India’.
▪ A new "Start-up Europe India Network" initiative was launched in 2016.
▪ Further, an EU-India Cyber Security Dialogue has been set up that focusses on
exchange of best practice on addressing cybercrime and strengthening cyber security
and resilience.
Migration and mobility:
The EU-India Common Agenda on Migration and Mobility (CAMM) is a fundamental

cooperation agreement between India and EU. The CAMM addresses four priority areas in a
balanced manner:
▪ Better organised regular migration and the fostering of well-managed mobility;

▪ UNACADEMY
Prevention of irregular migration and trafficking in human beings;
▪
▪
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Maximizing the development impact of migration and mobility; and
The promotion of international protection.
▪ Development cooperation: Over €150 million worth of projects are currently ongoing
in India.
The European Union has unveiled a ‘strategy paper’ outlining the broad roadmap for
accelerating cooperation with India in a range of key sectors.
What does the strategy paper focus on?
Strategic Partnership
▪ Focuses on developing military-to-military relations under which deploying an EU military

advisor in the EU Delegation in New Delhi and vice-versa is being considered.
▪ focus on negotiation of a broader contemporary Strategic Partnership Agreement
supplanting 1994 EU-India Cooperation Agreement and intensify dialogue on
Afghanistan and Central Asia.
▪ Strengthening technical cooperation on fighting terrorism, countering radicalization,
violent extremism and terrorist financing.
▪ Maritime cooperation: Efforts will be made to identify common interests of both at
policy and operational levels to enhance maritime security.
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▪ It will focus on working with India and other key regional

players such as South Africa to help build the capacity of maritime nations in the Indian
Ocean and East Africa.
Renewed focus on trade
▪ India and EU since 2007 are unable to strike a free trade agreement called Bilateral Trade
and Investment Agreement (BTIA) due to incoherent interest of both.
▪ The European Union (EU) now is looking at reworking the proposed free trade pact with
India called the Broad Based BTIA in a post-Brexit scenario.
▪ Though the strategy paper did not mention BTIA, but it aims to negotiate a “balanced,
ambitious and mutually beneficial” free trade agreement (FTA) with sufficient level of
ambition to respond to each side’s key interests in trade and investment.
Political Partnership - This includes reinforcing cooperation on foreign policy, promoting

effective multilateralism and building on common values and objectives.
Why this renewed thrust?

▪ After the promising beginnings in 2000s, the EU-India partnership lost its momentum as
it largely focused on trade and cultural rather than broad strategic and political issues.
▪ Europe’s main focus earlier was on China as its key partner and market in Asia while India
UNACADEMY
viewed Europe largely as a trade bloc.
▪
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But now the new strategic and power realities have pushed the two towards each other.
▪ Chinese Challenge: China’s increasing presence in Eurasia and South Asia is creating
similar security, political and economic concerns for Europe and India. Both are driven by
the need to diversify its partnerships and balance.
▪ BREXIT- a new opportunity: Both EU and India can seize an opportunity to work without
Britain. Brexit is pushing India to look for new ‘gateways’ to Europe, as its traditional
partner leaves the union. A renewed trade and political cooperation are the need of the
hour.
▪ Fall of the conventional Liberal Trade Order-Trade war, crumbling WTO and break down
of TPP etc. has made EU understand the economic importance of India.
Broad-based Trade and Investment Agreement(BTIA)

Concerns of India
▪ The deadlock is due to issues including India’s pitch for a ‘data secure’ status (important
for India's IT sector to do more business with EU firms) as well as to ease norms on
temporary movement of skilled workers
▪ For India non-tariff barriers such as sanitary and phytosanitary measures, and technical
barriers to trade are also a major concern. The EU has been imposing stringent labelling
requirements and trademark norms, which have dented India’s exports.
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▪ Further in terms of trade in services, India demands strong binding promises by the EU on
liberalizing trade in service.
Concern’s of EU
▪ EU is keen on finalization of an India-EU Bilateral Investment Treaty (BIT) before the re-
launch of the FTA talks.
▪ There are differences over the EU’s demands on elimination of India’s duties on goods
such as automobiles and wines and spirits, further liberalization of multi-brand retail and
insurance and opening up of the currently closed sectors such as accountancy and legal
services.
▪ India’s model BIT and its Investor-State Dispute Settlement Mechanism which allows
companies to seek international arbitration only when all domestic options have been
exhausted has also been a contentious issue.
UNACADEMY
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SAARC
The South Asian Association for Regional Cooperation (SAARC) was established with the
signing of the SAARC Charter in Dhaka on 8 December 1985.
▪ The idea of regional cooperation in South Asia was first raised in November 1980. After
consultations, the foreign secretaries of the seven founding countries—Bangladesh,
Bhutan, India, Maldives, Nepal, Pakistan, and Sri Lanka—met for the first time in
Colombo in April 1981.
▪ Afghanistan became the newest member of SAARC at the 13th annual summit in 2005.
▪ The Headquarters and Secretariat of the Association are at Kathmandu, Nepal.
Principles
▪ Cooperation within the framework of the SAARC shall be based on:
o Respect for the principles of sovereign equality, territorial integrity, political

UNACADEMY
independence, non-interference in the internal affairs of other States and mutual
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o Such cooperation shall not be a substitute for bilateral and multilateral cooperation but
shall complement them.
o Such cooperation shall not be inconsistent with bilateral and multilateral obligations.
Members of SAARC
▪ SAARC comprises of eight member States:
▪ Afghanistan
▪ Bangladesh
▪ Bhutan
▪ India
▪ Maldives
▪ Nepal
▪ Pakistan
▪ Sri Lanka
▪ There are currently nine Observers to SAARC, namely: (i) Australia; (ii) China; (iii) the
European Union; (iv) Iran; (v) Japan; (vi) the Republic of Korea; (vii) Mauritius; (viii)
Myanmar; and (ix) the United States of America.
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Areas of Cooperation
▪ Human Resource Development and Tourism
▪ Agriculture and Rural Development
▪ Environment, Natural Disasters and Biotechnology
▪ Economic, Trade and Finance
▪ Social Affairs
▪ Information and Poverty Alleviation
▪ Energy, Transport, Science and Technology
▪ Education, Security and Culture and Others
The Objectives of the SAARC
▪ To promote the welfare of the people of South Asia and to improve their quality of life.
▪ To accelerate economic growth, social progress and cultural development in the region
and to provide all individuals the opportunity to live in dignity and to realize their full
potentials.
▪ UNACADEMY
To promote and strengthen collective self-reliance among the countries of South Asia.
▪ USE
To contribute to mutual DRPIYUSH11
trust, understanding and appreciation of one another’s problems..
▪ To promote active collaboration and mutual assistance in the economic, social, cultural,
technical and scientific fields.
▪ To strengthen cooperation with other developing countries.
▪ To strengthen cooperation among themselves in international forums on matters of

common interests; and
▪ To cooperate with international and regional organizations with similar aims and purposes.
Principal Organs
▪ Meeting of Heads of State or Government
o Meetings are held at the Summit level, usually on an annual basis.
▪ Standing Committee of Foreign Secretaries
o The Committee provides overall monitoring and coordination, determines priorities,

mobilizes resources, and approves projects and financing.
▪ Secretariat
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o The SAARC Secretariat was established in Kathmandu on 16 January 1987. Its role is to
coordinate and monitor the implementation of SAARC activities, service the meetings of
the association and serve as a channel of communication between SAARC and other
international organizations.
o The Secretariat comprises the secretary-general, seven directors, and the general
services staff. The secretary-general is appointed by the Council of Ministers on the
principle of rotation, for a non-renewable tenure of three years.
SAARC Specialized Bodies
▪ SAARC Development Fund (SDF): Its primary objective is funding of project-based

collaboration in social sectors such as poverty alleviation, development, etc.
o SDF is governed by a Board consisting of representatives from the Ministry of Finance of

the Member States. The Governing Council of SDF (Finance Ministers of MSs) oversees
the functioning of the Board.
▪ South Asian University
o South Asian University (SAU) is an international university, located in India. Degrees and
Certificates awarded by the SAU are at par with the respective Degrees and Certificates
awarded by the National Universities/ Institutions.
▪
UNACADEMY
South Asian Regional Standards Organization
o
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South Asian Regional Standards Organization (SARSO) has its Secretariat at Dhaka,
Bangladesh.
o It was established to achieve and enhance coordination and cooperation among SAARC
member states in the fields of standardization and conformity assessment and is aimed
to develop harmonized Standards for the region to facilitate intra-regional trade and to
have access in the global market.
▪ SAARC Arbitration Council
o It is an inter-governmental body having its office in Pakistan is mandated to provide a

legal framework/forum within the region for fair and efficient settlement of commercial,
industrial, trade, banking, investment and such other disputes, as may be referred to it
by the member states and their people.
SAARC and its Importance
▪ SAARC comprises 3% of the world's area, 21% of the world's population and 3.8% (US$2.9
trillion) of the global economy.
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▪ Creating synergies: It is the world’s most densely populated region and one of the most
fertile areas. SAARC countries have common tradition, dress, food and culture and political
aspects thereby synergizing their actions.
▪ Common solutions: All the SAARC countries have common problems and issues like
poverty, illiteracy, malnutrition, natural disasters, internal conflicts, industrial and
technological backwardness, low GDP and poor socio-economic condition and uplift their
living standards thereby creating common areas of development and progress having
common solutions.
SAARC Achievements
▪ Free Trade Area (FTA): SAARC is comparatively a new organization in the global arena. The
member countries have established a Free Trade Area (FTA) which will increase their
internal trade and lessen the trade gap of some states considerably.
▪ SAPTA: South Asia Preferential Trading Agreement for promoting trade amongst the
member countries came into effect in 1995.
▪ SAFTA: A Free Trade Agreement confined to goods, but excluding all services like
information technology. Agreement was signed to reduce customs duties of all traded
goods to zero by the year 2016.
▪
UNACADEMY
SAARC Agreement on Trade in Services (SATIS): SATIS is following the GATS-plus 'positive
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list' approach for trade in services liberalization.
▪ SAARC University: Establish a SAARC university in India, a food bank and also an energy
reserve in Pakistan.
Significance for India
▪ Neighbourhood first: Primacy to the country’s immediate neighbours.
▪ Geostrategic significance: Can counter China (OBOR initiative) through engaging Nepal,
Bhutan, the Maldives and Sri Lanka in development process and economic cooperation.
▪ Regional stability: SAARC can help in creation of mutual trust and peace within the region.
▪ Global leadership role: It offers India a platform to showcase its leadership in the region by
taking up extra responsibilities.
▪ Game changer for India’s Act East Policy: by linking South Asian economies with South East
asian will bring further economic integration and prosperity to India mainly in the Services
Sector.
Challenges
▪ Low frequency of meetings: More engagement is required by the member states and
instead of meeting biennial meetings should be held annually.
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▪ Broad area of cooperation leads to diversion of energy and resources.
▪ Limitation in SAFTA: The implementation of SAFTA has not been satisfactory a Free Trade
Agreement confined to goods, excluding all services like information technology.
▪ Indo-Pak Relations: Escalated tension and conflict between India and Pakistan have
severely hampered the prospects of SAARC.
Way Forward
▪ In a region increasingly targeted by Chinese investment and loans, SAARC could be a

common platform to demand more sustainable alternatives for development, or to oppose
trade tariffs together, or to demand better terms for South Asian labour around the world.
▪ SAARC, as an organisation, reflects the South Asian identity of the countries, historically
and contemporarily. This is a naturally made geographical identity. Equally, there is a
cultural, linguistic, religious and culinary affinity that defines South Asia.
▪ The potential of organisation to maintain peace and stability in the region should be
explored by all the member countries.
▪ SAARC should be allowed to progress naturally and the people of South Asia, who make up
a quarter of the world’s population should be offered more people-to-people contact.
UNACADEMY
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BIMSTEC
What is BIMSTEC?
▪ The Bay of Bengal Initiative for Multi-Sectoral Technical and Economic Cooperation
(BIMSTEC) is a regional multilateral organisation.
▪ Its members lie in the littoral and adjacent areas of the Bay of Bengal constituting a
contiguous regional unity.
▪ Out of the 7 members,
o Five are from South Asia –
• Bangladesh
• Bhutan
• India
• Nepal
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o Two are from Southeast Asia –
• Myanmar
• Thailand
▪ BIMSTEC not only connects South and Southeast Asia, but also the ecologies of the Great
Himalayas and the Bay of Bengal.
▪ It mainly aims to create an enabling environment for rapid economic development;

accelerate social progress; and promote collaboration on matters of common interest in
the region.
Genesis of BIMSTEC
▪ This sub-regional organization came into being in 1997 through the Bangkok Declaration.
▪ Initially, it was formed with four Member States with the acronym ‘BIST-EC’ (Bangladesh,
India, Sri-Lanka and Thailand Economic Cooperation).
▪ It became renamed ‘BIMST-EC’ in 1997, following the inclusion of Myanmar.
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▪ With the admission of Nepal and Bhutan in 2004, the name of the grouping was changed
to ‘Bay of Bengal Initiative for Multi-Sectoral Technical and Economic
Cooperation’ (BIMSTEC).
Objectives
▪ Creating an enabling environment for the rapid economic development of the sub-region.
▪ Encouraging the spirit of equality and partnership.
▪ Promoting active collaboration and mutual assistance in the areas of common interests of
the member countries
▪ Accelerating support for each other in the fields of education, science, and technology, etc.
Principles of BIMSTEC
▪ Sovereign Equality
▪ Territorial Integrity
▪ Political Independence
▪ No-interference in Internal Affairs
▪ Peaceful Co- existence

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▪ Mutual Benefit
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▪ Constitute an addition to and not be a substitute for bilateral, regional or multilateral
cooperation involving the Member States.
Potential
▪ Bridge between South and South East Asia and represents a reinforcement of relations
among these countries.
▪ Platform for intra-regional cooperation between SAARC and ASEAN members.
▪ Home to around 1.5 billion people that constitute around 22% of the global population.
▪ With a combined gross domestic product (GDP) of 2.7 trillion economy, BIMSTEC Member
States have been able to sustain an average 6.5% economic growth trajectory in the last
five years.
▪ A fourth of the world’s traded goods cross the bay every year.
▪ Important Connectivity Projects:
o Kaladan Multimodal Project – links India and Myanmar.
o Asian Trilateral Highway - connecting India and Thailand through Myanmar.
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o Bangladesh-Bhutan-India-Nepal (BBIN) Motor Vehicles Agreement - for seamless flow of

passenger and cargo traffic.
Significance for India
▪ Allows India to pursue three core policies:
o Neighborhood First - primacy to the country’s immediate periphery;
o Act East - connect India with Southeast Asia; and
o Economic development of India’s northeastern states – by linking them to the Bay of

Bengal region via Bangladesh and Myanmar.
▪ Allows India to counter China’s creeping influence in countries around the Bay of Bengal
due to the spread of its Belt and Road Initiative.
▪ A new platform for India to engage with its neighbors with South Asian Association for
Regional Cooperation (SAARC) becoming dysfunctional because of differences between
India and Pakistan.
▪ Trade and Investment
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▪ Transportation and Communication
▪ Tourism
▪ Fisheries
▪ Agriculture
▪ Cultural Cooperation
▪ Environment and Disaster Management
▪ Public Health
▪ People-to-People Contact
▪ Poverty Alleviation
▪ Counter Terrorism and Transnational Crime
▪ Climate Change
Institutional Mechanisms
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▪ BIMSTEC Summit – highest policymaking body in BIMSTEC process and is comprised of

heads of state/government of member states.
▪ Ministerial Meeting – second apex policy-making forum of BIMSTEC attended by the

External/Foreign Ministers of Member States.
▪ Senior Officials’ Meeting – represented by Senior Officials of Foreign Ministries of the

Member States.
▪ BIMSTEC Working Group – attended by Ambassadors of BIMSTEC Member Countries to

Bangladesh or their representatives on a monthly basis at the BIMSTEC Secretariat in
Dhaka.
▪ Business Forum & Economic Forum – the two important forums to ensure active
participation of private sector.
Challenges
Though largely devoid of bilateral tensions, as is the case in SAARC, BIMSTEC does not seem
to have made much progress.
▪ Inconsistency in Meetings: BIMSTEC planned to hold summits every two years, ministerial
meetings every year, but only four summits have taken place in 20 years upto 2018.
▪
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Neglect by member states: It seems that India has used BIMSTEC only when it fails to work
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through SAARC in the regional setting and other major members like Thailand and
Myanmar are focused more towards ASEAN than BIMSTEC.
▪ Broad Focus Areas: The focus of BIMSTEC is very wide, including 14 areas of cooperation
like connectivity, public health, agriculture etc. It is suggested that BIMSTEC should remain
committed to small focus areas and cooperate in them efficiently.
▪ Bilateral Issues between Member Nations: Bangladesh is facing one of the worst refugee
crisis of Rohingyas from Myanmar who are fleeing prosecution in the state of Rakhine in
Myanmar. There is a border conflict between Myanmar and Thailand.
▪ No FTA: BIMSTEC FTA was negotiated in 2004, talks on it are yet to be concluded.
▪ BCIM: The formation of another sub-regional initiative, the Bangladesh-China-India-

Myanmar (BCIM) Forum, with the proactive membership of China, has created more doubts
about the exclusive potential of BIMSTEC.
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Utility SAARC vs BIMSTEC
SAARC BIMSTEC
1. Interregional organisation connecting South Asia and

1. A regional organisation looking into
South East Asia.
South Asia
2. Established in 1997 in the post-Cold War.
2. Established in 1985 during the cold
war era.
3. Members maintain reasonably friendly relations.
3. Member countries suffer for

4. Core objective is the improvement of economic
mistrust and suspicion.
cooperation among countries.
4. Suffers from regional politics.

5. Balancing of power with the presence of Thailand and
India on the bloc.
5. Asymmetric power balance.
6. Intra-regional trade has increased around 6 precent in
6. Intra-regional trade only 5 percent.
UNACADEMY a decade.
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ANALYSIS OF INDIA’S SHIFT FROM SAARC TO BIMSTEC: SAARC MINUS ONE
Recently BIMSTEC leaders were invited for Prime Minister’s swearing in ceremony. This is
seen as indicator of India’s policy of engaging neighbours and keeping Pakistan out as in 2014
SAARC leaders were invited for the swearing in ceremony.
Recent examples of shifting focus from SAARC to BIMSTEC
Since then, tensions between India and Pakistan have led to New Delhi shifting focus from
SAARC to BIMSTEC. Notable events depicting this shift include-
▪ Kathmandu SAARC summit (2014): Pakistan vetoed connectivity agreements initiated by

India when all other countries were ready to sign it.
▪ After the Uri attack of 2016, India boycotted the SAARC summit, which was to be held in
Islamabad. The Summit was called off after other SAARC member states followed suit.
▪ Soon after, India invited BIMSTEC leaders to the BRICS outreach summit in Goa in 2016.
▪ In 2017 BIMSTEC summit, India’s PM announced, "It is a natural platform to fulfil our key
foreign policy priorities of Neighbourhood First and Act East."
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▪ Thereafter, the 2018 BIMSTEC summit in Nepal saw the grouping pass a resolution
demanding that states that “encourage, support or finance terrorism, provide sanctuaries
to terrorists and terror groups” be held accountable.
Why India’s shift towards BIMSTEC?
▪ Stagnation of SAARC is a key reason for India to reach out to BIMSTEC as stagnation
limited the scope of India’s growing economic aspirations as well as the role it could
play in improving regional governance.
▪ Thus, BIMSTEC offers a natural platform to fulfil key foreign policy priorities of
‘Neighbourhood First’ and ‘Act East’.
▪ BIMSTEC also carries a lot of economic promise. With a combined gross domestic product
(GDP) close to $2.7 trillion and despite an adverse global financial
environment, all seven countries were able to sustain average annual rates of economic
growth between 3.4 and 7.5 percent from 2012 to 2016. The bay is also rich in untapped
natural resources, with reserves of gas and other seabed minerals, oil and also fishing
stocks.
▪ Better connectivity with BIMSTEC countries opens up opportunities for Indian coastal
states and North East states to unlock the potential for development in the region.
▪ Strategically, BIMSTEC is a platform to counter assertive China in South and Southeast
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Asia, where it has undertaken investments through the Belt and Road initiative.
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Why SAARC remains relevant DRPIYUSH11
despite renewed interest in BIMSTEC?
▪ SAARC, as an organisation, reflects the South Asian identity of the countries, historically
and contemporarily. It has geographical identity. Equally, there is a cultural, linguistic,
religious and culinary affinity that defines South Asia. BIMSTEC despite its achievements
is not moored in the identity of the nations that are members.
▪ South Asian countries are closely tied in their socio-political state as they face similar
threats and challenges like terrorism, similar economic challenges, disaster etc. To face
such challenges, the South Asian countries must cooperate. The European and ASEAN
experience is testimony to the contribution of regional cooperation in the economic
growth of the countries.
▪ BIMSTEC itself faces challenges since its inception. It is also not well institutionalised as
SAARC, which despite political tensions between its largest members has institutions for
cooperation. Though there have been delays in regular SAARC summits, there are
mechanisms of interaction within SAARC- South Asian University, South Asia Satellite
which keep SAARC relevant.
Conclusion
▪ The two organisations, SAARC and BIMSTEC—focus on geographically overlapping
regions. However, this does not make them equal alternatives. BIMSTEC does not render
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SAARC pointless rather it opens up new opportunities of regional cooperation in South

Asia.
▪ The very founding principle of BIMSTEC is cooperation within BIMSTEC will constitute an
addition to and not as a substitute for bilateral, regional or multilateral cooperation
involving the Member States. It’s officially described as “a bridge between South and
South East Asia” and a “platform for intra-regional cooperation between SAARC and
ASEAN”.
▪ India should take lead in creating platforms for informal discussions, formal mediation
and resolution mechanisms tailored to the region’s specific needs and problems. So that
bilateral issues do not hinder broader regional integration under both SAARC and
BIMSTEC.
UNACADEMY
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SCO
▪ SCO is a Eurasian political, economic, and military organisation. Along with BRICS, SCO is
seen as an attempt by China & Russia to challenge the Western dominated global order
and counterbalance the activities of United States and NATO in Central Asia.
▪ Currently, SCO has 8 Member States - China, Kazakhstan, Kyrgyzstan, Russia, Tajikistan,
Uzbekistan, India and Pakistan; 4 Observer States - Afghanistan, Belarus, Iran and
Mongolia and 6 Dialogue Partners - Azerbaijan, Armenia, Cambodia, Nepal, Turkey and
Sri Lanka.
▪ Official working languages of the Shanghai Cooperation Organisation are Chinese and
Russian.
▪ It has two permanent bodies — the SCO Secretariat based in Beijing and the Executive
Committee of the Regional Anti-Terrorist Structure (RATS) based in Tashkent.
▪ The SCO Secretariat is the main permanent executive body of the SCO, while the Council
of Heads of State is the top decision-making body in the SCO.
▪ The Prime Minister of India, in his address to SCO in Bishkek Summit, presented his vision
for the organization in the form of HEALTH (healthcare cooperation, economic
cooperation, alternate energy, literature and culture, terrorism-free society and
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humanitarian cooperation), which closely tied with the declaration.
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Significance of SCO’s membership to India
▪ Security: SCO’s main objective of working cooperatively against “three evils” of terrorism,
separatism, and extremism is in consonance with India’s interests.
▪ Regular participation in Regional Anti-Terrorist Structure (RATS) and joint military
exercises (India participated in 2018) will help enhance combat capabilities and
intelligence sharing.
▪ It could be a platform for bilateral negotiations with Pakistan on issues of mutual interest
without bringing in bilateral disputes. It can also help India counter Pakistan propaganda
on other multi-national forums like Organization of Islamic Cooperation (OIC).
▪ Both Central Asian Region countries & India face serious threat from illegal drug trade
emanating from ‘Golden Crescent’ of opium production (Iran-Pak-Afghan) and are also
victims of illegal arms trade. SCO provides a platform for multilateral cooperation.
▪ Connectivity: SCO is also a potential platform to advance India’s Connect Central Asia
policy - through trade, people to people contact and cultural connect.
▪ This is much in line with India’s focus on connectivity as evident India’s efforts -
International North South Transport Corridor & Ashgabat Agreement, construction of
Chabahar Port and setting up an air freight corridor between Kabul, Kandahar and New
Delhi.
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▪ Economic Interests: With SCO countries contributing almost 42% of the world population
and 20% of the GDP, the proposed FTA with Eurasian Economic Union can provide India
with a wider market base for its IT, telecommunications, banking, finance and
pharmaceutical industries.
▪ With cultural connect and shared history, it also has potential to boost tourism sector of
the country (presently SCO countries constituted only 6% of India’s total tourists).
▪ Energy & Minerals: Being closer to India geographically, mineral trade with Central Asia
can entail significant cost savings. Being an energy deficient country with increasing
demands, India provides an assured market for Central Asian countries and Russia.
▪ SCO countries along with Iran, Azerbaijan &Turkmenistan hold some of the largest oil
(~25%) and natural gas reserves (~50%) of the world. Kazakhstan is the largest producer
of Uranium. Uzbekistan & Kyrgyzstan are important regional producers of Gold.
▪ SCO Energy Club can facilitate deeper interactions between producers (Russia,
Kazakhstan, Uzbekistan and Iran) and consumers (China, Tajikistan,
Kyrgyzstan, India, Pakistan and Mongolia)
▪ SCO membership could help advance talks on construction of stalled pipelines like TAPI
& IPI
▪ Political significance: SCO also provides a stage to India for achieving some of its foreign
policy goals
▪ It will help India to play an active role in its extended neighbourhood.
▪ UNACADEMY
Presence of Iran & Afghanistan as observers also makes it an important venue to discuss
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vital regional issues. Eurasian powers, along with China, Russia and Pakistan, are bound
to play a major role in Afghanistan’s security affairs. SCO membership could help India
from not being left out of the peace process.
Challenges for India at SCO

▪ Trust Deficit between members like India & Pakistan and India & China can be major drag
on the effectiveness of the organization.
▪ China’s Belt and Road initiative: India’s position on BRI is contrary to other members, all
of which have supported the initiative. Funds are being allocated for BRI projects by AIIB
and NDB of which India is an active member. This could be a potential friction point.
▪ Global geopolitics: The growing proximity of Russia and China and India’s attempts
towards better relations with the US makes the organization vulnerable to competitive
geopolitics. For instance, Iran, who is an observer at SCO and a major trade partner of
India, is engaged in a major conflict with US. The US sanctions has forced India to stop
buying oil from Iran.
▪ India’s position on Syria is at variance with the US and its regional allies like Saudi Arabia
and Israel. It has supported the current regime during the ongoing conflict, while agreeing
to get further involved in the reconstruction process.
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▪ Definition of terrorism: India’s definition of terrorism is different from the definition of

SCO under RATS. For SCO, terrorism coincides with regime destabilization; whereas for
India it is related to state-sponsored cross border terrorism.
▪ SCO’s targets are groups like East-Turkestan Islamic Movement (ETIM) and Al-Qaeda,
whereas groups like Lashkar-e-Taiba, Jaish-e-Mohammad and Harkat-ul-Mujahideen,
operational in India, do not come under the ambit of the SCO anti-terror structure.
▪ Limited existing economic footprint: India’s bilateral trade with Central Asia stands at
about $2 bn and with Russia about $10 bn in 2017. In contrast, China’s trade with Russia
has crossed $100 bn in 2018 and stands at over $50 billion with Central Asia.
▪ Other regional organizations: Proliferation of other regional undertakings – Eurasian
Economic Union (EAEU), Belt and Road Initiative (BRI), Greater Eurasian Partnership,
Collective Security Treaty Organization (CSTO), Conference on Interaction and
Confidence-Building Measures in Asia (CICA) etc. - may also pose a challenge for SCO.
Way Forward
▪ Whether the SCO grows into a successful regional forum depends on its ability to
overcome bilateral differences between its members and their respective geopolitical
calculations.
▪ In this situation, India needs to improve its own standing and enhance its presence in the
Eurasian region. The opening of Chabahar port and entry into Ashgabat agreement should
UNACADEMY
be utilized for a stronger presence in Eurasia besides a clear focus on operationalizing
▪
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Consistent efforts should be made by SCO mutual trust among the member states. India’s
concerns over violations of ‘sovereignty and territorial integrity’ must be adequately
addressed by China.
▪ There should be consensus over issues like terrorism and extremism and RATS-SCO should
be tasked to identify and assess the presence of major terrorist groups throughout the
SCO region
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BRICS
▪ BRICS is an acronym for the grouping of the world’s leading emerging economies, namely
Brazil, Russia, India, China and South Africa.
▪ The BRICS Leaders’ Summit is convened annually.
Structure
▪ BRICS does not exist in form of organization, but it is an annual summit between the
supreme leaders of five nations.
▪ The Chairmanship of the forum is rotated annually among the members, in accordance with
the acronym B-R-I-C-S.
▪ BRICS cooperation in the past decade has expanded to include an annual programme of
over 100 sectoral meetings.
Salient Features
▪ Together, BRICS accounts for about 40% of the world’s population and about 30% of the
GDP (Gross Domestic Product), making it a critical economic engine.
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▪ It’s an emerging investment market and global power bloc.
Genesis
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▪ The acronym "BRICS" was initially formulated in 2001 by economist Jim O'Neill, of Goldman
Sachs, in a report on growth prospects for the economies of Brazil, Russia, India and China
– which together represented a significant share of the world's production and population.
▪ In 2006, the four countries initiated a regular informal diplomatic coordination, with annual
meetings of Foreign Ministers at the margins of the General Debate of the UN General
Assembly (UNGA).
▪ This successful interaction led to the decision that the dialogue was to be carried out at the
level of Heads of State and Government in annual Summits.
Timeline
▪ The first BRIC Summit took place in 2009 in the Russian Federation and focused on issues
such as reform of the global financial architecture.
▪ South Africa was invited to join BRIC in December 2010, after which the group adopted the
acronym BRICS. South Africa subsequently attended the Third BRICS Summit in Sanya,
China, in March 2011.
Objectives
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▪ The BRICS seeks to deepen, broaden and intensify cooperation within the grouping and
among the individual countries for more sustainable, equitable and mutually beneficial
development.
▪ BRICS takes into consideration each member’s growth, development and poverty
objectives to ensure relations are built on the respective country’s economic strengths and
to avoid competition where possible.
▪ BRICS is emerging as a new and promising political-diplomatic entity with diverse

objectives, far beyond the original objective of reforming global financial institutions.
1. Economic Cooperation
▪ There are rapidly growing trade and investment flows between BRICS countries as well as
economic cooperation activities across a range of sectors.
▪ Agreements have been concluded in the areas of Economic and Trade Cooperation;
Innovation Cooperation, Customs Cooperation; strategic cooperation between the BRICS
Business Council , Contingent Reserve Agreement and the New Development Bank.
▪ These agreements contribute to realisation of the shared objectives of deepening economic

UNACADEMY
cooperation and fostering integrated trade and investment markets.
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2. People-to-People exchange
▪ BRICS members have recognised the need for strengthening People-to-People exchanges
and to foster closer cooperation in the areas of culture, sport, education, film and youth.
▪ People-to-People exchanges seek to forge new friendships; deepen relations and mutual
understanding between BRICS peoples in the spirit of openness, inclusiveness, diversity and
mutual learning.
▪ Such People to people exchanges include the Young Diplomats Forum, Parliamentarian
Forum, Trade Union Forum, Civil BRICS as well as the Media Forum.
3. Political and Security Cooperation
▪ BRICS member political and security cooperation is aimed at achieving peace, security,
development and cooperation for a more equitable and fair world.
▪ BRICS provides opportunities for sharing policy advice and exchanges of best practices in
terms of domestic and regional challenges as well as advancing the restructuring of the
global political architecture so that it is more balanced, resting on the pillar of
multilateralism.
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▪ BRICS is utilised as a driver for South Africa’s foreign policy priorities including the pursuit
of the African Agenda and South-South Cooperation.
4. Cooperation Mechanism
Cooperation among members is achieved through:
▪ Track I: Formal diplomatic engagement between the national governments.
▪ Track II: Engagement through government-affiliated institutions, e.g. state-owned

enterprises and business councils.
▪ Track III: Civil society and People-to-People engagement.
Impacts of BRICS on global institutional reforms
▪ The main reason for co-operation to start among the BRICs nation was the financial crises
of 2008. The crises raised doubts over sustainability of the dollar-dominated monetary
system.
▪ The BRICs called for the “the reform of multilateral institutions in order that they reflect
the structural changes in the world economy and the increasingly central role that emerging
markets now play”.
▪
UNACADEMY
BRICs managed to push for institutional reform which led to International Monetary Fund
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(IMF) quota reform in 2010. Thus the financial crises had momentarily reduced western
legitimacy and briefly let the BRICs countries become “agenda setters” in multilateral
institutions.
New Development Bank
▪ NDB is headquartered in Shanghai.
▪ At the Fourth BRICS Summit in New Delhi (2012) the possibility of setting up a new
Development Bank was considered to mobilize resources for infrastructure and sustainable
development projects in BRICS and other emerging economies, as well as in developing
countries.
▪ During the Sixth BRICS Summit in Fortaleza (2014) the leaders signed the Agreement
establishing the New Development Bank (NDB).
▪ Fortaleza Declaration stressed that the NDB will strengthen cooperation among BRICS and
will supplement the efforts of multilateral and regional financial institutions for global
development thus contributing to sustainable and balanced growth.
▪ NDB’s key areas of operation are clean energy, transport infrastructure, irrigation,
sustainable urban development and economic cooperation among the member countries.
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▪ The NDB functions on a consultative mechanism among the BRICS members with all the
member countries possessing equal rights.
Contingent Reserve Arrangement
▪ Considering the increasing instances of global financial crisis, BRICS nations signed BRICS
Contingent Reserve Arrangement (CRA) in 2014 as part of Fortaleza Declaration at Sixth
BRICS summit.
▪ The BRICS CRA aims to provide short-term liquidity support to the members through
currency swaps to help mitigating BOP crisis situation and further strengthen financial
stability.
▪ The initial total committed resources of the CRA shall be one hundred billion dollars of the
United States of America (USD 100 billion).
▪ It would also contribute to strengthening the global financial safety net and complement
existing international arrangements (IMF).
Challenges
▪ The marked dominance of big three Russia-China-India is challenge for the BRICS as it
moves ahead. To become a true representative of large emerging markets across the world,
UNACADEMY
BRICS must become pan-continental. Its membership must include more countries from
other regions and continents.
▪
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The BRICS will need to expand its agenda for increasing its relevance in the global order. As
of now, climate change and development finance, aimed at building infrastructure
dominate agenda.
▪ As BRICS moves forward foundational principles of BRICS i.e. respect for sovereign equality
and pluralism in global governance are liable to be tested as the five member countries
pursue their own national agendas.
▪ The military standoff between India and China on the Doklam plateau, which has effectively
brought to an end the naive notion that a comfortable political relationship is always
possible amongst the BRICS members.
▪ China’s efforts to co-opt nation states, which are integral to its Belt and Road Initiative, into
a broader political arrangement has potential to cause conflict among BRICS members
especially China and India.
Importance for India
▪ India can benefit from collective strength of BRICS by way of consultation and cooperation
on economic issues of mutual interests, as well as topical global issues, such as,
international terrorism, climate change, food and energy security, reforms of global
governance institutions, etc.
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▪ India remains engaged with the other BRICS countries on its NSG membership.
▪ The NDB will help India to raise and avail resources for their infrastructure and sustainable
development projects. The NDB has approved its first set of loans, which included a loan
of US$ 250 million in respect of India for Multitranche Financing Facility for Renewable
Energy Financing Scheme’.
Way Forward
▪ BRICS did well in its first decade to identify issues of common interests and to create
platforms to address these issues.
▪ For BRICS to remain relevant over the next decade, each of its members must make a
realistic assessment of the initiative's opportunities and inherent limitations.
▪ BRICS nations need to recalibrate their approach and to recommit to their founding ethos.
BRICS must reaffirm their commitment to a multi-polar world that allows for sovereign
equality and democratic decision making by doing so can they address the asymmetry of
power within the group and in global governance generally.
▪ They must build on the success of the NDB and invest in additional BRICS institutions. It will
be useful for BRICS to develop an institutional research wing, along the lines of the OECD,
offering solutions which are better suited to the developing world.
▪
UNACADEMY
BRICS should consider a BRICS-led effort to meet their commitments under the Paris
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Agreement on climate change and the UN's sustainable development goals. This could
include e.g. setting up a BRICS energy alliance and an energy policy institution.
▪ NDB in partnership with other development finance institutions could be a potent vehicle
to finance progress towards the sustainable development goals amongst the BRICS
members.
▪ Idea of setting up a BRICS Credit Rating Agency (BCRA) as proposed by India, opposed to
Western agencies like Standard & Poor’s, Moody’s etc can be on BRICS future agenda.
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Achievements of BRICS so far
▪ To overcome the unipolar influence on world affairs, the BRICS countries have addressed
a major task of establishing a world economic governance system that would be fully
independent of the United States.
▪ New Development Bank (NDB) is BRICS most tangible achievement. Every BRICS
country contributes equally to its capital and has equal voting rights. This sets the
bank apart from other international financial institutions. In three years, NDB has
approved projects with a total value of $12.5 billion. NDB is considering to include new
members.
▪ The Contingent Reserve Arrangement as an alternative to the IMF; the Global Financial
Messaging System (GFMS) created by the Bank of Russia as a safeguard against entire
states being weaned off from SWIFT.
▪ Multi-layered pragmatic cooperation has been established through platforms for
agriculture research and energy research cooperation, collaborative research on
tuberculosis, on science and technology, culture etc.
▪ Operationalisation of the Partnership on New Industrial Revolution focuses on
cooperation in digitalisation, industrialisation, innovation, inclusiveness and investment.
This partnership will be concretised by establishing industrial and science parks,
innovation centres and business incubators.
▪ UNACADEMY
Over the years, BRICS has established an elaborate dialogue architecture. The Brasilia
declaration lists 116 meetings, conferences and other events in 2019, at ministerial,
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official, technical, business, judicial, legislative and people-to-people levels.
▪ Diverse agendas under BRICS like Global governance reforms (UN, UNSC, WTO, IMF etc.),
climate change, terrorism etc.
▪ India was successful in strengthening the commitment of BRICS to counterterrorism. Its
working group on countering terrorism has expanded its activities through five thematic
subgroups that deal with terrorist financing, use of Internet for terrorist purposes,
countering radicalisation, issue of foreign terrorist fighters, and capacity building.
▪ Focus on Intra BRICS trade: A BRICS Business Council, established in 2013, has made
recommendations on trade in national currencies, visa liberalisation and standards
harmonization. A Women’s Business Alliance was launched at Brasilia, to bring a new
perspective on business issues.
▪ China’s larger interest on the success of the BRICS Summit in Xiamen in 2017 did help
expedite an end to the Doklam standoff.
Challenges to BRICS
▪ Lack of commonality among the members: While Brazil, India and South Africa are
democratic, China and Russia are not. Structure of financial systems, levels of income,
education, inequality, health challenges also differ substantially within BRICS which makes
it hard for them to speak with a unified voice and to coordinate action
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▪ No common geo-political agenda: The Brasilia declaration notes shared perceptions on

global economic and financial governance. However, their interpretation by each country
depends on its national interest in specific circumstances. E.g. on expansion of the UN
Security Council, BRICS exposed its disunity yet again by sticking to the formulation that
refuses to go beyond China and Russia supporting the “aspiration” of Brazil, India and
South Africa “to play a greater role in the UN”.
▪ Diverging long-term economic trajectory of member countries: Though the five nations
have greatly increased their combined economic heft since the turn of the century, the
share is imbalanced. E.g. Brazil, Russia and South Africa’s shares of global output have
actually shrunk since 2000.
▪ Despite their combined population accounting for 40% of humanity, intra-BRICS trade
still makes up just 15% of world trade.
▪ No concrete achievements on key agendas: BRICS nations are, still, like in 2001, outsiders
in the global financial system. That is still run by the U.S. and Europe, despite their
shrinking share of global output.
▪ Democratization of United Nations and expansion of UNSC remain work in slow progress.
Suggestions
▪ It is important that BRICS work together to facilitate concrete trade and investment
mechanisms within themselves and become a bloc to reckon with.
▪ UNACADEMY
BRICS needs to establish a permanent Secretariat for continuous discussions on matters
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of common interest, draft resolutions, and monitor the implementation of decisions. Also,
there is need to establish other coordinating agencies, such as a Committee of Foreign
Ministers, an Assembly of Parliamentary Representatives, a Committee of Central Bank
Heads etc.
▪ The international system is in transition. The sovereign states have markedly fewer
opportunities for regulating the entire set of relations between countries. Thus, the future
is the forum format rather than the habitual intergovernmental organizations that will
be best fit for coping with the rapid change in the international environment, the
emergence of new forms of transboundary interaction. BRICS is confirmation of this trend.
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UNITED NATIONS
Introduction
• The United Nations (UN) is an international organization founded in 1945. It is currently made up of 193
Member States.
• Its mission and work guided by the purposes and principles contained in its founding Charter and
implemented by its various organs and specialised agencies.
• Its activities include maintaining international peace and security, protecting human rights, delivering
humanitarian aid, promoting sustainable development and upholding international law.
History of UN Foundation
• In 1899, the International Peace Conference was held in The Hague to elaborate instruments for settling
crises peacefully, preventing wars and codifying rules of warfare.
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• It adopted the Convention for the Pacific Settlement of International Disputes and established the
Permanent Court of Arbitration, which began work in 1902. This court was the forerunner of UN
International Court of Justice.
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• The forerunner of the United Nations was the League of Nations, an organization conceived in
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circumstances of the First World War, and established in 1919 under the Treaty of Versailles "to promote
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international cooperation and to achieve peace and security."

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• The International Labour Organization (ILO) was also created in 1919 under the Treaty of Versailles as
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an affiliated agency of the League.

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The name "United Nations", coined by United States President Franklin D. Roosevelt. A document
called The Declaration by United Nations was signed in 1942 by 26 nations, pledging their Governments
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to continue fighting together against the Axis Powers (Rome-Berlin-Tokyo Axis) and bound them against
making a separate peace.
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• United Nations Conference on International Organization (1945) : Conference held in San Francisco
(USA), was attended by representatives of 50 countries and signed the United Nations Charter.
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• The UN Charter of 1945 is the foundational treaty of the United Nations, as an inter-governmental
organization.
Components
The main organs of the UN are
1. the General Assembly,

2. the Security Council,
3. the Economic and Social Council,
4. the Trusteeship Council,
5. the International Court of Justice,
6. and the UN Secretariat.
All the 6 were established in 1945 when the UN was founded.
1. General Assembly
• The General Assembly is the main deliberative, policymaking and representative organ of the UN.
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• All 193 Member States of the UN are represented in the General Assembly, making it the only UN body
with universal representation.
• Each year, in September, the full UN membership meets in the General Assembly Hall in New York for
the annual General Assembly session, and general debate, which many heads of state attend and
address.
• Decisions on important questions, such as those on peace and security, admission of new members and
budgetary matters, require a two-thirds majority of the General Assembly.
• Decisions on other questions are by simple majority.
• The President of the General Assembly is elected each year by assembly to serve a one-year term of
office.
2. Security Council
• It has primary responsibility, under the UN Charter, for the maintenance of international peace and
security.
• The Security Council is made up of fifteen member states, consisting of five permanent members—
China, France, Russia, the United Kingdom, and the United States—and ten non-permanent members
elected for two-year terms by the General Assembly on a regional basis.
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• "Veto power" refers to the power of the permanent member to veto (Reject) any resolution of Security
Council.
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The unconditional veto possessed by the five governments has been seen as the most undemocratic
character of the UN.
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Critics also claim that veto power is the main cause for international inaction on war crimes and crimes
against humanity. However, the United States refused to join the United Nations in 1945 unless it was
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given a veto. The absence of the United States from the League of Nations contributed to its
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ineffectiveness. Supporters of the veto power regard it as a promoter of international stability, a check
against military interventions, and a critical safeguard against U.S. domination.
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3. Economic and Social Council (ECOSOC)

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• It is the principal body for coordination, policy review, policy dialogue and recommendations on
economic, social and environmental issues, as well as implementation of internationally agreed
development goals.
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• It has 54 Members, elected by the General Assembly for overlapping three-year terms.
• It is the United Nations’ central platform for reflection, debate, and innovative thinking on sustainable
development.
• Each year, ECOSOC structures its work around an annual theme of global importance to sustainable
development. This ensures focused attention, among ECOSOC’s array of partners, and throughout the
UN development system.
• It coordinates the work of the 14 UN specialized agencies, ten functional commissions and five regional
commissions, receives reports from nine UN funds and programmes and issues policy recommendations
to the UN system and to Member States.
4. Trusteeship Council
• It was established in 1945 by the UN Charter, under Chapter XIII.

• Trust territory is a non-self-governing territory placed under an administrative authority by the
Trusteeship Council of the United Nations.
• A League of Nations mandate was a legal status for certain territories transferred from the control of
one country to another following World War I, or the legal instruments that contained the internationally
agreed-upon terms for administering the territory on behalf of the League of Nations.
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• United Nations trust territories were the successors of the remaining League of Nations mandates, and
came into being when the League of Nations ceased to exist in 1946.
• It had to provide international supervision for 11 Trust Territories that had been placed under the
administration of seven Member States, and ensure that adequate steps were taken to prepare the
Territories for self-government and independence.
▪ By 1994, all Trust Territories had attained self-government or independence. The Trusteeship Council
suspended operation on 1 November 1994.
5. International Court of Justice (ICJ)
• The International Court of Justice is the principal judicial organ of the United Nations. It was established
in June 1945 by the Charter of the United Nations and began work in April 1946.
• The ICJ is the successor of the Permanent Court of International Justice (PCIJ), which was established by
the League of Nations in 1920.
6. Secretariat
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• The Secretariat comprises the Secretary-General and tens of thousands of international UN staff
members who carry out the day-to-day work of the UN as mandated by the General Assembly and the
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Organization's other principal organs.
The Secretary-General is chief administrative officer of the Organization, appointed by the General
Assembly on the recommendation of the Security Council for a five-year, renewable term.
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• UN staff members are recruited internationally and locally, and work in duty stations and on
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peacekeeping missions all around the world.
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UN Contribution to World
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Peace and Security

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• Maintaining Peace and Security: By sending peacekeeping and observer missions to the world’s trouble
spots over the past six decades, the United Nations has been able to restore calm, allowing many
countries to recover from conflict.
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• Preventing Nuclear Proliferation: For over the five decades, the International Atomic Energy Agency (IAEA)
has served as the world’s nuclear inspector. IAEA experts work to verify that safeguarded nuclear
material is used only for peaceful purposes. To date, the Agency has safeguards agreements with more
than 180 States.
• Supporting Disarmament: UN treaties are the legal backbone of disarmament efforts:
✓ the Chemical Weapons Convention-1997 has been ratified by 190 States,
✓ the Mine-Ban Convention-1997 by 162,
✓ and the Arms Trade Treaty-2014 by 69.
✓ At the local level, UN peacekeepers often work to implement disarmament agreements between warring
parties.
• Preventing genocide: The United Nations brought about the first-ever treaty to combat genocide—acts
committed with the intent to destroy a national, ethnical, racial or religious group.
• The 1948 Genocide Convention has been ratified by 146 States, which commits to prevent and punish
actions of genocide in war and in peacetime. The UN tribunals for Yugoslavia and Rwanda, as well as UN-
supported courts in Cambodia, have put would-be genocide perpetrators on notice that such crimes
would no longer be tolerated.
Economic Development
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• Promoting Development: Since 2000, promoting living standards and human skills and potential
throughout the world have been guided by the Millennium Development Goals.
• The UN Development Programme (UNDP) supports more than 4,800 projects to reduce poverty,
promote good governance, address crises and preserve the environment.
• The UN Children's Fund (UNICEF) works in more than 150 countries, primarily on child protection,
immunization, girls' education and emergency aid.
• The UN Conference on Trade and Development (UNCTAD) helps developing countries make the most of
their trade opportunities.
• The World Bank provides developing countries with loans and grants, and has supported more than
12,000 projects in more than 170 countries since 1947.
• Alleviating Rural Poverty: The International Fund for Agricultural Development (IFAD) provides low-
interest loans and grants to very poor rural people.
• Focusing on African Development: Africa continues to be a high priority for the United Nations. The
continent receives 36 per cent of UN system expenditures for development, the largest share among
the world’s regions. All UN agencies have special programmes to benefit Africa.
• Promoting Women's Well-being: UN Women is the UN organization dedicated to gender equality and
the empowerment of women.
• Fighting Hunger: The Food and Agriculture Organization of the UN (FAO) leads global efforts to defeat
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hunger. FAO also helps developing countries to modernize and improve agriculture, forestry and
fisheries practices in ways that conserve natural resources and improve nutrition.
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Commitment in Support of Children: UNICEF has pioneered to provide vaccines and other aid
desperately needed by children caught in armed conflict. The Convention on the Rights of the Child-
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1989 has become law in nearly all countries.
• Tourism: The World Tourism Organization is the UN agency responsible for the promotion of responsible,
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sustainable and universally accessible tourism.
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• Its Global Code of Ethics for Tourism seeks to maximize the benefits of tourism while minimizing its
negative impact.
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• Global Think Tank: The United Nations is at the forefront of research that seeks solutions to global
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problems.
• The UN Population Division is a leading source of information and research on global population trends,
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producing up-to-date demographic estimates and projections.

• The UN Statistics Division is the hub of the global statistical system, compiling and disseminating global
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economic, demographic, social, gender, environment and energy statistics.

• The United Nations Development Programme’s annual Human Development Report provides
independent, empirically grounded analyses of major development issues, trends and policies, including
the groundbreaking Human Development Index.
• The United Nations World Economic and Social Survey, the Word Bank’s World Development Report,
the International Monetary Fund's World Economic Outlook and other studies help policymakers to
make informed decisions.
Social Development
• Preserving Historic, Cultural, Architectural and Natural Sites: The UNESCO has helped 137 countries to
protect ancient monuments and historic, cultural and natural sites.
• It has negotiated international conventions to preserve cultural property, cultural diversity and
outstanding cultural and natural sites. More than 1,000 such sites have been designated as having
exceptional universal value - as World Heritage Sites.
• The first United Nations conference on the environment (Stockholm, 1972) helped to alert world public
opinion on the dangers faced by our planet, triggering action by governments.
• The first world conference on women (Mexico City, 1985) put women's right, equality and progress on
the global agenda.
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• Other landmark events include the first international conference on human rights (Teheran, 1968), the
first world population conference (Bucharest, 1974) and the first world climate conference (Geneva,
1979).
• Those events brought together experts and policymakers, as well as activists, from around the world,
prompting sustained global action.
• Regular follow-up conferences have helped to sustain the momentum.
Human Rights
• UN General Assembly adopted the Universal Declaration of Human Rights in 1948.

• It has helped to enact dozens of legally binding agreements on political, civil, economic, social and
cultural rights.
• UN human rights bodies have focused world attention on cases of torture, disappearance, arbitrary
detention and other violations.
• Fostering Democracy: The UN promotes and strengthens democratic institutions and practices
around the world, including by helping people in many countries to participate in free and fair
elections.
• In the 1990s, the UN organized or observed landmark elections in Cambodia, El Salvador, South
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Africa, Mozambique and Timor-Leste.
• More recently, the UN has provided crucial assistance in elections in Afghanistan, Burundi, the
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Democratic Republic of the Congo, Iraq, Nepal, Sierra Leone and Sudan.
Ending Apartheid in South Africa: By imposing measures ranging from an arms embargo to a
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convention against segregated sporting events, the United Nations was a major factor in bringing
about the downfall of the apartheid system.
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• In 1994, elections in which all South Africans were allowed to participate on an equal basis led to the
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establishment of a multiracial Government.

• Promoting Women's Rights: The 1979 UN Convention on the Elimination of All Forms of
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Discrimination against Women, ratified by 189 countries, has helped to promote the rights of women
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worldwide.
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Environment
• Climate change is a global problem that demands a global solution. The Intergovernmental Panel
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on Climate Change (IPCC), which brings together 2,000 leading climate change scientists, issues
comprehensive scientific assessments every five or six years.
• IPCC was established in 1988 under the auspices of the United Nations Environment Programme
(UNEP) and the World Meteorological Organization for the purpose of assessing “the scientific,
technical and socioeconomic information relevant for the understanding of the risk of human-
induced climate change.
• UN Framework Convention on Climate Change (UNFCCC) provides foundation for UN members to
negotiate agreements to reduce emissions that contribute to climate change and help countries
adapt to its effects. (UNFCCC-1992 is an international environmental treaty adopted and opened
for signature at the Earth Summit in Rio de Janeiro (Brazil) in 1992.)
• Global Environment Facility, which brings together 10 UN agencies, funds projects in developing
countries.
• Protecting the Ozone Layer: The UNEP and the World Meteorological Organization (WMO) have
been instrumental in highlighting the damage caused to Earth's ozone layer.
• Vienna Convention for the Protection of the Ozone Layer-1985 provided the framework necessary
to create regulatory measures for international reductions in the production of
chlorofluorocarbons. Convention provided foundation for Montreal protocol.
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• The Montreal Protocol-1987 is an international environmental agreement with universal

ratification to protect the earth’s ozone layer by eliminating use of ozone depleting substances
(ODS) such as chlorofluorocarbons (CFCs) and halons.
• Kigali amendment (to the Montreal Protocol)-2016: was adopted to phase down production and
consumption of hydrofluorocarbons (HFCs) worldwide.
• Banning Toxic Chemicals: The Stockholm Convention on Persistent Organic Pollutants-2001 seeks to
rid the world of some of the most dangerous chemicals ever created.
International Law
• Prosecuting War Criminals: By prosecuting and convicting war criminals, the UN tribunals
established for the former Yugoslavia and for Rwanda have helped to expand international
humanitarian and international criminal law dealing with genocide and other violations of
international law.
• The International Criminal Court is an independent permanent court that investigates and
prosecutes persons accused of the most serious international crimes—genocide, crimes against
humanity and war crimes—if national authorities are unwilling or unable to do so.
• Helping to Resolve Major International Disputes: By delivering judgments and advisory opinions, the
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International Court of Justice (ICJ) has helped to settle international disputes involving territorial
questions, maritime boundaries, diplomatic relations, State responsibility, the treatment of aliens
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and the use of force, among others.
Stability and Order in the World's Oceans: The 1982 UN Convention on the Law of the Sea, which
has gained nearly universal acceptance, provides the legal framework for all activities in the oceans
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and seas. It also includes mechanisms for settling disputes.
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• Combating International Crime: The UN Office on Drugs and Crime (UNODC) works with countries
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and organizations to counter transnational organized crime by providing legal and technical
assistance to fight corruption, money-laundering, drug trafficking and smuggling of migrants, as well
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as by strengthening criminal justice systems.

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• It has played a key role in brokering and implementing relevant international Treaties, such as the
UN Convention against Corruption-2005 and the UN Convention against Transnational Organized
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Crime-2003.
• It works to reduce the supply of and demand for illicit drugs under the three main UN conventions
on drug control:
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✓ the Single Convention on Narcotic Drugs of 1961 (amended 1972),

✓ the Convention on Psychotropic Substances-1971,
✓ and the United Nations Convention against Illicit Traffic in Narcotic Drugs and Psychotropic
Substances-1988
• Encouraging Creativity and Innovation: The World Intellectual Property Organization (WIPO)
promotes the protection of intellectual property rights and ensures that all countries are in a position
to harness the benefits of an effective intellectual property system.
Humanitarian Affairs
• Assisting refugees: Refugees fleeing persecution, violence and war have received aid from the Office
of the UN High Commissioner for Refugees (UNHCR).
• UNHCR seeks long-term or "durable" solutions by helping refugees repatriate to their homelands, if
conditions warrant, or by helping them to integrate in their countries of asylum or to resettle in third
countries.
• Refugees, asylum-seekers and internally displaced persons, mostly women and children, are
receiving food, shelter, medical aid, education, and repatriation assistance from the UN.
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• Aiding Palestinian Refugees: UN Relief and Works Agency for Palestine Refugees in the Near East
(UNRWA), a relief and human development agency, has assisted four generations of Palestinian
refugees with education, health care, social services, microfinance and emergency aid.
• Reducing the Effects of Natural Disasters: The World Meteorological Organization (WMO) has
helped to spare millions of people from the calamitous effects of natural and man-made disasters.
• Its early warning system, which includes thousands of surface monitors, as well as satellites, has
made it possible to predict with greater accuracy weather-related disasters,
• has provided information on the dispersal of oil spills and chemical and nuclear leaks and has
predicted long-term droughts.
• Providing Food to the Neediest: The World Food Programme (WFP) is fighting hunger worldwide,
delivering food assistance in emergencies and working with communities to improve nutrition and
build resilience.
Health
• Promoting Reproductive and Maternal Health: United Nations Population Fund (UNFPA) is promoting
the right of individuals to make their own decisions on the number and spacing of their children through
voluntary family planning programmes.
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• Responding to HIV/AIDS: United Nations Programme on HIV/AIDS (UNAIDS) coordinates global action
against an epidemic that affects some 35 million people.
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• Wiping Out Polio: Poliomyelitis has been eliminated from all but three countries—Afghanistan, Nigeria
and Pakistan—as a result of the Global Polio Eradication Initiative.
• Eradicating Smallpox: A 13-year effort by the World Health Organization (WHO) resulted in smallpox
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being declared officially eradicated from the planet in 1980.
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• Fighting Tropical Diseases: WHO programme - African Programme for Onchocerciasis Control reduced
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levels of river blindness (onchocerciasis) in 10 West African countries while opening up 25 million
hectares of fertile land to farming.
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✓ Guinea-worm disease is on the verge of being eradicated.

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✓ Schistosomiasis and sleeping sickness are now under control.

✓ Halting the Spread of Epidemics
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• Some of the more prominent diseases for which WHO is leading the global response for some of the
more prominent diseases including Ebola, meningitis, yellow fever, cholera and influenza, including
avian influenza.
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UN & India
UN Contribution to India
• United Nations agencies, offices, programmes and funds working in India comprise one of the largest UN
field networks anywhere in the world.
• The Asian and Pacific Centre for Transfer of Technology (APCTT): APCTT founded in 1977 at New Delhi,
is a Regional Institute of United Nations Economic and Social Commission for Asia and the Pacific
(UNESCAP) with a geographic focus of the entire Asia-Pacific region. Centre has focused on three specific
areas of activity: technology information; technology transfer; and innovation management.
• Food and Agriculture Organization (FAO): When FAO began its India operations in 1948, its priority was
to transform India’s food and farm sectors through technical inputs and support for policy development.
• Over the years, FAO’s contribution has extended to issues such as access to food, nutrition, livelihoods,
rural development and sustainable agriculture.
• With the Sustainable Development Goals (SDGs), much of FAO’s focus in India will be on sustainable
agricultural practices.
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• International Fund for Agricultural Development (IFAD): IFAD and the Government of India have
achieved significant results investing in the commercialization of smallholding-agriculture and building
small farmers’ capacity to increase incomes from market opportunities.
• IFAD-supported projects have also provided women with access to financial services, such as by linking
women’s self-help groups with commercial banks.
• International Labour Organization (ILO): The first ILO Office in India started in 1928. There are 43 ILO
conventions and 1 protocol ratified by India.
International Organization for Migration (IOM)
• IOM assisted Indian citizens who were among the thousands of people displaced by the Persian Gulf War
(1990s).
• In 2001, IOM’s prompt and effective assistance during the Gujarat earthquake planted the seed of IOM
operations in India as a humanitarian agency.
• In 2007, recognizing India as a major labour-sending and labour-receiving country and its importance as
a remittance-receiving country, IOM began working with migrants on safe and legal migration, warning
them of the risks associated with irregular migration.
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• UNESCO - Mahatma Gandhi Institute of Education for Peace and Sustainable Development (MGIEP):
MGIEP is an integral part of UNESCO, established with generous support from the Government of India
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The Institute’s global mandate is to transform education policies and practices by developing innovative
teaching and learning methods.
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• It works for Sustainable Development Goal (SDG) 4.7 – “education for building peaceful and sustainable
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societies across the world”.
• A project 'Rethinking Schooling' was launched by UNESCO-MGIEP with the UNESCO Asia and Pacific
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Regional Bureau for Education in 2016-17.

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• The first review of SDGs (4.7) by MGIEP, was released in Rethinking Schooling for the 21st century.
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United Nations Entity for Gender Equality and the Empowerment of Women (UN-Women):
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• In India, UN-Women’s five priority areas are:

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• ending violence against women and girls,

• expanding women’s leadership and participation,
• making gender equality central to national development planning and budgeting,
• enhancing women’s economic empowerment,
• and engaging women as global peace-builders and negotiators.
• UN Women advocates for greater participation of women in politics and decision-making, and works
with planning bodies such as NITI Aayog to ensure that policies and budgets reflect the needs of women.
• Joint United Nations Programme on HIV/AIDS (UNAIDS): Its mission is to help prevent new HIV
infections, care for people living with HIV and mitigate the impact of the epidemic.
• United Nations Development Programme (UNDP): In the 1950s and 1960s, UNDP helped establish
institutions of major national importance, including space centres and nuclear research laboratories.
• Over the last decade, UNDP has focused on building the resilience of people faced with the risks of
natural disasters and climate change, and of minorities to various forms of discrimination.
• United Nations Economic and Social Commission for Asia and the Pacific (ESCAP): In December 2011, a
new South and South-West Asia office of ESCAP was inaugurated in New Delhi to serve 10 countries in
the sub-region.
• As it moves up the development ladder, India has been sharing its experience and capabilities with
fellow developing countries in the region and beyond, using ESCAP’s platform for this purpose.
• UNESCO: In India, UNESCO has provided technical support to several premier educational institutions.
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• As part of its World Heritage programme, it has recognized 27 cultural heritage sites in India, such as the
Taj Mahal and the Rock Shelters of Bhimbetka in Madhya Pradesh.
• UNESCO has also played a pioneering role in the development of community radio in India, having
helped to formulate the Community Radio Policy of 2002.
• United Nations Population Fund (UNFPA) : Currently, UNFPA is placing greater emphasis on policy
development and advocacy reflecting India’s middle-income status.
• It raises awareness about demographic shifts towards older populations and about the need to harness
the opportunities and address the challenges of population ageing.
• United Nations Commission on Human Settlements (UN-Habitat) : UN-Habitat promotes socially and
environmentally sustainable towns and cities with the goal of providing adequate shelter for all.
• UN-Habitat’s initiatives in India include supporting government projects on sanitation coverage in urban
areas, urban water supply and environmental improvement, and supporting organizations that empower
women’s group and youth groups to fight social exclusion.
• UN-Habitat "World Cities Report 2016" : As per Census 2011, 377 million Indians comprising 31.1% of
the total population lived in urban areas. This is estimated to have risen to 420 million in 2015.
• UN-Habitat-New Urban agenda (NUA)-2017 addresses Goal-11 of the Sustainable Development Goals
(SDG): "Make cities and human settlements inclusive, safe, resilient, and sustainable.
• India launched the Atal Mission for Rejuvenation and Urban Transformation (Amrut), Smart Cities,
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Hriday (National Heritage City Development and Augmentation Yojana), and Swachh Bharat prominently
allied to the goals of the UN-Habitat-NUA.
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United Nation Children’s Fund (UNICEF) : In 1954, UNICEF signed an agreement with the Government
of India to fund the Aarey and Anand milk processing plants. In return, free and subsidised milk would
be provided to needy children in the area. Within a decade, India had thirteen UNICEF assisted milk
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processing plants. Today, India has become the world’s largest producer of milk.
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• Polio Campaign-2012: The Government, in partnership with UNICEF, the World Health Organization
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(WHO), the Bill & Melinda Gates Foundation, Rotary International and the Centers for Disease Control
and Prevention contributed to almost universal awareness of the need to vaccinate all children under
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five against polio. As a result of these efforts, India was removed from the list of endemic countries in
2014.
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• It is also supporting nationwide campaigns on maternal and child nutrition and the reduction of
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neonatal mortality and stillbirth rates to single digits by 2030.

• United Nations Industrial Development Organization (UNIDO): The programme, Integrated Approach
Programme on Sustainable Cities-2017 funded by the Global Environment Facility and co-implemented
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by the World Bank and UNIDO.

• World Food Programme (WFP) : WFP is working to improve the efficiency, accountability and
transparency of India’s own subsidized food distribution system, which brings supplies of wheat, rice,
sugar and kerosene oil to around 800 million poor people across the country.
• World Health Organization (WHO) : India became a party to the WHO Constitution on 12 January 1948.
The WHO Country Office for India is headquartered in Delhi with country-wide presence.
• It has also been instrumental in the country’s transition from hospital-based to community-based care
and the resultant increase in health posts and centres focusing on primary care.
• The WHO Country Cooperation Strategy – India (2012-2017) has been jointly developed by the Ministry
of Health and Family Welfare (MoH&FW) and the WHO Country Office for India (WCO).
• United Nations High Commissioner for Refugees (UNHCR)
✓ India has a long tradition of receiving refugees that goes back centuries.
✓ UNHCR’s support to India dates back to 1969-1975 when it coordinated aid to Tibetan refugees as well
as refugees from then East Pakistan.
✓ UNHCR's urban operation is based in New Delhi with a smaller presence in Chennai that helps Sri Lankan
refugees in Tamil Nadu voluntarily repatriate back to Sri Lanka.
✓ In the absence of a national legal framework for refugees, UNHCR conducts refugee status
determination under its mandate for asylum seekers who approach the Office.
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✓ The two largest groups of refugees recognized by UNHCR are Afghans and Myanmar nationals, but
people from countries as diverse as Somalia and Iraq have also sought help from the Office.
• United Nations Military Observer Group in India and Pakistan (UNMOGIP) :Under the scheme of
partition provided by the Indian Independence Act of 1947, Kashmir was free to accede to India or
Pakistan. Its accession to India became a matter of dispute between the two countries and fighting broke
out later that year.
• In January 1948, the Security Council adopted resolution 39, establishing the United Nations Commission
for India and Pakistan (UNCIP) to investigate and mediate the dispute.
• The first team of unarmed military observers, which eventually formed the nucleus of the United
Nations Military Observer Group in India and Pakistan (UNMOGIP), arrived in the mission area in January
1949 to supervise, in the State of Jammu and Kashmir, the ceasefire between India and Pakistan and to
assist the Military Adviser to UNCIP.
• At the end of 1971, hostilities broke out again between India and Pakistan. UNMOGIP started along the
borders of East Pakistan and were related to the movement for independence, which had developed in
that region and which ultimately led to the creation of Bangladesh.
• The last report of the Secretary-General to the Security Council on UNMOGIP was published in 1972.
• Since 1972, India has adopted a non-recognition policy towards third parties in their bilateral exchanges
with Pakistan over the question regarding the state of Jammu and Kashmir.
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• The military authorities of Pakistan have continued to lodge alleged ceasefire violations complaints with
UNMOGIP.
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The military authorities of India have lodged no complaints since January 1972 limiting the activities of
the UN observers on the Indian-administered side of the Line of Control, though they continue to provide
necessary security, transport and other services to UNMOGIP.
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• United Nations Office on Drugs and Crime (UNODC) : UNODC has worked in India over the last 25 years
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to address drug trafficking in the context of a constantly evolving drug market, involving an increasing
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number of drugs and psychoactive substances.

• It also works with the government to address human trafficking, and the prevention, treatment and care
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of persons who use drugs and live with HIV.

• United Nations Conference on Trade and Development (UNCTAD) : Invest India, the country’s
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investment promotion body, has won United Nations (UN) Award for excellence in promoting
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investments in sustainable development-2018.

• The awards are given annually by UNCTAD since 2002 as part of its investment promotion and facilitation.
• India’s consistently strong voice for the developing world has made it a major player with UNCTAD,
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spanning a multiplicity of economic reforms.
India’s contribution to UN
• India was one of the original members of the League of Nations. As a signatory of the Treaty of
Versailles-1919, India was granted automatic entry to the League of Nations.
• India was represented by her Secretary of State, Edwin Samuel Montagu; the Maharaja of Bikaner Sir
Ganga Singh; Satyendra Prasanno Sinha, Parliamentary Under-Secretary of State for India.
• India was among the original members of the United Nations that signed the Declaration by United
Nations at Washington, D.C. in 1944. This declaration became the basis of the United Nations (UN),
which was formalized in the United Nations Charter signed by 50 countries in 1945.
• By 1946, India had started raising concerns regarding colonialism, apartheid and racial
discrimination.
• India was among the most outspoken critics of apartheid and racial discrimination (discriminatory
treatment of Indians in the Union of South Africa) in South Africa, being the first country to have
raised the issue in the UN in 1946.
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• India took an active part in Drafting of the Universal Declaration of Human Rights-1948.
• Its experience with the UN had not always been positive. On Kashmir issue, Nehru's faith in the UN
and adherence to its principles proved costly as UN that was packed with pro-Pakistani partisan
powers.
• Vijaya Lakshmi Pandit was elected the first woman President of the UN General Assembly in 1953.
• India's status as a founding member of the Non-Aligned Movement (NAM) and the Group of 77 (G-
77) cemented its position within the UN system as a leading advocate of the concerns and aspirations
of developing countries and the creation of a more equitable international economic and political
order.
• It involved in conflict with China (1962), two wars (1965, 1971) with Pakistan and entered a period of
political instability, economic stagnation, food shortages and near-famine conditions.
• India's role diminished in the UN which came both as a result of its image and a deliberate decision
by the post-Nehru political leadership to adopt a low profile at the UN and speak only on vital Indian
interests.
• India has been a member of the UN Security Council for seven terms (a total of 14 years), with the
most recent being the 2011–12 term.
• India is a member of G4 (Brazil, Germany, India and Japan), a group of nations who back each other
in seeking a permanent seat on the Security Council and advocate in favour of the reformation of the
11
UNSC.
• The Russian Federation, United States, United Kingdom and France support India and the other G4
SH
countries gaining permanent seats.
• India is also part of the G-77.
•
EM U
The Group of 77 (G-77) was established on 15 June 1964 by seventy-seven developing countries
signatories of the “Joint Declaration of the Seventy-Seven Developing Countries”.
Y
Y
• It is designed to promote its members' collective economic interests and create an enhanced joint
AD PI
negotiating capacity in the United Nations.

• Because of the historical significance, the name G-77 has been kept despite the group’s growth to
AC R
include more than 130 countries.

N D
• UN peacekeeping missions: From protecting civilians, disarming ex-combatants and helping

countries transition from conflict to peace, India has served the cause of peace.
U SE
• At present (2019), India is the third largest troop contributor with 6593 personnel deployed with UN
Peacekeeping Missions (Lebanon, Congo, Sudan and South Sudan, Golan Heights, Ivory Coast, Haiti,
U
Liberia).
• India has suffered the highest number of fatalities (164 out of close to 3,800 personnel) among
countries that have sent forces to the United Nations peacekeeping mission since 1948.
• Mahatma Gandhi has had a lasting influence on the United Nations. His ideals of non-violence deeply
influenced the United Nations at the time of its inception.
• In 2007, the United Nations declared 2nd October, Mahatma’s Gandhi’s birthday, as the International
day of non-violence.
• In 2014, the UN General Assembly adopted a resolution commemorating 21 June as the International
Yoga Day.
• It recognises the holistic benefits of this timeless practice and its inherent compatibility with the
principles and values of the United Nations.
• Plea for International Equality Day: In 2016, with focus on combating inequalities to achieve
Sustainable Development Goals, B. R. Ambedkar's birth anniversary was observed at the United
Nations for the first time. India has made a plea to declare April 14 as International Equality Day.
UN Challenges & Reforms

UN Administrative & Financial-Resources Challenges
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• Development Reform: Sustainable Development Goals (Agenda 2030) will require bold changes to the
UN Development System (UNDS) for the emergence of a new generation of country teams, centred on
a strategic UN Development Assistance Framework and led by an impartial, independent and
empowered resident coordinator.
• Management Reform: To confront global challenges and to remain relevant in a fast-changing world,
United Nations must empower managers and staff, simplifies processes, increases accountability and
transparency and improves on the delivery of our mandates.
• There are concerns for improving efficiency, avoidance of duplication, and the minimization of waste in
the functioning of the entire UN system.
• Financial Resources: Contributions of the Member States should have, as their fundamental
underpinning, the capacity to pay principle.
• The Member States should pay their contributions unconditionally, in full and on time, as delays in
payments have caused an unprecedented financial crisis in the UN system.
• Financial reforms hold the key to the future of the world body. Without sufficient resources, the UN's
activities and role would suffer.
Peace and Security issues
11
• Threats to Peace and Security: The range of potential threats to peace and security that UN has to
face, are following-
✓ SH
poverty, disease, and environmental breakdown (the threats to human security identified in the
Millennium Development Goals),
✓ conflict between states,
EM U
✓ violence and massive human rights violations within states,
Y
Y
✓ terrorism threats from organized crime,
AD PI
✓ and the proliferation of weapons - particularly WMD, but also conventional.

• Terrorism: Nations that support groups that are widely linked to terrorism, such as Pakistan, are not
AC R
held accountable specifically for these actions. To this date, the UN still does not have a clear
N D
definition of terrorism, and they have no plans to pursue one.

• Nuclear Proliferation: In 1970, the nuclear non-proliferation treaty was signed by 190 nations.
U SE
Despite this treaty, nuclear stockpiles remain high, and numerous nations continue to develop these
devastating weapons. The failure of the non-proliferation treaty details the ineffectiveness of the
United Nations and their inability to enforce crucial rules and regulations on offending nations.
U
Security Council reforms
• Composition of Security Council: It has remained largely static, while the UN General Assembly
membership has expanded considerably.
• In 1965, the membership of the Security Council was expanded from 11 to 15. There was no change
in the number of permanent members. Since then, the size of the Council has remained frozen.
• This has undermined the representative character of the Council. An expanded Council, which is more
representative, will also enjoy greater political authority and legitimacy.
• India has been calling for the reform of the UN Security Council along with Brazil, Germany and Japan
(G-4). The four countries support each others' bids for the permanent seats in the top UN body.
• Any expansion of permanent members' category must be based on an agreed criteria, rather than be
a pre-determined selection.
• UNSC Veto power: It is often observed that UN's effectiveness and responsiveness to international
security threats depends on judiciously use of the UNSC veto.
• Veto Power: The five permanent members enjoy the luxury of veto power; when a permanent
member vetoes a vote, the Council resolution cannot be adopted, regardless of international
support. Even if the other fourteen nations vote yes, a single veto will beat this overwhelming show
of support.
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• There are proposals on future of Veto power:

✓ limiting the use of the veto to vital national security issues;
✓ requiring agreement from multiple states before exercising the veto;
✓ abolishing the veto entirely;
• Any reform of the veto will be very difficult: Articles 108 and 109 of the United Nations Charter grant
the P5 (5 permanent members) veto over any amendments to the Charter, requiring them to approve
of any modifications to the UNSC veto power that they themselves hold.
Non-Conventional Challenges
• Since its creation, UN is working with goal of safeguarding peace, protecting human rights, establishing
the framework for international justice and promoting economic and social progress. New challenges,
such as climate change, refugees and population ageing are new fields it has to work.
• Climate Change: From shifting weather patterns that threaten food production, to rising sea levels that
increase the risk of catastrophic flooding, the impacts of climate change are global in scope and
unprecedented in scale. Without drastic action today, adapting to these impacts in the future will be
more difficult and costly.
• Growing population: The world population is projected to increase by more than one billion people
11
within the next 15 years, reaching 8.5 billion in 2030, and to increase further to 9.7 billion in 2050 and
11.2 billion by 2100.
•
•
SH
The world population growth rate must slow down significantly to avoid reaching unsustainable levels.
Population Ageing: It is poised to become one of the most significant social transformations of the
twenty-first century, with implications for nearly all sectors of society, including labour and financial
EM U
markets, the demand for goods and services, such as housing, transportation and social protection, as
Y
Y
well as family structures and intergenerational ties.
AD PI
• Refugees: The world is witnessing the highest levels of displacement on record. An unprecedented 65.6
million people around the world have been forced from home by conflict and persecution at the end of
AC R
2016. Among them are nearly 22.5 million refugees, over half of whom are under the age of 18. There
are also 10 million stateless people, who have been denied a nationality and access to basic rights such
N D
as education, healthcare, employment and freedom of movement.

U SE
Conclusion
U
• Despite having many short-comings, UN has played a crucial role making this human society more civil,
more peaceful & secure in comparison to time of its origin at 2nd World War.
• United Nations, being the world’s largest democratic body of all nations, its responsibility towards
humanity is very high in terms of building democratic society, economic development of people living in
acute poverty, & preserving the Earth’s Ecosystem in concern with Climate Change.
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UNSC REFORMS
Demands for reform
The breakup of the Soviet Union led to a new period in Security Council
behavior. With the Cold War over, Russia (who formally replaced the USSR
on the Security Council) was far too weak to pose any threat to the US.
Without these two powers checking each other, it became much easier for
the Council to authorize more and more peace enforcement missions. Of the
P-5, only China resisted this new wave of so called “activist voting” on
the Security Council. The peacekeeping missions of the 1990s took place
almost exclusively in the developing global South whereas the P5 states are
all industrialized nations and predominantly Western. This discrepancy has
fueled much of the discussion about the need for reform of the Security
Council. As South African Counsellor of Disarmament Michiel Combrink
phrases the point, “The global South is left wondering who is making the
decisions and on whose behalf”. The Security Council’s failure to act in the
atrocious African Great Lakes (Rwanda &Burundi) genocide is a particularly
E Y
Bto act. Many in
poignant illustration to some of how the political agendas of the P5 states
A U
have too much sway on where the Security Council chooses
Africa believe that if an African nation had H
C been a permanent Security
R of thousands of African lives
A
Council member at that time, hundreds
would have been saved. M
K U As a greater number of states grow
H
economically and politically, these players have begun to express their
lack of trustSin the ability of the Security Council to fairly and
Y U
I deliver resolutions. These states speak of their deservingness
P
responsibly
of a permanent SC seat in terms of the “legitimacy” that their presence
would offer. Ian Hurd, however, proposes that states speak in terms of
Council “legitimacy” as a universal cover for their real particularistic,
national interests in gaining a permanent seat. He goes on to conclude that
the legitimacy rhetoric, while perhaps not the true concern of states
contending for a permanent seat, is a highly effective moral argument.
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Flaws of Security Council in the Twenty-First Century: P5 Domination

Calls for reform of the UNSC center around many major flaws in the current
system: SC compositios reflects balance of power of cold war era, SC
structure undermines principle and value of democracy, developing
countries are underrepresented, there is domination of wester power,
the whole makeup of the SC body and the working methods of the SC.
The permanent five members of the Security Council indisputably continue

to maintain a stronghold on the decision making of the Council body. Each
time a nonpermanent member begins its term, it much integrate into the
Council whereas the P5 are continuously central to its operations. Even more
significantly, the veto power means that the P5 are vital to every decision
taken on by the Council, even if it is unrelated to their national or regional
interests. Academic discourse surrounding the veto has become increasingly
critical in the past decades; Nirupam Sen aptly describes general (non-P5)
sentiment when she writes, “the veto was designed to protect national interests and
logically has no place in the protection of individual rights.”
E Y
U B
There is a growing consensus in the international community that the P5 has
cast the veto far too often and inappropriately. A
C Hvetoes have been cast to
Consider the following
Rto the UN and 43 have been cast

statistics: since the inception of the UNSC, 59
A
MGeneral. At the same time, no veto has
block the admission of member states
K U
to block nominees for Secretary
ever been cast toH
U S stop a war.
ManyIY
P UN member states object to the mentality that the preservation of
international peace and security has been interpreted militarily almost

exclusively. Of the 186 countries eligible for nonpermanent membership in
the Security Council, 77 countries have never been able to serve – that is
over 41%. The permanent members are able to block any state they do not
wish to serve with on the UNSC. Additionally, the veto power has enabled
the permanent members to maintain de jure or de facto membership in
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almost every principle UN body and organ. In other words, the P5 hold
special status and power throughout the entire UN system because of the
veto. The veto has led not only to the P5 stranglehold on UNSC decisions,
but also has contributed to the lack of transparency in the working methods of the
Council.
Currently, the UNSC functions as follows: the P5 discuss an issue behind closed
doors, when they have made their decision they invite the nonpermanent members
to read the resolution and in certain cases make a comment, then, the entire
Council signs the resolution in the large conference hall open to the press.
What goes on behind those closed doors is entirely unknown because full
records are not kept of the proceedings and the P5 are not required to submit
an explanation for their vetoes. Amr Roshdy highlighted this point in his 2005
address at the “UN @ 60” Conference in Pretoria, South Africa; “no researcher will,
ever, be able to study the records of deliberations of Security Council members there
are no such records”. The Security Council is not accountable to the General
Assembly, the “popular” chamber [of the UN]. Furthermore, the Security
E Y
Council cannot be checked in its decision making by the International Court
U B
Aup with regularity in
of Justice.
Main Topics of Debate UNSC reform is brought

C H
A
discussions amongst multilateral policy Rexperts and with great frequency in
U M
academia.
K
The main issues H
U S discussed include: most participants mentioned the veto
I Y
P on veto use. Several participants, mostly from European countries,
as a key topic of discussion, particularly in light of the French proposal for
restraint
noted that there was a strong reaction from media and civil society to the
French proposal. Some mentioned the relevance of Responsibility to Protect
(R2P) in this context. Interestingly, Danish respondent Prof. Peter Viggo
Jakobsen, did not see the French proposal as realistic in the near future.
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Expansion of the Council was mostly of interest for respondents from

countries that see themselves as likely candidates for new permanent seats.
German respondent Dr. Volker Lehmann, who participated in his individual
capacity, noted that Germany’s ambition for a permanent seat on the Council
has been a key issue discussed in Germany. Representation issues were also
key, particularly for participants from countries in the global South such as
Guyana, Nigeria, Ethiopia, and St. Lucia.
Working methods issues were brought up more frequently from experts

who have deeper involvement with the work of the Security Council.
According to Dr. Robert Muggah, Dr. Eduarda Hamann, and Dr. Renata
Giannini of the Igarapé Institue in Brazil, working methods of the Council
are among the two key priority areas for reform for Brazilian Ministry of
Foreign Affairs. In addition to the issue of membership, the Brazilian
Government emphasizes working methods “in order to provide more
transparency and inclusiveness to its procedures, as well as to strengthen the
capacity of the UN to implement the decisions of the Security Council.”
E Y
U B
Despite increased interest in UNSC reform, three main factors have
impeded the reform process in recent years.
H A
The first and most significant is thatR
C
skeptical, with U.S. interestM
A the US, China, and Russia appear
attention in 2009-2010.K
U declining since the matter received some
A secondU S H
PIYreform at the UN have begun to lose momentum. As the Chair of
factor impeding the process is that negotiations on Security
Council
these negotiations, Ambassador Zahir Tanin, wrote in July 2012, “[i]t is time
to recognize the limits of what can further be achieved within the current
framework of the Intergovernmental Negotiations (IGN) without a deepened
Member State commitment to undertaking robust negotiations, involving
active give and take.” This give and take has yet to emerge, reflecting a risk-
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averse attitude or lack of interest among diplomats pessimistic about the

process.
Third is that non-African member state groupings have not successfully

managed to coordinate with Africa enough to gain full support of the African
group on any joint model of or approach to reform, although some
convergence has occurred in recent years. Meanwhile, continued lack of
African unity on the issue of Security Council reform has impeded progress
either through a deeper collaboration with like-minded countries, or the
evolution of the Common African Position.
Broadly speaking, there are three overall strategies for approaching

these reforms.
The first is to advocate for Council reform “from above” by forging an elite
consensus among the P5 and a few other powerful states on alterations to the
Council’s composition.
Y
The second is to drive reform “from below” by trying to consolidate support
E
B
among two-thirds of the UN’s members and thereby pushing the P5 to
U
accept changes they would otherwise reject.
H A
The third approach is to advocate for C
R change “from outside”: raising
A beyond the UN, such as regional
M
Uexternal pressure on diplomats in New York to
Council reform as an issue in forums
K
organizations, and to create
H may sound like unnecessary duplication, as the states
U S
achieve reform. This
I Y
P as this paper will note, officials working beyond the UN system often
represented in the AU, EU, and other forums are of course UN members.
But,
have little or no idea about their compatriots’ discussions of Council reform
in New York. This disconnect reduces the global salience of the issue. This
“outsider” strategy can also encompass interactions with non-governmental
actors and the media to argue for reforms. Historically, each of these
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strategies has borne fruit – although sometimes only briefly – in UNSC

reform debates.
In 1963, developing countries in Africa and Asia pushed for an expansion of

non-permanent seats in the face of opposition from four of the P5. Once they
succeeded in gaining a two-thirds majority in the General Assembly,
however, the P5 ratified the decision (with the USSR moving fastest).
Expansion followed in 1965. By contrast, a major reform drive like by
Ambassador Razali Ismail in 1996-1997 gathered support among the P5, but
hopes for reform “from above” were disappointed when the Non-Aligned
Movement – viewing the plan as a threat to their cohesion – moved to block
it.
Reform of the Council- 1963 The number of UN member states grew from
51 in 1945 to 113 in 1963.The push from decolonized countries for better
representation on the Council both in numbers and in interests was a key
driver of the decision to reform the Council in 1963. Countries from Africa,
Y
Asia, and Latin America worked together and drafted the resolution that
E
U B
ultimately expanded the Council and came into force on 31st of August
1965. A 2010 Council on Foreign Relations report A
Hand that today there is no
notes that domestic
R
ratification would be more challenging today,C
M
parallel to the rapid surge of new A member states from decolonization.
K
However, the report argues U that similar to 1963, permanent members may
S H
still be cautious about standing alone on this issue. P5 members that do not
Y U
PI is required as per the Charter. If permanent members today
ratify reform resolutions in capital are in effect, wielding a veto, since P5
ratification
would be motivated like their predecessors to avoid the embarrassment of
being the sole P5 dissenter to stand in the way of reform, this could play a
role in future reform scenarios.
The Razali Plan Ambassador Ismail Razali, the 1996-7 President of the
General Assembly (PGA) and then Chair of the Open-Ended Working
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Group, sought to push reform forward through his three-stage plan. The plan
involved first a framework resolution deciding to add unnamed members to
the Council, five permanent and two non-permanent; and second, a
framework resolution selecting which countries would serve. The framework
resolutions required two-thirds majority of those present and voting. The
third stage required implementation of both framework resolutions through a
Charter amendment. This requires favorable votes from two-thirds of the
entire membership followed by domestic ratification.6 The third stage
requires a more significant vote, but the groundwork for the resolution
would have already been laid in the first two stages. Razali’s plan was
blocked by the NAM group, which saw the plan as a threat to their cohesion,
along with Italy, who sought to block permanent membership of Germany
and Japan. Razali’s initiative shifted discussions in the OEWG to procedural
issues, blocking the OEWG from making progress during the session, and
bringing the PGA’s legitimacy into question as a result of strong criticism
from member states.
E Y
the B
In Larger Freedom In March 2005, Secretary-General Kofi Annan
presented his report “In Larger Freedom” to set U
H A an agenda for the
agenda for the
C
September 2005 World Summit. The report proposes
Summit, involving a broad package ofR
M A institutional reforms, including two
U
models for Security Council reform.
K
Model A involvesH
three newU
S expansion in both categories with six new permanent and
PIY category, but creates a new category of four-year renewable seats,

two-year non-permanent seats. Model B does not expand the
permanent
proposing eight Council seats in the new category and one new two-year
non-permanent, nonrenewable seat. For both models, seats are divided
regionally and there are no new vetoes. Model A aimed to fit the requests of
the G4 and its allies, while Model B was meant to be in line with UfC’s
position. Neither model, nor other models that emerged from member state
groupings in the discussions leading up to the World Summit, was put to a
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vote in September 2005 or thereafter. According to Jonas von Freiesleben,

reasons behind the failure of this reform attempt include sharp opposition of
the US and China to permanent membership of Germany and Japan
respectively, and Africa’s insistence on the right to veto, which was not
included in any other reform models. Luck speculates that the package deal
presented by Kofi Annan was too ambitious, and that member states
historically tend to prefer to “pick and choose” between options in steps
toward reform. However, Section II(6), notes that many African interlocutors
see great benefit in linking Security Council reform with broader
institutional reform.
The G4 reform proposal closely resembles Model A whereas the United for
Consensus proposal is more similar to Model B. Each group thus began to
champion their respective Model. Model A is almost precisely what the G4
call for though the High Panel did not state that new permanent members
would be granted veto rights. Instead, the report promoted gradually phasing
out the veto altogether and not introducing it to any new powers.
E Y
B
Specifically, the report stated that, “the institution of the veto has an
A U
anachronistic character that is unsuitable for the institution in an increasingly
democratic age and we would urge that its useH
C be limited to matters where
R G4 were willing to cede that
A
vital interests are genuinely at stake”60. The
Mthrough reform that included their states as
U
power if it meant finally pushing
K
H
permanent members. The United for Consensus movement prefers adding
S two-year seats with no option for election so as not to
createIY
U
purely nonpermanent,
P a middle status tier on the Security Council. Even so, Model B

provided a solid basis from which the UfC group could promote its proposal,
thereby working against the G4.
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Different views on UNSC reforms claims and counter claims
ASIAN VIEW
Japan has long argued that as the consistent second ranking contributor to
the UN proceeded only by the US, along with a track record of nuclear
disarmament and peace building, its inclusion as a permanent UNSC
member would be logical. Permanent member China, however, balks at the
suggestion that Japan has paid its dues for the atrocities of WW2II (a
sincerely felt argument that nonetheless likely masks the additional fact that
China simply wants to remain the only Asian SC permanent member). Under
the Charter, the Security Council structure cannot be altered if any
permanent member vetoes the proposed change. Therefore, as long as
Japanese membership remains anathema to China’s interests, nothing will
move forward. Additionally, Japan has essentially no support from its Asian
neighbors. India also stakes claim to a seat as one of the most populous
nations in an under represented region, one of the world’s fastest growing
Y
economies, representing a sixth of the world’s population. Pakistan has long
E
U B
stood in opposition of India gaining a permanent seat citing obvious fears for
H
its own national interests. President Barack Obama’s A November 2010
endorsement of India for a permanent SC C
A R seat stoked the rhetorical flame
U M political move because it cost Obama and

about India’s candidacy. In the eyes of Egyptian diplomat Amr Roshdy, the
K
endorsement was a well calculated
the United States H
S very little and gained Indian support leading up to the G20
summit inUSeoul. Though Pakistan was enraged and alarmed by the
PIY it is still fully reliant on US aid and could not retaliate with
endorsement,
anything beyond rhetoric. In the late 1990s and early 2000s Japan and India,
along with Germany and Brazil, began to support each other’s bids for
permanent seats in an grouping known as the “G4”
The Group of Four (G4) consists of Brazil, Germany, India, and Japan.
The G4 model consists of expansion in both categories of membership and
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reform of the working methods. Brazil and India are also members of the
L69 group. The G4 has shaken up the debate on Security Council reform
twice in the last decade. First in 2005 and again in 2011, both times pushing
forward reform models involving expansion in both categories. In 2011 G4
representatives reported that their attempts to collect written signatures on a
draft “short resolution” circulated amongst the membership received more
than 80 signatures. While their efforts fell shy of the required two thirds
support in the General Assembly, as the resolution was never brought to
vote, it elicited strong responses from other member state groupings,
particularly UfC members who were against the resolution, and renewed
interest in the debate.
The G-4’s regional rivals, informally known as the Coffee Club and later as
the “Uniting for Consensus” (UfC) Group, tried to derail the G-4 proposal.
The "coffee club", comprising 40-odd members states, has been instrumental
in holding back reforms to the United Nations Security Council over the past
Many years years. Most members of the club are middle-sized states who
E Y
B a Thursday
oppose bigger regional powers grabbing permanent seats in the UN Security
Council. The United for Consensus group originated
A U from
C
morning “coffee club” of delegates to New York H from Italy, Spain, Mexico,
A
and Pakistan. These four countries sawR building momentum of the G4
the
states as a deeply troubling M
K U threat to their national interests. They put
H
forward a proposal favouring an increase of only the non-permanent seats.
S called for the addition of 10 non-permanent seats and
U
IYpermanent members. On 20 April 2009, Colombia and Italy, acting
Their draft resolution
P
no new
as representatives of the UfC group, provided a new model of reform, which
[
was presented as a concrete attempt to reach a deal. The document proposed

creating a new category of seats, still non-permanent, but elected for an
extended duration (3 to 5 years terms) without the possibility of immediate
re-elections. This new kind of seat would not be allocated to single national
countries but rather to regional groups on a rotational basis. As far as
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traditional categories of seats are concerned, the UfC proposal does not
imply any change, but only the introduction of small and medium size states
among groups eligible for regular seats.
Argument analysis of Coffee Club
None of the United for Consensus nations believed that the G4 member(s)
from their region would represent their national viewpoints. Pakistan fears
that, far from merely not representing their national interests, Indian
inclusion as a permanent member would completely compromise Pakistan’s
interests. Mexico is not militarily threatened by Brazil but, according to
Secretary Toni Jacques, “It is shocking to assume that Brazil ideologically
represents the entire continent”. Currently Italy and Spain occupy a similar
rung of power within Europe as Germany. As Germany’s economy continues
to grow and even carries the rest of the European Union, one of the only
factors preventing Germany from completely dominating European politics
is the permanent Security Council status that separates it from otherwise
E Y
much less powerful France and Great Britain. Over time South Korea has
U
become integral to the United for Consensus movement, partlyB in response
H AUnited for Consensus
to fears of neighbor Japan with an elevated status. The
R C
proposal calls for an additional ten non-permanent members and no new
permanent members. To address theA
U M imbalance of power between permanent
and nonpermanent the UfC
affirmative votes H
K draft suggests requiring a majority of 15
U S out of 25 members to pass a Security Council resolution.
I Y
P that is a politically untenable position – but privately, most UfC
The UfC platform is not explicitly opposed to the veto power – essentially
because
member states feel the veto is immoral. The UfC proposal submits that if
regional groups so decide, their members should be eligible for immediate
reelection to the Council in the non-permanent category. The non-permanent
seats would be divided as follows; six to Africa, five to Asia, four to Latin
America and the Caribbean, three to Western Europe and other states, and
two to Eastern Europe. UfC reasoning follows that if nonpermanent seats are
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eligible for reelection, they will be more accountable to the General

Assembly for their actions. The basic philosophy of the United for
Consensus movement is that the UNSC should be as democratic and flexible
as possible. As an anonymous South Korean diplomat explained, there is no
way to predict future politics, so a democratic, electoral system is the best
solution; “international politics is not permanent, and permanent solutions
will not work.”
AFRICAN VIEW
Africa All African nations agree that their continent deserves far greater
representation on the Security Council. Africa is, in fact, the only continent
with a unified proposal for reform; the Ezulwini Consensus, adopted in
2005. Africa will not settle for less than two permanent seats with veto
powers and five nonpermanent seats: one allocated for each other five
regions of Africa on a rotating basis. Ezulwini has been reaffirmed at every
biannual summit of the African Union since its adoption. The three major
Y
points of tension between the Common African Position and the G4 proposal
E
U B
relate to: 1) the veto rights of new permanent members, 2) the proposed
H A
number of permanent African members, and 3) the proposed number of non-
permanent members. Africa believes thatC
A R and unimportant in relation to the
without the veto power, new
M
permanent members would be ineffective
U
remain unaltered.H
K
current Permanent Five; in other words, the current power balance would
U Sis opposed in principle to the veto, it is of the view that so

The Ezulwini Consensus explicitly states that, “even
PIasYit exists, and as a matter of common justice, it should be made

though Africa
long
available to all permanent members of the Security Council”. With most
proposed schemes, Asia would receive three permanent seats and Western
Europe alone three permanent seats – not to mention Western-bent USA.
Africa believes it is already a major concession to ask for just two permanent
seats out of a 11 permanent seats proposed by both the G4 and one of the
two UN High-Level Panels on reform. Africa makes up more than 27% of
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UN General Assembly membership but would only receive 18% of UNSC

seats. The P5 also object to the Ezulwini Consensus proposed method of
selected Africa’s permanent members. The African Union would like to
select a group of candidate states to then be sent to the General Assembly for
a vote. This is how non-permanent members are currently selected. Latin
America and Africa are the only continents with no permanent member on
the Security Council but Africa, furthermore, has no representative amongst
the G4 hopefuls while Latin America at least has aspirant Brazil. African
sentiment seems to be that they are the least represented in the current
UNSC format and in most reform schemes. Much of the tension related to
Security Council reform in Asian, European, and Latin America relate to the
fear of mid-sized states who believe that elevating the status of their large
neighbors will not help represent their needs but would simply lower their
international status in comparison. Africa, with no current representation,
feels that it can only stand to gain with the addition of African seats. When
the United Nations was conceived the vast majority of Africa’s modern
E Y
nations were not yet decolonized, independent states. The make-up of the
U B
General Assembly has thus changed immensely and the Security Council has
not followed suit. According to Ambassador Roshdy
H A of Egypt, African
delegates are currently focusing on ensuringC
A R two permanent seats for Africa
advantageous to Africa toU

M
and have not yet opened discussions on which states those will be. It is most
K postpone that discussion in order to maintain a

H all African states agree that more permanent African
S
united front wherein
U
I Y
representation is vital. In international discussion, South Africa has garnered
Pmost attention for a permanent seat given its rapidly advancing economy.
the
South African Counsellor Combrink explained that when informal
discussions about which African states would hold the permanent seats,
South Africa was not initially convinced it wanted to take up the mantel.
Holding a Security Council seat does bring prestige to a country but it is also
time-consuming, costly, and places states in a position where they are bound
to make unpopular decisions. Furthermore, South Africa was not convinced
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that any state without permanent status and veto power could actual make an
impact. South Africa believes strongly in the UN body, particularly given its
creation in the wake of the apartheid regime. “South Africa is a creation of
the international community” and that origin continues to impact the way
South Africa approaches international relations; with extreme emphasis on
multilateralism and cooperation. After South Africa served on the SC as a
non-permanent member from 2006 to 2008, the tide of national political
opinion began to shift in the direction of pursuing a permanent seat. South
Africa saw that it could be incredibly useful in areas related to economic
recovery and peacekeeping given its recent history. According to South
African Ambassador Combrink, South Africa believes its major achievement
during the ’06-’08 term was strengthening the relationship between the
Security Council and the African Union Peace and Security Council – the
regional body responsible for the same objects as the UNSC. Additionally,
South Africa now believes that it can offer legitimacy to Security Council
measures and actions in Africa, which are disproportionately prevalent
E Y
Security Council issues. South Africa believes, Combrink added, that other
U B
strong African nations such as Nigeria and Egypt could also offer this
H
critical credibility to the Security Council. Nigeria Aholds Africa’s largest
R C
population and is one of the continent’s fastest growing economies. Given
international involvement in the oilA
U Mperspectives to the Council. Egypt believes
industry in Africa, many believe that oil-
K
rich Nigeria could offer crucial
Hassociations with Africa and the Middle East/Muslim
cultureY U S
that its combined
I merit it a permanent seat on the Council. Ambassador Roshdy opined

Pignoring the fact that 1,100 million of the world’s citizens are Muslim
that
and 400 million are Arab when envisioning the permanent Security Council
members would be not only immoral, but also shortsighted and sure to back
fire.
The African Group (represented by Sierra Leone on behalf of C-10) is

the largest of the regional organizations dealing with Security Council
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reform. The African group is united by its common position, the “Ezulwini
Consensus” and Sirte Declaration. Ezulwini proposes at least two new
permanent seats for Africa with all prerogatives and privileges enjoyed by
other permanent members, and five non-permanent seats on the Security
Council, with candidates to be decided by the African Union and elected by
the General Assembly. There is widespread agreement among member states
that there is a need to improve African representation on the Council. It is
one of the few reform matters about which member states appear to
unanimously agree, matched in popularity only with concepts as general as
“there is a need for reform.” Regionally based new permanent seats are
broadly accepted for Africa amongst the membership, with states to be
determined by the African group. The African group is known to have
internal divisions that have kept the group from moving beyond or building
upon the Ezulwini consensus. While their regional collaboration has given
them the power of a strong collective voice, individual countries within the
group and the group itself are weighed down by the obligation to remain
E Y
united among its 54 member countries. Any changes in position would have
U B
to be agreed upon by all, and tensions arise when certain countries appear
H A from the consensus

too close with other groupings or are viewed as straying
positions. (This has placed limits on SouthC
A R Africa’s collaboration with G4/
L69/CARICOM.)
U M
H
CARICOM has become K more active in recent years on the issue of
U S reform. A communiqué was issued after the 24th Inter-

IY Conference of Heads of State and Government of the Caribbean
Security Council
P
Sessional
Community on 18-19 February 2013. The communiqué highlighted support
for the African position, and rather than emphasizing regional representation
for CARICOM, calls for the inclusion of a nonpermanent seat for Small
Island Developing States (SIDS) across all regions. CARICOM circulated
the communiqué along with a draft resolution to this effect. CARICOM’s
draft resolution is similar to an L69 draft resolution from 2012, which was
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less widely circulated. The CARICOM draft resolution calls for additional
seats to be elected by the General Assembly with six new permanent seats,
including two for Africa and to be determined by Africa, two for Asia, one
for Latin America, and Caribbean states, and one for Western Europe and
other states. It calls for five new nonpermanent seats that are regionally
divided, and a non-permanent seat for Small Island and Developing States
across all regions, which would be coordinated by regional groups to ensure
regular representation of SIDS.
The Arab Group,-Earlier Saudi Arabia’s rejected Council seat and

emphasis on the Council’s failure to resolve conflicts in the Middle East.
The Arab group has spoken with Kuwait as its spokesperson during General
Assembly(2010) session for the first time in recent years. A letter sent to the
Chair of IGN in January 2010 from The League of Arab States, reiterated the
League’s demand for “a permanent Arab representation in any future
expansion in the category of permanent membership of the Security
Council.”
E Y
U B
L.69 consists of 42 countries, L69 defines itself as “a diverse group of
developing countries from Africa, Latin America A
C H and the Caribbean, Asia
A R Council.” In 2012 the group more

and the Pacific, who are united by a common cause – to achieve, lasting and
M
comprehensive reform of the UN Security
U
H K
clearly defined its position, bringing it into line with the Common African
seats. L69U
S
Position by clarifying that veto rights should be extended to new permanent
PIY
also supports a non-permanent seat for small island developing
states across all regions. Eleven countries from the African Union, eleven
from CARICOM, and two CARICOM observers are in the L69 group.
The P5 The five permanent members (P5) of the Security Council are
divided on the issue of Security Council reform, and are informally referred
to, unlike in other circumstances, as the P3 (China, Russia, and the US) and
the P2 (France and the UK). Regarding enlargement, the US supports
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modest expansion in both categories of membership “in principle,” requires

that all new members are country-specific (not regionally-based), and is
against any expansion of veto powers. Russia expresses openness to
exploring the interim model of expansion and to extending veto powers to
possible new permanent members, but emphasizes that the veto should only
be discussed after new members have been selected. Russia and the US
support maintaining veto prerogatives for current permanent members.
France and the UK hold a shared position in supporting expansion in both
categories of membership as well as supporting intermediate models with
longerterm seats and a review to convert those seats into permanent ones.
E Y
UB
HA
R C
M A
K U
SH
U
PIY
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India West Asia

Introduction
West Asia today is a critical source of the world’s energy. The region’s economic and strategic importance
is underscored by the fact that it has 47.7 per cent of the world’s oil, 42.7 per cent of natural gas and more
than 60 per cent of the world’s oil flows through the Straits of Hormuz (Chinmaya R Gharekhan, “The
Strategic Environment in West Asia and its Impact on India’s National Security and Foreign Policy”).
The Middle East’s energy imperative to a nation’s security and prosperity was highlighted in Winston
Churchill’s readiness in war time “to shed a drop of blood for every drop of oil”. In the same vein, former
American President Jimmy Carter in a State of the Union message in January 1980 brought out the
inextricable link between national security and energy security. “An attempt by any outside force to gain
control of the Persian Gulf region will be regarded as an assault on the vital interests of the United States
of America and will be repelled by any means necessary including military force” (Mahesh Prasad
Tandon, Public International Law, New Delhi: Sterling, 2008).
In recent years however, the long-standing Arab–Israeli and intra-Arab conflicts as well as the rise of
Islamic fundamentalism have dealt major blows to regional and global security and prosperity.
Historically, the crisis in the Islamic world began with the penetration of European imperialism in the
nineteenth century. The implementation of liberal and secular institutions gradually neutralised the role
of Sharia law in legal and political systems, culminating with the accession to power of Kamal Ataturk and
the abolition of Sharia in Turkey in 1924 and the promulgation of secular laws from 1926 onwards. The
rapid Westernisation imposed from above left ordinary people stranded both materially and spiritually.
They demanded leadership that was modern in outlook but rooted in the culture of Islam (Pankaj Mishra,
From the Ruins of Empire: The Revolt against the West and the Remaking of Asia).
According to Talmiz Ahmed (The Islamic Challenges in West Asia: Doctrinal and Political Competition
after the Arab Spring, New Delhi: Pentagon Press, 2013), the Islamic discourse that evolved in the
twentieth century was an oppositional concept that functioned outside the prevailing state order.
THE GROWTH OF INDIA–WEST ASIA STRATEGIC RELATIONS

West Asia is of economic, geopolitical and sociocultural importance to India. The fulcrum of India–West
Asia trade has been shaped by both domestic political considerations and systemic changes in the
international milieu. Nehru realised the importance of the region for the country and the rest of the world
and his bold initiative to organise the first Asian Relations Conference in New Delhi in March 1947
reflected his desire to establish strong political and socioeconomic ties with it. Ever since, many regional
countries have been keen to establish/revive special security partnerships with India. Oman for instance,
signed a defence pact with India in 1972.
Prime Minister Narendra Modi’s August 2015 visit to the United Arab Emirates (UAE) has been considered
as a revival of New Delhi’s strategic partnership with Gulf countries (C Raja Mohan, “Modi in the Gulf”).
India imports almost two-thirds of its oil from Gulf Cooperation Council (GCC) states, comparable with 80
per cent by Japan and 70 per cent by South Korea and as per International Energy Agency estimates, China’s
oil import will also increase to 70 per cent in the next few years. (Meena Singh Roy, Emerging Trends in
West Asia: Regional and Global Implications, New Delhi: Pentagon Press, 2014). India’s top three suppliers
in 2018-19 were: Iraq, with about 46.6 million tonnes (MT) in 2018-19, is the number one supplier,
followed by Saudi Arabia (40.3 MT) and the UAE (17.5 MT). Kuwait supplied 10.8 MT. A report of the
International Energy Agency (IEA), titled “In-depth Review of India’s Energy Policies” highlighted: “The
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rate of growth of India’s oil consumption is expected to surpass that of...China in the mid-2020s... As proven
oil reserves are limited compared with domestic needs, India’s import dependency (above 80% in 2018) is
going to increase significantly.
India’s trade and energy security is inextricably linked to the security of the Straits of Hormuz and Bab el-
Mandeb, the Indian Navy has increased port visits in these waters in the recent past. It has also started
conducting regular joint naval exercises with navies of several regional countries to ensure the
uninterrupted flow of trade both ways. The presence of the India Navy in the aforesaid vital chokepoints
is also critical in the fight against terrorism and sea piracy (Imran Khan, “Changing Dynamics of India–
West Asia Relations”). In addition, by sharing its expertise in the sectors of education, training and
professional services in diverse fields, New Delhi is investing in its partnership with Gulf countries.
Evolution of India’s West Asian policy

India’s vision to establish itself as a powerful and prosperous state in Asia has led it down various paths in
terms of its foreign policy towards West Asia. Over the years, India has adapted its foreign policy to suit
the evolving needs and conditions of global politics — from the ideologically-driven Non-Aligned
Movement to a policy based on greater pragmatism. The non-aligned values of sovereignty, territorial
integrity and non-interference in domestic politics were a crucial component of Indian’s foreign policy
fabric. In the West Asian context, this was reflected in the Nehru-Nasser alliance, through which India
supported the Arabs against Western interference, particularly in the case of Palestine and the 1956 Suez
Crisis.
By 1991, the Cold War formally ended with the dissolution of the USSR. The US-sponsored version of neo-
liberalism emerged as the final evolutionary form of global governance. Such unipolarity presented India
with significantly less flexibility of options in setting its West Asian policy.
One example of this was the Gulf Crisis. On 2 August 1990, the V.P. Singh coalition government faced a
threat to its geopolitical interests. Iraqi forces on the orders of President Saddam Hussain had invaded
Kuwait. As the international community began to rally against Iraqi hostility, New Delhi failed to publicly
align itself with either side. Iraq was India’s natural ally to for ideological reasons. Iraq was also one of the
few Middle Eastern countries that supported India’s claims on Kashmir. Thus, upon Iraq’s invasion of
Kuwait, India was faced with a serious policy dilemma — would it stick to its traditional stance as a non-
aligned power and take a stand against Western intervention in the conflict? Or, would it stand by the Gulf
states and adhere to the policies of the US, considering new economic opportunities and a changing world
order.
India failed to formally condemn Iraq for the invasion due to their strong relationship. Instead, they
stressed on the security of the 185,000 Indian expatriates stranded in the region. It had become clear that
India’s inaction would cost it in the future, particularly through poor relations with the Gulf countries
and their Western allies. Through this calculation, India supported the UN Security Council Resolution
678 in November 1990- which authorised the use of force against the Iraqi army if they refused to
withdraw before 15 January 1991. India did not contribute its military forces in the coalition against the
Iraqi army, however, India found itself pressured into supporting the US led coalition against the Iraqi
army through intelligence and assistance. In January 1991, India allowed American military planes to
refuel at Indian facilities, which was met with great opposition. The decision was largely seen as political
rather than functional, as the US made it clear to the world which side India stood on. In this sense, the
Gulf crisis was treated by the US as a “test of friendship”, as described by former Indian foreign secretary
Muchkund Dubey.
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However, India was not ready to discard its commitments to South-South cooperation yet. On 2 March
1991, the UN adopted Resolution 686, India and China being two of the three abstainers. The resolution
largely dealt with settling the boundary dispute, rebuilding the affected areas of Kuwait, and Iraqi
liability for damage. However, Indian representatives disagreed with the continuation of the
‘authorisation of force’ clause of Resolution 678. The act of abstaining signalled India’s ideological
commitment to non-interference.
As we near the end of the second decade of the 21st century, it has become clear that the gears of the
international machine are once again in motion. American hegemony is being challenged economically,
militarily, diplomatically and culturally. Multipolarity is growing with the rise of regional powers such as
Russia, China, Saudi Arabia, Iran and India. Increased multipolarity has enhanced India’s ability to truly
pursue its national interests internationally, without involving itself in messy political alliances or
ideological factions. This freedom is synonymous with the idea of ‘strategic autonomy’.
In the past, India has managed a successful balancing act in a tripolar West Asia. Now, the restructuring
of West Asia’s geopolitical landscape has allowed India to engage with West Asian states with even less
political maneuvering. Through a strictly business attitude, India has pursued its most favourable
economic opportunities without the burden of managing political ramifications.
India’s priorities in the Gulf

Energy security: Securing long term energy supply is of primary importance for India in the region.
India is heavily dependent on oil imports from West Asia. Its top three suppliers in 2018-19 were from
the area: Iraq, with about 46.6 million tonnes (MT) in 2018-19, is the number one supplier, followed
by Saudi Arabia (40.3 MT) and the UAE (17.5 MT). Kuwait supplied 10.8 MT. Together, these countries
supplied about 51% of the total of 226.5 MT of oil worth $111.9 billion.
Trade and investment: The region remain a favourite trading partner for India and the trade figures
have been consistently going up especially with countries like the UAE, Saudi Arabia and Iran. On the
economic front, the Gulf countries, predominantly UAE and Saudi Arabia, have in the past two years
committed over US$52 billion to the Indian economy in areas such as infrastructure, oil refineries, and
aviation. Figure 17 shows the bilateral trade between India and the UAE since 2014.
• Prime Minister Modi’s visit to Riyadh in April 2016 helped India find its space as an economic
destination for Saudi petro-dollars. For example: Saudi state-run Saudi Aramco, along with Abu
Dhabi National Oil Co (ADNOC), have committed to a new US$50-billion refinery on India’s
western coast scheduled to start operations by 2025 and designed to be capable of refining up to
1.2 million barrels of oil per day. (Jennifer Gnana, “Adnoc and Aramco to Partner on $44Bn
Indian Refinery”, The National).
• Between 2014 and 2018, India and Iran signed a total of 21 Memorandums of Understanding
(MoUs), many relating to the development of Chabahar. Total trade for the years 2017–18 was
recorded at US$13.8 billion; of the total, India’s imports were worth US$11.11 billion, mostly oil,
while India’s exports stood at a mere US$2.7 billion.
Military cooperation: Particular attention has been paid on military cooperation to deal with common
security threats. The growing threats of Islamic extremism, terrorism and maritime piracy have become
concerns for both India and the Gulf countries. There is a growing concern over the rise of criminal
activities, money laundering and illegal arms trade between the two regions. The Indian Navy has
conducted exercises with the navies of Kuwait, Oman, Bahrain, Saudi Arabia and UAE. Air Force has
also come forward to conduct aerial exercises with their counterparts.
o India Saudi Arabia relation is becoming multifaceted covering areas like defence, maritime
security, counterterrorism, science and technology, strategic oil reserves, investments, tourism,
and so on. For example: the agreement was reached during the visit of Crown Prince Mohammed
bin Salman to India last year to constitute a “Comprehensive Security Dialogue” at the national
security adviser (NSA) level and set up a Joint Working Group on Counter-Terrorism.
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o Bilateral Defence Interaction between India and UAE has been steadily growing in accordance with
other aspects of the bilateral relationship. The ships of the Navies of both countries have regularly
made port calls enhancing bilateral defence co-operation. For example: Two Indian Navy Ships
participated in the maiden IN-UAEN Bilateral Exercise in March 2018 named Gulf Star 1; and Indian
Navy and Coast Guard have made a number of port calls to Abu Dhabi and Dubai, along with the
associated PASSEX.
Fighting piracy: The recent spurt in the piracy activities off the Gulf of Aden in the Indian Ocean has
affected both India and the Gulf countries. For India, the security of the Indian Ocean is important as
large number of oil tankers pass through these waters. Cooperation with the Gulf countries in fighting
piracy would also strengthen India’s presence in the strategic waters of the Indian Ocean. India has
already deployed its naval ships to deter the pirates.
Strengthening soft power: India has emphasised on strengthening the soft power relationship with
the countries of the region.
o The importance given to Indian culture by the UAE was further highlighted in April, 2019 when
India participated as the Guest of Honour Country in Abu Dhabi International Book Fair 2019.
Indian cinema/ TV / radio channels are easily available and have good viewership. The Emirati
community also participate in our annual International Day of Yoga events and various schools of
yoga & meditation centres are running successfully in the UAE. There are 130 Indian schools in
the UAE following the CBSE and Kerala Board curricula.
o An MoU on education was signed between India and Oman in December 2007 which encourages
cooperation between the two countries through visits of academics, officials and students from
universities and academic institutions, organising seminars, scientific programmes and training
courses, and exchange of books scientific documents and library materials.
o In Saudi Arabia, Yoga was announced as a ‘sports activity’ in November 2017. India Day was
celebrated on August 17, 2019. India has also pledged to assist Saudi Arabia in setting up an ICT
Centre of Excellence as well as institutes of higher learning, involving both education and
research in the field of technology. India and Saudi Arabia signed a memorandum on higher
education in the year 2006 which calls for exchange of teaching faculty and students, encourage
direct scientific and educational communications among the institutions and exchange of
delegations between the two countries.
Diaspora and protection of its interest in the Region

Definition
Diaspora is considered as a soft power in the foreign policy strategy which germinates from India’s moral
and political philosophy shaped by Indian thinkers like Tagore, Gandhi and Nehru. It is also considered as
a catalyst for economic development in India and host countries. Generally, the Indian diaspora is looked
at as a “model minority” and comprises many accomplished individuals.
Protecting the interest of the five million strong Indian diasporas has been an important element of India’s
policy priorities in the Gulf. Indian expatriate community of approx. 3.3 million is the largest ethnic
community in UAE constituting roughly about 30 per cent of the country’s population. The 2.6 million (as
of August 2019) strong Indian community in Saudi Arabia is the largest expatriate community in the
Kingdom and is highly respected due to its sense of discipline, law abiding and peace-loving nature. Kuwait,
Oman and Bahrain also hold a significant stake. Together, these three small countries alone have around
1.5 million Indians as residents and workers. Beyond this, even conflict-ridden states like Iraq have
Indians working as oil workers, truck drivers and logistics handlers.
Remittances and its importance:

The Indian diasporic communities across the world sent the largest amount of remittances ever recorded
into India, totalling US$78 billion; with more than 55 percent coming from the Gulf region. (Shreehari
Paliath, “India Remains World’s Top Recipient of Remittances from Its Diaspora”). With regards to the
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Gulf, the total share of remittances from Saudi Arabia was $11.2 billion, Kuwait $4.6 billion, Qatar $4.1
billion, Oman $3.3 billion and UAE $13.8 billion in 2018.
• Remittances contribute significantly in foreign exchange earnings, GDP growth of nations and
improved conditions of the migrants’ families.
• Remittances aid in socio-economic development as it is used for the recipient family’s personal use
(accounting for 50 percent of household expenditure in rural areas), in temple building, and for
donations to schools. These remittances have played a role in poverty reduction while changing
consumption behaviour in rural areas. (M Rutten, “Migration, transnational flows and development
in India: a regional perspective” in South Asia Migration Report 2017: Recruitment, Remittances and
Reintegration, ed. S Irudaya Rajan)
Challenges of Diaspora:
The workers employed in the destination countries are subjected to abuse and exploitation, long tedious
working hours, delays in payment to name a few. Public sector jobs are reserved for the nationals and
private sector jobs for the migrants who come under the system of Kafala an ‘employment framework
in the Gulf’ whereby a national employer sponsors a migrant. This framework has been criticised by human
rights activist as it leads to exploitation of the migrant worker in the host countries. Adverse local laws to
encourage more employment from locals such as Nitaqat Law of Saudi Arabia (mandates one local to be
hired in place of 10 migrants) has adversely affected prospects of the Indian working class in Saudi Arabia.
Moreover, with the economic downturn in some countries in the Middle East, many Indians found their
contracts being terminated—this posed difficulty for the Indian missions in these countries as the affected
workers had to return to India. Reports suggest that the e-Migrate system and the Minimum Referral
Wages policy have been detrimental to India as companies now find it easier to hire labour from countries
like Bangladesh and Pakistan. (Suhasini Haider, “eMigrate violates our sovereignty: UAE envoy”)
Steps Taken
o India has signed labour agreements with the Gulf countries which call for protecting the workers
from exploitation by the employers (like sexual harassment, physical abuse, holding the payment,
overtime work without extra incentives etc.), checking the illegal and unauthorised recruiting agencies
and unhealthy working and living conditions.
o In April 2013, His Majesty King Abdullah (Saudi Arabia) announced a grace period allowing
overstaying expatriates to get new jobs or leave the country without facing penal action. More than
1.4 lakh Indians availed the amnesty and returned home without facing penalty. Saudi authorities
announced another amnesty period between April– November, 2017 during which around 70, 000
Indians were issued travel documents to return to India. The integration of the Indian e-Migrate
system and the Saudi e-Thawtheeq system for the convenience of migration of workers was
announced during the Prime Minister’s visit in October 2019.
o E-migrate system requires all foreign employers to register in the database. It ensures the welfare
and check on exploitation met to emigrants. This policy has faced criticism from countries like the
UAE who claim it is a “breach of our sovereignty”. (Suhasini Haider, “eMigrate violates our
sovereignty: UAE envoy”)
o Indian government has also started Madad Portal to take timely and speedy action on grievances
addressed by people living abroad.
o To partially reduce the risk of vulnerability from fraudulent contracts, nurses for example can now
only be recruited through one of the six state government placement agencies.
o Under Minimum Referral Wages (MRW), applicable to Emigration Check Required (ECR) countries,
India has increased the minimum wages of Indian workers employed as industrial workers, domestic
servants, cleaners and labourers.
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COVID19 and the shifting dynamics of labour migration in the Gulf

The dual challenge of population lockdowns and low oil prices has set in motion economic, social, and
political dynamics. To reduce costs and provide jobs for their own nationals, the Arab Gulf states have
resorted to laying off foreign workers in the public and private sectors. The pandemic has eroded social
trust between nationals and foreign workers, fuelling the perception that the demographic imbalance in
favour of foreigners constitutes a security threat to the Gulf states. The oil-dependent nations rely on
foreign workers who constitute a majority of the workforce, ranging from 57 percent in Saudi Arabia to 95
per cent in Qatar in 2015. Since most foreign workers in the Gulf states tend to originate from South Asia,
these dynamics are likely to have considerable repercussions for source countries including India,
Pakistan, and Bangladesh.
Layoffs of foreign workers in the Gulf:

o To cope with lower oil prices, the Gulf states have laid off foreign workers employed in
government agencies as a means of shrinking the public wage bill or freeing up jobs for their own
nationals. Oman, for instance, has ordered its state-owned enterprises to expedite replacing
foreign workers by nationals.
o State-owned enterprises, including Qatar Airways, Emirates Airlines, and Bahrain’s oil refiner
BAPCO among others have also announced major job cuts affecting foreign worker.
o Meanwhile in the private sector, a drop in government expenditure and weaker consumer
demand have also forced private corporations to slash jobs as a means of decreasing costs. The
construction sector, which tends to be overwhelmingly staffed by blue-collar foreign workers, has
reportedly taken a hit as governments in the Gulf postpone a portion of their capital expenditure
projects.
o The tourism industry has also suffered, producing knock-on effects in the hospitality, retail, and
food and beverage sectors.
Demographic imbalance and response of government of respective countries:
o The pandemic has also generated social and political pressures in the Gulf that have strained
relations between nationals and migrant workers. In a few instances, migrant workers took to the
streets in Kuwait and Qatar to protest unpaid wages or to demand repatriation. On occasion,
these protests have descended into violence.
o These developments have had the combined effect of reinforcing a narrative that views migrant
workers as a source of threat, amplifying political demands upon Gulf governments to remedy
the demographic imbalance.
o The Kuwaiti parliament has already approved a draft law that imposes quotas on foreign workers
present in the country. The draft law reportedly limits the number of Indian nationals to 15 per
cent of the population, implying that the Indian diaspora would have to shrink by at least 800,000
people.
o In Bahrain, members of parliament have also urged the government to implement a roadmap
towards decreasing the presence of foreign workers. Nevertheless, the government has so far
ignored such demands and has instead defended a flexi-permit scheme that allows foreign
workers to sponsor themselves.
Implication on India alone

Things at stake:
o Indian diaspora is responsible for sending back more than 56% of India’s annual infusion of $80
billion in remittances. The UAE alone is responsible for $19 billion in remittances, being the third
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largest trade partner of India after the United States and China. Much of the impressive numbers
above are now under stress.
o The oil price crash exacerbated by the crash in demand due to COVID-19, will carry massive costs to
the West Asian economies, and, by association, to foreign workers employed there.
o According to a Dubai Chamber of Commerce & Industry survey, more than 70% of businesses
classified as small and medium-sized enterprises in Dubai, many owned by Indian nationals, may not
survive as labour critical industries such as tourism, conventions, hospitality and airlines bear the
immediate brunt.
o In Saudi Arabia, consumer spending for April 2020, compared to the same time last year, was
reportedly down by 34.6%. The oil price crash is expected to have a significant blow on the reform
plans initiated by Crown Prince Mohammed bin Salman, specifically mega-projects such as the
envisioned $500 billion futuristic mega-city of Neom planned on the coast of the Red Sea, and other
more structural efforts to open up the Saudi economy.
o The major sovereign wealth funds and other financial institutions in West Asia have been hit hard by
COVID-19 as well.
Steps to take
o Saudi Aramco and the Abu Dhabi National Oil Company have committed to investing $25 billion in
the project.
o Fast-track resolution of endless litigation that has bedevilled the sale of a major stake of Mumbai
airport by GVK to a consortium that includes the UAE sovereign fund, Abu Dhabi Investment Authority
(ADIA) will also send out a positive signal to the markets.
o Some of the UAE’s largest companies such as Etisalat, Emaar and Etihad have previously had a tough
time with their investments in India. By creating a few immediate success stories, India has the
opportunity to transform the landscape and attract the kind of long-term capital that the economy
needs.
o The government has announced that it has set up an empowered group headed by Cabinet Secretary
Rajiv Gauba to take necessary steps to attract FDI into India. Hopefully, this mechanism can take up
West Asia on priority.
o Reverse migration and job: The return of semi-skilled and skilled workers alike into an economy
already struggling with jobs may become a point of worry. To mitigate the same, the government
has tried to soften the blow by launching the Skilled Workers Arrival Database for Employment
Support (SWADES) which attempts to capture the skills profile of returning workers and house them
in a central portal that can be accessed by Indian and foreign companies. However, much more needs
to be done with regard to reverse-migration and the economics attached to it, as globally, bilateral and
multilateral trade-diplomacy is set to witness a tectonic shift towards the unknown.
Geopolitics in the region and China-India Strategic Interaction

The three variables—oil, gas and water routes—were the most critical components that attracted global
powers to engage in the region. Recent developments, however, suggest that two rising Asian powers,
China and India, are becoming increasingly involved in the region and particularly Middle East regional
affairs. Both countries have recognised the critical role of the region in their future economic growth and
development and have embedded the region into their national strategic plan. However, the region faces
issues—such as terrorism, internal strife, particularly in Syria, maritime security, hunger and poverty,
especially in Yemen, the recent US-Iran conflict and the COVID-19 global pandemic—that may influence
the operationalisation and outcome of the future strategic plan of China and India. These current
challenges thus require the Asian powers to reassess each other’s strategy.
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Region of Interest for China and India
Based on neorealist approach, China and India are regional economic giants and emerging powers. As
argued by (J. Garver, Protracted Contest: Sino-India Rivalry in the Twentieth Century) China and India
have pursued a regional geopolitical struggle for power that may extend to other Asian sub-region as
interests and influence began to manifest.
Since China and India see the region as an important element in their future regional and global power
projection, this uniqueness of Middle East political and economic structures would lead China and India
to accommodate interests and cooperate, rather than compete. The neorealist assertion is thus replaced
by the idea of complex interdependency.
For China and India, the west Asia and in particular Middle East presents a new gateway to expand
economic transactions towards Africa and the Mediterranean. The region can provide water and land
accessibility for tradable goods, energy supply and a potential market for products, guaranteeing
sustainable growth and development for the two countries. The vastness of India and China’s interests in
areas of cooperation such as labour, investments and trade in the Middle East is undoubtedly a vital
consideration in their future regional engagements.
China’s Interest
China’s economic and development partnership with the Middle East is driven by its thirst for oil and the
promotion of the BRI, to which the region is crucial. This expansion is a natural by-product of its economic
weight. Arab countries acknowledged that China is not just the ‘global factory’ that manufacture cheap
products; it is also the biggest market of its energy products.
China’s recent strategic positioning in the Middle East through the BRI is said to highlight inclusive
economic development without meddling in the region’s political affairs. McGurk argues that China wants
to strike a balance between regional countries that are ‘nearly at war with one another’. However, many
analysts argue that behind this economic project lies the ambition to increase influence in the Middle
East. In effect, this challenges the US geostrategic dominance and puts political avoidance of China into
question.
India’s Interest
India’s interests in the region, on the other hand, revolve around securing crude oil, engaging in trade and
protecting Indian nationals working in the Gulf. Its need for oil and gas, as well as ‘Look West Policy’
demonstrates a higher priority accorded to the Middle East.
West Asia Crisis & India

The escalating tension between Iran and the USA is leading to a situation of crisis in the West Asian
region. The United States of America struck a significant blow against Iran by killing the Commander of
Iranian Quds Force - General Qasem Soleimani in an airstrike near Baghdad International Airport
This has led to an escalation of tensions between the two nations which is expected to affect Indian
interests as well. India has consistently advocated restraint to such situations as it has vital interests in
the region in the form of its large diaspora and oil & gas demand.
India’s Concerns
Energy: The ongoing crisis could have ramifications, as India’s dependence on imported crude oil hit
a multi-year high of 84 percent in 2019. Even as consumption has steadily ticked up in recent years,
India’s domestic oil output has fallen from 36.9 million tonnes in 2015-2016, to 34.2 million tonnes
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in the most recent fiscal year, raising concerns in India about the future of the country’s energy
security.
Trade and People to People ties: India also have extensive trade, investment, security and people-to-
people ties with countries in the region. As Indian External Affairs Minister S. Jaishankar underlined
during his meeting with U.S. Secretary of State Mike Pompeo in 2019, “energy security is part of it
[situation in the Gulf] but there are other concerns as well about diaspora, regional security and
trade. Indian fossil fuel companies are now hesitant to do business with Iran, and foreign companies,
including those from Europe, are refusing to participate in the Chabahar project.
Diaspora and remittances: Large Indian diaspora (more than 7-8 million NRIs are there in the Gulf
region) in West Asia and particularly in the Persian Gulf, might get affected due to the tension in the
region. Any turbulence in the Gulf will expatriate our nationals from this region leading to a big dent
on our forex reserves.
Geo-Political: Iran’s location holds a significant position for India as it acts as a connecting link for both
West Asia and Africa region. India can only access Afghanistan and Central Asia through Iran only.
Hence any turmoil in the region can diminish India’s role in the region.
INDIA IRAN
A Brief Background
India and Iran have had long and close cultural links, and their ancient and modern histories have been
intertwined. Since Indian independence, the relations have been essentially peaceful, friendly and
empathic. They have turned more fruitful and productive after the Iranian revolution of 1979, the war in
Afghanistan and the tense Iranian-Pakistani ties. The first step in Indian-Iranian regional cooperation was
taken during the visit of then Indian Prime Minister Atal Bihari Vajpayee in Tehran in April 2000, followed
by Muhammad Khatami’s visit to India in January 2002 (as a guest at the Independence Day function). Iran,
however, felt betrayed by India’s decision to vote in favour of sending its nuclear dossier to the UN
Security Council in September 2006. Surprisingly, India had used its “good-relations-with-Iran” card to get
preferential treatment from the Bush administration in relation to the US-India nuclear deal. It is important
to note that Iran, known for its anti-Israeli and anti-American point of view, has been extremely
accommodative and understanding of India’s friendship and economic cooperation with both these
countries.
Political relations
• India and Iran signed a friendship treaty on March 15, 1950. Before the Iranian Revolution of 1979,
the Shah of Iran visited India twice (March 1956 and February 1978) and Prime Minister Jawaharlal
Nehru visited Iran in 1963. Prime Minister Indira Gandhi and Prime Minister Morarji Desai visited Iran
in April 1974 and June 1977 respectively. After the Iranian Revolution, Prime Minister Narasimha Rao
visited Iran in 1993 and President Rafsanjani paid a visit to India in 1995. Indian Vice President Shri
K. R. Narayanan visited Iran in October 1996.
• In April 2001 wherein the two countries signed the “Tehran Declaration” which set forth the areas of
possible cooperation between the two countries. During the visit of president Mohammad Khatami in
India, 2003, both sides signed “The New Delhi Declaration” which set forth the vision of strategic
partnership between India and Iran or laid out the principles of cooperation in defence, including the
training of Iranian military personnel by India.
• In 2016, during PM Modi’s visit to Iran, a Joint Statement titled “Civilizational Connect, Contemporary
context” was released. 12 MoUs/Agreements were signed between India and Iran. A Trilateral
agreement on Transit and Transport was signed between India, Iran and Afghanistan in the presence.
Prime Minister also inaugurated the International Conference titled “India-Iran two great
civilizations” in Vahdat Hall, Tehran and released a Persian Manuscript “Kalileh Wa Dimneh”.
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• There have been other regular high-level exchanges. Foreign Minister Dr. Javad Zarif participated in
the Raisina Dialogue in New Delhi from 14-17 January 2020, and had meetings with the External Affairs
Minister.
• Both India and Iran also consult each other on security matters. There are regular bilateral exchanges
at the level of National Security Advisors and Deputy National Security Advisors. India has been
participating in the 6 Nations’ NSA talks that have been hosted by Iran in the past two years.
Areas of Cooperation between India and Iran

Economic and Commercial Relations:
o India-Iran commercial ties were traditionally dominated by Indian import of Iranian crude oil. In 2018-
19 India imported US$ 12.11 bn worth of crude oil from Iran. However, following the end of the
Significant Reduction Exemption (SRE) period on 2 May 2019, India has suspended importing crude
from Iran.
o The bilateral trade during 2019-20 was $4.77 billion, a decrease of 71.99% as compared to the trade
of $17.03 billion 2018-19. Both countries are negotiating a Preferential Trade Agreement, on which
five rounds of talks on have been held so far.
o The Embassy of India organized three events titled ‘Potential for expanding India-Iran trade’ to
promote bilateral trade. The Embassy has also facilitated visits of Indian business delegations, and
participation of Indian companies in Iranian exhibitions.
Connectivity
o India is developing the 1st Phase of Shahid Beheshti Port at Chabahar. The capacity of the port will
reach 8.5 MT at the end of the first phase. During the visit of Prime Minister Shri Narendra Modi to
Tehran in May 2016, the contract on the Shahid Beheshti port of Chabahar was signed which, inter-
alia, comprises investment of $85 million for procuring equipment of the port. After operations began
at the Chabahar port in December 2018, the port has handled more than 8200 TEUs and 1.28 million
tonnes of bulk cargo.
o The Trilateral Transit Agreement (Chabahar Agreement) was signed by the three transport ministers
of India, Iran and Afghanistan in 2016.
o During the visit of Prime Minister Shri Narendra Modi to Iran in May 2016, IRCON and Construction,
Development of Transport Infrastructure Company (CDTIC) signed a MoU that will enable IRCON to
provide requisite services for the construction of Chabahar Zahedan railway line which forms part of
the transit and transportation corridor in the Chabahar Agreement.
Humanitarian Assistance
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o India has also helped Iran in times of natural disasters and health emergencies. India delivered aid that
included PPE kits and PCR machines to Iran in April 2020 during the COVID-19 crisis. In 2019, India
provided 103 tonnes of aid to Iran during the floods that ravaged the country. In June 2020, India
supplied Malathion pesticide to Iran to fight the menace of desert locusts.
Cultural Relations
o An Indian Cultural Centre in Tehran was inaugurated by Shri Salman Khurshid, then External Affairs
Minister during his visit to Iran for the NAM summit in May 3, 2013. The Cultural Centre was renamed
the Swami Vivekananda Cultural Centre (SVCC) in 2018, and was provided a separate premise in 2019.
The center conducts regular Yoga and Hindi classes.
o Cultural ties are given momentum via important visits. Shri Vinay Sahasrabuddhe, President of Indian
Council for Cultural Relations (ICCR) visited Iran from November 30- December 2, 2018 to inaugurate
the seminar on ‘Linguistic Links between Persian and Sanskrit languages.’
The Pakistan Factor in the India–Iran Relationship

Brief History
Islamic Connection and Kashmir
o An important aspect of the India–Iran relationship is the Islamic ties between the two countries.
Iran's appeal for pan-Islamic ties with other Islamic countries, including Pakistan, was to accord a
sense of legitimacy to its regime (Jagjati K. Pattnaik).
o While for India the Iran relationship is important to demonstrate its willingness, as a Hindu majority
country, to have amicable ties with the Muslim world, it also offered a chance for India to vie for
active participation in the Islamic world by virtue of being home to the world's third largest Muslim
population and because its national culture has been deeply influenced by Islam.(Donald L. Berlin,
‘India-Iran Relations: A Deepening Entente’, Special Assessment: Asia's Bilateral Relations, Asia
Pacific Centre for Security Studies).
o The Islamisation of the Pakistani state heightened sectarian tensions, affecting its relations with Iran.
While India could have exploited the dip in Iran–Pakistan relations to push its own relationship with
Iran, its own struggle with religious extremism allowed Pakistan to revive its relationship with Iran,
an example being the religious riots that followed the demolition of the Babri Masjid in 1992. Iran
described the event as ‘catastrophic’ and ‘disgraceful’, with Ayatollah Ali Khameni exhorting Indian
Muslims to ‘not tolerate the destruction’. Public demonstrations against India included the stoning
of the Indian embassy in Tehran, demonstrations in the Iranian cities of Zehdan and Qom and even a
symbolic closure of a bazaar to vent public fury. (A.K. Pasha, ‘Indo-Iran Relations: The Kashmir Issue’)
o India, although concerned, was deferential towards the concerns voiced by Iran over the plight of
Indian Muslims in view of larger political interests, and actively pushed for an early diplomatic
resolution of the crisis. Domestic measures included a crackdown on Hindu nationalist leaders and
the passage of a bill that protected the rights of places of worship. Iranian concerns were being
assuaged and the eventual state visit by Prime Minister Rao to Tehran in September 1993 helped to
normalise relations with an emphasis on political, economic and trade goodwill.
o During the Ayatollah Khomeini period, Iran took a rigid position in support of Pakistan on the question
of Kashmir, owing to the religious dimension of the dispute. Radio Tehran quoted him as saying that
India was responsible for ‘killing innocent, deprived and freedom loving Muslims’.
Afghanistan
o Central Asia is of immense economic and strategic value to India in respect of its energy reserves and
military opportunities vis-à-vis Pakistan. Afghanistan's geographical importance is highlighted here
since it is a bridge to Central Asia, with Iran to its west and Pakistan to its east and south. (Arun Sahgal
and Vinod Anand, ‘Strategic Environment in Central Asia and India’)
o For Iran, extending its influence into Afghanistan was important since it could cater to the Shi'a in that
country, and because the trade routes and the pipelines passed through its territory to the Iranian
ports of Abadan and Bandar Abbas. Iran acknowledged Pakistan's indispensable role in manoeuvring
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Iranian involvement in the country. The relationship soon unravelled because of the mistrust between
Tehran, Kabul and Islamabad. India was equally concerned about the developments in Afghanistan
and offered to route its aid to the anti-Taliban Massoud faction through Iran. In response to these
developments, India, Iran and Russia together aided the Tajik Northern Alliance against the southern
Pashtun tribes in the Afghan civil war.
The nuclearization of South Asia
o Iran's positioning in the aftermath of the South Asian nuclear tests of 1998 reflected its pro-Pakistan
position. Iran moved towards an ideological position once again, when Iran's foreign minister, Kamal
Kharrazi, praised Pakistan's nuclear tests, saying: ‘They [Muslims] feel confident, because a fellow
Islamic nation possesses the know-how to build nuclear weapons.’
o The year 2001 saw economic relations blossom between the two countries (India-Iran) and the
Pakistan factor in this cordiality was the role of the Taliban in Afghanistan. As a part of its strategic
outlook, India developed closer ties with Iran to cement its interests in Afghanistan (partly as a
consequence of the 1999 Kandahar hijacking) and to build an energy relationship with that country, to
partly offset the impending energy demand boom from its growing economy. (Brahma Chellany, ‘The
Clinton Visit: Hype and Reality’)
o India's interests in entering into a military relationship with Iran were prompted by two concerns—
the security of the Hormuz strait, and cultivating Iran as a counterweight to Pakistan. It resulted in
Tehran Declaration. Thus, laying the groundwork for the first publicly significant, strategic
progression in the economic and military relations between the two countries. (Christine Fair, ‘Indo-
Iranian Relations: Prospects for Bilateral Cooperation Post-9-11’)
Diplomatic upswing and nuclear downfall (2000–2007)
o The eventual downfall of the Taliban, assisted by the United States, involved a direct American
presence in South Asia with military bases in Pakistan and Afghanistan. This was of deep concern for
Iran, which was tagged by President George W. Bush in January 2002 as a member of the ‘axis of evil’.
o India was keen on retaining Iran's support against Pakistan, which it believed to be a ‘national
security’ imperative, more so since the United States was being goaded by Pakistan to limit Indian
interests in Afghanistan. Therefore, despite the growing American economic and military cooperation
with India, which conflicted with the security paradigm of India and Iran, India chose to strengthen its
military relationship with Iran.
o The Indo-Iran Defence Agreement was signed on 19 January 2003 and gradually Delhi Deceleration.
Significant in these agreements was India's commitment to develop the Chabahar port complex, the
Chabahar–Zaranj (Afghanistan) railway link and enhanced defence cooperation.
o By developing the 218 km Zaranj–Delaram highway between Afghanistan and Iran, India would be
able to establish a link between Iran's ports and Central Asia, which would help India to bypass
Pakistan for any future trade. Such a move is particularly beneficial for India, since Pakistan continues
to be against providing India with overland access to Afghanistan. (Sudha Ramachandran, ‘Now It's
War against India in Afghanistan)
Note: According to Pradipto Bandopadhyay, “defence cooperation with Iran is part of India's efforts to
boost military exports to the Middle East, and Iran is very important for us in view of the geopolitics of
the Middle East.”
Pakistan-China-Iran Nexus
Pakistan is situated at a strategically significant locus on the world map. To its northeast is the ‘rising’ China
and to the southwest is the energy-rich Iran. The increasingly popular narrative in contemporary world
affairs is the rise of new powers and how the previous ones are struggling to adjust to this emerging reality.
Fundamentals of Trilateral Cooperation
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• Sino-Pak cooperation presents no challenges for Iran’s strategic and economic interests in this region.
There has been some talk about the Iranian Chahbahar port to be erected with the Indian assistance,
as a counterweight to Gwadar but Iran has time and again reiterated that the two ports are not rivals
but “sister port”.
• Pakistan and Iran have common religious, cultural and linguistic ties but the full potential of their
inherent connection is yet to be fully utilised. The external factors such as the Indo-Iranian
concordance have been behind this slow progress.
• The recent strain in ties with the US has brought about a clear shift in Pakistan’s foreign policy. With
the US’ dissatisfied appraisal of Pakistan’s efforts in Afghanistan, Pakistan initiated a regional round
of diplomacy, which included the revitalisation of ties with China, Iran, Turkey and Russia (Lina
Tikhonova, “Pakistan, China, Russia Plus Turkey Bloc To ‘Revolutionise’ Geopolitics,”).Based on their
respective longstanding grievances with the US, both Iran and China appreciated Pakistan’s
counterterrorism efforts and welcomed this shift towards enhanced regional integration.
Areas of Common Interest for Pakistan, Iran and China
Geostrategic and Geopolitical Cooperation: Afghan Factor
• Eluding all solutions to peace and stability, the conflict in Afghanistan has become an anathema for all
the regional and global stakeholders. Pakistan has been facing challenges to its national security due
to the turbulent situation in Afghanistan. Iran and China also have serious security and economic
concerns tied up in Afghanistan. China has high stakes in Afghanistan as it seeks to link it to its grand
initiative of the Belt and Road (BRI). The Chinese access to Central Asian states and their oil resources
is thwarted by the constant state of turmoil in Afghanistan not to mention the fear of spill over from
northern Afghanistan into Xinjiang.
• Hence, all three parties here have high stakes to ensure peace in Afghanistan but their individual
reasons may have been different in the past. However, some reasons have always been mutually
congruent, for example, both China and Iran are opposed to the involvement of an external actor (the
US).
• President Trump’s South Asia policy, particularly in Afghanistan, has caused the regional countries to
flock together as it does not entail a suitable solution to the Afghan civil war but instead creates a
pretext for an even more prolonged US presence.
Economic and Energy Cooperation
• In a study published in 2015, Tanchum wrote, “Iran is pivotal to the success of China’s trans-
continental, infrastructure-focused One Belt One Road (OBOR) initiative in ways that Saudi Arabia is
not.”18 He is of the opinion that Iran’s oil and gas reserves, fourth and second largest in the world,
spell out a boon for China’s exponentially rising energy needs. After unilateral imposition of sanctions
by the US, China has also collaborated with Iran to keep their energy transactions afloat. It has
recently offered Iran US$3 billion for development of an Iranian oil field.
• On the other hand, Pakistan and China have initiated work on the CPEC, which is also an energy and
infrastructure-based initiative. Iran has also shown serious governmental level inclination to join the
CPEC. The Iranian President, Hassan Rouhani, in a meeting with Nawaz Sharif, on the side-lines of the
UNGA summit in 2018, expressed a desire to be a part of the CPEC.
Challenges and Opportunities in India Iran Ties

US Factor in India-Iran Ties
• The US factor played a major role in preventing Iran from taking advantage of its energy resources.
Initially, the Iranian revolution resulted in the US banning all its companies from doing business with
Iran. This left an open space for all other rival companies. After the US imposed sanctions, the
countries that were doing business with Iran in refined petroleum products were also brought under
the purview of sanctions. Major India company Reliance was pressured with denial of loans from the
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US Exim Bank close to US$900 million for the purchase of US equipment. As a result, Reliance stopped
exporting refined gasoline to Iran because it did not want to lose its business with the US (S Samuel C
Rajiv, “Iran Sanctions and India - Navigating the Roadblocks,”).
• In 2006, India’s vote against Iran in the IAEA over its alleged nuclear programme brought the
relationship to an all-time low. This happened soon after India and the US reached an understanding
over the civil nuclear deal. It was rightfully assumed that India had taken this step at the behest of
the US.
• After India’s vote against Iran, Iran also stepped back from approving the agreement on the pretext
of differences overpricing of the LNG and Supreme Economic Council wanted the price to be
renegotiated (Dadwal, “India-Iran Energy Ties”).
• In December 2010, the Reserve Bank of India discontinued the Asian Clearing Union (ACU) currency
swap mechanism under the US pressure. Once again, the US pressure forced India to reduce its oil
imports from Iran by 11 per cent in 2012. The following year India declared that it would reduce oil
imports from Iran by 15 per cent on an annual basis.
India-Iran Relations under Modi

On May 22, 2016, PM Modi embarked on a two-day visit to Iran. It was also the time when India was
looking to revitalise its relations with Iran as part of its “Look West” policy. The visit was significant since
it was the first visit to Iran by an Indian prime minister in fifteen years. (Ankit Panda, “Long Overdue:
India’s Modi Visits Iran, Signing Key Agreements Setting Broad Agenda,”)
Around 12 bilateral agreements were signed during the visit and the most important was in relation to
Chabahar port and a Trilateral Transport and Transit Corridor agreement between the Iranian and Afghan
Presidents. Another MoU was signed between the Exim Bank and Iran’s Ports and Maritime Organisation
for the purpose of credit of US$150 million for Chabahar port. Another MoU was signed between IRCON
International Limited of India and the Construction, Development of Transport and Infrastructure Company
of Iran whereby the latter would help IRCON to provide its services for the construction of a 500 km long
Chabahar-Zahedan railway line.
Modi’s visit had been preceded by the visit of the Indian Minister of State for Petroleum and Natural Gas
in April 2016. During his deliberations, both India and Iran expressed their confidence that they would be
able to conclude an agreement regarding the Farzad-B gas field on a priority basis. Both sides also agreed
that the Indian companies would invest around US$20 billion in establishing petrochemical and fertiliser
plants in the Chabahar Special Economic Zone. (Rajiv, “Iran Sanctions and India.”)
In May 2018, President Trump announced the withdrawal from the Joint Comprehensive Plan of Action
(JCPOA) signed between Iran and the US, France, Germany, United Kingdom, China and the EU in 2015.38
President Trump was of the view that the agreement fell short of addressing Iran’s missile programme and
not protecting the national security interests of the US and its allies. As a result, the US imposed its first
set of sanctions on Iran on August 7, 2018, followed by another set of sanctions on November 5,
2018(Ravi Joshi, “Does Trump Have a Policy on Iran?” Observer Research Foundation). This presented a
precarious situation for the countries like India which was one of the leading importers of the Iranian oil at
that time.
From August 2018 onwards, India reduced its oil imports from Iran in the hope of getting a waiver from the
US sanctions on Iran. New Delhi made it clear to the US that due to its massive energy needs, it was not
possible to bring oil imports from Iran to zero by November.
Iran’s recent support for the Taliban – although limited in scope (Samuel Ramani, “Managed Instability:
Iran, the Taliban and Afghanistan,”) would certainly be a matter of great concern for India. Besides, the
differences over the Farzad-B gas field also expose the fragility of India-Iran relationship though it is
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widely acknowledged that this relationship has its roots in history. Hence, on one hand, India needs Iran
for its energy requirements and regional strategic interests and on the other hand, the US is India’s main
strategic partner.
Thus, in the words of an international affairs analyst, Anita Inder Singh, India has been in the past and most
likely will “remain on the tightrope.”
Recent issues
The escalating tension between Iran and the USA is leading to a situation of crisis in the West Asian region.
The United States of America struck a significant blow against Iran by killing the Commander of Iranian
Quds Force - General Qasem Soleimani in an airstrike near Baghdad International Airport.
The possibility of a full-blown military conflict between Iran and the US caused palpitations beyond West
Asia, with the region being the nucleus of energy security for many developing economies, specifically in
Asia. India, along with the likes of China, Japan, South Korea and others remains dependent on the region’s
oil supplies to power its growth. Beyond oil, for India, the Chabahar port project in Iran’s south-eastern
coast adds the second strategic dimension for its own interests.
According to foreign Secretary Vijay Gokhale, India’s foreign policy, built around the concept of ‘strategic
autonomy’, was not necessarily based on the historical posture of ‘non-alignment’. He highlighted that
India, in fact, was ‘aligned’ on an issue-based approach, instead of ideological ones. This balancing act of
diplomacy is perhaps playing out nowhere better but between India – Iran relations and the India – US
relations today, and much of Indian concerns come from its own foreign policy values at play, rather than
what transpired between Tehran and Washington.
To maintain the said strategic autonomy, India also keyed USA to make sure they understand that a zero-
sum relationship with Iran is not possible. While India did bring oil imports from the country to almost
zero to pacify the US, it attempted to balance it out by pushing the Chabahar investments via the
periscope of Afghanistan’s interests.
India’s External Affairs Minister S Jaishankar after visiting the US for the institutional 2+2 dialogue visited
Tehran where it was informed that the US had given India ‘written’ assurance for banks to be able to
facilitate $85 million worth of equipment purchase for Chabahar despite the severity of sanctions against
Iran. This showcases continuity in India – US ties, where structural understanding of India’s relations with
Iran was recognized when severe sanctions were introduced leading into the negotiations of the Iran
nuclear deal, signing of which eventually created the JCPOA in 2016.
Conclusion
Energy security is the most important consideration for the countries in present times. This is also true in
relation to India, which is aspiring to become an economic and political global power. To achieve this goal,
the Indian government needs to ensure that the country has enough reliable sources of energy – both
conventional and unconventional.
Thus, from Iran to the US, India is making all sorts of effort to ensure multiple sources of energy. For the
US, India has a certain significance in this region. India is important for the US to keep a check on China
particularly its activity in the Indian Ocean. Thus, India has been able to maintain at least some level of
cooperation with Iran despite the US pressures.
Hence, in the foreseeable future, energy security will continue to be the main consideration for India to
sustain its economic growth. In this context, India has been playing a delicate game of balancing its
relationship with energy-rich Iran and the US. Although India claims to be pursuing an independent foreign
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policy, a closer look indicates that when it comes to Iran, India’s foreign policy is not free of the US pressure.
The projects that could bring peace in the region like the IPI gas pipeline, unfortunately, could never be
realised due to the US pressure.
INDIA–ISRAEL
Normalization of diplomatic relations with the Jewish state was the most visible manifestation of the post-
Cold War foreign policy of India. More than four decades after the formation of Israel, India established
full diplomatic relations with the country in January 1992. This move signalled India’s new non-ideological
approach to foreign policy.
Indo–Israeli relations in the shadow of the cold war, 1948 –92
India and Israel became independent around the same time, in 1947 and 1948 respectively – the former
from prolonged colonial rule, the latter from 30-years-long mandatory rule.
While Israel followed a policy of non-identification, India pioneered a policy of non-alignment with either
the Western or the Eastern blocs. This helped both states to maintain a more balanced relationship with
the US and the Soviet Union, drawing a parallel foreign policy approach with deep practical
considerations on their sides.
India recognised Israel as a sovereign independent state in 1950 but remained reluctant to establish fully-
fledged formal diplomatic relations even as Israel was allowed to open a consulate in Bombay in 1953.
During this phase, Jawaharlal Nehru, was the driving force behind India’s Israel policy, explaining the
decision to allow the opening of the consulate in the following terms: ‘It is not a matter of high principle,
but it is based on how we could best serve and be helpful in that area. We should like the problem
between Israel and the Arab countries to be settled peacefully. After careful thought we felt that while
recognising Israel as an entity, we need not at this stage exchange diplomatic personnel’.
Apart from geostrategic and economic considerations, India’s anxiety for close relations with the Arab
world was based on its desire to neutralise Pakistan’s attempts to create a pan-Islamic movement and
to keep its substantial Muslim minority sufficiently content. (Kumaraswamy, India’s Israel Policy; and Rao,
The Arab-Israeli Conflict).
Subsequent governments under Lal Bahadur Shastri and Indira Gandhi did not deviate from Nehru’s course
as far as India’s Israel policy is concerned, sustaining a ‘principled distance’ from a close association with
Israel on the assumption that such policy would widen New Delhi’s room for manoeuvre in the face of
changing political dynamics at both the domestic and international levels. (Srivastava, “India-Israeli
Relations,”)
The 1965 India-Pakistan war tested the efficacy of India’s Israel policy yet again. Given its staunch support
for the Palestinians and its pro-Arab policy at the UN and other international organisations, India was
deeply disappointed that not only did the Arab states fail to endorse its cause but Saudi Arabia and Jordan
openly sided with Pakistan. During this time, there were demands from parties like the Jana Sangh that
New Delhi establish formal ties with Israel. Yet when these parties came to power they failed to live to
their previous demands, keeping the existing policy with minor positive changes under the stewardship of
Rajiv Gandhi
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End of the cold war

The end of the cold war unleashed tremendous changes in the international system and gave rise to a new
world order dominated by the US. More importantly, it offered countries, especially in the developing
world, more policy space by weakening the ideological barriers created by the socialist and capitalist
blocs.
Changes in the relations between the Middle East and the US, and between the US and India contributed
to New Delhi’s shifting stance towards Israel. (Debjani Ghosal ‘Strategic Hyphenation,”)
Additionally, expanding globalisation, integration of domestic economic systems in the global economy and
the resultant growth of interdependence among states brought about much greater emphasis on
economic, strategic and security interests with mutual benefits poised to outweigh trivial ideological
differences. (Harsh Pant)
It was Prime Minister Narasimha Rao who reoriented India’s longstanding Israel policy by establishing
fully fledged diplomatic relations on 29 January 1992.Since then cooperation gradually expanded and
diversified into numerous fields, including defence and security, trade, agriculture, counterterrorism, and
economic and cultural affairs. Initially, this cooperation focused on internal security, intelligence sharing,
defence and technology.
In 2000, Jaswant Singh became the first Indian foreign minister to visit Israel. Speaking to the Israeli Council
of Foreign Relations, he described the new momentum in India’s relations with Israel as a ‘tectonic shift of
consciousness’. (A.G. NOORANI, “Dissent in Israel.”)
Indeed, by this time the growing bilateral relations between the two countries had ‘assumed an altogether
new dynamic and came under full public scrutiny with the visit of Ariel Sharon to India in September
2003, the first ever by a ruling Israeli prime minister’. (Pant, “India–Israel Partnership,”).
In June 2011, the two countries signed a memorandum of understanding aimed at enhancing cross-
border innovation and entrepreneurship, as well as a bilateral trade agreement between the Israel High
Tech Industries Association and the Confederation of Indian Industry (CII). Yet India’s stance on the
contentious Palestinian issue remained more or less the same, with successive governments voicing
occasional Indian support for an independent Palestinian state while simultaneously maintaining
bourgeoning bonhomie with Israel.
Indo-Israeli relations under Modi

India-Israel relations have gained tremendous momentum under Prime Minister Narendra Modi,
expanding from the defence and security sphere to numerous fields from agriculture, to waste
management, to science and technology, to tourism, and culture.
International Factors
The emergence of a multipolar world and consequent waning popularity of NAM have brought about
certain reorientations and realignments in India’s foreign policy. In the words of Kadira Pethiyagida:
“Indian policymakers feel that in an increasingly multipolar world, the way to maximize leverage is to
make other states work for one’s favour rather than have it taken for granted through alliance
membership. Thus, what had previously been promoted as idealist nonalignment has now evolved and been
rebranded as realist strategic independence.”
The global order has been in continuous flux since the end of the Cold War with new realignments taking
place, non-state actors playing an ever-growing role, and non-traditional security challenges (e.g. human
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security, climate change, sustainable development) giving rise to new forms of collective efforts and
cooperation between global powers and lesser power alike.(Rajesh Basrur, “Modi’s Foreign Policy
Fundamentals,”)
In these circumstances, India’s new enhanced internal and external security concerns, from Pakistan-
originated terrorism to Indians joining ISIS, have increased the Indo-Israeli collaboration, given Israel’s
world leading position in such fields as counterterrorism, defence and security technology, and intelligence
gathering and operations.
The rise and growing assertiveness of China, India’s perennial adversary, has caused considerable concern
in India and has increased the importance of partnership with Israel as a possible counterweight to the
rapidly spreading Chinese influence. The importance of this partnership has become all the more critical
given that Beijing, being more far-sighted than New Delhi, has already established stronger ties with Israel
despite the fact that ‘China and Israel are not natural partners.’ (Abrams, “What’s behind Israel’s Growing
Ties with China?”).
Another major factor in the evolving Indo-Israeli cooperation has been ‘the constant, albeit neither
consistent nor direct’ role of the US.’ While India has ambitiously sought to modernise its armed forces
through the acquisition of the most advanced weaponry and latest technology, Washington has been
reluctant to share this technology. Thus, for example, the ‘nearly completed’ negotiations over a joint
venture to develop anti-tank guided missiles (ATGM) was stalled in 2016 due to the US administration’s
reluctance to share the necessary technology and to allow India to manufacture the missiles.
By contrast, Israel was amenable to sharing such technologies with the Rafael Advanced Defence Systems
reportedly finalising the sale of the ATGMs to India, among many other signed defence and security
agreements between the two states.
Iran’s steady hegemonic drive – from its dogged pursuit of nuclear weapons, to subverting regional
regimes and intervening in domestic conflicts (Syria, Iraq, Yemen) – has driven many Arab states, notably
Saudi Arabia and the gulf principalities, to establish close security cooperation with Israel, making them
more understanding of Jerusalem’s concerns, needs and goals in general. (Yaalon and Friedman, “Israel
and the Arab States.”). Hence the Gulf states’ support (and tacit acquiescence of other Arab states) for
President Trump’s peace plan despite its outright rejection by the Palestinian leadership.
All these changes in the political and diplomatic landscape of the Middle East have offered India a wider
latitude to upgrade its relations with Israel without abandoning its traditional support for the
Palestinians.
Domestic factors
While Indo-Israeli relations have traditionally been centred on the Palestinian-Israeli conflict, the emerging
public consensus in recent years of the intrinsic importance of elevating and expanding these relations has
provided Modi with a tremendous impetus for delinking the bilateral relationship from the Palestinian
problem (Harsh Pant, “India-Israel Ties Gather Momentum”). This trend has also been reinforced by the
growing insertion of traditionally marginalised non-state and sub-state actors in India’s international
relations.
As such, economic diplomacy has opened up more avenues as well as expanded the scope for the private
sector’s role in India’s diplomatic landscape and conduct of international relations, with the business
community evincing keen interest in expanding the scope of Indo-Israeli relations. The latest visit of Prime
Minister Netanyahu, for example, was accompanied by a large business delegation representing 100-
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plus companies that signed several contracts with Indian private sectors. (Mishra and Miklian, The
Evolving Domestic Drivers; and Sajjanhar, “India-Israel Relations.”)
Area of Cooperation
Economic and Commercial Relations
Trade: Bilateral merchandise trade stood at US$ 5.65 billion (excluding defence) in 2018-19, with the
balance of trade being in India’s favour by US$ 1.8 billion. India is Israel's third largest trade partner in
Asia and seventh largest globally. In recent years, the bilateral trade has diversified into several sectors
such as pharmaceuticals, agriculture, IT and telecom, and homeland security.
Investment: Indian investments in Israel (April 2000-June 2017) totalled USD 122.4 million (Department of
Industrial Policy & Promotion, GoI). Indian companies are marking their presence in Israel through mergers
and acquisitions and by opening branch offices.
o Indian software companies, notably TCS, Infosys, Tech Mahindra and Wipro, are beginning to
expand their presence in the Israeli market. There are over 300 investments from Israel in India
mainly in the high-tech domain and in agriculture.
o These investments are varied in nature - manufacturing plants; R&D centers; subsidiaries etc. Teva
Pharmaceuticals, IDE, Netafim, ADAMA, etc. are among the leading Israeli companies, which have
notable investments in India.
Agriculture: Under a comprehensive Work Plan for cooperation in agriculture signed on 10 May 2006,
bilateral projects are implemented through MASHAV (Center for International Cooperation of Israel’s
Ministry of Foreign Affairs) and CINADCO (Centre for International Agricultural Development Cooperation
of Israel’s Ministry of Agriculture and Rural Development).
o The two sides signed the fourth phase of the joint action plan (2018-20) in July 2017.
o India has benefited from Israeli expertise and technologies in horticulture mechanization,
protected cultivation, orchard and canopy management, nursery management, micro- irrigation
and post-harvest management particularly in Haryana and Maharashtra.
o Israeli drip irrigation technologies and products are now widely used in India. Some Israeli
companies and experts are providing expertise to manage and improve dairy farming in India
through their expertise in high milk yield.
Cooperation in S&T and Space
o ISRO launched TecSAR – the Israeli Synthetic Aperture Radar (SAR) satellite – in January 2008,
which was followed by the launch of the IAI-assisted India’s own radar imaging satellite RISAT-2
o India-Israel cooperation in S&T is overseen by the Joint Committee on S&T, established under the
S&T Cooperation Agreement signed in 1993. Its last meeting took place in March 2019 in Israel.
o During the visit of PM Modi in July 2017, an MoU for establishing India-Israel Industrial R&D and
Innovation Fund (I4F) by the Department of Science and Technology, India and the National
Authority for Technological Innovation, Israel was signed.
o During the visit of PM in July 2017, space agencies-ISRO & Israel Space Agency- signed three
agreements on space cooperation.
o India and Israel also signed a Memorandum of Understanding (MoU) on cyber security during
the state visit of Prime Minister Netanyahu to New Delhi in January 2018. The MoU seeks to
promote cooperation in skill development and training programmes in the field of cyber security.
(Harsh V. Pant)
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Culture and Education
o Israeli youth are particularly attracted to India. More than 50000 Israelis visited India in 2018,
whereas more than 70000 Indian tourists visited Israel during the year.
o Several courses related to India are taught at Tel Aviv University, Hebrew University and Haifa
University. In May 2013, India and Israel launched a new funding programme of joint academic
research with the University Grants Commission and the Israel Science Foundation as nodal
organizations.
o Since 2012, Israel has been offering post-doctoral scholarship to students from India and China in
all fields.
Indian Community
o There are approximately 85,000 Jews of Indian-origin in Israel (with at least one Indian parent), who
are all Israeli passport holders. In 2013, the Indian Embassy in Tel Aviv facilitated the first-ever National
Convention of Indian Jews in Israel that was held on September 23, 2013 in Ramla.
o Four more annual Conventions have since been held in subsequent years in cities of Yeruham (2014),
Ramla (2015), Kiryat Gat (2016) and Ashkelon (2017). The Know India Programme has been effective
in binding the Indian origin youth to India.
Defence & Security

Defence relations between India and Israel are longstanding. The strategic communication between the
two countries began during the Sino-India War of 1962 when PM Jawaharlal Nehru wrote his Israeli
counterpart David Ben-Gurion for shipments of arms and ammunition. (Santosh Chaubey, “India-Israel
Relation Over the Years: Ten Defining Developments “).
It was one of the few countries that chose not to condemn India’s Pokhran nuclear tests in 1998.It
continued its arms trade with India at a steadily increasing rate even after the sanctions and international
isolation that followed the nuclear tests.
For India, the credibility of Israel as a reliable defence partner was reinforced during the Kargil War of
1999 when it supplied the Indian Air Force (IAF) with the Unmanned Aerial Vehicle (UAV) ‘Searcher’ and
surveillance systems for Jaguar and Mirage squadrons (N. A. K. Browne, “A Perspective on India–Israel
Defence and Security Ties”). It also upgraded the MiG-21 combat aircraft for the IAF. The Indian Army also
received Laser Guided Bombs (LGB) and 160-mm mortar ammunition.
Between 2002 and 2005, India had concluded contracts with Israel worth $2.76 billion, according to the
information provided by the then Defence Minister Pranab Mukherjee to the Indian parliament in August
2005.6 These included three Phalcon Airborne Warning and Control Systems (AWACS), fitted with Israel
Aircraft Industry (IAI) radars mounted on Russian IL-76 aircraft in 2003 at a cost of $1 billion.
Key elements of the in defence and security ties

Equipment purchases and joint development: The commercial aspect of the relationship has begun to
boom, with the Indian land forces, like the sister services, becoming major customers of the Israeli defence
industry.
• Aircraft
o Heron Unmanned Aerial Vehicles (and Searchers) manufactured by Israel Aerospace Industries
(IAI) are now the mainstay of the Indian Army’s aerial surveillance operations. Heron is used for
intelligence, surveillance, target acquisition and reconnaissance purposes.
o In December 2018, Adani Defence and Elbit systems inaugurated the first India-Israel joint
venture in defence at Hyderabad. This facility will manufacture high-technology, cost-effective
Hermes 900 to be deployed in all-weather terrains. Hermes 900 is also a multi-use MALE UAV.
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• Air Defence Systems

o In 2008, India ordered the SPYDER-MR air defence system from Israel. SPYDER is a low-level quick
reaction missile (LLQRM) system developed by Rafael Advanced Defence Systems, an Israeli
defence-technology company.
o The Barak Medium Range Surface-to-Air Missile systems is being developed jointly by the Defence
Research and Development Organisation (DRDO) and the IAI. The surface-to-air missile BARAK can
also be deployed as low-range air defence (LRAD) interceptor. In India, the BARAK-LRAD version is
known as BARAK-8 (for naval vessels) or Medium Range Surface-to-Air Missile (MRSAM) system
(for land-based launchers).
• Missiles
o In the last 10 years, India has imported a diverse range of missiles from Israel, including beyond
visual range air-to-air Missile (BVRAAM), guided bombs, loitering ammunition and surface-to-
air (SAM) missiles.
o The BVRAAM arsenal of IAF includes the Rafael-produced missiles Python-5 and Derby.
o The IAF combat squadrons are supported by Israeli guided bombs SPICE-2000 and Griffin.
o The Crystal Maze is an Indian variant of the air-to-surface (ASM) missile AGM-142A Popeye – jointly
developed by the Israeli-based Rafael and US-based Lockheed Martin.[52],[53
• Sensors
o The major naval radars imported from Israel in the last 10 years include EL/M 2248 MF-STAR and
EL/M-2221 STGR. The EL/M 2248 MF-STAR is a digital active electronic-scan array (AESA) multi-
function radar used for maritime surveillance.
o The EL/M-2221 STGR (Search Track and Guidance/Gunnery Radar) is a fire control radar that
guides the warhead to air or sea-based targets.
o The airborne warning and control system (AWACS) EL/M-2075 Phalcon, also hailed as IAF’s “eyes
in the skies” was first inducted in 2009 after a US$1.1-billion deal with IAI (A. B. S. Chaudhry, “Eyes
in Southern Asian Skies “). Three AWACS were installed on the Russian transport aircraft IL-76 in
a trilateral agreement.
Combating terrorism:
o Fighting terrorism is a major issue and challenge for India and Israel. Both are democratic,
pluralistic states with large domestic Muslim minorities and both face the scourge of Islamist
terrorism sponsored by their neighbours. This shared dilemma has led to a better understanding
of each other's strategic and security concerns. Both countries share an identical view of non-
proliferation regimes such as the Nuclear Non-Proliferation Treaty (NPT).
o Both countries were left out of the post-9/11 US-led War on Terror. Washington did not want
Israel in the coalition so as to be able to include the Arab states; it likewise needed Pakistan, the
Taliban's erstwhile sponsor, so it kept India at arm's length despite New Delhi's unconditional
support for the War on Terror.
o India has found it increasingly beneficial to learn from Israel's experience in dealing with
terrorism, given the latter's long-term suffering from cross-border terrorism.
o And the terrorism that both India and Israel face comes not only from disaffected groups within
their territories but is aided and abetted by the neighbouring states. States such as Pakistan and
some of the countries surrounding Israel have long used terrorism as an instrument of foreign
policy. There are, thus, distinct structural similarities in the kinds of threat that India and Israel
face from terrorism.
o A basic understanding has emerged between India and Israel that notwithstanding the different
circumstances of their respective terrorist threats, there can be no compromise with terrorists.
India sees Israel as a source of training and professional/material aid in its fight against terrorism
and Israel is more than willing to allow India to benefit from its extensive experience.
o Agreement include: There is cooperation on security issues, including a Joint Working Group on
Counter-Terrorism. In February 2014, India and Israel signed three important agreements on
Mutual Legal Assistance in Criminal Matters, Cooperation in Homeland Security, and Protection
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of Classified Material. There is a Joint Steering Committee under the agreement on Homeland
Security, aided by thematic Joint Working Groups.
INDIA-SAUDI ARABIA
The India–Saudi Arabia relationship has been inhibited by a number of factors including the legacy of the
Cold War, the regional political dynamics and divergent interests of both countries. The Kashmir issue, the
Bangladesh liberation war and the Saudi perception of the treatment of Muslims in India are some factors
that had fuelled misunderstanding between the two countries in past. The 1979 Islamic revolution in Iran
led by Ayatollah Khomeini and the Iran–Iraq war the very next year heightened Saudi insecurity in the
region, thus leading to reliance on the US and Pakistan. India’s muted response to the Soviet invasion of
Afghanistan further increased the political and diplomatic distance between the two. Similarly, while Saudi
Arabia declared war on Iraq after the Iraqi invasion of Kuwait in 1990, India’s soft stand upset the Saudis.
Thus, with such major political hurdles in the way for decades, the relationship was confined to trade
and business—mainly the export and import of oil.
But the situation changed after the 9/11 attacks on the USA in which 15 Saudi nationals were found to be
involved. This led to strong criticism of the Saudi policy towards terrorism and allegations relating to
Saudi support for extremists—both ideologically and financially. Saudi Arabia began to realise the need
for and importance of looking beyond its traditional allies and engaging with the other major Asian powers
such as India. This was a welcome move for India. The geopolitical changes in the region, the emergence
of India and Saudi Arabia as major regional powers, growing economies and the emergence of common
security challenges are some of the reasons the two countries have drawn together.
Saudi Arabia hosts more than 2.6 million Indian citizens; the sheer size of this diaspora makes it a massive
responsibility for Indian diplomacy. India Prime Minister’s visit to Riyadh in April 2016 helped India find
its space as an economic destination for Saudi petro-dollars. Saudi state-run Saudi Aramco, along with
Abu Dhabi National Oil Co (ADNOC), have also committed to a new US$50-billion refinery on India’s
western coast, scheduled to start operations by 2025 and designed to be capable of refining up to 1.2
million barrels of oil per day.
Key Areas in India - Saudi Arabia Ties

Trade and business: An important feature of the Indo-Saudi relationship is the dominance of trade and
business. India’s population, labour force and expanding economy are the major attractions for the
Kingdom. Saudi Arabia’s petroleum reserves, the lucrative market for Indian goods, and Indian workers in
the Kingdom have been the main elements in the cooperation between the two countries.
o To facilitate business, both countries have signed the Bilateral Investment Protection and Promotion
Agreement (BIPPA) and Double Taxation Avoidance Agreement (DTAA).
o In 2018-19 (As per DGFT), the India-Saudi bilateral trade has increased by 23.83 % to US $ 34.03 billion.
o Saudi investment in India has so far been relatively modest at USD 228 million only from April 2000 to
March 2019.
o Saudi Petrochemical Giant SABIC had set up its R&D Centre in Bangalore with an investment of over
USD 100 million in November 2013.
o Saudi Aramco and UAE’s ADNOC are jointly participating in the development of US $ 44 billion ‘West
Coast Refinery & Petrochemicals Project Limited’ in Raigad, Maharashtra.
Indian Diaspora in Saudi Arabia
o The 2.6 million (as of August 2019) strong Indian community in Saudi Arabia is the largest expatriate
community in the Kingdom and is the ‘most preferred community’ due to their expertise, sense of
discipline, law abiding and peace-loving nature.
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o The contribution made by Indian community to the development of Saudi Arabia is well acknowledged.
In April 2013, King Abdullah announced a grace period allowing overstaying expatriates to correct
the status, get new jobs or leave the country without facing penal action till the end of the grace
period.
o The Haj pilgrimage is another important component of bilateral relations. The Hajj Quota was
increased by 24, 975 in 2019, enabling 2, 00, 000 Indians performing Hajj in 2019.
Saudi Arabia: a gateway to the Arab/Islamic world:
o Saudi Arabia exercises great political clout in the Arab/Islamic world because of its huge oil wealth
and the two holy places of Islam. It is also a major power in the Gulf region with influence in
organisations like the GCC, the Arab League and the Organisation of Islamic Cooperation (OIC).
o The visit of Saudi King to India sends a signal to other Arab and Muslim leaders that India is a friend
with whom more intensive and extensive contacts should be established.
o Yoga was announced as a ‘sports activity’ in November 2017. Since then, the Embassy has been
organizing the International Yoga Day celebrations in an open area in the centre of Riyadh.
Cooperation against terrorism:
Both Saudi Arabia and India have been victims of terrorism, particularly terrorism perpetrated by Islamist
extremists. Saudi Arabia has often been accused of funding religious extremists and spreading their
brand of Sunni Wahhabi Islam all over the world. It is believed by many in India that terrorist groups in
Kashmir and Pakistan are being financed by Saudi sympathisers. Organisations like the Lashkar-e-Toiba
have received financial support from Saudi Arabia and several charity organisations in the Gulf. Both
countries face multidimensional security threats, not only on land, air, and sea, but also in cyberspace
o The agreement was finalised during the visit of Crown Prince Mohammed bin Salman to India in
February 2018 to constitute a “Comprehensive Security Dialogue” at the national security adviser
(NSA) level and set up a Joint Working Group on Counter-Terrorism was timely.
o A joint military training programs and exercises was agreed in the MoU signed in February 2014.
o Saudi Arabia, despite being one of the military powers in the Middle East, appears to have limited
experience in countering threats from groups like Houthi militias, who have mastered guerrilla
warfare tactics for several years. This is an area where India’s expertise in fighting such threats could
be imparted to the Saudi side, by enhancing joint military training programs and exercises.
o As Saudi Arabia has interests to play a role in the Indian Ocean region, uplifting cooperation in the
maritime security domain from the current status would be in the interest of both countries.
Energy security
Saudi Arabia is our 4th largest trade partner and is a major source of energy as we import around 18 % of
our crude oil requirement from the Kingdom. Saudi Arabia is also a major source of LPG for India. Similarly,
India’s attempts to build the ‘Strategic Petroleum Reserve’ would also mean further reliance upon Saudi
Arabia and the region. India’s growing energy needs require engaging Saudi Arabia through energy
interdependence rather than through the mere import and export of the commodity.
Future areas of Cooperation
o Indo-Saudi cooperation in space, for now, lacks progress since the signing of an MoU between the
Indian Space Research Organization (ISRO) and KACST in February 2010.
o The burgeoning space-related programs currently pursued by countries like Saudi Arabia and the UAE
coincide with India’s upward trajectory in this sector, raise the prospect for further cooperation.
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o India could explore the possibility to engage with the newly established Saudi Space Agency, which
is expected to become the focal point for all programs related to Saudi’s international space
cooperation.
o Remote sensing, satellite communication, and satellite-based navigation are some of the areas where
both countries could jointly work and mutually benefit.
Recent Development:
Recently, the Prime Minister of India visited Saudi Arabia in October 2019. The visit was the second visit of
the Prime Minister to the country in three years.
Outcome of the visit
• India-Saudi Strategic Partnership Council was formed to coordinate on strategically important issues.
India is the fourth country with which Saudi Arabia has formed such a strategic partnership, after the
UK, France and China.
• Future Investment Initiative: The forum is popularly known as the ‘Davos in the Desert’ and has been
hosted by Riyadh since 2017 to project the kingdom as the future investment hub in the region. The
informal name derives from the World Economic Forum’s annual meeting that is held in Davos,
Switzerland. The Prime Minister of India also invited Saudi companies to invest in India's energy sector
as India has set a target of $100 billion investment in the sector by 2024.
• The Indian PM also assured investors that “due to political stability, predictable policy, and big diverse
market, your investment in India will be most profitable”.
• He also highlighted the fact that India has set an investment target of spending $1.5 trillion on
infrastructure development in the next few years, which includes oil and gas plus other infrastructure
such as roads, airports, and ports.
• Preliminary agreement between Indian Strategic Petroleum Reserves Ltd and Saudi Aramco was also
signed that will result in a greater Saudi role in setting up a second fuel reserve facility in Karnataka.
Shared Regional Perspectives

The joint statement on Strategic Partnership Council has highlighted how India and Saudi Arabia have
reached a shared regional perspective on scores of issues. The joint statement includes issues such as the
Arab Israeli conflict and India’ principled support to the Arab Peace Initiative started by Saudi Arabia back
in 2005, Syria, Yemen and counter-terrorism efforts. Most importantly, the joint statement once again
reiterated India’s Palestine policy, expressing hope for “just, comprehensive and lasting peace in
Palestine based on the Arab Peace Initiative and the relevant UN resolutions, to guarantee the legitimate
rights of the Palestinian people and the establishment of their independent state on the 1967 borders
with Jerusalem as its capital.” (Omair Anas)
These are the issues that are of equal importance for both sides and particularly for Saudi Arabia should
Saudi Arabia wants to continue its leadership in the Arab world. For the Indian side, the joint statement
acknowledges “extremism and terrorism” as a threat to all nations and societies. It is believed that Saudi
Arabia is no longer convinced by Pakistan’s excuses on US designated terrorist individuals and
institutions inside Pakistan. Both countries also agreed for the UN mechanism to fight against terrorism.
Both the countries have agreed “to promote ways to ensure the security and safety of waterways in the
Indian Ocean region and the Gulf region from the threat and dangers that may affect the interests of the
two countries, including their national security”. (Omair Anas)
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The Pakistan factor

Pakistan has been an important factor in the Indo-Saudi relationship from the very beginning. Often,
Pakistan has played the Muslim card to consolidate its relationship with Saudi Arabia, and at the same
time it has painted a bleak picture of India before Saudi Arabia. Pakistan has enjoyed cordial relations
with Saudi Arabia, including liberal flow of aid from Riyadh and Pakistani forces guarding the Saudi royal
palaces, which according to V.P. Dutt, ‘could hardly have failed to impinge on India–Saudi Arabia
relations.’
Thus, the relationship was beneficial for both: while Saudi Arabia received Pakistani defence assistance and
training as well as political loyalty, Pakistan benefitted from Saudi economic aid and support. The only way
India could have diluted the Saudi–Pakistan amity was to try and cultivate the Saudis on the basis of mutual
interests. India attributed the close Saudi–Pakistan ties more to Islamic solidarity than to the mutual
interests of the two countries. India’s undue emphasis on the religious factor made it consider Saudi Arabia
a lost cause for an extended period of time.
But the end of the Cold War and India’s rise as a politically stable and economically vibrant country with a
rising international profile made Saudi Arabia rethink its approach to India. These developments, along
with India’s endeavours to engage with Saudi Arabia, have resulted in a stronger relationship. Saudi
Arabia’s historic ties with Pakistan should not prevent Indo-Saudi relations from moving forward.
The gulf between Pakistan and Saudi Arabia, has been growing for some time. The major blow, arguably,
for Islamabad, came when, in March 2019, India was invited as a guest of honour by OIC, and the late
former external affairs minister, Sushma Swaraj, gave a strong speech to the grouping, as she led the
delegation to Abu Dhabi. Pakistan attempted to stall India’s participation, but to no effect, and ultimately
boycotted the speech by withdrawing its representation from the round table. The fact that Pakistan later
on tried to create a parallel OIC, with Turkey, Malaysia and Iran, turned its differences with Saudi into a
deeper political divide, leading to Riyadh withholding funds, pushing Pakistan to pay debts, and holding
back the renewal of an oil supply pact. (KABIR TANEJA)
The gulf between Pakistan and Saudi Arabia is also driven by the need to break from the economic
reliance on petro-dollars and an oil-related economic ecosystem, which has suffered recently with
consumption and prices having crashed due to the pandemic. The geopolitical shifts and requirements
of the Gulf do not necessarily feature Pakistan beyond a certain point, with its GDP still smaller than that
of the Indian state of Maharashtra, where both the UAE and Saudi Arabia have plans to invest heavily in
hydrocarbons and related infrastructure.
The Saudi–Pakistan kerfuffle is not a zero-sum game, and relations between the two will reconcile, led by
deep defence and political roots. However, this relationship will look different from what it has
historically been.
This is the time for India to make some critical moves, such as rapidly clearing Saudi- and UAE-backed
infrastructure projects, cementing itself as a premier investment destination for the Gulf to park its
money. Pakistan’s attempt to make Kashmir a big issue in the Islamic world has failed, and the time is
opportune for Indian diplomacy and economy to continue to capitalise on this in a restrained yet tactful
manner.
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POLITICS OF REPRESENTATION AND PARTICIPATION:

POLITICAL PARTIES, PRESSURE GROUPS AND SOCIAL
MOVEMENTS IN ADVANCED INDUSTRIAL AND
DEVELOPING SOCIETIES.
POLITICAL PARTIES
• Political parties are essential for the effective working of modern democratic states.
Professor Harold J. Laski had underlined the importance of parties when he wrote,“There
is no alternative to party government, save dictatorship, in any state of modern size.
Government requires leaders, leaders require not an incoherent mob behind them, but
an organised following able to canalise the issues for an electorate with a free choice.”
• This statement correctly separates dictatorship, which is one person’s arbitrary rule, from
democracy where people make free choice of their representatives to rule, on their
behalf. A dictator like Hitler or Mussolini may also lead a party, but then it is a group of
sycophants, not a competitive organisation.
• As Laski says government requires leaders, who in turn must be supported by organised
people. A mob has no place in a democratic polity.
• The organised parties identify issues on which they seek popular verdict. Periodic
elections provide opportunities to the parties to present these issues, and if supported by
the people they become bases of governance by the representatives elected by the
people.
• Political parties have multifarious duties to perform. They are the most significant
subactors who participate in and regulate the political process.
• They put up candidates, canvass support for them, and if voted to power they govern the
state for the specific period.
• There are different types of party systems but the two-party system is generally found to
be in a position to offer two clear alternatives before the electorate, and also provide
stable government which is responsible, and an opposition which, in a responsible
manner, keeps the ruling party under constant vigil and check. Democratic process is
not allowed to derail.
• However, many countries have multi-party systems with a large number of parties. These
parties provide wider choice to the people, but often lead to instability of government.
• Political parties are certainly essential to the functioning of democracy. They perform
different functions within and outside the realm of politics. Their leadership and policies,
internal practices, and the patterns of interaction with other parties and institutions can
have profound consequences for the system of governance.
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• As Zoya Hasan says, a party is “a keystone political institution in representative regime”,

and parties regularly fulfil three crucial functions. These are: nominating candidates for
public offices, formulating and setting the agenda for public; and mobilising support for
candidates and policies in an election.
• Other institutions also perform some of these functions, but as A.H. Somjee says, what
distinguishes parties is their emphasis on linkage. Parties are seen, both by their
members and by others, as agencies for forging links between citizens and policy-
makers. Their important justification is in creating a substantive connection between the
ruler and the ruled.
• But Giovanni Sartori pointed out that it did not mean that party members are not self
seeking. “The power-seeking drives of politicians remain constant. Even if the party
politician is motivated by crude self-interest, his behaviour must depart – if the
constraints of the system are operative – from the motivation. Parties are instrumental
to collective benefits, to an end that is not merely the private benefit of contestants.
Parties link people to the government.”
DEFINITION OF POLITICAL PARTIES

• A party may be defined as an organised group of people, having a clear ideology and based
on certain well-defined policies and having clear objectives.
• A party has a definite leadership, and its ultimate goal is to gain political power and
regulate political process by using the power acquired, normally through democratic
elections.
• Edmund Burke had defined the political parties in 1770 thus: “Party is a body of men
united for promoting by their joint endeavours the national interest upon some
particular principles in which they are all agreed.”
• Professor Laski’s definition mentioned in last section explains the meaning of parties.
These are big or small groups of people which are organised to establish their legitimate
control over the government of the country, through the process of elections.
• Representative government cannot function without them.
• Explaining the meaning of political parties, in the context of Great Britain, Herman Finer
had said that, “The political parties are the two-way communications that bind 50 million
people to the 630, who in Commons, exercise omnipotent power.” When Finer wrote this
several decades back, the British population was around 50 million, and
membership of House of Commons then was 630. There are now 659 members in the
House.
• Politics is the struggle for power, and in this struggle organised groups can surely be more
effective than unorganised mobs.
• Some of the parties adopt revolutionary route, while most of them take to evolutionary
process and constitutional means. The British responsible government had grown along
with the evolution of political parties.
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• It is in this context that Bagehot had said that, “Party government is the vital principle of
representative government.”
• By way of contrast, Laski had opined that, “… nothing appears to us so definite a proof
of dictatorship as when the dictator destroys, as he is logically driven to destroy, all
political parties save his own,”.
• The primary goal of the parties is to install its leaders in the government, and to ensure
their continuation as long as possible. For this purpose, they adopt various methods of
securing popular support, including public rallies, distribution of literature, use of media
and even organising musical evenings.
• Lord Bryce had stated that, “no free large country has been without them. No one has
shown how representative government could be worked without them. They bring
order out of chaos of a multitude of voters. If parties cause some evils, they avert and
mitigate others.”
• Parties alone link the profile with the legislature and the executive. Actually, the nature
of any political system largely depends on the features of its party system. According to
R. Bassett, “… the working of any system of representative government is in large
measure determined by the nature of the political parties which separate it.”
• R.M. Maclver defined a party as “ an association organised in support of some principle
or policy which by constitutional means endeavours to make the determinant of
government.”
• R.N. Gilchrist had written that, “A political party may … be defined as an organised group
of citizens who profess to share the same political views and who, by acting as a political
unit, try to control the government.”
• Here it must be emphasised that to be a successful party, its members must generally
share the same political views, so that they may act as a single political unit.
MARXIST CONCEPT OF PARTIES

• According to the Marxist view parties represent classes. This situation can be remedied
only with the successful completion of class-struggle resulting in the victory of proletariat.
• The party that represents the working people alone has the right to exist. The bourgeois
parties do not represent true democratic process. Therefore, they must be eliminated.
• According to Lenin, a party (i.e. the Communist Party) is a well-organised group of chosen
elite intellectuals and political activists. It is said to be, a chosen group of intellectuals in
the sense that their intellectual knowledge of Marxism maintains purity of Marxian
principles and ideology, and shows the correct path to the party.
• It is a chosen group of political activists in the sense that election processes and party
training enables them to be totally loyal to the party and a cause of revolution.
• This definition of Lenin is obviously suitable for communist parties. Such a party exists
permanently in the midst of workers’ movements. It propagates revolutionary ideas, and
imparts training of the art of revolution.
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• It assists the working classes in the achievements of its objectives. Prior to the revolution,
during the bourgeois period, the party must play a vital role.
• The party is required to be instrumental in the destruction of capitalist order, and
establishment of dictatorship of the proletariat.
• According to Lenin, if the party has to play the role of vanguard of working people, then
it is essential that it must have full knowledge of revolutionary ideas and rules.
• The objective of the party is to protect the interests of the proletariat. The Communist
Party alone knows what is in the interest of working people.
• Lenin was of the opinion that the party’s position is similar to a military organisation in
the proletariat’s struggle to secure power and in its maintenance.
• The party is vanguard of the working people which has a pivotal role in class
consciousness, and is ever ready to make sacrifices in the interest of the proletariat.
• The Marxist ideology unites the working people and the party, and its organisation makes
it all-powerful.
• Communist parties enjoyed constitutional sanction in socialist countries. All other parties
were abolished in these countries. There was practically no difference between the party
and the government. This is true even today in the socialist countries ruled by the
communist parties.
• The 1977 Constitution of the former Soviet Union described and analysed Lenin’s
leadership for the success of the Great Revolution of 1917. The Constitution appreciated
the role of the party in the revolution and subsequent governance.
• The 1982 Constitution of the People’s Republic of China declares the National People’s
Congress, under the leadership of the Communist Party, as the highest organ of state
power. It declares the party chief to be head of the armed forces of the country.
• According to Marxist interpretation of political parties, the parties in capitalist countries
represent the class interests. Thus, they are instruments of protection of different classes.
They become source and leaders of class conflict.
• In the capitalist countries, the communist parties protect the working people against
capitalist exploitation. They propagate revolutionary ideas, and prepare the proletariat
for revolution. Once the revolution succeeds, the communist parties ensure its protection.
CONTEMPORARY VIEWS ABOUT THE PARTIES

• James Jupp had said that any group of people, organised in some manner, with a view to
establish control over political institutions of the given society may be described as a
political party.
• Thus, a party requires to be a group of people, formally organised, and having the goal of
fighting and winning elections to control the political institutions of the state. These
institutions are organs of government, at various levels, and organised groups of people,
we may add, should have clearly defined policies for governance.
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• Sigmund Neumann analysed the political parties on the basis of their ideologies. He drew
some valuable conclusions. He opined that in view of sharp differences between the
democratic and authoritarian parties, it was impossible to give a single acceptable
definition.
• Nevertheless, he said that the purpose of setting up a party is uniformity within, and
distinction from other groups. Essentially, each party has partnership within a specific
organisation, and separation from others on the basis of its particular programme.
• This definition is obviously true in case of two or multiparty democratic societies. On the
other hand, in a one-party system there is total absence of competition and distinct
policies and programmes.
• In fact, many people refuse to accept the parties, in a single party system, as formal
political parties. For them a party must have a second part, or a competitor, which is
missing in one-party states. Thus, in one-party system, the party becomes totalitarian.
• Once it manages to acquire power, it retains it by one means or the other. However,
Neumann expressed the view that even in one party states opposition does exist in one
form or the other.Even if there is no opposition, the authoritarian party always feels
insecure due to fear of possible revolt or opposition.
• According to Neumann, political party is representative of social interests which acts as a
bridge, a link, between the individual and the society. The success of democracy depends
on the efficient working of parties. Whether the government is parliamentary or
presidential democracy, it cannot succeed in the absence of parties. An unorganised mob
of people cannot govern the state. Its organised form is a political party.
• The first President of the United States, George Washington had advocated party less
democracy. But that could not materialise. Soon, two parties emerged in that country.
• As a matter of fact, deeper study of formation of the U.S. Constitution would reveal that
there were two groups even in 1787. They were supporters and opponents of a federal
system, and became fore-runners of the two American parties.
• In India, for some time there was talk of party less democracy. But this view, expressed
under the leadership of Jayaprakash Narain, was more idealistic and hardly practical.
• In his analysis of political parties, Maurice Duverger had said that the primary objective
of the parties is to acquire political power, or to share the exercise of such power.
• Duverger wrote “… political parties have as their primary goal the conquest of power or
a share in its exercise. They try to win seats at elections, to name deputies and ministers,
and to take control of the government.”
• That is why, evolution of political parties coincided with the growth of parliamentary
system and electoral processes. The origin of the parties may be traced in the practice of
collection of election funds for candidates and in the committees constituted to secure
supporters and workers for the victory of candidates.
• Gradually, members of the legislatures holding similar views and beliefs in similar
ideologies came together leading to the birth and growth of political parties.
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• While common ideology became the basis of parties in Britain and other European
democracies, that was not the case in the United States. The American political parties do
not have clearly distinct ideologies. These parties came into existence as an outcome of
the process of selection of presidential candidates, managing their campaign, raising
campaign funds and selecting candidates for numerous other electoral offices in the
United States.
• These parties are even now more concerned with electoral processes, rather than
ideologies.
• Duverger is right in concluding that political parties have been established even in those
countries where elections are not held and where even legislatures do not exist.
• Parties are found even in the countries which conduct pseudo-elections and have pseudo
parliaments. The so-called elections are held with only one candidate in each
constituency, who invariably wins and consequently all members of the legislature belong
to only one party. These are called one-party systems.
• Duverger argues that these ‘parties’ cannot genuinely be described as parties. The word
‘party’ is derived from the Latin terms ‘Pars’, which means part. Therefore, where there
is only one party, it is not a part of the whole—meaning part of many parties.
• Nevertheless, parties are used in the dictatorial or authoritarian regimes to create the
‘farce’ of elections and ‘legislatures elected by the people’.
• Duverger says, “… the dictatorship uses the single party to establish the appearance of
electoral and parliamentary process and give itself a democratic façade.”
• Duverger held the view that in the second half of the twentieth century parties were
usually associated with ideologies. Marx and Lenin had seen parties as representatives of
conflicting classes, but several contemporary scholars like M.I. Ostrogoski, Roberto
Michel and Maurice Duverger emphasise structure of political parties.
• These and other writers lay emphasis on what the parties do, not on what they are. It has
become essential for comprehensive study of the parties to analyse their ideologies, social
foundations, structures, organisations, and strategies. Political parties can be classified
essentially on two bases. These are: structure of parties, and the party system.
• From the point of view of structure, Duverger classified study of parties into two
categories, which are internal organisation and external organisation.
CLASSIFICATION OF POLITICAL PARTIES

• The classification of political parties that was presented by Maurice Duverger in 1951
became popular, and is now generally accepted. He had classified parties as (i) the elitist
or traditional parties, and (ii) mass parties. Later a third category known as the
intermediate type of parties was added. This classification is generally organisation based
categorisations.
The Elitist Parties
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The parties which are not cadre-based and do not have their support among the masses
may be described as elitist or traditional parties. These parties do not throw their doors
open to one and all. They are selective in admitting members. The elitist parties are
normally divided into (a) the European Type and (b) the American Type.
1) The European type:
✓ Most of the political parties set up in the nineteenth century are elitist in nature.
Many contemporary parties who follow the same approach also come in the elitist
or traditional category. Whether these parties are liberal or conservative or
progressive, they are against admitting anybody and everybody to their
membership.
✓ These parties emphasise quality rather than numbers. They seek support of
prominent and influential persons. The wealthy people occupy prominent place in
these parties.
✓ The European parties have their bases in local committees, and have minimum
control of central party organisation.
✓ However, unlike many parties of Continental Europe, the Liberal and Conservative
Parties of nineteenth century Britain had a powerful central organisation.
✓ Now in the twenty-first century central control is increasing in many parties of
European and Asian countries also.
✓ Similarly, there is a clear distinction in the working of Britain and other European
parties.
✓ Party whips have a major say in maintaining discipline in these parties inside the
legislative bodies. Members of legislatures invariably vote according to the party
whips, and often even speak according to wishes of party leadership.
✓ Those who defy the whips in Britain or India may be punished by the party which
may even include expulsion of defiant members.
✓ Legislators in many other countries are free to vote as they wish. They do not care
for party discipline. The disciplined parties may be described as ‘rigid’, whereas
others can be called ‘flexible’ parties.
✓ It is generally believed that elitist parties are flexible while mass parties are rigid.
However, elitist parties in Britain, being disciplined, are exceptions. But in case of
large scale defiance of party whip, the leadership may look the other side, and take
no action.
✓ Since generally British parties are far more disciplined than in other countries,
even though they are elitist parties, they may be described as ‘rigid elitist parties.’
The British parties are symbols of liberal democratic system. With the growth of
mass parties, even British parties tried to expand their membership, but they could
not succeed.
✓ In the modern electoral fights, large number of workers is required by the parties.
Therefore, they admitted large number of members, yet they did not change their
basic features.
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2) The American Type:

✓ The parties in the United States are different from British parties in several
respects. But, the prominent differences are (i) the nature of presidential
government in a federal set-up, as against British parliamentary democracy in a
unitary state and (ii) the U.S. parties have remained limited to the
elite, away from the masses.
✓ The U.S. parties, as mentioned elsewhere, are essentially election-oriented. The
system of party primaries was introduced in the early twentieth century.
✓ In the primaries, common citizens, who so desire, participate in the selection of
candidates for various elected offices. This system has adversely affected the
power of local level party bodies. The primaries have brought party organisation
under the control of the people.
✓ At the same time highly expensive and complicated electoral process has
compelled the parties to strengthen their organisations. The dual process of
strengthened party structure and increasing influence of the people has moved
the American parties closer to the masses, yet they have not become
mass parties.
✓ American parties are led by professional politicians, many of whom are not
democratically elected. Despite this, American parties have been able to establish
better contacts with the masses than most of the European parties.
✓ An important feature of contemporary US parties is that their local committees
have become very powerful; state committees enjoy lesser powers; and the
central organisation is rather weak.
✓ Duverger had commented that, “ discipline does not extend to the top of political
hierarchy; although very powerful at the local level, it is weaker on state level,
and practically non-existent at the national level.”
✓ Another feature of American system is lack of party discipline among the members
of the Congress. They speak and vote according to their individual decisions. In this
respect they are closer to some of the multiparty democracies rather than the
British parties.
Mass Parties
• The system of parties based on common man’s support began emerging in the early
twentieth century. British Labour Party had its origin in the working people’s movement.
• Later, the communists adopted the system of mass support. Several parties in the newly
independent third world countries are generally mass parties. Some of the parties of
European countries, like the Christian Democratic Parties and the Popular Republican
Movement (P.R.M.) of France may also be placed in the category of mass parties.
1) Socialist Parties:
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✓ Initially, masses were contacted to donate funds for the labour candidates. These
candidates were considered revolutionaries, and industrialists and big business
houses declined to give them any financial contribution. In fact these elements
were quite opposed to these candidates. In Britain trade unions provided
support to these candidates. Later they organised themselves as the Labour Party.
✓ The mass parties tried to enlarge their membership, and took contributions from
their members. The mass parties preferred contributions from common men and
women, rather than the rich business houses. These parties, therefore, did not
develop into elitist parties.
✓ The British Labour Party was described as the pioneer of the socialist parties the
world over. Democratic socialist parties in several countries followed the British
Labour Party. These parties believe in socialism to be brought about by the
peaceful democratic means of parliamentary process. They believe in rule of law,
rather than violence or revolutionary methods. They sought to abolish capitalism
through legislative measures.
✓ Socialist parties accept the superiority of the parliament. Therefore, they respect
their members of parliament. On the other hand, legislature is ineffective in
communist and fascist countries, as the real power is vested in the party
concerned. Therefore, party leadership dominates over the members. Many
countries in the world had or have socialist parties as important actors in the
liberal democratic processes.
2) The Communist parties:

✓ The communist parties based on the ideology of Marx and Lenin seek close
contacts with the masses. Initially, European communist parties were organised
on the pattern of socialist parties, but after 1924, they were reorganised on the
directions of Communist International headquartered in Moscow. They followed
the pattern of Soviet Communist Party.
✓ The communist parties everywhere are much better organised and disciplined as
compared to other parties. These parties attract workers and peasants. But, unlike
other parties, their local units are generally not regional in nature; they are
organised at places of work.
✓ The primary units, or cells, maintain close contacts with the members in their
workplaces. This makes it easier for them to convey the party directions and to
have them implemented.
✓ Besides, the problems of members of a workplace are common. They enthuse
greater unity. Communist parties follow the principle of ‘democratic Centralism’,
which implies democratic participation of members in party structure, but
centralised decision making and supervision.
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✓ However, critics say that there is hardly any democracy in these parties, as all
decisions are made by a handful of top leaders, who ensure strict obedience and
discipline.
✓ At different levels in the party, discussion does take place, but directions of the
leadership can never be violated or defied. All information about views expressed
in these discussions is conveyed to the party leadership.
✓ Parties in the former Soviet Union and in East European countries followed this
pattern, which is also observed in China, Vietnam and other communist countries.
✓ No other party anywhere in the world, except perhaps the Fascist parties, is so
rigidly based on ideology as the communist parties are. They try to strictly follow
the Marxist-Leninist ideology. The Chinese Communist Party had its own Maoist
interpretation of Marxism-Leninism. But, in the post-Mao period the party has
certainly deviated from the rigidity of Mao. Liberalisation and opening up of
economy in China has altered the pattern, though it still swears by Marxist
ideology.
✓ Communist parties in liberal democracies, as in India, still keep on insisting on the
relevance of Marxism-Leninism.
3) The Fascist Parties:

✓ Fascism is totally opposed to communism. Unlike the communist parties, fascists
advocate an all-powerful state.
✓ However, there is one similarity. Both believe in one-party rule, and in destroying
the entire opposition.
✓ They both use force to implement their policies. The fascist parties support open
competition and capitalism, but they, like the communists, blindly follow one
leader.
✓ The disobedience to the leader may mean elimination of members. The Italian
Fascist dictator, Mussolini had himself said that his party wanted to follow the
communist techniques.
✓ Fascists talk of mass-base, but they use armed forces to inculcate military
discipline and impart military training to the masses. The fascist youth are not only
given military training, but they even wear military uniform, carry out daily
disciplined exercises, and are often punished for defiance.
✓ The fascist leader takes the route of force to assume power, even as pretension of
democratic process may be propagated. Fascism comes to power with the support
of capitalists and big business houses. It is vehemently opposed to communism,
and destructive of democracy. Violence and wars have been important part of
fascist programme.
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Intermediate Type Parties

According to Maurice Duverger, there is a third category of political parties that
may be described as the intermediate type. These are different from both elitist
and mass parties; yet they are closer to the mass parties. These are:
1) Indirect Parties:
✓ At times a number of big or small committees perform political functions leading
to the setting up of a political party. This may be described as an indirect party.
The birth of British Labour Party in 1906 was held in somewhat this situation. At
that time, the Labour Party did not directly admit members of the party.
✓ It began functioning with the association of trade unions, cooperative societies,
the Fabian Society and other intellectual bodies. These bodies selected candidates
for election, collected funds and carried out their election campaign.
✓ Later socialist parties had similar origin in countries like Belgium, Norway and
Sweden. In these countries these parties were born in 1940s. Earlier, the same
pattern was followed in the formation of Christian Democratic parties in Belgium
(1919) and France (1936). All these parties came into existence like traditional
parties, but with the difference that their members came not from rich classes,
but from amongst the workers and intellectuals.
2) Parties in Developing Countries:
✓ In the post-Second World War period a large number of political parties have come
into existence in the third world developing countries, which Duverger prefers to
describe as undeveloped countries.
✓ In some of the developing countries, the parties followed the pattern of the
United Kingdom or the United States, while in some others one party was
established following the Soviet example.
✓ In some of the African countries two parties each were formed in their own style.
All of them have been described as intermediate type because they were yet to be
fully organised as disciplined parties.
✓ In post-independent India many parties have been formed. Some of them could
not last long. The Swatantra Party was a breakaway group of the right wing of the
Congress, but it disappeared.
✓ Very large number of small parties or regional parties came into existence. But
after a while two or more of them merged into one party, or formed their own
party.
✓ In the first category are those who separated from the Congress, but after a while
rejoined it. In the second category are those who got together as, for example,
Janata Party in 1977. But, this experiment did not last long, and many groups
emerged out of it.
✓ However, one such group, the Bharatiya Janata Party (essentially the new avatar
of former Jana Sangh) has grown into a national party, and became leader of a
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ruling coalition of 1998. In India, there are parties that still follow the Soviet
pattern of Communist Party.
✓ There is one problem with this classification of Duverger. At times it becomes
difficult to distinguish one from the other. In his own words, “In all mass parties,
the leaders form a group quite distinct from the rest of the membership and from
the party militants: this inner circle resembles some with the leadership of
traditional parties submerged, as it were, in the heart of a mass organisation.”
HITCHNER AND LEVINE’S CLASSIFICATION
• In their classification of political parties, Hitchner & Levine opined that normally people
are associated with one party or the other on the basis of their personal views, and that
the party membership depends on several other socio-economic forces.
• Nevertheless people do associate themselves with one party or the other, taking into
account their class, economic interests, hereditary interests, and interests of a particular
group.
• Hitchner and Levine classified contemporary political parties into three categories. These
are pragmatic parties, doctrinal parties and interest parties.
• Pragmatic parties are normally not committed to any particular ideology. Their policies
are adjusted according to the requirements of situations. Most of these parties are usually
influenced more by the leader of the day and less by the party ideology.
• The American parties, the British Conservative Party (and now even the Labour Party),
Canada’s Conservatives, India’s Congress Party and Australia’s Conservative party all come
in this category.
• It is believed that the parties are more pragmatic in the two party systems. This is so
because they have to represent, from time to time, different socioeconomic interests.
• The parties that are committed to a particular ideology and believe in certain principles
may be described as the doctrinal parties. The policies are often changed or adjusted
according to domestic or international environmental changes, but their ideologies
remain unaltered.
• Socialist parties may be included in this category. These, for example, are: the British
Labour party, the Socialist parties of Belgium and France, United Socialist Party of Chile,
or Komei of Japan. It is not that the left-oriented parties alone are doctrinal in nature.
• There can be even parties of the right in liberal democracies that fall in this category. For
example, the Bharatiya Janata Party in India has a definite ideology, but since 1998 it made
several adjustments in its policies and programmes to be able to adjust with its coalition
partners. On another extreme, the Communist parties and the Fascists are totally
doctrinal parties.
• According to Hitchner and Levine, many of the parties in the multiparty system and
smaller parties even in the two-party system generally represent particular interests.
Thus, these may be described as ‘interest-oriented’ parties.
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• When an interest group converts itself into a party, either temporarily or permanently, it
comes in this category. Nature of interests may vary from prohibition-related, to those
working for farmers’ interests, or those seeking interests of a caste or community. The
Swiss Farmers’ Party, the German Greens, the Irish Nationalist Party of the UK are some
such parties.
• In India, there are a number of such interest-oriented parties. These, for example, include
the Jharkhand Mukti Morcha, the Peasants and Workers Party of Maharashtra, or even
the Bahujan Samaj Party committed to the upliftment of the dalits.
• The categorisation of different parties, as the one given above, may be very relevant and
useful, yet the real nature of parties can be analysed only as actors with a particular party
system. It is, therefore, necessary that one must examine the major party system, and
then relate individual parties to one of these systems or the other.
PARTY SYSTEM
Some sort of stability comes to exist, on the bases of the long period of evolution in any
country’s political parties in respect of their numbers, their internal structure, their
ideologies, alliances and relations with the opposition. This gives rise to what may
bedescribed as a party system.
A comparative study of different party systems enables us to understand the political
systems of the countries concerned. Several recent scholars have offered their
classifications of party systems. There is lot of similarity between some of these
classifications. Some of these are given below:
Almond’s classification follows the following pattern:

1) Authoritarian Parties. One of its sub-categories is called totalitarian parties or
dictatorships;
2) Dominant Non-Authoritarian (democratic) parties;
3) Competitive two parties; and
4) Competitive multi-parties.
James Jupp accepted the above classification generally, but modified it and gave his own
version, which is as under:
1) Indistinct (not very clear) bi-partisan system;
2) Distinct bi-partisan system;
3) Multi-party system;
4) Dominant (one-party) party system;
5) Broad one-party system;
6) Narrow one-party system; and
7) Totalitarian system
According to Hitchner & Levine, modern party system may be classified as under:
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1) Competitive two-party systems;

2) Competitive multi-party systems;
3) Dominant non-authoritarian systems;
4) Authoritarian party systems; and
5) States without party system.
Duverger broadly divided all the party systems into two. These are (i) pluralistic party
systems and (ii) one-party systems and dominant party systems.
In the first category Duverger included:
1) Multi-party systems; and
2) Two-party systems.
In the second category Duverger included (i) one-party systems; and (ii) the dominant
party systems.
Keeping in view these four and some other classifications, we may broadly classify all the
parties as: Two-party systems; Multi-party systems; and One-party systems. All the three
are discussed below.
Two-Party Systems
• In modern democracies, there are two or more competitive parties. There are, obviously,
at least two parties. None of these is more stable or powerful than the other on a
permanent basis.
• If, however, one party remains in power for a very long period of time and the other
continues to occupy opposition benches then it becomes a dominant party system; it
ceases to be a competitive two-party system.
• The leaders and scholars of the United Kingdom and the United States consider ‘dualism’
as the best system. But, it has not become very popular. In the two-party system, there is
constant competition between the two parties for securing majority of popular votes and
seats in the legislature.
• Both the parties keep on occupying either the treasury benches or sit in the opposition,
though this may not always be alternate. Besides, there may be one or more smaller
parties also in the two-party system.
• But, the smaller parties neither come to power nor do they normally influence the
outcome of elections, though at times smaller parties may associate themselves with one
or the other major party.At times, a third emerging party may even compete with the
major parties, as was done in 1970s by the Liberal-Democratic Party in Britain.
• As mentioned above, James Jupp has talked about the indistinct two-party system. The
most prominent example of this type is the United States. There are hardly any major
differences in the policies of major American parties namely, the Republican Party and
the Democratic Party.
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• Both the parties have very loose discipline in the Congress. At the local level, it is even
worse; there is practically no discipline. Normally, in the two Houses of Congress,
members vote of their own choice; they hardly receive, or obey, the party line on bills and
other issues.
• Consequently, the differences, if any, in the two parties is often blurred. Many members
of both the parties may vote in favour of a motion, and many other members of the same
two parties may vote against.
• As Duverger wrote, “Actually, there is a different majority and a different opposition for
each issue. It does not follow party lines.”
• Duverger is of the opinion that the loose two-party system of the United States is close to
the multi-party system rather than the two-party system of Great Britain. Their national
organisation is flexible and central control is minimal. In the United States, the two parties
take strong pro-leadership line only on the issue of presidential election.
• Hitchner and Levine go to the extent of saying that, “Actually, they are loose
organisations of state parties that unite to some degree for presidential elections.”
Election campaign is usually the concern of state units.
• There are many occasions when majority in the two Houses of Congress (or sometime in
one House) is of a party other than the one to which the President belongs. There are
party members, in both the parties, who sometimes take pride in campaigning against the
party leadership.
• Party members, who are life long committed to their party, are, nevertheless, not
committed to all the programmes of the party.
• Some other countries of the American continent like Canada, Colombia and Brazil also
follow the US pattern of loose bi-party system.
• The distinct two-party system, on the other hand, includes two parties with well-defined
policies and programmes and clear organisations. Members of both the parties function
within the party discipline, and obey the leadership. Great Britain is the best example of
such a two-party system.
• Both have definite organisation, they remain within party discipline, and members of
Parliament ordinarily do not defy their leadership. However, occasionally some members
may express reservations as happened in 1990 when many Conservative MPs vehemently
criticised Prime Minister Margaret Thatcher’s Europe policy.
• In a very serious defiance in 2003 over 120 Labour Party members of House of Commons
voted against Prime Minister Tony Blair’s whip on his determination to support the United
States in its war against Iraq. But no action could be taken by Blair against such a large
number of his own partymen. But, these are exceptions.
• Normally, the party whips are always obeyed. If a member does not obey the party whip,
he is expelled from the party, and his future is sealed. It is believed that the Conservative
Party represents traditions and elite groups, whereas the Labour is representative of
masses and of progress.Despite these differences, both the parties are pragmatic and
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moderate. Britain now has about half a dozen smaller parties also, but they do not play
any important role.
• Canada, Australia and New Zealand also have two-party systems. The interest-based
Labour Parties of Australia and New Zealand do not have narrow outlook. They are also
pragmatic and moderate parties.
• While a number of parties emerged in West Germany after the Second World War, two
major parties now constitute German party system. These are Christian Democratic
Union, and Social Democratic Party. But, there indeed are a number of smaller parties,
including the Greens, who are usually associated with one major party or the other. Some
other countries like the Philippines have also adopted two-party systems.
• The two-party system is said to be a guarantee of success of democracy. Power shifts
from one party to the other, and yet stability is maintained. One party rules in a
responsible manner and the other offers constructive opposition. There is neither
instability of multi-party system, nor authoritarian rule of one party.
Multi-Party Systems
• There are several countries that have developed a system of having many parties.
Technically, the existence of three or more big parties may be described as multi-party
system.
• In Europe, France, Italy and Switzerland are some of the examples of this system. India
has over 40 political parties, big or small, represented in the Lok Sabha.
• In a multi-party system, three, four or more parties may get together at any point of time
to form coalition governments. Such governments generally adopt a common minimum
programme for governance, as they do not have commitment to any one ideology. The
coalition governments generally do not last long, but there can always be exceptions.
• In a general election, voters have a wide choice of candidates. Many of them may belong
to smaller parties committed to regional or sectarian interests. The winning candidates
may not necessarily secure even half of the total votes cast. In a multicandidate election,
the candidate getting largest number of votes is declared elected, whatever percentage
of total votes this may be.
• France was known for its instability of cabinets, on account of multi-party system, during
the Third and Fourth Republics. During the 12-year period of Fourth Republic (1946-58),
France went through as many as 24 cabinets – the shortest being a one-day wonder.
• That was the reason why a new Constitution adopted in 1958 provided for a pattern of
governance in which greater powers rest with the President, and the mechanism of
cabinet is such that stability can be ensured even with a multi-party system.
• However, Italy is still known for frequent changes of government on account of
multiplicity of parties. Switzerland has the distinction of having a multi-party system but
a stable government. Swiss parties are essentially organised to protect interests of
Cantons.
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• The multi-party system of Italy has been divided between pro-Communist and anti
Communist alliances. However, even the parties of the left participate in the liberal
democratic political process. Besides, the Christian Democratic Party and several smaller
socialist groups constitute part of the Italian party system.
• The Turkish party system has six principal parties. As such this is yet another example of
multi-party system. India has the distinction of having such a large number of parties that,
for some time now, it is impossible for any single party to be able to win majority on its
own.
• For almost 40 years after independence (with the exception of 1977-79 period), Congress
Party dominated the Indian political scene. There were indeed several parties in post-
independent India, but the Congress was mostly in power both at the Centre and in most
of the States.
• Since early 1990s the position has changed. Several parties formed the United Front
Governments in 1996 and 1997, with outside support of Congress and the CPIM. The
elections held in 1998, and again in 1999 threw up hung Parliament, and BJP led several
party coalitions came to power. The 24-party National Democratic Alliance Government
led by Atal Behari Vajpayee provided unique stability for over 5 years, which is very
uncommon for a coalition of so many parties. The NDA included parties
of different hues.
• The multi-party system may not be able to provide the stability that is a feature of two
party system, yet the competitive nature of several parties enables efficient functioning
of democratic government, with occasional hiccups.
One-Party System
• One-party system implies the existence of only one party in a country. The countries
committed to certain ideologies such as Marxism or Fascism normally do not allow the
existence of any opposition party.
• In one-party states, there is, therefore, no opposition. Parties other than the ruling party
are either constitutionally debarred, or they are crushed by the rulers. This system
originated with the establishment of the rule of the Communist Party of the USSR after
the Bolshevik Revolution.
• While the critics deplored the system as authoritarian rule of the Communist Party, the
USSR claimed it to be the rule of the working classes.
• Mustafa Kemal Pasha’s one-party rule in Turkey was claimed to be democratic, while
Fascist Party in Italy (1922-43) and Hitler’s Nazi rule in Germany (1933-45) were typical
examples of the dictatorship of one man who led the only party permitted by him. All
other parties were banned and crushed. Their leaders were thrown in the jails or even
executed.
• Several countries adopted a one-party rule after the Second World War. East European
countries, such as Poland, Rumania, Bulgaria and Hungary came under the rule of their
communist parties.
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• In China, Communist Party acquired complete power after the success of revolution in
October 1949. Later, a one party communist regime was set up in North Korea. This
example was followed later by Vietnam and Cuba.
• But, certain other countries adopted non-communist one-party regimes. This was done
in Tanzania, Chad, Ivory Coast, Niger and Liberia in Africa.
• Many western writers refuse to describe one-party rule as a system, for there can be no
party system until there are at least two competing parties.
• The term one-party system was initially used after 1930 by certain Fascist writers.
Prominent among them were Manoilesco and Marcel Deat. They tried to find similarity
between Fascist/Nazi and Communist regimes. However, communist writers strongly
opposed any such similarity.
• The western writers place all one-party systems in one category of non-democratic
regimes.
• James Jupp has described three different forms of one-party rule. These are liberal one
party systems, narrow one-party regimes and authoritarian or dictatorial one-party
regimes.
• In a liberal one-party rule there is internal democracy in the party, leadership is willing to
listen to its criticism, and local governments enjoy certain amount of autonomy. Thus, this
may be called democratic one-party system.
• In the rigid or narrow one-party rule the party is under absolute control of a leader, and
there is no internal democracy. Elections are not permitted even for party units. The
regimes set up as a result of military coups are also rigid one-party states.
• Actually the distinction between liberal and rigid one-party systems is more formal than
real. The extent of internal democracy, if any, depends on the party leadership.
• The third form of one-party rule is simply authoritarian. The regimes of Hitler in Germany,
Mussolini in Italy and of Stalin in the Soviet Union were all described as dictatorial. The
Baath Party regime of Saddam Hussein in Iraq was also dubbed as dictatorship, where
people had no rights or freedoms except to support the dictator and sing his praises.
• Several developing countries, who adopted the one-party systems, after decolonisation,
gradually discarded it in favour of a multi-party democracy.
• According to Maurice Duverger, there can be different forms of one-party regimes. Prior
to the Second World War, there was strong discipline in the Fascist and Communist
parties.
• Secondly, they are dictated by certain ideologies which generally support revolutionary
methods, and even encourage violence.
• Nevertheless, there are major differences between Communist and Fascist Parties. While
the former are based in the workers’ movements and seek to abolish private property,
the latter have their main support base among the rich, wealthy and industrialists.
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• Thirdly, there are differences in one-party systems on the basis of economic policies and
level of development. It may emerge in backward societies as the former Russian empire
was, or as Tanzania was.
• It may even develop in developed and democratic societies also, as in Eastern Europe in
post-Second world war period. Besides, the role of a single party may vary. The communist
parties become integral part of the state machinery as was the case in the former Soviet
Union, or is the case in China today. The distinction between the party and state is blurred.
• The Fascist Party, on the other hand was used only as an instrument of governance; it did
not become part of the state apparatus. The fascists promote police state, whereas the
communists aimed at the withering away of the state. This, however, may never happen.
ROLE AND EVALUATION OF PARTY SYSTEMS

• Political parties are essential for the working of contemporary political processes. Parties,
as explained above, are of different types, as are the party systems. The role of a party
depends largely on the type of polity in which it functions.
• Modern democracies are party governments. Persons like Jayaprakash Narain had
suggested that a partyless democracy would make for peace and stability. Parties, in their
view cause conflict.
• However, these views may have some merit, but in today’s environment these opinions
appear to be too idealistic or utopian.
• The role of political parties in a parliamentary democracy is different from the presidential
system. In the former the competitive parties formulate public opinion, select candidates
and seek election to secure maximum number of seats in the Parliament, so that they
are in a position to form their governments. The party or parties that fail to secure
majority of seats sit in the opposition and offer constructive criticism. Two-party system
is best suited for the efficient working of parliamentary democracy.
• But, there are many democracies, like India, where many competing parties offer varied
choice to the voters. Normally, in a multi-party system no single party may secure a clear
majority, but a number of parties enter into coalition to form the government; the others
occupy the opposition benches.
• One-party system is normally found in totalitarian states. It consists of only one party that
is often identified with the state. There is lack of opposition which makes the rulers
authoritarian.
• In the presidential system of democracy, parties have relevance only at the time of
presidential election. They do not count in the formation of government. In the United
States, the directly elected President is neither responsible to, nor removable by, the
Congress.
• Members of the Congress vote freely without affecting the fortunes of the executive.
France and Sri Lanka have combined the parliamentary system with a powerful executive
President. This has limited the role of parties in these countries.
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• The two-party system has several merits. It ensures stability of government; it is relatively
easy for the Prime Minister to form the Cabinet. Once a person is chosen as leader of
the majority party he selects the ministers and entrusts portfolios to them. In a disciplined
two-party system the task of the Prime Minister is easy, unless there is a weak leader
and unless the party is faction-ridden. In that case, the Prime Minister has to appease
various factional leaders.
• Secondly, there is no room for violence or revolution to bring about change of
government. People can easily withdraw their mandate at the time of next election.
• Even in the presidential system, the choice of the President is easily made by the people,
without resorting to violent means. The task of voters is easy in a two party system, as
they have only two alternatives to make their choice.
• Since there is a strong opposition, its voice is carefully heard by the ruling party, and its
views taken into serious consideration. The ruling party remains vigilant, and the
opposition knows that it may be called upon to form the next government. Therefore, it
makes only workable suggestions.
• The critics of the two-party system have their arguments. They say that this system
presents just two alternatives to the voters. Many voters can hold views which are not
represented by the two parties. They do not get opportunity to have their true
representation in the legislature.
• Secondly, the majority party can have any legislation adopted by the legislature on the
basis of its absolute majority. The opposition does get an opportunity to express its views,
but the power of the Parliament is, in effect, limited.
• Thirdly, members of legislature merely carry out the wishes of party whips, and their
initiative is often checked.
• The multi-party system is indeed more democratic, as it offers wider choice to the people.
Different sections of people find their voice through their representatives, who may or
may not ensure proportional representation.
• In most of the cases, coalition governments are formed which are based on compromises
on the policies of various parties. Consequently, ideology often goes into the background.
• On the merit side, it may be noted that it is more democratic, and none of the parties can
become arbitrary or authoritarian.
• Secondly, the respect of legislature is enhanced as its decisions are taken after due
deliberations on the floor of the House; they are not arrived at in the party caucus and
then rubber stamped by the legislature. This system ensures representation to all
minorities, and also protects their interests.
• However, on the negative side, the multi-party system breeds indiscipline, and leads to
frequent formation and collapse of coalition governments. The leadership has to make
compromises, and the government often suffers from indecision.
• Instability and lack of discipline are major shortcomings of the multi-party system. This
system is most unsuitable for crises, when quick decisions are required, but cannot be
taken because of the involvement of several parties, ideologies and leaders.
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• The critics of one-party system find it totalitarian in which wishes of the people are
suppressed. Its supporters, on the other hand, hail it as protector of national interests; as
quick decisions can be taken, time is not wasted and even unnecessary expenditure is
avoided.
• The Marxists consider parties as representatives of class interests, and if there are several
parties, they lead to class conflicts, a situation in which national interest is sacrificed. One
party, according to the Marxists, represents the working people and protects them against
exploitation.
• Fascists regard their party as the instrument of governance assisting the leader, so that
prestige of the nation is enhanced. Despite these merits, the one-party system is criticised
for denying the people an opportunity to have their free will represented. The people
have to obey the party and its leader blindly. The system is not only undemocratic, but
also destroys the initiative of the people.
• Western writers, such as Finer are of the opinion that an authoritarian one party should
not even be called a party, because rather than being a part of the system, it is the whole,
arbitrary and totalitarian political group. Such parties assume all powers, and destroy the
leadership qualities of the masses.
• Political parties are essential for the working of modern democratic states. Professor
Laski had correctly opined that the only alternative of party government was
dictatorship.
• To quote Edmund Burke, “Party is a body of men united for promoting
by their joint endeavours the national interest upon some particular principles in which
they are all agreed.” In effect, the parties are a two-way communication between the
electorate and their representatives.
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PRESSURE GROUPS
• A group may include large or small number of people having common social, cultural,
trade of business interests. There can be no bar on a person being member of two or more
groups. Interest groups are not political parties as they do not participate in electoral
politics, and on their own have no direct role in the governance of the country.
• However, if necessary, in their interest, they may support one political party or the other,
and try to influence legislation and executive decisions by using various methods of
exercising pressure on the government of the day. When a group carries on its function
of pressurising members of the legislature by contacting them in the parliamentary
galleries, the practice is known as lobbying.
• This term originated in the United States where lobbying is an accepted practice, and
there are regular lobbyists who charge fees for influencing the legislators and officers in
the interest of certain groups.
• Without being political parties, without contesting elections in their own name, and
without seeking government jobs or entering the legislatures, the interest and pressure
groups do play a vital role in contemporary democracies in the decision-making process.
• People having common interests often get together. When they organise themselves to
protect and promote their interest they are known as interest groups. Cell phone
operators in India, oil producers in different countries, automobile manufacturers in the
United States in their associational forms are all interest groups. We in India have a very
large group called the Federation of Indian Chambers of Commerce and Industry. It
includes various chambers of commerce and industry. As such it represents large number
of interest groups. There are numerous such groups in every country today.
• Interest groups have been defined by a number of prominent writers. Some prefer to use
the term pressure groups, while others call them interest groups. Actually there is a clear
distinction between the two, though it is not always easy to lay down clear demarcation.
• Almond & Powell say that, “The process by which individuals and groups make demands
upon the political decision-makers we call interest articulation.” These demands may be
of temporary nature like a demonstration worldwide asking the United States not to wage
war against Iraq.Or, the demand may be articulated for a long-term interest, like traders
demand for tax relief, or trade unions’ demands for better working conditions.
• As Almond and Powell have said the interest articulator may be as varied as an
unorganised mob or a well-organised systematic organisation. Admitting that their
definition may not be perfect, yet Almond and Powell say: “By ‘interest group’ we mean
a group of individuals who are linked by particular bonds of concern or advantage, and
who have some awareness of these bonds. The structure of interest group may be
organised to include continuing role performance by all members of the group, or it may
reflect only occasional and intermittent awareness of the group interest on the part of
individuals. Thus, an interest group is an association of people to achieve certain specific
objectives, and for this purpose it may even pressurise the institutions of the state.”
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• Discussing the pressure groups, David Truman describes them thus, “Pressure groups are
attitude groups that make certain claims upon other groups in the society.” The activities
of the government have direct impact on the lives of people. On the other hand, activities
of the individuals cannot help affecting the decisions of the government. This work can be
effectively done only by organised groups of people.
• Hitchner & Levine prefer the use of the term interest groups. They say that, “An interest
group is a collection of individuals who try to realise their common objectives by
influencing public policy.”
• They argue that interest groups and pressure groups are not the same thing. The term
pressure groups have a negative connotation as it implies use of pressure, or unwanted
interference, by groups to achieve their objectives.
• Interest groups can be described as the non-state actors, or individuals, or modern states.
But, politics alone is not the objective of their activities. According to Hitchner & Levine,
“The interest group system is thus a part of both the general culture and social
framework and the political structure of a particular state.”
• Interest groups are organisations of people for the achievement of certain specific goals,
who, if necessary, pressurise the state. They may be regularly involved in the pressure
politics, or may at times involve themselves in pressure politics, and at other times
perform other functions to promote their interests.
Meaning of Pressure Groups

• Duverger was of the view that, “Most pressure groups… are non-political organisations,
and pressure politics is not their primary activity. Any group, association or
organisation, even those whose normal concerns are far from politics, can act as
pressure groups in certain areas and under certain circumstances.”
• It is generally believed that the pressure groups try to bring about changes in policies of
the government either by influencing its institutions, or even otherwise. However, the
pressure groups do not enter the legislature on their own.
• Carter & Herz had argued that the modern pluralist society, full of economic, professional,
religious, ethical and other interest groups, is faced with the major problem of how to
coordinate the activities of different groups on the one hand and government and politics
on the other.
• Interest groups enjoy freedom to be established and function in a free democratic
society. When these groups endeavour to influence the political process, and thereby get
favourable decisions in matters such as enactment of legislation, imposition of taxes and
duties, framing of rules and issuance of licences, etc. then these interest groups transform
themselves into pressure groups.
• Another writer V.O. Key was of the opinion that the interest groups are such private
organisations who are established to influence the public policy. They do not take part in
the selection of candidates or the legislative processes. They devote themselves to
pressurise and influence the government in order to promote their interests.
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• Writing in the context of liberal democratic countries, particularly, the United States,
S.E. Finer had opined that, “…the pressure groups are, by and large, autonomous and
politically neutral bodies, which bargain with the political parties and the bureaucracy
irrespective of the political complexion of the government in power.”
• The groups can adopt various methods of bargaining, in their interests, including even
unconventional or corrupt methods. It is obvious that the pressure groups are
associations of individuals for the promotion of the interests of their members.
• Every individual has numerous interests. One may be an office-bearer of a residents’
welfare association, father of university-going children, and a sugarcane farmer, a
shareholder in a large business house or industrial establishment and may also be a social
activist as also a trustee of a religious or charitable institution. All the interests of one
individual cannot be served by one group.
• He or she, therefore, may join several interest groups to put pressure on the state for
different purposes. Interest groups, or pressure groups, are not new phenomenon in
politics. These groups have existed, in one form or the other, at all times.
• But, these groups are deliberately organised and are much more powerful today. This is
because modern governments have taken upon themselves numerous non-traditional
responsibilities.
• According to H. Zeigler, it is “an organised aggregate which seeks to influence the context
of governmental decisions without attempting to place its members in formal
governmental capacities.”
• In the words of Alfred de Grazia, the pressure group is “simply an organised social group
that seeks to influence the behaviour of political officers without seeking formal control
of the government.”
• Every society is divided into a number of groups. With the passage of time, they have
become more and more specialised. While there are numerous groups like those of
industrialists, bank employees, university teachers, workers in industry and commerce,
which operate within a country, there are other groups that transcend national borders.
• There are certain essential features of the pressure groups. These are (i) pressure groups
are part of the political process of a country (ii) they attempt either to strengthen or
change the direction of government policy and (iii) they do not seek, as pressure groups,
to directly capture political power and run the government.
Mass and Traditional Groups

• The interest or pressure groups may be divided into two categories, on the basis of their
organisation. These are either mass groups or traditional groups. This distinction is similar
to the one between mass and traditional parties.
• Like the mass political parties, the mass groups also have large membership. The groups
having thousands or even lakhs of members require an effective organisation. This
category includes well-organised trade unions, and also organisations of farmers,
associations of craftsmen, and associations of small businessmen. These are groups
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related to industrialists or workmen of various types. In addition, there are youth

organisations, associations of athletes, and cultural committees.
• The earliest mass groups were set up on the initiative of socialist parties to organise the
working people. Thus, the bases of both the trade unions and socialist movements can be
traced to the working people.
• Today, there are numerous interest groups having a common objective, but operating in
the social sector. Some of such groups, according to Duverger, are groups concerned with
disarmament, abolition of nuclear weapons, and those fighting against casteism,
communalism and fundamentalism.
• However, in the People’s Republic of China and other former and present socialist
countries several mass organisations act as subsidiaries of the concerned Communist
Parties.
• You have read in the last unit that traditional political parties are generally associated with
elitist sections. Similarly, traditional pressure groups value quality more than the
members. They are relying more and more on the elitist sections. The earliest elitist
groups include the intellectuals’ organisations of the eighteenth century, and the
twentieth century political clubs of France.
• For example, The Jean Moulin Club of France is one such group. It has only about 500
members. Its members (elite) include senior government officials, engineers, university
professors and influential journalists.
• Even in India, there are a number of elite groups with limited membership. One such elite
group in India is Association of Defence Officers’ Wives. Similarly, there is Association of
Steel Producers. The Federation of Indian Chambers of Commerce and Industry (as
mentioned earlier) is a very powerful elite group.
• Traditional, or elite group of different countries include groups of concerned country’s
industrialists, associations of higher administrative service officers, unions of intellectuals,
of writers, of poets, or artisans etc. There are many such groups in the UK, USA, France,
Germany, Japan and India.
INTEREST/PRESSURE GROUPS AND POLITICAL PARTIES

• A distinguishing feature of interest/pressure groups is that they seek to influence public
policy-makers, but without attempting to take over directly the control and conduct of
the government.
• Political parties, on the other hand, are primarily concerned with governance – to contest
elections and try to secure majority of seats in the legislature, or the office of chief
executive, and govern the country.
• Neumann pointed out the distinction between parties and the interest groups thus:
Fundamentally, pressure groups are the representation of homogeneous interests
seeking influence. The interest group is strong and effective when it has a directed specific
purpose.
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• Political parties, on the other hand, seeking office and directed towards policy decisions,
combine heterogeneous groups. In fact it is one of their major themes to reconcile the
diverse forces within political society. Theirs is an integrative function which is not the
domain of the interest groups.
• Maurice Duverger made a distinction between the two in the following words: “Political
parties strive to acquire power and exercise it—by electing—mayors and deputies, and
by choosing cabinet ministers and the head of state. Pressure groups on the contrary,
do not participate directly in the acquisition of power or in its exercise; they act to
influence power while remaining apart from it… they exert pressure on it…”
• Pressure groups seek to influence the men who wield power, not to place their own men
in power, at least not officially… It is possible that sometimes members of a pressure
group may become members of the legislatures or even the executive; but even if that
happens, it is kept secret.
• Harold R. Bruce wrote: “In their relation to the political parties pressure groups are in
the singular position of being independent of them and also cooperative with them as
a given situation may dictate. Pressure groups are normally not partisan in character;
they disregard party lines; they seek popular support among the voters or support of
members of legislative bodies and executive authorities…”
• Similar views were expressed by Duverger. He wrote, “Certain powerful groups actually
have their own representatives in governments and legislative bodies, but the
relationship between these individuals and the groups they represent remains secret or
circumspect.”
• The interest/ pressure groups are essentially non-political associations. Their primary
functions may be economic, social, religious or humanitarian. Pressure is not their main
business. They do so if necessary for the promotion of the interests of their members.
• Parties are committed to a wide-range of issues and policies; their goal is political power.
An interest group, on the other hand, has a narrower focus. It is primarily to articulate
specific demands that it comes into existence.
• As Professor S.R. Maheshwari wrote, “It is the task of a political party to reconcile and
aggregate their competing demands of interest groups and put them into coherent
programmes and action plans. Thus viewed, political parties prevent the interest groups
from directly dominating the decision-making apparatus and process in a country.”
• The relationship between the parties and pressure groups is not the same everywhere.
Each political system has different nature of parties and groups, as also their relationship.
• In the United States and Britain, the interest groups articulate demands, seeking to
transform them into authoritative policies by influencing the political processes. While
the groups are functionally specific and differentiated, the parties play the aggregative
role.
• As Almond wrote, “… the party system stands between the interest groups system and
the authoritative policy-making agencies and screens them from the particularistic and
disintegrative impact of special interests.”
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• Secondly, France and Italy offer a different type of relationship. In these two, and some
other countries, both the parties and interest groups exist as fairly well organised entities,
but not as autonomous systems. The parties control the groups in various ways. Thus, one
finds communist-controlled or socialist party-controlled trade unions. In such a situation,
“the interest groups get prevented from articulating functionally specific, pragmatic
demands, for their activities have become highly political.”
• When groups allow themselves to become affiliates to parties, they, in turn, weaken the
capacity of parties to aggregate various interests.
• Thirdly, in several third world countries of Asia, Africa and Latin America, neither the
parties nor the pressure groups stand very well differentiated. In the words of Gabriel A.
Almond, “Associational interest groups such as trade unions and business associations
may exist in the urban westernised parts of the society, but in the village and the
countryside interest organisation takes the form of lineage, caste, status, class, and
religious groups, which transmit pressure demands to the other parts of the pressure
structure by means of information communication.”
• In many of the Third World countries, parties tend to be adhoc arrangements, without
clear policies and without grassroots organisation. Consequently, adds Almond, “… the
significant political groups are neither the parties, nor the associational interest groups,
but elements of cliques from the bureaucracy and the army.”
• Whatever pattern is followed in a political system, it is clear that the pressure groups,
despite being independent of the parties, do still maintain contacts with them, in one way
or the other, and try to influence legislation and decision-making process through
these contacts.
CLASSIFICATION OF INTEREST GROUP

Almond’s Classification
In detailed analysis of interest groups, Almond says that there can be four different types
of groups. This classification has generally been supported by Hitchner and Levine also.
According to Almond, the interest groups are of following types:
i) Institutional Interest Groups;
ii) Anomic Interest Groups;
iii) Associational Interest Groups; and
iv) Non-Associational Interest Groups.
• The institutional interest groups are closely connected with various institution, and even
political parties. These groups also exist with in the legislatures, bureaucracies, churches,
corporations and even armed forces.
• They are very active in the bureaucracy, for it is there that most of decision-making is
done. They are equally close to legislatures. They form part of a highly organised structure,
but this structure has been created for purposes other than what these groups articulate.
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• These groups do not need any other organisation to articulate their demands. As Almond
said, institutional interest groups are “formal organisations, composed of professionally
employed personnel, with designated political and social functions other than interest
articulation. But, either as corporate bodies or as smaller groups within these bodies
(such as legislative blocs…). These groups may articulate their own interests or
represent the interest of other groups in the society.”
• Such groups are very influential and powerful. In some of the third world countries, they
are not satisfied only by exercising influence. They even seize power, as, for example, the
military clique did in Burma, or Bangladesh (After Sheikh Mujib’s murder), or Pakistan, or
Nigeria. These are exceptions. These groups are generally concerned with better
conditions for their members.
• The anomic interest groups, Almond said, are “more or less spontaneous penetrations
into the political system from the society.” These groups often appear when normal
means of expressing dissatisfaction prove ineffective. They may be concerned with
religious or linguistic or ethnic disturbances, or demonstrations, even assassinations and
hijackings.
• They are generally characterised by unconventional, usually violent means. Such groups
may influence the political system in numerous unconventional ways. They are
occasionally found even in the western developed nations.
• The associational interest groups are closely associated with formally organised
institutions. They are functionally specialised, and they articulate the interests of specific
groups, such as management, labour, business and agriculture. These groups are found in
those countries where right to association is constitutionally recognised. Some of them
have regular paid employees on their roles to influence the concerned institution.
These groups are generally concerned with economic interests. The Federation of
Economic Organisations, and the Federation of Indian Chambers of Commerce and
Industry are some of the examples of associational groups. The associations of teachers,
lawyers, doctors and other professionals all come in this category.
• Unlike the well-organised associational system, the non-associational groups are based
on factors like kinship, ethnicity, status and religious. They articulate the interests
informally and irregularly. They do not have any permanent organisation.
Jean Blondel’s Classification

• Interest groups have been classified by Blondel on the basis of factors responsible for
their formation. Broadly speaking there are two categories of groups. These are (i)
community interest groups; and (ii) associational groups. Both the categories are further
divided into two sub-categories each.
• The community interest groups are formed to promote community interests. The social
relations are in the back of their formation. Community life brings people together.
Most of the community groups are informal; only some are formally organised. They put
pressure on the government to seek state protection and assistance.
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• The community groups are divided between (a) customary and (b) institutional groups.
The groups that essentially follow the customs and traditions of the community fall in the
category of customary groups. The groups of castes and sub-castes in India are of this
type.
• Blondel has described those community groups as institutional who are formed by
people living together for a long time, and who develop common social relationship. Some
of the examples of this type can be welfare associations of serving or retired soldiers like
the veterans unions, the civil servants welfare associations, or the senior citizens’ welfare
bodies.
• The associational groups identified by Blondel generally follow the pattern of Almond
and Hitchner & Levine. These groups have two sub-categories (a) protective groups and
(b) promotional groups.
• The protective groups try to protect the interests of their members like those of trade
unions and associations of traders or professionals. They, thus, have more or less
homogeneous clientele.
• The promotional groups, on the other hand, have membership or large cross-sections of
community. The promotional groups may include group for disarmament, or the Greens
seeking promotion of environmental security.
• Besides, the protective groups generally manage to have greater influence over
policymaking process than the promotional groups. As Robert Salisbury wrote, in the
context of British groups, the protective groups have “substantial influence over policy”,
whereas “promotional pressure, even when they mobilise a large following, tend to be
regarded as having only a minor impact on public decisions.”
• Finally, the protective groups generally have more flexible strategies, while the
promotional groups face the problem of goal adaptation following the change in political
situation. The protective groups never run out of the agenda, while the promotional
groups are terminal in nature, at least in conception.
Maurice Duverger’s Classification

Maurice Duverger, who prefers to use the term pressure groups, talks of two main
problems. These are:
• First, whether those groups should be called pressure groups whose only function is to
exert political pressure, or even those can be called pressure groups which have multi-
dimensional activities.
• Second, whether the term pressure groups should be used only for non-official groups or
even official groups can be brought in this category. It is in the context of these two
questions that Duverger offered the following classification.
• In the context of his first question, Duverger distinguishes between (i) Exclusive Groups;
and (ii) Partial Groups.
• In the first category are those groups whose only function is to put pressure on the
political system. Thus, the French Parliamentary Association for the Defence of
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Educational Freedom is an exclusive group. There are several groups in the United States
who are whole-time in the business of pressure politics, through the device of lobbying
(see below).
• The partial groups, on the other hand, are essentially set up to be the promoters of
interests of their members, but in that process do occasionally use pressure tactics. There
are numerous such partial groups in every democratic country including Britain and India.
Several associations of professionals (doctors, lawyers, chartered accountants, and
architects), of university or school teachers, or women activists, or those concerned with
cultural activities also, if needed, try to put pressure on civil servants, legislators and
others.
• But, there can be no rigidity in this classification. Any partial group may take to whole
time pressure politics.
• On the second basis, Duverger makes a distinction between (i) Private Groups; and (ii)
Public Groups.
• The first country to have experienced the pressure groups was the United States, where
private institution groups had begun to use pressure on the state apparatus. Gradually,
even official or public groups also joined in the process of pressure politics.
• The official groups may even include those officials who secretly align themselves with
one or more pressure groups to serve certain interests. Duverger also refers to, what he
calls pseudo-pressure groups. These groups include specialists who use pressure politics
not for themselves, but for others. This is often done for monetary consideration.
Duverger includes in this category, the technical experts as well as information (mass)
media.
ROLE OF INTEREST/PRESSURE GROUPS

• The role of pressure groups depends to a large extent on the type of government that a
country has. Their role in the presidential system, as in the United States is more
significant than that in parliamentary democracies, like Britain and India.
• Their role is minimum, or non-existent, in one-party states, and particularly in
authoritarian systems.
• Their role is highlighted by Henry Ehrmann, while discussing the merits of pressure
groups. He says: “The interests which they represent link their membership with
community values. Hence groups are likely to reflect more accurately than do other
bodies, the concerns of the society in which they operate.”
• Further, where the formal system of representation proves inadequate, interest groups,
represent community values more realistically than do parties.
• Interest groups employ all conceivable methods to promote their interests. They request
and cajole, they bribe and entertain. The most popular method of pressure politics, called
lobbying, was developed in the United States. Lobbying is only one of the methods of
pressure politics, yet it is the most effective. Lobbying is, peculiarly American practice, and
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its practitioners try to directly influence the lawmakers and other officials.
Lobbying
• Lobbyists, in the words of Alfred de Grazia are “highly organised; they claim large
membership lists; they have agents who are skilled in persuasion and public relations;
they insist that their purposes are consonant with the public welfare.”
• Lobbying is, as mentioned above, an American practice, though it is not the monopoly of
the United States. Lobbying is practised in many other democratic countries also, yet it
will be appropriate to discuss this practice in the American background.
• The term “lobbying” is used to indicate the technique of establishing contracts with the
members of Congress and state legislatures to influence them to vote for or against a
measure to suit the interest of a pressure group.
• Very often pressure groups engage ex-members of the Congress to influence the
legislators. They are familiar with the lobbying techniques. There are several hundred
regular ‘lobbyists’ working permanently in Washington D.C. They are paid employees of
interest groups.
• They need not necessarily influence the legislators in the lobbies of the Congress,
although the term is derived from that.
• Political parties, pressure politics and lobbying have become parts of American political
system. Most of the American interest groups have been economic in character.
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CHARACTERISTICS OF ANCIENT INDIAN POLITICAL THOUGHT

Political Life conceived within the framework of Dharma
 One cannot find in ancient India any classes exclusively dealing with political and social life, which is
comparable to the ‘Republic’ and the ‘Politics’ of Plato and Aristotle. A supernatural element is present
in all the writings. The divine is omnipotent and is visible in the formation of society and government;
the divine purpose is to be enforced by the king, divine punishment reinforces earthly punishment and
sometimes supplants it. This is what we find in almost all the texts that deal with the life of the people.
 But one should not be led to believe the reality. There was a wide gap between the ‘Shastras’, traditions
and the actual lives of human beings. The Brahmanical religion, which is commonly taken as the Hindu
religion, was not all-pervasive. There were non-Brahmanical traditions, which were materialistic in
nature and which played an important role in guiding the activities of ordinary people
Influence of Ethics
 The social thought in ancient India not only assures certain fundamental principle of morality, but it
always seeks to direct the material life as well. The king must consciously stimulate virtue and act as a
guide to the moral life, morality as stipulated in the Dharmashastras.
 The state figures considerably in the communal life and the theory of life proceeds to resolve itself into
a theory of morality. In short, political science becomes the ethics of the whole society, a science of the
duty of man found in the complex set of relations in society.
 But when it comes to international relations, one can see the ethical meanings coming to terms with the
hard reality. Dealing about diplomacy, Kautilya for example, becomes realistic in a manner similar to
Machiavelli. One may notice a sudden fall from ethical heights to the rankest realism in the same writer.
The Influence of Caste based Social Structure on Politics
 Caste occupied a prominent place in all social speculation during the later Vedic period and had a direct
bearing on the theory of government.
 Varnashramadharama in the society was fixed on the basis of caste. Each Varna was assigned specific
functions.
 It was the foremost duty of the king to see that every individual confined himself to performing functions
of the Varna to which he was born. Caste was an ascribed status.
 The individual was not to seek his own interest or expression; he was not to determine his own ambition
or ends. Varnashramadharma exalted the society at the cost of human values. Much that was personal
gave way to collective elements.
 Not all castes or Varnas were equally privileged in their enjoyment of rights and duties assigned to them.
The super Varnas – Brahmans and Kshatriyas – were the ruling class.
 The duty of an individual was social. Since the Varnas were related to each other in such a fashion that
together they constituted the social order, if an individual transgressed his duty, he not only violated the
order, he, in fact, became antisocial. It was in this way that the Hindu theory would overcome the anti-
thesis of man vs state or society.
Government as a Partnership of the Upper Varnas
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 In ancient India, the Kshatriyas, Brahmans and later the Vaisyas together formed the ruling class. The
Shudras were the serving class. ‘Kshatra’ – the temporal power derived its strength and authority from
‘Brahma’ - the spiritual power.
 The Vaisya engaged in such occupations as agriculture and trade provided the economic basis of the
state. The priest held the highest status. He was identified with the God ‘Brihaspathy’ instead of the
temporal power ‘India’. His function was to interpret dharma and preside over the rituals.
 Coronation by the priest was a necessary pre-requisite to the exercise of royal power. Symbolically, it
meant that the Kshatriya derived his power from the Brahman.
 They had the monopoly of education and were the sole interpreters of dharma. No one, not even the
king could go beyond their prescription. With its intellectual leadership of the community and religious
control, there was no need for the priestly class to organise itself into a church or any such spiritual
organization.
No Clear Distinction between State and Society
The governmental organization and politics were looked at as a part of the larger whole called society. In
other words, society was at once religious, political, economic and military. It was generally viewed in a
comprehensive manner. The habit of looking at society from a political angle was not cultivated. As a result,
there was no clear conception of either the state or the government. Both were interchangeable terms.
Monarchy was the normal form of Government
Since the four fold division of society entrusted the ruling power with the Kshatriya caste, monarchy was the
natural outcome. There were also non-monarchical forms of government. Kautilya’s Arthashastra for
example, mentions ‘dvairajya’ (rule by two kings) ‘vyrajya’ (state without a king) etc., There were also
‘ganasanghas’ which according to K. P. Jayaswal are comparable to modern republics. But still monarchy
was the normal form of government. Though there were non-monarchical forms, they were more of an
exception rather than a rule.
The Government was not sovereign
From its very nature of existence, the government in ancient India could not be regarded as sovereign in the
Austinian sense of the term. It did not impart validity to the orders: rather, it shared in its validity. On the
contrary, the government had no independent existence of its own. The sustenance of the social order was
merely its function. Sovereignty was, in fact, ultimately sourced in the divine will. On the part of the
individual, there was no unified allegiance, no single loyalty except to society as a whole. Only the pluralistic
theory of sovereignty can grasp the Indian phenomenon.
Role of King and subsequent judicial system
 A basic tenet of Hindu political thought was the belief that the king must regard himself not as the creator
of the law but only as its guardian.
 The Narada-Smrti is an exception. In this work the royal decree is regarded as legitimate in its own right.
Perhaps the most authoritarian of Indian writers, Narada demands that the king be obeyed whether right
or wrong in his actions.
 However, from about the third century B.C. there seems to have developed a growing appreciation of
the need to relate law and tradition to changing social conditions. This awareness can be seen in the
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Dharma Shastras work attributed to Yajnavalkya. In that work and in the codes of other legal authorities
it is argued that the edict must harmonize with customary and sacred law and that departures from the
original raja dharma must be carefully controlled.
 Judicial offices were generally to be filled by Brahmans, since no man could be judged by one who was
not at least his social equal and since the sin involved in the crime must also be judged. The earliest court
was likely the king’s palace, but by the time of the Dharma Shastras complexities of judicial
administration necessitated formal institutions of a more specialized nature. There existed a regular
procedure for appeal from lower to higher courts.
 The technique of the power balance was understood, and alliances were considered among the major
assets of the state. In Hindu political theory, diplomacy is constructed on the interrelationships within a
group of states, all neatly described in terms of their probable effect on the fortunes of the home state.
This theory (mandala) is based on the assumption that the king, by nature, aspires to conquest and that
his neighbour is his enemy. The natural ally is the kingdom on the opposite frontier of the enemy.
Idea of Dharma and Danda
 The term danda means discipline, force, restraint, constraint or punishment. Dharma is that which holds
society together. Society could be held together when each individual and groups does his or its specific
duties.
 The Dharmashastras writers concentrated on exploring the dharma of individuals and social groups,
including the government. In contrast to the approach of the Dharmashastras, the authors of
Arthashastra were interested in the organisation and mechanics of danda. The Arthashastra gives us a
detailed account
 of the nature and organisation of government,

 the nature and method of exercising coercive power,-
 how power could be acquired, -
 strategies and mechanics of retaining power, -
 The possible threat to the Varnas, prakritis or the elements of state and the best way to deal with them.
 The Dharmashastras were legalistic and a religious in orientation,
 Whereas the Arthashastra concentrated on institutions and politics and were secular in orientation.
 -In ancient India, term Matsyanyaya, equivalent to the western concept of the state of nature. In
Matsyanyaya, the state of big fish devouring the small. The term Matsyanyaya which explains the state
of affairs in the absence of force or danda. Force is held to be the ultimate sanction behind the state.
Other Distinguishing Features : Apart from the above mentioned characteristics, Professor Bhikhu Parekh
mentions some other distinguishing features of the Hindu political traditions. They are:
 the Hindu tradition is basically in-egalitarian. Although it developed the idea of the moral equality of all
men, it never developed the social, legal and political groups.
 The Hindu tradition of political thought is pluralistic in orientation. The Hindu political writers from the
very beginning recognized the autonomy of social groups.
 Political thought in early India was largely uncritical and apologetic of the established social order. Most
Hindu writers justified the caste system as the caste based conception of dharma, the largely fatalist
concept of karma, the degradation of the Shudras and the slaves, the extensive moral interference of the
state and so on. It ignored the whole area of social conflict.
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 Many Hindu writers wrote mainly for the attention of the rulers. Their works are largely manuals of ethics
or administration; hence, it is largely didactic and practical.
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CHARACTERISTICS OF ANCIENT INDIAN POLITICAL THOUGHT

Political Life conceived within the framework of Dharma
 One cannot find in ancient India any classes exclusively dealing with political and social life, which is
comparable to the ‘Republic’ and the ‘Politics’ of Plato and Aristotle. A supernatural element is present
in all the writings. The divine is omnipotent and is visible in the formation of society and government;
the divine purpose is to be enforced by the king, divine punishment reinforces earthly punishment and
sometimes supplants it. This is what we find in almost all the texts that deal with the life of the people.
 But one should not be led to believe the reality. There was a wide gap between the ‘Shastras’, traditions
and the actual lives of human beings. The Brahmanical religion, which is commonly taken as the Hindu
religion, was not all-pervasive. There were non-Brahmanical traditions, which were materialistic in
nature and which played an important role in guiding the activities of ordinary people
Influence of Ethics
 The social thought in ancient India not only assures certain fundamental principle of morality, but it
always seeks to direct the material life as well. The king must consciously stimulate virtue and act as a
guide to the moral life, morality as stipulated in the Dharmashastras.
 The state figures considerably in the communal life and the theory of life proceeds to resolve itself into
a theory of morality. In short, political science becomes the ethics of the whole society, a science of the
duty of man found in the complex set of relations in society.
 But when it comes to international relations, one can see the ethical meanings coming to terms with the
hard reality. Dealing about diplomacy, Kautilya for example, becomes realistic in a manner similar to
Machiavelli. One may notice a sudden fall from ethical heights to the rankest realism in the same writer.
The Influence of Caste based Social Structure on Politics
 Caste occupied a prominent place in all social speculation during the later Vedic period and had a direct
bearing on the theory of government.
 Varnashramadharama in the society was fixed on the basis of caste. Each Varna was assigned specific
functions.
 It was the foremost duty of the king to see that every individual confined himself to performing functions
of the Varna to which he was born. Caste was an ascribed status.
 The individual was not to seek his own interest or expression; he was not to determine his own ambition
or ends. Varnashramadharma exalted the society at the cost of human values. Much that was personal
gave way to collective elements.
 Not all castes or Varnas were equally privileged in their enjoyment of rights and duties assigned to them.
The super Varnas – Brahmans and Kshatriyas – were the ruling class.
 The duty of an individual was social. Since the Varnas were related to each other in such a fashion that
together they constituted the social order, if an individual transgressed his duty, he not only violated the
order, he, in fact, became antisocial. It was in this way that the Hindu theory would overcome the anti-
thesis of man vs state or society.
Government as a Partnership of the Upper Varnas
https://upscpdf.com
 In ancient India, the Kshatriyas, Brahmans and later the Vaisyas together formed the ruling class. The
Shudras were the serving class. ‘Kshatra’ – the temporal power derived its strength and authority from
‘Brahma’ - the spiritual power.
 The Vaisya engaged in such occupations as agriculture and trade provided the economic basis of the
state. The priest held the highest status. He was identified with the God ‘Brihaspathy’ instead of the
temporal power ‘India’. His function was to interpret dharma and preside over the rituals.
 Coronation by the priest was a necessary pre-requisite to the exercise of royal power. Symbolically, it
meant that the Kshatriya derived his power from the Brahman.
 They had the monopoly of education and were the sole interpreters of dharma. No one, not even the
king could go beyond their prescription. With its intellectual leadership of the community and religious
control, there was no need for the priestly class to organise itself into a church or any such spiritual
organization.
No Clear Distinction between State and Society
The governmental organization and politics were looked at as a part of the larger whole called society. In
other words, society was at once religious, political, economic and military. It was generally viewed in a
comprehensive manner. The habit of looking at society from a political angle was not cultivated. As a result,
there was no clear conception of either the state or the government. Both were interchangeable terms.
Monarchy was the normal form of Government
Since the four fold division of society entrusted the ruling power with the Kshatriya caste, monarchy was the
natural outcome. There were also non-monarchical forms of government. Kautilya’s Arthashastra for
example, mentions ‘dvairajya’ (rule by two kings) ‘vyrajya’ (state without a king) etc., There were also
‘ganasanghas’ which according to K. P. Jayaswal are comparable to modern republics. But still monarchy
was the normal form of government. Though there were non-monarchical forms, they were more of an
exception rather than a rule.
The Government was not sovereign
From its very nature of existence, the government in ancient India could not be regarded as sovereign in the
Austinian sense of the term. It did not impart validity to the orders: rather, it shared in its validity. On the
contrary, the government had no independent existence of its own. The sustenance of the social order was
merely its function. Sovereignty was, in fact, ultimately sourced in the divine will. On the part of the
individual, there was no unified allegiance, no single loyalty except to society as a whole. Only the pluralistic
theory of sovereignty can grasp the Indian phenomenon.
Role of King and subsequent judicial system
 A basic tenet of Hindu political thought was the belief that the king must regard himself not as the creator
of the law but only as its guardian.
 The Narada-Smrti is an exception. In this work the royal decree is regarded as legitimate in its own right.
Perhaps the most authoritarian of Indian writers, Narada demands that the king be obeyed whether right
or wrong in his actions.
 However, from about the third century B.C. there seems to have developed a growing appreciation of
the need to relate law and tradition to changing social conditions. This awareness can be seen in the
https://upscpdf.com
Dharma Shastras work attributed to Yajnavalkya. In that work and in the codes of other legal authorities
it is argued that the edict must harmonize with customary and sacred law and that departures from the
original raja dharma must be carefully controlled.
 Judicial offices were generally to be filled by Brahmans, since no man could be judged by one who was
not at least his social equal and since the sin involved in the crime must also be judged. The earliest court
was likely the king’s palace, but by the time of the Dharma Shastras complexities of judicial
administration necessitated formal institutions of a more specialized nature. There existed a regular
procedure for appeal from lower to higher courts.
 The technique of the power balance was understood, and alliances were considered among the major
assets of the state. In Hindu political theory, diplomacy is constructed on the interrelationships within a
group of states, all neatly described in terms of their probable effect on the fortunes of the home state.
This theory (mandala) is based on the assumption that the king, by nature, aspires to conquest and that
his neighbour is his enemy. The natural ally is the kingdom on the opposite frontier of the enemy.
Idea of Dharma and Danda
 The term danda means discipline, force, restraint, constraint or punishment. Dharma is that which holds
society together. Society could be held together when each individual and groups does his or its specific
duties.
 The Dharmashastras writers concentrated on exploring the dharma of individuals and social groups,
including the government. In contrast to the approach of the Dharmashastras, the authors of
Arthashastra were interested in the organisation and mechanics of danda. The Arthashastra gives us a
detailed account
 of the nature and organisation of government,

 the nature and method of exercising coercive power,-
 how power could be acquired, -
 strategies and mechanics of retaining power, -
 The possible threat to the Varnas, prakritis or the elements of state and the best way to deal with them.
 The Dharmashastras were legalistic and a religious in orientation,
 Whereas the Arthashastra concentrated on institutions and politics and were secular in orientation.
 -In ancient India, term Matsyanyaya, equivalent to the western concept of the state of nature. In
Matsyanyaya, the state of big fish devouring the small. The term Matsyanyaya which explains the state
of affairs in the absence of force or danda. Force is held to be the ultimate sanction behind the state.
Other Distinguishing Features : Apart from the above mentioned characteristics, Professor Bhikhu Parekh
mentions some other distinguishing features of the Hindu political traditions. They are:
 the Hindu tradition is basically in-egalitarian. Although it developed the idea of the moral equality of all
men, it never developed the social, legal and political groups.
 The Hindu tradition of political thought is pluralistic in orientation. The Hindu political writers from the
very beginning recognized the autonomy of social groups.
 Political thought in early India was largely uncritical and apologetic of the established social order. Most
Hindu writers justified the caste system as the caste based conception of dharma, the largely fatalist
concept of karma, the degradation of the Shudras and the slaves, the extensive moral interference of the
state and so on. It ignored the whole area of social conflict.
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 Many Hindu writers wrote mainly for the attention of the rulers. Their works are largely manuals of ethics
or administration; hence, it is largely didactic and practical.
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POLITICAL PARTIES
people.
https://upscpdf.com


elections.
House.
https://upscpdf.com
mitigate others.”
government.”

https://upscpdf.com
it all-powerful.
communist parties.

political party.
https://upscpdf.com
definition.
https://upscpdf.com
United States.
ideologies.

categorisations.
The Elitist Parties
https://upscpdf.com
membership.
these parties.
parties.
no action.
not succeed.
basic features.
https://upscpdf.com

mass parties.
British parties.
Mass Parties
https://upscpdf.com

https://upscpdf.com
discipline.
ideology.

leader.
fascist programme.
https://upscpdf.com

party.
emerged out of it.
https://upscpdf.com
group.
in this category.
remain unaltered.
doctrinal parties.
https://upscpdf.com
such parties.
PARTY SYSTEM

dictatorships;
https://upscpdf.com

party systems.
Two-Party Systems
permanent basis.
https://upscpdf.com
other issues.
party leadership.
https://upscpdf.com
any important role.
Multi-Party Systems
system.
Cantons.
https://upscpdf.com
own.
of the States.
of different hues.
One-Party System
executed.
communist parties.
https://upscpdf.com
regimes.
regimes.
parties.
https://upscpdf.com

authoritarian.
Congress.
https://upscpdf.com
https://upscpdf.com
avoided.
exploitation.
dictatorship.
https://upscpdf.com
PRESSURE GROUPS
https://upscpdf.com

on the other.
https://upscpdf.com
responsibilities.

https://upscpdf.com

Parties.

the government.
purpose.
https://upscpdf.com
circumspect.”
role.
https://upscpdf.com
these contacts.

https://upscpdf.com
hijackings.

https://upscpdf.com
type.
bodies.

https://upscpdf.com
(see below).
others.
Public Groups.
media.

https://upscpdf.com
Lobbying
interest groups.
https://upscpdf.com
MANU: The Exponent of Dharmashastra
 The legend of Manu of the Deluge is described in Shatapatha Brahmana .He was the person
who survived the great Deluge and then became the founder of the present race of human
beings .Manu Vaivasvata is alluded to be the first king of human beings who founded the
institution of kingship.As stated in koutiluya ‘s Arthashastra:
 People suffering from anarchy as illustrated by the proverbial tendency of a large fish
swallowing a small one (maatsyanyabhibhuatah prajaah) first elected Manu ,the vaivasvata ,to
be the king.
 Now Manu ,the Law giver ,the author of famous Manusmriti or the Code of Manu also figures in
Mythology as one of the seven great sages created by Brahma (the Creator of the Universe ).
But since Maanusmriti, as a literary work.
 The age-old sanctity of the contents of manusmriti, it would be reasonable to regard it as a work
of quite ancient origin. Moreover, of all the most important and authoritative. It is supposed to
embody the essence of vedas(the most ancient and sacred scriptures of Hindus), and any smriti
text opposed to Manusmriti was not approved.
 Manu is regarded as the chief exponent of Dharmashastra tradition which regulates all aspects
of social life including polity. In fact, the whole edifice of traditional Hindu society was erected
on the code of law enunciated by Manu
 himself. Initially it was based on sound logic, but in the subsequent ages Manu's system was
reduced to a dogma. It was even exploited by some sections to serve their vested interests and
to perpetuate social injustice. Many social reformers and intellectuals of modern times sought
to reinterpret Manu's dictates in the light of their underlying logic so as to make them
compatible with the needs of social progress and the goal of justice
 At the outset, Manu (in his celebrated manusmriti) arges that the whole range of creation
represents an interrelated pattern, drawing it's source for. The unconditional Absolute
Brahaman(i.e.God as the creator of the universe). Social organization, to be perfect, must follow
the pattern of the cosmos. Manu identifies four basic functions of social organization which are
best performed by those inherently capable of performing the specific function. Accordingly,
society is divided into four varnas (roughly corresponding to four castes) :(a) Brahmas who take
care if inteelecy and spiritual aspects of social life;(b) Kashatriya who specialize in fighting and
who are fit to rule © Vaishyas who have a special aptitude for business and industry and who
are fit to wield the power of wealth ;and finally, (d) Shudras who are fit to perform manual work
and provide necessary services to society. Of these, Brahamans enjoyed the highest social status
;Kashatriyas and Vaishyas were placed in successively lower positions ;and Shudras were
relegated to the lowest social status.
https://upscpdf.com
 It is doubtful whether Manu treated this fourfold, hierarchical division of society as divinely
ordained and whether social status of each individual in the subsequent generation was to be
determined strictly by birth with no scope for social mobility.
 Incidentally, Manu also identifies three Gunas, i.e.basic properties found in the nature of things,
including human nature. This threefold classification of Gunas represent the descending order
of virtue from aiciat point of view. Of these, Sattva refers to the highest level virtue which is based
in goodness; it makes a person kind, calm, alert and thoughtful. Then Rajas represent middle
level virtue ;it is based in passion and leads a person to a path of gredd, ambition, restlessness
and anger. Finally, Tamas corresponds to lowest level virtue ;it is based in darkness or dullness
;It leads a plague towards idleness, ignorance and delusion. This threefold divit of Guna of each
person depends on his or her inherent quality :it is not related to his or her social status in the
caste system. It is quite possible to find a high caste pers with a low level of virtue, and vice versa.
It implies that the reputation for being virtuous is to be attained by persistent effort;it is not
determined by birth.
 The concept of Varna in Manusmriti is closely followed by the concept of Ashram. Ashrama
refers to the division of a person's life devoted to a particular pursuit of life. Manu recognizes four
Ashramas :(a) Brahmacharya refers to the first part of twenty -five years of a person's life ,
devoted to education and training and building up of character which nessiates a good deal of
self restraint and control of the senses ;(b) Grihastha refers to next twenty five years of a person's
life which involve the acceptance of marriages and family obligations;(C) Vanprahastha refers
to the third spell of twenty five years of person's life- the period of detachment from worldly
pursuits ;finally, (d) Samnyasa refers to the period of last twenty -five years of a person's life ---
the period of renunciation and pursuit of spiritual emancipation.
 It transpires from the aforesaid arrangement that only one -fourth of a person's life was devoted
to physical labor contributing to a soci production. It is a matter of investigation whether the
rule of four Ashramas uniformly applied to all castes and both sexes. If so, it did not involve a
serious violation of the principles of equality. However, if a sizable section of women and lower
castes (Vaishyas and Shudras) we're excluded from its pureview, it would imply that the burden
of physical labor in society was unevenly distributed which involved blatant violation of the
principles of equality.
 It may be conceded that Manu' model of social organi ws based in a sound logic befitting the
early stage of civilization. Those who forgot that logic, chose to follow his model blindly and
reduced his teaching to a dogma. The result was social stagnation which involved injustice to
certain sections of society. That's why the opposed sections of present day society ridicule the
followers of Manu as irrational puritarians, devoid of the sense of humanity.
 Manu identifies four sources of law that prevailed in his times:(a) Shruties which largely
comprised of four Vedas ;they dealt with the immanent and eternal laws of the universe and
provided the universal elements of all lwa;(b) Smritis ;they were the principal sources of lawyers'
https://upscpdf.com
laws ;they are coterminous with Dharmashastra, that is the treatises in Dharma; (c) Custom and
approved usage which represent the conventional wisdom and the social experience of the
commy (it mainly consist of Sadachar, i. e. the rules of good conduct, and Shishtachar, i.e. the
rulers of decency) ; and finally, (d) Dictates of good conscience which comprise an ever evolving
source of law corresponding to the development of social consciousness. Recognition of this
(fourth) source of law guarantees that Manu's own teaching should not be reduced to a dogma.
 Manu also conceded that law was subject to variation with the changes in time and space. It
implies that while universal elements of law were inexorable, it's temporal and local elements
were largely flexible. Besides, Manusmriti provides elaborate judicial procedure which also refers
to various types of cases which must be decided in a court-of-late. Manu carefully distinguished
between civil and criminal laws. Some of his instructions seem to anticipate the modern
principles of natural justice.
 However, Manu's View of in this behalf should not be confused with the Western theory of divine
right of the king as enunciated in early modern times. The Western vowel regards the human
monarch as an agent of God as a source of law itself, as if 'King can do no wrong'. King's person
was composed of the unique qualities of all major divinities :the might of Indra(the Lord of
death), the treasure of kuber (the Lord of Riches), and the pleasantness of the moon. In any case,
qKing was at best only a representative of God who was subject to the supremacy of Dharma,
like any other human being.
 Manu's Concept of Dharma is derived from vedas which declare :"God produced the
transcendent body of law, since law is the king of kings, far more powerful and enduring than
they; nothing can be mightier than law by whose aid, as by that of the highest monarchs, even
the weak may prevail over the strongs. "
 It is further important to note that of three Guna (i.e. the basic properties of the nature of things),
representing the three levels of virtue, Manu 'concept of king as the representative of God
belongs only to Sattva, that is the highest level virtue based in goodness. A king could attain his
exalted status only by fulfilling the duties imposed in Hindi by Dharam.
 The primary duty of the king is the protection of his subjects. This is evident from Manusmriti's
account of the creation of the Kings. It reads :When God saw this work in a state of anarchy
where people were running in different directions out of fear, he created the king for everybody'
protection. "Manusmriti envisages the kings as the wielder of 'Danda' which literally means a
rod - an instrument of chastisement ; a symbol of state literature the science of polity itset was
described as Dandaniti, that is the art of applying the sate power . Although Manu wanted the
King to act strongly, yet he wanted him to '' behave like a father towards all men '' And please
all.
 According to Manusmriti, a king was entitled to receive one-sixth of the wealth of his subjects
towards taxes , as a for orovy solid protection to their person and property. If the king fulfilled
this duty efficiently, he was also entitled to one -sixth of the divine reward of their good deeds.
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If he failed to perform this duty, he was condemned to endure one -sixth of the divine wrath
that resulted from the bad deed of his subject. In a nutshell, the extrait power of the king was
directly dependent on the condition of fulfilling his extraordt duties.
Mahabharata:The Link Between Dharmashastra and

Arthashashtra
It is important to note that the term Rajdharma occurs most frequently in Mahabharata to refer to
the science of politics. There is a large section on Rajdharma within the Shantiparavan (an
important section of this great epic). Rajdharma literally means the code or royal duties which also
implies the art of good governance. It largely prescribes what a king or a ruler should do under
normal conditions. It is supplemented by Apadharama (also celebrated in this epic) which
describes what a ruler should do under abnormal conditions. Another important term which
frequently occurs in Mahat to refer to the science of politics is Dandaniti. It implies the science of
chastisement- use of power to govern the ungovernable and to punish the offenders. Dandaniti
was the current coin of ancient Indian political discourse.
SIGNIFICANCE AND FUNCTIONS OF KINGSHIP
ORIGIN OF THE KINGSHIP
As regards the origin of the kingship, Mahabharata narrates that in the Krita age (the earliest age
of human existence) when everybody was righteous and free from vices, no king was necce. Later
on when various vices (like list, anger, greed, delusion and arrogance) crept into human mind and
human society was degenerated, it fout itself in the grip of complete anarchy and chaos. Under
the circumstances, several sages and minor gods approached the Creator acceded to their request
and appointed Mani Vaiivasvata as the king for the protection of people, and to enable them to
pursue the path of righteousness and progress. The king was equipped with divine powers to
enable him control all the creatures on earth.
SIGNIFICANCE OF KINGSHIP
In ancient Indian political thought, king is regarded as a sovereign power. Sovereignty in this sense
is not confined to 'supreme legal authority ' as contemplated in the Western tradition. Sovereignty
in the Indian tradition denotes supreme power of the king in moral as well as material sense. As
elucidated in Mahabharata, here the king assumes the functions of different gods on different
occasions. When the king, enraged by the evil deeds of miscreants, applies his fierce energy to burn
the sinful offenders, he assumes the function of Agni (the God of fire) .When he observes the acts
of all persons, through his spies so as to reward or punish them as they deserved , the King assumes
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the function of Aditya (Sun God). When he destroys hundreds of wicked men by his wrath, he
assumes the function of Mrityu (the God of Death). When he restrains the wicked by inflicting the
function of Mrityu (the God of Death) . When he restrains the wicked by inflicting severe
punishments upon them and promotes the righteous by bestowing unique rewards upon them,
he performs the function of Yama (the God of Righteousness) .
Finally when the king bestows immense wealth to people who have rendered valuable service to
society, and deprives the sinners and offenders of their wealth, he assumes the function of Kubera
(The God of Treasure).
The power wielded by the king is symbolized by Danada, i.e. the rise of chastisement. Exaltation of
rod in the ancient texts, therefore, exemplifies the majesty of the King himself. According to
Mahabharata, the rod of chastisement sways all subjects and protects them. The rod is awake when
all else is asleep. The rod therefore represent the righteousness the Righteousness itself.
Indian sages had identified four principal objects of human life (purusharthas): Dharna (the virtue
promoted by the performance of one's duty as prescribed by the sacred law) ; Artha (the virtues
promotes by the acquisition of wealth and material prosperity) ; Karma (the virtue promoted by the
gratifict of desires and sensual enjoyments) ;and Moksha (emancipation if the soul itself). According
to Mahabharata, protection of the first three of these cardinal virtues depends on the efficiency of
the rod of chastisement (which paves the way for the accomplishment of the fourth one).
Mahabharata further observes that if the rod of chastisement did not protect people, they would
have been immersed in the darknet of hell. In the absence of the rod of chastisement, all creatures
would be destroyed like fishes in the oct, where each fish is devoured by a bigger one. If you
dispense with the rod if chastisement, the sense of discrimination between good aand evil or beti
right and wrong would also disappear. Then human life would no longer remain worth living.
VIRTUES OF THE KING
The unique significance of the kingship is dependent on the virtues of an ideal king. So
Mahabharata particularly focuses on these virtues. It advises that at first the king should control
himself ; only then he wout be capable of controlling others. Similarly, the king king should first
subdue himself and then seek to subdue his foes. If a king fails to conquer his own self, he cannot
hope to conquer his foes.
According to Mahabharata, protection of the subjects and securing their happiness is the first and
foremost duty of the king To accomplish this task, the king is advised to undertake redistribution
of wealth through judicious taxation and forfeiture of the property of the wicked and offenders.
Mahabharata contains brilliant insight about a judicious policy of taxation.
Accordingly, a king should milk his kingdom. Like a bee collecting honey from plants. He should
act like the cow-herd who takes milk from the cow without boring her udders and without starving
the calf. Again, the king should act like the leech sucking blood mildly. He should impose the taxes
gradually with a srun of conciliation, and in a proper season. The author warns that draining the
kingdom to raise revenue rapidly would be detrimental to the progress of the state.
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ROYAL DUTIES UNDER ABNORMAL CONDITIONS
It is important to note that apart from the Rajdharma, Mahabharata also dwells on Aapadharmaa
(i.e.duties of the king in times of distress or under abnormal conditions). It asserts that under normal
conditions, the king should act as an epitome of moral excellence. However, under abnormal
conditions, it allows some departure from rigid moral standards in order to achieve the noble end
of the state. In this respect, the dictates of Mahabharata correspond to Artashatra tradition. While
Dharamshastra tradition insists on adherence to righteous means under all conditions,
Arthashastra tradit allows the use of dubious means under abnormal conditions in order to achieve
the noble end.
Mahabharata enumerates four criteria to determine the means to achieve the end of the
kingship(or the state), that is the people :Satya (truth) , Upapatti(reasoning) ;Sadachara (good
conduct (; and Upaya) expediency). Appropriate means should be chosen for their efficiency in a
particular situation. It is true that nothing is higher than truth, but where life is in jeopardy, it would
not be improper to save it by telling a lie (hence the departures from truth).
Mahabharata allows the king to use his discretion to decide when to act in a straightforward or in
a crooked way, as long as he is fully devoted to his noble duty to secure the good of the people. For
example, if an enemy is trying to create dissension within his kingdom, he may overcome the
subversive tendencies by resorting to deception.
Let us take an elaborate example. Suppose a king is deprived of his allies ; he has many enemies,
a small army and a little revenue ; moreover, his ministers and assistant are wicked. What should
he do save his kingdom for the good of the people? Mahabharata suggests that under these
circumstances, the king should think beyond the rigid standards of truth, reasoning and good
conduct, and have recourse to expediency. The king should ensure that he does not fall prey to his
enemies ; he should never allo his fortunes to sink; and in case of an imminent danger, he should
try to rescue his own self. In the case of distress, the king is advised to seize the property of the rich,
and if need be, all property other than that of ascetics and Brahamanas. It is conceded that Kosha
(treasury)and Bala (Army) are the foundations of kingship ; of these Kosha is more important
because the king cannot maintain an army or secure the good of the people without money. Under
normal conditions, the king is advised to levy necessary taxes and collect them by force. Fir raising
sufficient money to run the kingdom, even the recourse to violence and oppression would also be
justified.
It is necessary to realize that any departure from the path of righteousness may be allowed to the
king for the efficient perfoy of his noble duties. Under no circumstances, he is allowed to use violy
Or oppression for his personal gratification or in an arbitrary manner. Mahabharata does not allow
royal absolutism. It goes to the extent of advising that if a king fails to perform his duty of protecting
the people, or he himself becomes a tyrant, he should be dethroned and killed like a mad dog.
https://upscpdf.com
https://upscpdf.com

POLITICAL PARTIES
people.
https://upscpdf.com


elections.
House.
https://upscpdf.com
mitigate others.”
government.”

https://upscpdf.com
it all-powerful.
communist parties.

political party.
https://upscpdf.com
definition.
https://upscpdf.com
United States.
ideologies.

categorisations.
The Elitist Parties
https://upscpdf.com
membership.
these parties.
parties.
no action.
not succeed.
basic features.
https://upscpdf.com

mass parties.
British parties.
Mass Parties
https://upscpdf.com

https://upscpdf.com
discipline.
ideology.

leader.
fascist programme.
https://upscpdf.com

party.
emerged out of it.
https://upscpdf.com
group.
in this category.
remain unaltered.
doctrinal parties.
https://upscpdf.com
such parties.
PARTY SYSTEM

dictatorships;
https://upscpdf.com

party systems.
Two-Party Systems
permanent basis.
https://upscpdf.com
other issues.
party leadership.
https://upscpdf.com
any important role.
Multi-Party Systems
system.
Cantons.
https://upscpdf.com
own.
of the States.
of different hues.
One-Party System
executed.
communist parties.
https://upscpdf.com
regimes.
regimes.
parties.
https://upscpdf.com

authoritarian.
Congress.
https://upscpdf.com
https://upscpdf.com
avoided.
exploitation.
dictatorship.
https://upscpdf.com
PRESSURE GROUPS
https://upscpdf.com

on the other.
https://upscpdf.com
responsibilities.

https://upscpdf.com

Parties.

the government.
purpose.
https://upscpdf.com
circumspect.”
role.
https://upscpdf.com
these contacts.

https://upscpdf.com
hijackings.

https://upscpdf.com
type.
bodies.

https://upscpdf.com
(see below).
others.
Public Groups.
media.

https://upscpdf.com
Lobbying
interest groups.
https://upscpdf.com
The legend of Manu of the Deluge is described in Shatapatha Brahmana .He was the
person who survived the great Deluge and then became the founder of the present
race of human beings .Manu Vaivasvata is alluded to be the first king of human beings
who founded the institution of kingship.As stated in koutiluya ‘s Arthashastra:
People suffering from anarchy as illustrated by the proverbial tendency of a large fish
swallowing a small one (maatsyanyabhibhuatah prajaah) first elected Manu ,the
vaivasvata ,to be the king.
Now Manu ,theLaw giver ,the author of famous Manusmriti or the Code of Manu also
figures in Mythology as one of the seven great sages created by Brahma (the Creator
of the Universe ). But since Maanusmriti, as a literary work.
The age-old sanctity of the contents of manusmriti, it would be reasonable to regard

it as a work of quite ancient origin. Moreover, of all the most important and
authoritative. It is supposed to embody the essence of vedas(the most ancient and
sacred scriptures of Hindus), and any smriti text opposed to Manusmriti was not
approved.
Manu is regarded as the chief exponent of Dharmashastra tradition which regulates

all aspects of social life including polity. In fact, the whole edifice of traditional Hindu
society was erected on the code of law enunciated by Manu
himself. Initially it was based on sound logic, but in the subsequent ages Manu's
system was reduced to a dogma. It was even exploited by some sections to serve their
vested interests and to perpetuate social injustice. Many social reformers and
intellectuals of modern times sought to reinterpret Manu's dictates in the light of their
underlying logic so as to make them compatible with the needs of social progress and
the goal of justice
At the outset, Manu (in his celebrated manusmriti) arges that the whole range of
creation represents an interrelated pattern, drawing it's source for. The unconditional
Absolute Brahaman(i.e.God as the creator of the universe). Social organization, to be
perfect, must follow the pattern of the cosmos. Manu identifies four basic functions of
social organization which are best performed by those inherently capable of
performing the specific function. Accordingly, society is divided into four varnas
(roughly corresponding to four castes) :(a) Brahmas who take care if inteelecy and
spiritual aspects of social life;(b) Kashatriya who specialize in fighting and who are fit
to rule © Vaishyas who have a special aptitude for business and industry and who are
fit to wield the power of wealth ;and finally, (d) Shudras who are fit to perform manual
https://upscpdf.com
work and provide necessary services to society. Of these, Brahamans enjoyed the
highest social status ;Kashatriyas and Vaishyas were placed in successively lower
positions ;and Shudras were relegated to the lowest social status.
It is doubtful whether Manu treated this fourfold, hierarchical division of society as

divinely ordained and whether social status of each individual in the subsequent
generation was to be determined strictly by birth with no scope for social mobility.
Incidentally, Manu also identifies three Gunas, i.e.basic properties found in the
nature of things, including human nature. This threefold classification of Gunas
represent the descending order of virtue from aiciat point of view. Of these, Sattva
refers to the highest level virtue which is based in goodness; it makes a person kind,
calm, alert and thoughtful. Then Rajas represent middle level virtue ;it is based in
passion and leads a person to a path of gredd, ambition, restlessness and anger.
Finally, Tamas corresponds to lowest level virtue ;it is based in darkness or dullness ;It
leads a plague towards idleness, ignorance and delusion. This threefold divit of Guna
of each person depends on his or her inherent quality :it is not related to his or her
social status in the caste system. It is quite possible to find a high caste pers with a low
level of virtue, and vice versa. It implies that the reputation for being virtuous is to be
attained by persistent effort;it is not determined by birth.
The concept of Varna in Manusmriti is closely followed by the concept of Ashram.

Ashrama refers to the division of a person's life devoted to a particular pursuit of life.
Manu recognizes four Ashramas :(a) Brahmacharya refers to the first part of twenty -
five years of a person's life , devoted to education and training and building up of
character which nessiates a good deal of self restraint and control of the senses ;(b)
Grihastha refers to next twenty five years of a person's life which involve the
acceptance of marriages and family obligations;(C) Vanprahastha refers to the third
spell of twenty five years of person's life- the period of detachment from worldly
pursuits ;finally, (d) Samnyasa refers to the period of last twenty -five years of a person's
life --- the period of renunciation and pursuit of spiritual emancipation.
It transpires from the aforesaid arrangement that only one -fourth of a person's life
was devoted to physical labor contributing to a soci production. It is a matter of
investigation whether the rule of four Ashramas uniformly applied to all castes and
both sexes. If so, it did not involve a serious violation of the principles of equality.
However, if a sizable section of women and lower castes (Vaishyas and Shudras) we're
excluded from its pureview, it would imply that the burden of physical labor in society
was unevenly distributed which involved blatant violation of the principles of equality.
https://upscpdf.com
It may be conceded that Manu' model of social organi ws based in a sound logic
befitting the early stage of civilization. Those who forgot that logic, chose to follow his
model blindly and reduced his teaching to a dogma. The result was social stagnation
which involved injustice to certain sections of society. That's why the opposed sections
of present day society ridicule the followers of Manu as irrational puritarians, devoid of
the sense of humanity.
Manu identifies four sources of law that prevailed in his times:(a) Shruties which
largely comprised of four Vedas ;they dealt with the immanent and eternal laws of
the universe and provided the universal elements of all lwa;(b) Smritis ;they were the
principal sources of lawyers' laws ;they are coterminous with Dharmashastra, that is
the treatises in Dharma; (c) Custom and approved usage which represent the
conventional wisdom and the social experience of the commy (it mainly consist of
Sadachar, i. e. the rules of good conduct, and Shishtachar, i.e. the rulers of decency) ;
and finally, (d) Dictates of good conscience which comprise an ever evolving source of
law corresponding to the development of social consciousness. Recognition of this
(fourth) source of law guarantees that Manu's own teaching should not be reduced to
a dogma.
Manu also conceded that law was subject to variation with the changes in time and
space. It implies that while universal elements of law were inexorable, it's temporal
and local elements were largely flexible. Besides, Manusmriti provides elaborate
judicial procedure which also refers to various types of cases which must be decided
in a court-of-late. Manu carefully distinguished between civil and criminal laws. Some
of his instructions seem to anticipate the modern principles of natural justice.
However, Manu's View of in this behalf should not be confused with the Western
theory of divine right of the king as enunciated in early modern times. The Western
vowel regards the human monarch as an agent of God as a source of law itself, as if
'King can do no wrong'. King's person was composed of the unique qualities of all
major divinities :the might of Indra(the Lord of death), the treasure of kuber (the Lord
of Riches), and the pleasantness of the moon. In any case, qKing was at best only a
representative of God who was subject to the supremacy of Dharma, like any other
human being.
Manu's Concept of Dharma is derived from vedas which declare :"God produced the
transcendent body of law, since law is the king of kings, far more powerful and
enduring than they; nothing can be mightier than law by whose aid, as by that of the
highest monarchs, even the weak may prevail over the strongs. "
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It is further important to note that of three Guna (i.e. the basic properties of the
nature of things), representing the three levels of virtue, Manu 'concept of king as the
representative of God belongs only to Sattva, that is the highest level virtue based in
goodness. A king could attain his exalted status only by fulfilling the duties imposed
in Hindi by Dharam.
The primary duty of the king is the protection of his subjects. This is evident from
Manusmriti's account of the creation of the Kings. It reads :When God saw this work
in a state of anarchy where people were running in different directions out of fear, he
created the king for everybody' protection. "Manusmriti envisages the kings as the
wielder of 'Danda' which literally means a rod - an instrument of chastisement ; a
symbol of state literature the science of polity itset was described as Dandaniti, that is
the art of applying the sate power . Although Manu wanted the King to act strongly,
yet he wanted him to '' behave like a father towards all men '' And please all.
According to Manusmriti, a king was entitled to receive one-sixth of the wealth of his
subjects towards taxes , as a for orovy solid protection to their person and property. If
the king fulfilled this duty efficiently, he was also entitled to one -sixth of the divine
reward of their good deeds. If he failed to perform this duty, he was condemned to
endure one -sixth of the divine wrath that resulted from the bad deed of his subject.
In a nutshell, the extrait power of the king was directly dependent on the condition of
fulfilling his extraordt duties.

Arthashashtra
It is important to note that the term Rajdharma occurs most frequently in

Mahabharata to refer to the science of politics. There is a large section on Rajdharma
within the Shantiparavan (an important section of this great epic). Rajdharma literally
means the code or royal duties which also implies the art of good governance. It
largely prescribes what a king or a ruler should do under normal conditions. It is
supplemented by Apadharama (also celebrated in this epic) which describes what a
ruler should do under abnormal conditions. Another important term which frequently
occurs in Mahat to refer to the science of politics is Dandaniti. It implies the science of
chastisement- use of power to govern the ungovernable and to punish the offenders.
Dandaniti was the current coin of ancient Indian political discourse.
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As regards the origin of the kingship, Mahabharata narrates that in the Krita age (the
earliest age of human existence) when everybody was righteous and free from vices,
no king was necce. Later on when various vices (like list, anger, greed, delusion and
arrogance) crept into human mind and human society was degenerated, it fout itself
in the grip of complete anarchy and chaos. Under the circumstances, several sages
and minor gods approached the Creator acceded to their request and appointed
Mani Vaiivasvata as the king for the protection of people, and to enable them to
pursue the path of righteousness and progress. The king was equipped with divine
powers to enable him control all the creatures on earth.
In ancient Indian political thought, king is regarded as a sovereign power. Sovereignty

in this sense is not confined to 'supreme legal authority ' as contemplated in the
Western tradition. Sovereignty in the Indian tradition denotes supreme power of the
king in moral as well as material sense. As elucidated in Mahabharata, here the king
assumes the functions of different gods on different occasions. When the king,
enraged by the evil deeds of miscreants, applies his fierce energy to burn the sinful
offenders, he assumes the function of Agni (the God of fire) .When he observes the
acts of all persons, through his spies so as to reward or punish them as they deserved
, the King assumes the function of Aditya (Sun God). When he destroys hundreds of
wicked men by his wrath, he assumes the function of Mrityu (the God of Death). When
he restrains the wicked by inflicting the function of Mrityu (the God of Death) . When
he restrains the wicked by inflicting severe punishments upon them and promotes
the righteous by bestowing unique rewards upon them, he performs the function of
Yama (the God of Righteousness) .
Finally when the king bestows immense wealth to people who have rendered
valuable service to society, and deprives the sinners and offenders of their wealth, he
assumes the function of Kubera (The God of Treasure).
The power wielded by the king is symbolized by Danada, i.e. the rise of chastisement.
Exaltation of rod in the ancient texts, therefore, exemplifies the majesty of the King
himself. According to Mahabharata, the rod of chastisement sways all subjects and
protects them. The rod is awake when all else is asleep. The rod therefore represent
the righteousness the Righteousness itself.
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Indian sages had identified four principal objects of human life (purusharthas):
Dharna (the virtue promoted by the performance of one's duty as prescribed by the
sacred law) ; Artha (the virtues promotes by the acquisition of wealth and material
prosperity) ; Karma (the virtue promoted by the gratifict of desires and sensual
enjoyments) ;and Moksha (emancipation if the soul itself). According to Mahabharata,
protection of the first three of these cardinal virtues depends on the efficiency of the
rod of chastisement (which paves the way for the accomplishment of the fourth one).
Mahabharata further observes that if the rod of chastisement did not protect people,
they would have been immersed in the darknet of hell. In the absence of the rod of
chastisement, all creatures would be destroyed like fishes in the oct, where each fish
is devoured by a bigger one. If you dispense with the rod if chastisement, the sense of
discrimination between good aand evil or beti right and wrong would also disappear.
Then human life would no longer remain worth living.
VIRTUES OF THE KING
The unique significance of the kingship is dependent on the virtues of an ideal king.
So Mahabharata particularly focuses on these virtues. It advises that at first the king
should control himself ; only then he wout be capable of controlling others. Similarly,
the king king should first subdue himself and then seek to subdue his foes. If a king
fails to conquer his own self, he cannot hope to conquer his foes.
According to Mahabharata, protection of the subjects and securing their happiness

is the first and foremost duty of the king To accomplish this task, the king is advised
to undertake redistribution of wealth through judicious taxation and forfeiture of the
property of the wicked and offenders. Mahabharata contains brilliant insight about a
judicious policy of taxation.
Accordingly, a king should milk his kingdom. Like a bee collecting honey from
plants. He should act like the cow-herd who takes milk from the cow without boring
her udders and without starving the calf. Again, the king should act like the leech
sucking blood mildly. He should impose the taxes gradually with a srun of conciliation,
and in a proper season. The author warns that draining the kingdom to raise revenue
rapidly would be detrimental to the progress of the state.
It is important to note that apart from the Rajdharma, Mahabharata also dwells on
Aapadharmaa (i.e.duties of the king in times of distress or under abnormal conditions).
It asserts that under normal conditions, the king should act as an epitome of moral
excellence. However, under abnormal conditions, it allows some departure from rigid
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moral standards in order to achieve the noble end of the state. In this respect, the
dictates of Mahabharata correspond to Artashatra tradition. While Dharamshastra
tradition insists on adherence to righteous means under all conditions, Arthashastra
tradit allows the use of dubious means under abnormal conditions in order to achieve
the noble end.
Mahabharata enumerates four criteria to determine the means to achieve the end
of the kingship(or the state), that is the people :Satya (truth) , Upapatti(reasoning)
;Sadachara (good conduct (; and Upaya) expediency). Appropriate means should be
chosen for their efficiency in a particular situation. It is true that nothing is higher than
truth, but where life is in jeopardy, it would not be improper to save it by telling a lie
(hence the departures from truth).
Mahabharata allows the king to use his discretion to decide when to act in a
straightforward or in a crooked way, as long as he is fully devoted to his noble duty to
secure the good of the people. For example, if an enemy is trying to create dissension
within his kingdom, he may overcome the subversive tendencies by resorting to
deception.
Let us take an elaborate example. Suppose a king is deprived of his allies ; he has
many enemies, a small army and a little revenue ; moreover, his ministers and
assistant are wicked. What should he do save his kingdom for the good of the people?
Mahabharata suggests that under these circumstances, the king should think beyond
the rigid standards of truth, reasoning and good conduct, and have recourse to
expediency. The king should ensure that he does not fall prey to his enemies ; he
should never allo his fortunes to sink; and in case of an imminent danger, he should
try to rescue his own self. In the case of distress, the king is advised to seize the
property of the rich, and if need be, all property other than that of ascetics and
Brahamanas. It is conceded that Kosha (treasury)and Bala (Army) are the foundations
of kingship ; of these Kosha is more important because the king cannot maintain an
army or secure the good of the people without money. Under normal conditions, the
king is advised to levy necessary taxes and collect them by force. Fir raising sufficient
money to run the kingdom, even the recourse to violence and oppression would also
be justified.
It is necessary to realize that any departure from the path of righteousness may be
allowed to the king for the efficient perfoy of his noble duties. Under no circumstances,
he is allowed to use violy Or oppression for his personal gratification or in an arbitrary
manner. Mahabharata does not allow royal absolutism. It goes to the extent of
advising that if a king fails to perform his duty of protecting the people, or he himself
becomes a tyrant, he should be dethroned and killed like a mad dog.
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Advent of Buddhist Tradition
● Whereas traditional philosophers indulged in intellectual disputation for its

own sake, Buddha doscouragrd it as a fruitless exercise which distractes the
individual from awakening. Biddha also repudiated the conventional hindu
belief that Brahamans were the genuine children of Brahma ( the creator of
the Universe) , born of his mouth.
● Then Buddha denied to link an individual's status with his position in the
hierarchy of the caste system. He asserted that men should be judged by their
deeds with reference to the standard of righteousness, and not by their birth in
a particular class.
● Budhaa declared that all those who became his followers and observed
Dhamma ( the virtuous path prescribed by Buddha) would be treated as equal
without district of caste, gender, race or region. Buddha argued that as all rivers
- great and small -lose their distinct identities on joining the ocean, so all castes
and classes acquire identical status on joining his Sangha(Buddhist organic).
ETHICAL FOUNDATION OF BUDDHISM
● Buddhism initially flourished as an Eastern religion in the fifth century B.C. It's
basic tenets are enshrined in 'four noble Truths'. These are: (a) All existence is
afflicted with suffy ; (b) Desire, appetite or cravings is the source of suffering
that binds all beings to the cycle of birth and rebirth; (c) Through the
elimination of craving, suffering, can be brought to an end ;(d) In worldly life,
men should follow the 'eightfold path' which is the key to their redemption
from suffering.
● The eightfold path shows the way to renounce one's cravings. It implies eight
noble principles : Right Thinking, Right Intention, Right Speech,Right Conduct,
Right Livelihood, Right effort, Right mindfulness or control of thoughts and
Right Concentration. Buddha advised his followers to refrain from exterems
and always follow the 'middle path' to mitigate suffering.
● In contrast to Hindu mode of thought, Buddhism does not recognize any
supernatural deity. It holds that by following the 'eightfold path', one will
eventually attain Enlight on Nirvana, that is the state of liberation of the soul
from the passions and frustrations of ordinary living.
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● Buddhism holds that an individual's self is linked with the lives of all other
creatures and to his or her past and future incarnations. This
interconnectedness of the universe is often involved to assert a strong sense of
social solidarity and an individual's moral obligation towards others.
POLITICAL PERSPECTIVE
ORIGIN OF THE STATE
● The Buddhist account of the origin of the state or kingship is closely linked with
its account of the evolution of the universe. According to Digha Nikaya, an
important Buddhist scripture, with the appearance of high quality rice and it's
consumption, men acquire physical strength.
● This results in the rise of passions among men and women who tend to build
households and store rice. This tensei gives rise to scarcity situations whereas
men decide to divide and demarcate their rice fields. Now a certain greedy
being while guarding his own rice plot, steals another's plot and makes use of
it. Thereupon others arrest and censure him for this act.
● They make him promise not to do it again. But he resorts to lying and repeats
the act when he is struck by others. Thus four evils come into existence :(a)
Theft; (b) Censure; © Lying; and (d) Violence. Thereupon people together to
deliberate on the ways to control these evils.
● They decide to select a person who should be wrathful when indignation is
justified ;who should ensure the person that must be censured ; and who
should banish the one who deserves to be banished.
● The people also agree to give a portion of their rice to the person whom they
competent to perfect these functions; the person so chosen accepts their offer
keeping in view their common interest. In this way the' sovereign' comes into
existence.
● In Buddhist literature, the 'sovereign' is described by three standing phrases :
(a) Mahajana Sampatha ( one who is chosen by multitude) ;(b) Khattiya(Sanskrit
: Kshatriya) ( one who is Lord of the fields) : and © Raha (one who justifies the
others in accordance with Dhamma.
● The Buddhist view of the origin of the state stands in sharp contrast to the Hind
theory of Matsya Nyaya which held that the king was created to control an
unbearable state of affairs.
● According to Manusmriti, Koutilya' s Arthashatra and Mahabharata, when
there is no euler to wield the power of punishment on earth, the strong would
devour the weak like fishes in water : the stronger was based on a belief in the
innate depravity.
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● It held that man was evei ready to live in peace and amity with his fellow beings,
to cooperate with them, and even to sacrifice himself for the sake of his fellow
beings provided he was properly guided.
● Buddha argued that man could be controlled more effectively by self
understanding and inward discipline rather than by discipline imposed from
above by an external.
RULES OF GOOD CONDUCT
● Indeed, Buddhist scriptures set out certat norms of conduct for rulers as well as
for subjects. In order to contain the 'four evils' which necessitated the formation
of the state, Buddhian prescribe a set of five ethical principles, described as
Panchsheel which must be followed by the individual to have a better life - full
of happiness and free from worries.
● These include: (a) Non violence (refraining from taking lives of others) ; (b) Non
theft (refraining from taking what is not given to him) ; (c) Non -indulgence
(refraining from sensual misconduct) ; (d) Adherent to Truth (refrat from lying)
; and (e) Non -addiction ( refraining from intoxicants) .
● It is sometimes alleged that the Arthashastra Focus on statecraft tends to
subordinate ethics to politics whereas Buddhist traditions does not
compromise the primacy of ethics pover politics.
● As U. N. Ghosham ( A History of Political ideas 1966) has rightly argued : " For
while the Arthashastra teachers were inspired by their avowed end of ensuring
the security and prosperity of the state to condone, if not to justify, breaches of
morality in its interest, Buddhist with its stem unbending code of ethics stood
for the unqualified supremacy of the moral law over governmental affairs. "
● This mode of governance implied the brotherhood of minks that was
established on democratic principles. The day to day affairs of the Sangha were
governed by a liberal culture of equalitarian interpersonal relations.
● There was no formal heirarchy Or dynastic favouratism in the maonastic order.
The monastic code of conduct stipulates that the individual life of a monk is
immersed in a community of persons ideally seeking liberation from greed,
hatred, delusion, folly, conceit and ignoranve.
● They were required to live in a state of communal harmony, with communal
property and a bare minimum of one's private material possessions. This form
of monastic governance contained many features of statecraft found in the self
governing Confederacies and republic ls rather than the large monarchical
kingdom of the North, such as Koshala and Magadh. While monarchical
Kingdoms exemplified the Brahamanic notions of a divinely ordained systems
of a superior class of rulers, the self -governing Confederacies largely coformed
to the logic of humanity foundations of Buddhist Ethics.
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CONCLUSION
● Advent of the Buddhist tradition of social and politii thought in ancient India
marked a departure from the then prevailing rigidity of custom and social
stagnation.
● Before Buddha, law was treated as something divinely ordained; the King was
regarded to be the Guardian of law, not empowered to change it ; man was
expected to live for the observance of that law. It was Buddha who introdu the
concept of 'legislation' in ancient India which implied that law could be made
or modified for the welfare of man.
● As B. R. Ambedkar , modern Indian soct philosopher, significantly observed : "I
prefer Buddhism because it gives three principles in combination which no
other religion does. Buddhism teaches Prajana (understanding) as against
superstition and supernaturalism, Karuna (love and compassion) and Samata
(equality). This is what man wants for a good and happy life. "
● As a devout Hindu, Gandhi :"Buddha never rejected Hinduism, but he
broadened it's base. He gave it a new life and new interpretation. " It is high
time to integrate Buddhist ethics with the general framework of modern times.
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GLOBALISATION
By the term “globalisation”, generally people refer to the opening of the economy for
the world market by attaining inter-connectedness. In true sense, globalisation is a
multidimensional process which involves free flow of goods and services, people and
a range of ideas. In the words of Anthony Giddens, “Decoupling of space and time,
emphasizing this with instant communication, knowledge, and culture, which can
be shared around the world simultaneously.
Anthony Giddens termed it as “Action at Distance”. For John Grey - “Meaning of

Globalisation is delocalisation, uprooting of activities and relationships for local
origins and culture.
Theories of Globalisation
Hyper-globalist: The hyperglobalist perspective as an approach which sees
globalization as a new epoch in human history. This new epoch is characterized by
the declining relevance and authority of nation-states, brought about largely
through the economic logic of a global market. Economies are becoming
“denationalized.”
Hyper-globalists (sometimes referred to as global optimists) believe that

globalization is happening and that local cultures are being eroded primarily
because of the expansion of international capitalism and the emergence of a
homogeneous global culture; they (as the ‘optimist’ part of the label implies) believe
that globalization is a positive process characterised by economic growth, increasing
prosperity and the spread of democracy.
Thomas Friedman (2000) argues that globalization has occurred because of the
global adoption of neoliberal economic policies. Neoliberalism insists that
governments in developing countries need to remove obstacles to free trade and
free market capitalism in order to generate development. Governments should limit
their role to providing a business-friendly environment that enables businesses (both
inside and outside the country) to make a profit.
Hyper-globalists (sometimes referred to as global optimists) believe that

globalization is happening and that local cultures are being eroded primarily
because of the expansion of international capitalism and the emergence of a
homogeneous global culture; they (as the ‘optimist’ part of the label implies) believe
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that globalization is a positive process characterised by economic growth, increasing

prosperity and the spread of democracy.
Thomas Friedman (2000) argues that globalization has occurred because of the
global adoption of neoliberal economic policies. Neoliberalism insists that
governments in developing countries need to remove obstacles to free trade and
free market capitalism in order to generate development. Governments should limit
their role to providing a business-friendly environment that enables businesses (both
inside and outside the country) to make a profit. The theory is that if governments
allow businesses the freedom to ‘do business’, wealth will be generated which will
trickle down to everyone.
Friedman identifies a neoliberal economic set of principles that he calls the ‘golden
straightjacket’ that countries need to fit into if they are to achieve success in the
global economy: deregulation, fewer protections for workers and the environment,
privatisation and cutting taxes.
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Skeptic - The skeptics argue that the side effects of globalization on the society are
much greater than its positive effects. One of the greatest skeptics, Ralph
Dahrendorf, foresees a threat to social cohesion due to increase in individualism and
competition. Skepticism of globalization creates uncertainty on the creation and
application of regulations that challenge the ability of global firms to design and
implement their current strategies. Skepticism of globalization is a sentiment
among individuals, which sometimes affects policymaking at the government level.
Sceptics claim that “the logic of global capitalism has led to greater polarization
between the “developed” and developing countries”. Besides, though many of
globalisation theories refer to the demise of the nation-state, sceptical stance argues
that, paradoxically, globalisation extends the role of the state to confront modern
dilemmas (ibid). In terms of education, sceptics doubt that any meaningful
globalisation has taken place. Though through policy borrowing national education
systems tend to resemble each other, the argument lacks solid ground that national
education systems do not exist any more, or the nation states gave up control over
them. Through globalisation theory there has been an attempt to reconceptualise
the role of the state in terms of education provision. “The new role has been
described as involving a 'new orthodoxy' aimed at making nations more competitive
within global economy.
Transformational - The transformational approach represents an intermediary, more

balanced stance towards globalisation. They do agree with the hyperglobalists about
an intensification of 'global interconnectedness' and recognize the all-pervasive
nature of globalisation process. However, they doubt the novelty of the phenomenon
and view it as 'an historically contingent process replete with contradictions'. On the
one hand it promotes economic, cultural and political integration, and on the other
hand it causes stratification distancing 'First World' from 'Third World' . Some
nations, states and communities get full advantage by being part of the global world,
whereas others become more and more disadvantaged. Transformationalists explain
the contradictions of globalisation by the inconsistency of 'global division of labour'
in terms of centre-periphery relationship. More and more individuals from transition
or developing nations are represented in the 'core' of the global economy, whereas
there is an increase in number of disadvantaged in the periphery of industrial states.
How transformational stance affects education can vividly be seen in its effort to
address the issues of social stratification within the society as well as at international
level. Policy borrowing and lending has become a common practice through global
communication and interconnectedness between the nations. Globalisation “unifies
national education policies by integrating them with the broader global trends”.
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Commonality of the problems in the education systems determined the similarity of

approaches and strategies
Globalization and Human Rights
Introduction
The world’s inequalities are constantly growing: millions of people continue to suffer
from forced evictions, inadequate access to education and basic health treatment
and appalling working conditions. Economic actors, especially multinational
corporations, have acquired increased power in the past decades. Liberalisation of
trade and investment flows, protection granted to foreign investors, the high degree
of dependency between the world’s economies but also foreign debt and policies of
international financial institutions have restrained the ability of States to uphold their
human rights obligations. Human rights defenders and those participating in
protests denouncing corporate abuse are being increasingly targeted.
Communities struggle to obtain justice for violations of economic, social and cultural
rights, even more so when involving multinational companies that operate across
national borders. There are
several gaps in the international human rights framework to prevent, sanction and
remedy abuses caused by the activities of business enterprises. Access to justice
remains particularly difficult for the majority of victims.
International contracts as an obstacle

International contracts may prevent states from taking the measures necessary to
implement a right. One example was the government getting around patent
protection for HIV/AIDS medication by issuing licenses to produce cheaper generic
products. International organizations can also prevent states from taking the
political measures necessary to ensure rights.
Direct investment as an obstacle

Private companies often have the upper hand when it comes to foreign direct
investment, and most investments are only made if they are "investor friendly." In
practice that can mean that employee rights or protection from forced displacement
fall by the wayside. For example, thousands of families are forcibly resettled by
mining companies, especially by those that work in mountaintop removal. Often this
is done without adequate compensation. Trade unions and those affected are rarely
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able to improve unfair or unsafe labour conditions because international companies

are rarely brought to justice in national courts. Local or regional governments and
monitoring bodies are often tainted by corruption and do not pursue reports of
abuse.
Weak states as an obstacle

The situation can become particularly problematic for people if their national
government is barely functioning. If it is too weak to control or direct international
influences, human dignity falls by the wayside. In the case of "failed states" and
countries embroiled in civil war, the responsibility for standards in mines and on
plantations tend to lie with companies which have operations there.
Extra-territorial state obligations

Whether human rights are respected, protected and guaranteed, it continues to be
largely dependent on NGOs, skilled lawyers and human rights activists making the
problems public. That cannot be the only solution. But neither is making voluntary
instruments responsible for implementing economic, social and cultural human
rights.
In order to close human rights gaps, rules concerning so-called extraterritorial state
obligations are increasingly necessary. In the end, all countries ultimately have a duty
to make sure that their conduct - and that includes trade and dealings with
international organizations like the World Bank - conforms to accepted human
rights standards.
Overcoming the Risks and Contradictions of Globalization
Today’s global economy appears riven by contradictions. Steady growth in much of

the developing world – enabled by the opening of markets to goods, services,
investment and technology – has lifted hundreds of millions of people out of poverty.
Yet more than 1.2 billion people still live in extreme poverty, and even the better off
have profited unevenly from liberalizing markets.
The contradictions
Two contradictions in the globalized economy stand out in particular.

The first concerns the way in which open markets create both benefits and negative
distortions for societies. Openness to trade and foreign investment can break
internal oligopolies and weaken vested interests. Export markets enable countries to
profit from their natural and human endowments. In both cases, workers have a
greater opportunity to move up the value chain by earning, spending and saving
more.
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However, without a globally level playing field, market opening can just as easily
disenfranchise domestic producers and threaten the jobs they sustain. Markets
continue to be regulated by governments, which have national priorities and must
respond to domestic pressures. Even as cross-border markets have deepened on
many fronts, governments continue to use product standards, health and safety
regulations, tax policies and currency intervention to provide preferential treatment
to their own citizens and companies.
The result is that the winners and losers from globalization are not necessarily
determined by their skill and national endowments. And there appears to be a
growing divergence of opportunity between those – such as bankers and asset
managers – who direct global flows of goods, services and capital and those who are
the objects of this globalization. Critics argue that the first group gets steadily richer
in an open global economy, while the second group – from the blue-collar and office
workers of multinational companies to waiters, carers and taxi-drivers – sees incomes
stagnate.
A second major contradiction in the modern global economy concerns the

simultaneously empowering and disrupting effects of technological progress.
Technology can raise productivity and make expensive goods and services cheaper,
thus helping economies to grow and generate wealth.
But it can also disrupt traditional forms of manufacturing or service provision. The
question is whether technological disruption principally releases labour into
alternative forms of employment that are more productive and remunerative. If so,
the overall income in an economy will rise.
Yet technology can also open a divide between those at the top, who are
technologically integrated and well paid, and those at the bottom of the economic
ladder, stuck in low-income service provision. Continuing advances in computing
power also create the prospect that many of the technologically literate – even those
programming the new internet of things – will be disenfranchised by self-learning
machines or artificial intelligence.
The demographic challenge
Even as governments struggle with the impacts of globalization on their societies,

many of those societies are ageing structurally. And not just in Europe, where the
World Bank expects more than a third of people to be aged over 60 in ‘less than four
decades’; or in Asia, where Japan and SouthKorea are already experiencing
population decline. Emerging economies, from Mexico to China, are also undergoing
a transition from youthful to ageing societies. Demand for welfare provision will grow
in these countries, just as its burden is already affecting developed economies.
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Ageing societies make it difficult to generate economic growth. They consume

more and produce less. If older people remain in or re-enter the workforce (90 per
cent of new employment in the UK in 2008–14 was accounted for by those over 50),
their presence can depress wage growth.
Increasing longevity also makes pensions, health care and other social services
costlier. Unsustainable social welfare commitments have contributed to rising public
debt levels in Europe
and the United States.
In developing countries, a lack of welfare provision may prompt societies to save

too much, constraining healthy economic growth. China is grappling with precisely
this challenge, as it tries to shift from export- and investment-driven growth towards
a more consumption- and service-led economy.
Countering the Negative Effects of Globalization
Shaping Microeconomic policies
o The most important are microeconomic policies. By providing better education,

apprenticeships, career training and less rigid labour markets, policy-makers in
developed economies can help their societies to adapt to the pressures of
globalization and technological advance.
o Developing-country governments also need to provide the necessary physical and
institutional infrastructure to unlock growth. This not only means building roads,
railways and ports, but also enforcing the rule of law, tackling corruption and
removing economically distorting price subsidies on staple goods.
Investment in technology
o Investment in technology can open new opportunities for sustainable growth. In
the developed world, new manufacturing technologies are driving an ‘onshoring’ of
jobs, as producers deliver customized products more rapidly while keeping
inventories to a minimum.
o Technological innovation also has the potential to reduce health care costs for
ageing societies through self-diagnosis and treatment, and through robotized
caring.
o In the developing world, technology offers societies the opportunity to leapfrog
expensive traditional energy, educational,medical and communications
infrastructures, and to deliver government services at lower cost and with less scope
for corruption. Used effectively, technology can convert the massive migration of
people to urban centers into an engine for progress rather than a driver of misery.
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o As Mathieu Lefevre argued that about 400 mid-sized cities (with an average of less
than 2 million inhabitants) could generate 40 per cent of global economic growth in
the next 15 years. Coordination and Interdependence
o Faced with the growing protectionist instincts of populist political movements that
reject the benefits of globalization, policy-makers need to coordinate their economic
policies at multilateral levels in ways that reflect countries’ economic
interdependence.
o Regional institutions, from the European Union to the Association of Southeast
Asian Nations (ASEAN), are essential components in this process, given that they can
help governments tolower barriers and coordinate standards at a pace and within a
cultural context that will be less disruptive than some multilateral initiatives.
o Competent government, acting in partnership and unlocking the potential of rapid
technological advance and deepening regional economic integration, can overcome
some of the growing contradictions of globalization, even as the world enters an
uncertain period of demographic change and a sharpening contest between
economic winners and losers
Globalization and Indian Society
Globalization thrives on the world’s new, inexpensive transportation and

communication facilities. It requires freedom of movement across borders of goods,
services, capital, knowledge, and people. It also requires new institutions for
negotiating rules and regulations across international borders.
● With globalization, and the internet, billions of dollars of investment capital
can move around the globe at the stroke of a key.
● Globalization means increased trade among nations, as well as increased
travel, more world art, music, and literature, and new dimensions of economic
investment.
● New and different social and cultural forms have arisen. However,
globalization has also led to increasing disparities of wealth between the rich
and the poor, and this disparity has fostered movements opposing further
globalization.
● Globalization means integration of economies and societies through cross
country flows of information, ideas, technologies, goods, services, capital,
finance and people.
● Globalization has made countries to realize that nations can no longer be
cocooned in their own cultural or economic nests but invariably be part of the
larger picture which takes into account the competencies, interests and the
dependencies of economies world -wide.
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Positive effects Negative effects

● Digital divide
● Cultural interaction has helped ● Natural manure is replaced by
to overcome cultural barriers. synthetic fertilizers
Tourism ● Greater threat of spread of
● Removal of orthodox obstacles communicable diseases
● woman empowerment ● Global recession impact on
● MNC’s BPO KPO → job creaƟon Indian economy Jobless
● Human rights issues growthWesternization: valentine
highlighted day, clothes (low-waist jeans)
● Woman empowerment / issues (can be – or +) no culture is bad
highlighted ● Threat to traditional knowledge
● Gender equality system: Rudraksha and Basmati
● Increase competition → good rice has highlighted the need for
product with cheaper rates protecting the base of its
● Economic development & indigenous knowledge system
economic independence of ● Urbanization migration (rural to
women → increase in self urban)
confidence ● Rise of materialism leads to
● → Consumerism
What did India Gain?

Many theorists asserted that change in environment has both positive and negative
aspects (Harris, 2002). These stimulate driving or resisting forces toward the change
of the status quo. India was main mover of globalization. The government of India
made major modifications in its economic policy in 1991 by which it allowed direct
foreign investments in the country. As a result of
this, globalization of the Indian Industry occurred at large scale.
Rising Employment
1. In India, economic expansion was observed in nineteenth century due to
major crisis led by foreign exchange. The liberalization of the domestic
economy and enhanced incorporation of India with the global economy
helped to step up gross domestic product (GDP) growth rates which made
good position in global scale.
2. Effects of globalization in Indian Industry are observed as this process
brought in large amounts of foreign investments into the industry especially
in the BPO, pharmaceutical, petroleum, and manufacturing industries.
3. The benefits of the effects of globalization in the Indian Industry are that
many foreign companies set up industries in India, especially in the
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pharmaceutical, BPO, petroleum, manufacturing, and chemical sectors and

this helped to offer great opportunities for employment to Indian people.
4. Also, this helped to reduce the level of unemployment and poverty in the
country. It is observed that the major forces of globalization in India has been
in the development of outsourced IT and business process outsourcing
services.
5. Since last many years, there is an increase of skilled professionals in India
employed by both local and foreign companies to service customers in the US
and Europe. These countries take advantage of India's lower cost but highly
talented and English-speaking work force, and utilizes global communications
technologies such as voice-over IP (VOIP), email and the internet, international
enterprises have been able to lower their cost base by establishing outsourced
knowledge-worker operations in India.
6. The foreign companies brought in highly advanced technology with them
and this made the Indian Industry more technologically advanced.
Globalization in India has been beneficial for companies that have ventured in
the Indian market.
7. It is recommended by researchers that India has to focus on five important
areas to enhance its economic status. The areas include technological
entrepreneurship, new business openings for small and medium enterprises,
the importance of quality management, new prospects in rural areas and
privatization of financial institutions.
8. Booming Exports
a. In terms of export and import activities, many Indian companies have
expanded their business and became famous at global level such as
fast food, beverages, and sportswear and garment industries. Records
indicated that Agriculture exports account for about 13 to 18% of total
annual export of the country. Marine products in recent years have
emerged as the single largest contributor to the total agricultural
export form the country accounting for over one fifth of the total
agricultural exports. Cereals (mostly basmati rice and non-basmati rice),
oil seeds, tea and coffee are the other prominent products each of
which accounts for nearly 5 to 10% of the countries' total agricultural
exports.
Concerns: Globalization speeded export of food items in India in the form of
increased consumption of meat, western fast food, sodas and cool drinks, which may
result in public health crisis. The rich biodiversity of India has yielded many healthy
foods prepared from locally available entities. But the marketing by MNCs with large
advertisement campaigns lead the people to resort to their products
Technological and Cultural impact:
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● With the process of globalization, there is an access to television grew from

20% of the urban population (1991) to 90% of the urban population (2009).
Even in the rural areas satellite television has a grown-up market.
● In the cities, Internet facility is everywhere and extension of internet facilities
even to rural areas. There is an increase of global food chain /restaurants in the
urban areas of India.
● Excessive Multiplex movie halls, big shopping malls and high rise residential
are seen in every city. Entertainment sector in India has a global market.
● After economic liberalization, Bollywood expanded its area and showed a
major presence in the global scale. The industry began to explore new ways to
become more global and modern.
● In India, modernity is observed with the West. Therefore, Western philosophy
began to be incorporated into Bollywood films. As these new cultural
messages began to reach the Indian population, Indian moviegoers were
pushed to re-evaluate their traditional Indian cultural ideology.
● Bollywood movies are also distributed and accepted at international level. Big
international companies (Walt Disney, 20th Century Fox, and Columbia
Pictures) are investing on this sector. Famous International brands such as
Armani, Gucci, Nike, and Omega are also making investment in the Indian
market with the changing of fashion statement of Indians.
Education sector:
● There are immense effects observed in educational sector due to
globalization such as literacy rate become high and Foreign Universities are
collaborating with different Indian Universities.
● The Indian educational system faces challenges of globalization through
Information technology and it offers opportunities to evolve new paradigms
shifts in developmental education.
● Globalization promotes new tools and techniques such as E-learning, Flexible
learning, Distance Education Programs and Overseas training.
Women
● It is observed in current Indian society that through globalization, women
have gained certain opportunities for job options and to recognize women's
rights as a part of human rights.
● Their empowerment has given considerable opportunities and possibilities of
improving employment conditions through global solidarity and coordination.
● It is found that the growth of computer and other technologies enabled
women with better waged, flex timings, and capacity to negotiate their role
and status in home and at corporate level.
What are the concerns?
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● There is some negative impact of globalization such as this process made

disparity between rural and urban Indian joblessness, growth of slum capitals
and threat of terrorist activities.
● Globalization increased competition in the Indian market between the foreign
companies and domestic companies. With the foreign goods being better
than the Indian goods, the consumer preferred to buy the foreign goods.
● This reduced the amount of profit of the Indian Industry companies. This
happened mainly in the pharmaceutical,manufacturing,chemical, and steel
industries.
● The negative Effects of Globalization on Indian Industry are that with the
coming of technology the number of labours required are decreased and this
resulted increasing unemployment especially in the arena of the
pharmaceutical,chemical,manufacturing, and cement industries.
● Some section of people in India that are poor do not get benefit of
globalization. There is an increased gap between rich and poor that lead to
some criminal activities.
● Ethical responsibility of business has been reduced. Another major negative
effect of globalization in India is that youngsters of India leaving their studies
very early and joining Call centres to earn fast money reducing their social life
after getting habituated with monotonous work.
● There is an increase of every daily usable commodities. This has an adverse
effect on cultural aspect. The institution of marriage is breaking down at fast
rate.
● There are more people approaching divorce courts instead of maintaining
marital life.
● Globalization has considerable impact on the religious situation of India.
Globalization has brought about raising a population who is agnostic and
atheist. People visiting places of worship are reducing with time. Globalization
has reduced nationalism and patriotism in the country.
Regionalization
⮚ Since the 1990s the integration and interdependence of regions has been growing, thus
forming regional blocs of trade, to name a few; North America Free Trade Area (NAFTA),
European Union (EU), Mercosur, and Association of East Asian Nations (ASEAN). This
scenario called regionalism is often suggested to be an indication of a move towards
regionalisation and segmentation of trade activity rather than its globalization and integration
into a multilateral system of trade.
⮚ For the more optimists the formation of regional blocs is compatible with globalization and
promotes trade liberalisation. There is also the claim that in some ways regionalism overcome
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one of the problems faced by the World Trade Organization (WTO) the difficulty to
accommodate divergent interest of various nation states; with fewer actors on board it is
easier to negotiate and form consensus. In theory under the WTO principle of MFN (Most
Favoured Nation) any tariff reduction granted to one particular country has to be applied to all
countries.
⮚ According to Hirst and Thompson (1999), regionalization has become the strongest feature
of the international economy rather than globalization, and the former in practice has been
undermining the latter.
It would be fair to say that the current pattern of regionalisation of trade activity is a very
strong feature in contemporary economic globalization if not even a stronger feature than
globalization itself. Regionalism is a form of protectionism based on preferential
arrangements, and has been blocking the way to a more liberalised and multilateral system
of trade. In this respect when comparing with 19th century perspectives trade activity is less
integrated and interdependent than it was in the past.
Labour migration
⮚ The current period of liberalisation and reductions of barriers applies for trade, services, goods,
capital among others but does not apply for the movement of labour across borders. Concerning
the movement of labour, what we see today is the opposite.
⮚ There has been a growing imposition of policy restriction by recipient countries, namely
the developed states of the North, to the movement of labour, dramatically increased after
the events of 11th September.
⮚ The current trend of restrictions on movement of labour is not likely to change in the
near future. Hirst and Thompson have asserted that:
“Even a rapid and sustained expansion of the world economy is unlikely to significantly reduce the
multiple barriers to the movement of labour. Other than in the context of regionally developing free
trade agreement of the EU type, freedom of labour movement still remains heavily circumscribed. Even
the NAFTA explicitly excludes freedom of movement of persons, though there is de facto freedom
between Canada and the US, and enormous illegal flows between Mexico and the US”.
⮚ Nowadays the migration of labour has become a problem of national security of some of
developed states of the North, restrictions and surveillance is implemented to contain the
movement.
Globalisation and Regionalism

In a world where the concepts of Globalisation and Regionalism both seem to gain more and more
power, it was only a matter of time until the relationship between those two seemingly
contradictory processes would become the issue of discussion. What Andrew Hurrell has called the
“one world/many worlds relationship” has now become the subject of great academic interest
and debate.
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We can define regionalism as “the impact of rising levels of regional social and economic
exchange and the links between economic integration, institutions and identity” and
Globalisation as “the internationalization of production, capital flows and markets, the
emergence of transnational and supranational agencies and the internationalization of
culture”.
Regionalism neither challenges nor fully builds on Globalisation

Some fear that Regionalism could “inhibit multilateral trade liberalization “and that it could
serve “as a form of resistance to globalization and as a platform where alternative norms and
practices can be developed”.
Although since the 1980’s one might speak of “the new wave of regionalism”, the phenomenon
itself is not new. Regionalism, just like Globalisation, has been around “from the development
of the earliest political communities” and hence the question why suddenly Regionalism should
pose a serious challenge to Globalisation may seem unnecessary.
Further, it could be argued that Regionalism simply cannot be seen as a challenge to
Globalisation in the sense that it would be a substitute, as Regionalism and Globalisation are by
definition two entirely different concepts, where one could never act as a replacement for the
other.
Regionalism is a process that happens on a more conscious level. That is to say, states in a
particular region consciously make the effort to form a regional organisation and they
themselves are the ones who set up the rules and guidelines of this organisation according to
regionally accepted norms and values. Regionalism is a far more voluntary process and also far
more influenced and initiated by the states of the region in question. Hence, so far, it has become
clear that the claim that Regionalism challenges Globalisation is built on a very weak
argument.
How Regionalization challenging Globalisation is built on a very weak

argument?
⮚ Regionalization and Globalisation are entirely different concepts that cannot necessarily
act as substitutes for one another and Regionalism is not a new concept. It was possible for
Globalisation to develop in the way it did even with Regionalism present and with states
engaging in processes of regionalisation whilst at the same time being subject to Globalisation.
⮚ Scholars investigating the relationship of Regionalism and Globalisation believes that
Regionalism somehow builds on Globalisation. The “multilateral framework in which they
[the regional institutions] arose” has often been regarded as vital for the development of
these organisations.
⮚ The technological revolution that was brought about by Globalisation definitely forms a
vital basis for Regionalism to flourish. Had it not been for the greater ease with which states
and individuals can nowadays communicate with each other or send and receive information, it
would have been difficult if not impossible to form regional institutions of scale, like the
European Union, for example.
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⮚ The fact that suddenly due to Globalisation “developments in one region inform and indeed
feed into developments in others” has also definitely increased the desire and/or the need for
regional cooperation of some sort. So, in a way, it could be argued that “regionalism emerges
in response to globalisation” and that thus Regionalism partly builds on Globalisation.
⮚ Regionalism hardly challenges Globalisation and it really only builds on the effects of
Globalisation. What is far more striking and apparent, though, is the fact that Regionalism is
often used as a stepping-stone on the way to Globalisation and that it also provides what
might be called a ‘safer’ version of Globalisation.
⮚ Richard Stubbs and Geoffrey R. D. Underhill have described the latter phenomenon as “a way
of taking advantage of some of the forces set in train by the process of globalization”.
⮚ This is to say that national firms or organisations that would like to benefit from the effects of
Globalisation but that fear the insecurity that comes with it, would have the opportunity to take
advantage of international trade on a smaller, regional scale, whilst being provided with more
security due to the involvement of regional organisations.
⮚ Andrew Hurrell captured this trend nicely by saying that “the region is the most appropriate
and viable level to reconcile the changing and intensifying pressures of global capitalist
competition on the one hand with the need for political regulation and management on
the other”.
⮚ Thus, in this way, Regionalism does not challenge Globalisation, but rather “regional
cooperation is certainly a good preparation for an open international economy”. This
leads on to the second argument, which there was that Regionalism in providing a ‘safer’ version
of Globalisation could act as a stepping-stone towards a global economy. As Mario Telò points
out: “Larry Summers argues that regional liberalization is the best way towards
liberalization and globalization”.
⮚ This view of Regionalism is often called ‘open-regionalism’ and it “is the dominant theoretical
model of the globalisation-regionalism relationship” (Nesadurai, Helen; “Globalisation and
Economic Regionalism: A Survey and Critique of the Literature).
⮚ As such, it presents “regionalism as a way station to globalization” and it also regards it as
standing “more and more in the centre of the globalized economics and world politics (Telò,
Mario; European Union and New Regionalism; Ashgate (2007)).
⮚ Hence, Regionalism is not only “a way station to globalization”, (Nesadurai, Helen;
“Globalisation and Economic Regionalism: A Survey and Critique of the Literature) but its
institutions and regional economies can act as a sort of ‘training camp’ for national
businesses and organisations that are trying to go global.
So, does Regionalism challenge Globalisation? Not really. Does it build on it? Partly. But what is
more important about “the relationship between “the one world of the international system and the
many worlds of different regionalisms” is the purpose that Regionalism serves to the businesses
and organisations of a regional institution’s member states. Since Regionalism is concerned
with an increase in political and economic cooperation based on shared interests, norms and values
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in a certain region, this “make(s) it possible for large companies to expand and train for world
competition”.
Globalization 4.0
Introduction
Globalization 4.0 was the theme for World Economic Forum Annual Meeting 2019
held in Davos, Switzerland in January 2019.Under the rubric of Globalization 4.0, a
series of "Global Dialogues" in Davos focused on the interrelated areas namely
geopolitics, future of global economy, global dialogue on industry systems etc.
Globalization is a phenomenon driven by technology and the movement of ideas,
people, and goods. Globalization 4.0 is latest stage of globalization which involves
cutting-edge new technologies like artificial intelligence that powers forward with
the explosion of information technology. These technologies shrink distances, open
up borders and minds and bring people all across the globe closer together.
Timeline: Earlier Waves of Globalization
Globalization 1.0 Globalization 2.0 Globalization 3.0
● It was pre-World ● It is the post-World ● It created a new

Warglobalization, War II phase where world of
which was trade in goods was manufacturing in
launched by a combined with which high-tech
historic drop in complimentary was combined with
trade costs. domestic policies. low wages.
● This globalization ● The market was in ● This was achieved
came with almost charge of efficiency through
no government while the establishment of
support. government was in global supply
● There was no charge of justice. chains as factories
global governance. ● It saw the crossed
establishment of international
institute-based,rule- borders.
based international ● It was variously
governance,specific called New
ally the UN, IMF, Globalization,
World Hyper
Bank,GATT/WTO, globalization,
International Labor Global value chain
Organization etc. evolution
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Characteristics of 4.0
● Major turbulence for Service Sector: While Globalization 1.0, 2.0 and 3.0 were
mainly a concern of people who made/manufactured products for a living
(since globalization focused on things that we made), Globalization 4.0 is
going to hit people in the service sector.
● Closely integrated with Industry 4.0: Ever-faster data connection speeds and
new artificial intelligence tools like machine translation, big data are opening
up services jobs in rich countries like architecture, accounting, and web design
to competition from practitioners in emerging economies.
● Newer modes of Migration: Due to faster data connection as well as nature of
work which may involve no physical presence there may be a global
tele-migration in which the skilled migrants never have to leave home.
Industry 4.0
● Building on the foundation given by the Third Industrial Revolution, Fourth
Industrial Revolution (Industry 4.0) is moving from an electronic based
industry to a process which is the combination of human beings and
electronics.
● It includes cyber-physical systems, the Internet of things, big data analytics,
cloud computing, cognitive computing, artificial intelligence, 3-D printing,
and autonomous vehicles etc.
Challenges of Globalization 4.0

● Political crisis and Global level conflict: Globalization 4.0 could, like
preceding waves of globalization, have mixed results e.g. even though
countries are globally connected political crisis and global level conflict have
also increased.
● Economic exclusion: Economic opportunities will be uncertain, many may
not have the skills needed for the jobs of the future. If countries and
communities are not fully prepared for Globalization 4.0, problems may
exacerbate.
● Income Inequality: Negative effects of globalization have a disproportionate
impact on already marginalized populations. Globalization 4.0 may increase
income inequality even if it can create more wealth.
● Human Resource: Countries like India, if do not step up to meet the skill
requirements of globalisation 4.0, may already be staring at demographic
disaster, given its huge population and low employment generation.
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● Unintended consequences: Globalization 4.0 in conjunction with Industry 4.0

will produce many unintended consequences which may not be foreseeable
for now and for which world is vastly unprepared the ethical, legal,
environmental concerns are yet to be seen for which no framework has been
laid out.
● Infrastructural challenges: Apart from skilling, India also needs to set up
required infrastructure and technology to harness the advantages of
globalization 4.0.
● Challenges for Developing countries:The European continent, North
America and some Asian countries have been able to take advantage of the
industrial revolution and globalization, while many African, Latin American
and some Asian countries failed to benefit as much.Globalization 4.0 will
create additional challenges many African and Asian nations which were
already excluded from the benefits of earlier waves of globalization
What could be done to overcome Challenges?

● Invest in strengthening local and regional economies: We should proactively
build resilient local and regional systems that can participate in the next wave
of globalization, making sure regions have the right mix of education,
employment and infrastructure to create and sustain jobs locally.
● Prioritizing sustainability and Inclusiveness: The need of the hour is to design a
blueprint from the ground up that can capitalize on new opportunities while
prioritizing sustainability and inclusiveness more than ever before.
● Focus on the most vulnerable populations: Global and local institutions need
to advance both universal and targeted strategies to improve outcomes for
everyone ensuring vulnerable population is not left out.
● Stop climate change: The challenges of Globalization 4.0 will be compounded
if resources that could be put towards strengthening local economies and
education are diverted to mitigate climate change. Thus, climate change
needs to be dealt at global level.
● Promote Innovation in educational institution and education curriculum:By
2022, at least 54% of employees globally will require re- and up-skilling.Not
only do we need to support people in getting the training they need for jobs
in the next five years, but we need to prepare young students with the skills to
adapt to the types of jobs we will need in the next 20 years.New Zealand is
implementing a national technology curriculum to teach students to be
digital creators, as well as consumers.
● Engagement and imagination: The task of dealing with challenges of
Globalization 4.0 requires two things of the international community: wider
engagement, participation and heightened imagination.
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KAUTILYA AND ARTHASHASTRA TRADITION

• Kautilya’s Arthashastra is not a theoretical treatise on political science. It is not directly concern itself
with the question of the origin of the state. Kautilya’s Arthashastra essential a book on the art of
administration gave only passing reference to the origin of the state. Kautilya refers to the problem of
the origin of the state only incidentally during a discussion of spies among themselves.
• According to Kautilya the state originated when people got tired of the logic of the fish (Matsyanyaya)
according to which bigger fish swallow the smaller ones. People themselves selected Manu as their King
And one tenth of the merchandise and of the whole as his share. The state originated to fulfil the desire
of the people to have a peaceful society.
• King took upon themselves the responsibility of maintaining the safety and security of their subjects.
Kautilya does not propound any logical theory of the state, its origin and ends, but he appears to believe
in the social contract theory according to which the state came into existence after such a contract
between the king and the people. He regarded the state a result of human nature and its needs and it
was consequently natural and beneficial.
• Thus Kautilya imagined the original state of nature to be one of total anarchy, where might is right
prevailed. People agreed to pay taxes and to be rules by one person in order that they may be able to
enjoy security and wellbeing.
• Kautilya believed that the state was an organism and not a mere mechanical Institution. Kautilya was the
first contractualists in India like Thomas Hobbes, John Locke and Rousseau. His intention was to replace
the misrule of Nanda Dynasty by Chandragupta who could make the strong and powerful state. Kautilya
also believed in the divine origin theory.
KAUTILYA: SAPTANGA THEORY OF STATE

The Saptanga Theory of Kautilya, is given in his book 'Arthashastra'. According to the theory, the State
consists of seven elements. Kautilya adopts the seven limbs theory of the state of Indian tradition or
Saptanga which are;
1. Swami,
2. Amatya,
3. Janpad,
4. Durg,
5. Kosha,
6. Sena
7. Mitra.
He suggests a state can only function when all these elements or limbs of a body politic are mutually
integrated and cooperate well with each other.
Swami (The Sovereign King)

• The king was referred to as the Lord or Swami and placed at the top
of the body politics. Kautilya says a perfect king should have the following qualities:
a) He should have an inviting nature.
b) He should have qualities of intellect and intuition.
c) He should have great enthusiasm.
d) He should have qualities of self-restraint and spirit.
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• In addition Kautilya mentions the king should be from a high family, be non-fatalistic, Endowed
with strong character and should be religious and truthful.
• He should be free of passion, anger, greed, and fickleness and capable of self-management, observing
the customs taught by elderly people and have the capacity to make judgments like when to go to war
and when to seek peace through a treaty.
• He should have a sense of sovereignty and owe allegiance to anybody and be the king of one whole
political organization and not part of it.
Amatya (Ministers)
By Amatya Kautilya refers to higher officials of the state like ministers and not necessarily just ministers. The
king should keep checking the integrity of the amatyas from time to time and he also advises the king to
appoint 3 amatyas instead of two since two amatyas can easily join hands and conspire against the king. He
says the qualities of a high official should be:
• he must be a Janpad, a native of the county that he is an official of, come from a good family,
• be Adequately trained, have foresight,
• eloquence, dignity, enthusiasm,
• have administrative Ability,
• knowledge of scriptures,
• And high character.
Janpad (Territory and People)

• Territory and People constitute the third limb of the state in Kautilya's Arthashastra.
• Kautilya gives a clear cut description of what an ideal territory would be like. He says the territory should
be free from muddy, rocky, saline, uneven and thorny areas and from wild beasts.
• There should be lands that are fertile with lots of timber and elephant forests. There should be plenty of
arable land and richness of cattle and the land should be wholesome to cows and men.
• The territories should not be dependent on rains too much and have waterways.
• Also there should be roads and good markets capable of bearing the army and taxation.
• The people populating a state should have the qualities of being hostile to the foes, be powerful enough
to control the neighbouring kings and consist of people who are pure and devoted.
• The people should respect the rule of law and the government Kautilya also says the people should
consist of industrious agriculturists and a majority of lower classes of economically productive vaish and
shudras.
• Also the masters of the people should be not too intelligent so that they can be controlled by the king
easily.
Durg (Fort)
• Kautilya identifies forts as the fourth limb and mentions four kinds of forts that a king needs.
• He says the four kinds of forts that are necessary are: water forts, hill forts, desert forts and forest forts.
• The water and hill forts are suitable for defending the population and the desert and forest forts and
suitable as headquarters for wild regions and to serve as places to run away to in case of emergency.
• Kautilya says the power of a king depends on the forts which should be fit for fighting and to
defend the state.
Kosha (Treasury)
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• Kautilya clears puts great store by the economic resources of a state and mentions that the success of a
state depends upon its treasury size which should have enough gold and silver to see the king through
long periods of calamity.
• The treasury should be legitimately acquired by the king or his predecessors. The treasury is easily
increased when; (1) there is opulence of the industrial department run by the state, (2) there is a
propensity for commerce and (3) abundance in harvest.
• In cases of emergency Kautilya finds no problem with the king raising revenue even through means such
as a higher assessment on first class and fertile land and heavy taxes on merchandise etc. He also
condones in emergencies for the king to exploit the superstitious and religious sentiments of the people.
Sena (Army)
• Kautilya mentions the army or Sena as the limb that the king needs to control both his own people and
his enemy's.
• Kautilya talks about six types of army; (1) hereditary forces, (2) hired troops, (3) soldiers of fighting
corporations, (4) troops belonging to an ally, (5) troops belonging to the enemy and (6) soldiers of wild
tribes.
• Interestingly the best of the six according to Kautilya is the hereditary army composed of members of
the Kshatriya caste for they are loyal to the king and are committed to serve the king through weal and
woe and have powers of endurance and superior fighting skills because they have fought many battles.
Mitra (Ally)
• Kautilya finally stresses on the need for political friends in the other states because no state functions in
isolation. Kautilya classifies allies into two kinds; Sahaj (natural) and Kritrim (acquired).
• The sahaj ally is one who is close by territorially and has been inherited as a friend from fathers and
grandfathers and the kritrim ally is one who is resorted to temporarily for the protection of wealth and
life.
• Kautilya prefers the sahaj ally over the kritrim one if the sahaj ally is free from deceit and is capable of
making large scale preparations for war quickly and on a large scale.
The nature of state is organic. A strong state consisted of these seven elements.
KAUTILYA: BASIC ASSUMPTIONS REGARDING STATE

• A.B. Keith is of the opinion that Kautilya “offers nothing that can be regarded as serious theory of
politics ….but there was intensive study of the practical aspects of the government and of relations
between the states”.
• However, Arthashastra is not about theoretical descriptions of the state, its origin, its functions, ideal
state, etc. even though it has some theoretical assumptions about the state. Kautilya accepted the
theory of origin of the state of his predecessors that it is created by humans by contract.
• He has provided some sort of speculation about the nature of the state, not literally, but by
indications, that, the state is a “socialist monarchy” with centralized economy, good governance,
welfare state and very disciplined by law and order.
• Kautilya also gives primacy to religion; he even used religion as a mean to accomplish political ends.
• To deal with internal security problems and corruption he suggested establishing a ‘spy state’.
• Despite of all the realistic means or art of government he preaches, his ultimate aim is the prosperity
and wellbeing of the subject.
• Thus he stated a very detailed account of duties of the king toward its subjects; as a part, he
proclaimed the king should be the kind father of people and all his interests, happiness is not
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separated from
those of the subjects.
• This assumption is also in favour of the king because it is necessary for legitimacy. Kautilya recognized
the social justice as also a mean to strengthen the state …which is in the king’s interests”.
• At the starting of Book VI, Kautilya mentioned the seven constituents of the state – The king, minister,
country, fortified city, treasury, army and the ally, out of which the king is of highest importance but
all are supposed to be functioning like different limbs of an organism.
• They should work efficiently with highly maintained co-ordination, because these are the
fundamental elements of the state’s power and of course, plays wide role in external affairs as a
“wise king who possesses the personal qualities, though ruling over the small territories being
united with the excellence of the constituent elements (Prakritis) and conversant with
Arthashastra does conquer the entire earth, never loses”.
KAUTILYA: FOREIGN POLICY

• Kautilya is an expansionist who advised not only the preservation of the state but also to conquer
territories of others. It is the Mandala theory which is the basis of Kautilya’s foreign policy. In other words
it is a theory of world conquest.
• He has paved the way for Vijigishu i.e. “the king who is desirous or aspirant to world conquest,” how to
be a Chakravartin i.e. world conqueror.
• This concept contemplated in this Shastras does not necessarily imply the conquest of the whole world
but
the region lying between the Himalaya in the north and the sea from required sides. It denotes India.
• The Mandala theory is based on the geopolitical and geo-strategic assumption that all neighbouring
states are enemy and the enemy’s enemy is the natural ally.
• This circle of kingdom includes 12 kings with explanations for their probable types of interrelations. In
this text, foreign policy is mainly discussed from the standpoint of Vijigishu and world conquest, and it is
summed up with the Shadguna theory i.e. “six fold policy or six measures of foreign policy.
• Actually, this is like a formula to secure the competency of Vijigishu for world conquest. This formula is
associated with presupposed Mandala theory.
• Shadguna theory consists of six strategic stances those can be employed as per the demand of situation,
and one who will use them properly as right stance on the right time, would become a world conqueror”.
• Along with these two core concepts Kautilya suggested four more Upayas i.e. tactics, to overcome the
enemy. Kautilya argued that at any given moment a kingdom is in a state of “decline, stability or
advancement” and in the first two stages it has to focus on defending itself by making alliances, solving
internal problems….in the last stage, if, however, a kingdom has a prosperous economy, well populace,
no calamities, strong leadership, is in a position to conquest the neighbouring states.
• As a practical statesman and a realist, Kautilya realized that every state acts in order to enhance its power
and self-interest; therefore moral, ethical or religious obligation does not have any scope in the
international politics.
• “War and peace are considered solely from the point of view of the profit”.
• Kautilya assumes that every move of the king desirous for victory towards its ally or enemy should have
to be based on its own interests.
• As Bruce Rich says, “Kautilya’s foreign policy was the ruthless realpolitik, intrigue and deception…
Kautilya cold blooded realism and treachery with some remarkable enlightened policies”.
• Most scholars of political history, especially Westerners, blame Kautilya for his so called immoral
recommendations in foreign policy. But at least he is honest with his arguments and teachings, unlike
those who are the idealist of daylight and opportunist in the dark.
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• The fault of Arthashastra, as that of Machiavelli, lies in openly saying something that has always been
actually practiced by states everywhere”.
• Was Kautilya immoral? The answer is obviously no. He just followed principles which were actually in
practice at inter-state level at that time, and it is still being followed now. He “was unmoral not immoral;
unreligious, not non-religious, in his political teachings”.
• Kautilya set the goal of foreign policy before the Vijigishu that it is not mere preservation of the state but
its expansion as well. It is the goal of world conquest and pertaining to this goal he propounded the
theory of Mandala or circle of the states along with the six fold policy.
• The king is suggested to follow the right means at the right time with the flexible planning and complete
determination. Kautilya preaches that there is nothing like ethics and moral in foreign policy but the goal
and self-interest only; after all, end justifies the means.
THEORY OF MANDALA/RAJMANDALA/CIRCLE OF THE STATES
As per Bosche “For Kautilya, this principle of foreign policy – that nations act in their political, economic
and military self-interests was a timeless truth of his science of politics or Arthashastra”. Kautilya is
most famous for outlining the Mandala theory or the circle of the states which consists of 12 kingdoms
as –
1) Vijigishu: Desirous for or would be, world conqueror.

2) Ari: whose territory is contagious to Vijigishu, is a natural enemy.(Neighbour)
3) Mitra; it is ally of Vijigishu whose territory is immediately beside the enemy or Ari.
4) Arimitra; enemies ally indirectly is enemy, who is immediate beyond ally.
5) Mitra-Mitra: It is ally immediately beside the enemy’s ally.
6) Ari Mitra-Mitra: It is ally of enemy’s ally situated at immediate beside Mitra –Mitra.
7) Parshnigraha: The enemy, in the rear of the Vijigishu. Means he will attack when Vijigishu would
be on the expedition in front.
8) Akranda: Vijugishu’s ally in the rear behind that of Parshnigraha.
9) Parshnigrahasara: enemy’s ally, the ally of Parshnigraha behind Akranda.
10) Akrandsara: The ally of Akranda behind Parshnigrahasara, ultimately an ally.
11) Madhyama: the Middle king with territory adjoining those of Vijigishu and Ari and stronger than
both.
12) Udasina: the kingdom lying outside or neutral and more powerful than that of Vijigishu, Ari, and
Madhyama.
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• These schemes are based on assumptions derived from the practical experiences found everywhere that
two neighbouring states sharing their borders are hostile to each other. And the hostile state to the
enemy i.e. the enemy’s enemy is a natural ally.
• The Vijigishu is situated at exactly the centre of this circle. It does not give the fixed
account of the numbers of the kingdom in this mandala, but refers to a number of possible relationships
that may arise when Vijigishu would be in the quest of global dominance.
• The neighbouring princes, samantas may normally be supposed to be hostile but it is possible that some
may have friendly feeling toward the Vijigishu, while others may even be subservient to him.
• Mandala theory is the plan, the blueprint of the expedition with the intention of world conquest
because Kautilya believes in strength and power.
• For him, “Power is the possession of strength” and it is in three forms:
1) Mantrashakti: power of Knowledge i.e. power of counsel;
2) Prabhu shakti: Power of might i.e. power of treasury and army; and
3) Utsaha Shakti: power of energy i.e. power of valour.
• Likewise, success is also of three fold. By this theory Kautilya indicates towards reality, and made alert to
the king to be a conqueror or suffer conquest. All his discussion is revolving around the desire of victory
over enemy and world conquest to establish unified, sovereign world empire that is the concept of
Chakravorty – imperatively the Indian territories in between the Himalaya and the sea.
• G.P. Singh argues that the Mandala theory is ancient India’s most notable contribution to political
theory. Singh analysed the mandala theory as a ‘Balance of power’ but Bosche contradicted this
statement by stating that “it was not offering modern balance of power arguments where the ultimate
status quo and peace is the purpose of such interstate activities in modern time”. Moreover this theory
provides Geo strategic analysis of interstate relations, therefore, it is the theory of geopolitics.
SHADGUNA SIDHANTA - SIX MEASURES OF FOREIGN POLICY

This doctrine is about the six principles of foreign policy like a formula for attainment of one’s national
interests and goals at the level of international politics based on political reality. It is the archetype of foreign
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policy acting as a guiding force for the Vijigishu to become a world conqueror. It contains six basic principles
as follows:
1) Sandhi: (making treaty containing terms and conditions) the general principal in foreign policy is that,
when the one is comparatively weaker than that of his enemy, the policy of peace i.e. Sandhi should be
employed. When making a treaty one may be required to surrender troops or treasury or territory, called
Dandopanta sandhi, Kosopanta sandhi and Desopanta sandhi, respectively. Kautilya advised the king to
enter in to the treaty, thwart the strong enemy when fulfilling the conditions of the treaty and after
bidding his time till he get strong to overthrow the strong enemy. It means this is the policy to seek or
spare the time to become strong and waiting for weakening of enemy, till then one have to hold patience
for right opportunity. It is practical opportunism.
2) Vigraha: (Policy of Hostility) if one is stronger than the enemy, policy of hostility should be adapted. This
policy has two dimensions- i. Defensive ii. Offensive, while in first case, one who is sure about its strength
to repel attack of enemy, should resort Vigraha. And in the second case, that, one who feels from the
secured position can ruin the enemy’s undertakings or can seize enemy’s territories, because he is
engaged in the war on another front, can go for Vigraha. But Kautilya is very anxious about the profit
and loses as he recommends Sandhi instead of Vigraha when both, supposed to be lead the same result.
Obviously, there are comparatively more loses, expenses and troubles in hostility .
3) Asana: ( A policy of remain quite, not planning to march) Asana is the state in which one is to wait in
the hope that the enemy would get weaker or find himself in difficulties or in calamities, get involved in
war on other front and one would be strong than enemy. Naturally this policy is often a concomitant of
the policy of the Sandhi. But at the same time it can be corroborated with the policy of Vigraha. For
example, by seducing enemy’s subjects from their loyalty by the means of dissension and propaganda,
one will try to weaken enemy secretly.
4) Yana: (Marching on an expedition) the policy of Yana is much clear and explicit among all of others,
which can be persuade in the situation when one is surely strong than his enemy. “Normally, Yana and
Vigraha are parallel but in Yana, one is expected to be completely dominant in the strength”.
5) Sansraya: (seeking shelter with another king or in a fort) this policy is particularly recommended for a
weak king who is attacked or threatened to be attacked by powerful enemy. It is also implied that the
king would be making continuous efforts to recoup his strength and independence. The shelter at one’s
own fort is also a suggestion. But if none of these remedies would help then the weak king should resort
the last mean of surrender, this is vassalage. And he should be watchful for opportunity to strike back
and obtain his previous position.
6) Dvaidhibhava: (The double policy of Sandhi with one king and Vigraha with Another at a time) It is
obviously a policy of dual purpose, where Sandhi is for seeking help in the form of treasury and troops
from one king to wage hostility toward another king. This policy is referred for the king who is equally
strong to enemy and he cannot win the battle without additional strength of his ally.
The aim of provisions of these policies is to grow stronger in the long term competition than the enemy,
though sometimes one may have to tolerate temporarily, the great strength of enemy. The expansion of
one’s power and state at the cost of its natural enemy’s the motive behind this doctrine. While moving
toward the ultimate aim of world conquest, the interests of one’s own state is the supreme criterion for
the external affairs.
FOUR UPAYAS
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These are the tactics or means of overcoming opposition mentioned as:

1) Saman: Conciliation
2) Dama: Gifts
3) Bheda: Dissension
4) Danda: Force.
First two are suggested to be used with subjugate weak king and last two are to overcome strong kings.
KAUTILYA: DIPLOMACY
• Kautilya finds the diplomacy also as an apparatus of war. “For Kautilya, all ambassadors were potential
spies with diplomatic immunity” - Mujumdar.
• He argued that diplomacy is really subtle act of war, a series of consistent actions taken to weaken an
enemy and get advantage for oneself all with an eye towards eventual conquest “and in entire circle he
should ever station envoys and secrete agents becoming a friend of the rivals, maintaining secrecy when
striking again and again”.-
KAUTILYA ON CORRUPTION
• He believed that “men are naturally fickle minded” and are comparable to “horses at work [who]
exhibit constant change in their temper”.
• This means that honesty is not a virtue that would remain consistent lifelong and the temptation to make
easy gains through corrupt means can override the trait of honesty any time.
• Similarly, he compared the process of generation and collection of revenue (by officials) with honey
or poison on the tip of the tongue, which becomes impossible not to taste.
• He prescribed a strict vigil even over the superintendents of government departments in relation to the
place, time, nature, output and modus operandi of work. All this is perhaps indicative of widespread
corruption in the Kingdom’s administration at various levels.
• Illegal transactions were so shrouded in mist that he compared frauds to fish moving under water and
the virtual impossibility of detecting when exactly the fish is drinking water.
• He also noted that while it is possible to ascertain the movements of bird flying in the sky, it is difficult
to gauge the corrupt activities of government officials.
• Kautilya was a great administrative thinker of his times. As he argued, too much of personal interaction
or union among the higher executives leads to departmental goals being compromised and leads to
corruption. This is because human emotions and personal concerns act as impediments to the successful
running of an administration, which is basically a rule-based impersonal affair.
• Similarly, dissension among executives when team effort is required results in a poor outcome. Kautilya
suggested that the decline in output and corruption can be curbed by promoting professionalism at work.
The superintendents should execute work with the subordinate officials such as accountants, writers,
coin-examiners, treasurers and military officers in a team spirit. Such an effort creates a sense of
belonging among members of the department who start identifying and synchronising their goals with
the larger goals of the organisation, thereby contributing to the eventual success of the state.
• Kautilya provides a comprehensive list of 40 kinds of embezzlement. In all these cases, the concerned
functionaries such as the treasurer (nidhayaka), the prescriber (nibandhaka), the receiver (pratigrahaka),
the payer (dayak), the person who caused the payment (dapaka) and the ministerial servants (mantri-
vaiyavrityakara) were to be separately interrogated.
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• In case any of these officials were to lie, their punishment was to be enhanced to the level meted out to
the chief officer (yukta) mainly responsible for the crime. After the enquiry, a public proclamation
(prachara) was to be made asking the common people to claim compensation in case they were
aggrieved and suffered from the embezzlement. Thus, Kautilya was concerned about carrying the cases
of fraud to their logical conclusion.
• The Arthashastra states that an increase in expenditure and lower revenue collection (parihapan) was
an indication of embezzlement of funds by corrupt officials. Kautilya was sensitive enough to
acknowledge the waste of labour of the workforce involved in generating revenues.
• He defined self enjoyment (upbhoga) by government functionaries as making use of or causing others
to enjoy what belongs to the king. He was perhaps alluding to the current practice of misusing
government offices for selfish motives such as unduly benefitting the self, family members, friends and
relatives either in monetary or non-monetary form which harms the larger public good.
• Kautilya was also not unaware of corruption in the judicial administration. He prescribed the imposition
of varying degrees of fines on judges trying to proceed with a trial without evidence, or unjustly
maintaining silence, or threatening, defaming or abusing the complainants, arbitrarily dismissing
responses provided to questions raised by the judge himself, unnecessarily delaying the trial or giving
unjust punishments.
• In an atmosphere of corruption prevailing in the judicial administration as well, Kautilya perhaps wanted
to ensure that the litigants are encouraged and given voice to air their legitimate grievances. He expected
judges to be more receptive to the complaints and be fair in delivering justice.
• Kautilya prescribed reliance on an elaborate espionage network for detecting financial misappropriation
and judicial impropriety. Spies were recruited for their honesty and good conduct. They were to keep a
watch even over the activities of accountants and clerks for reporting cases of fabrication of accounts.
• On successful detection of embezzlement cases, Kautilya advocated hefty fines to be imposed apart from
the confiscation of ill-earned wealth. If a functionary was charged and proved even of a single offence,
he was made answerable for all other associated offences related to the case.
• Since taxes paid by the people are utilised for their welfare, any loss of revenue affects the welfare of
the society at large. This is precisely the reason why Kautilya explicitly argued that the fines imposed
should be “in proportion to the value of work done, the number of days taken, the amount of capital
spent and the amount of daily wages paid”.
• Interestingly, Kautilya also dealt with the concept of whistle-blowers. Any informant (suchaka) who
provided details about financial wrongdoing was entitled an award of one-sixth of the amount in
question. If the informant happened to be a government servant (bhritaka), he was to be given only one
twelfth of the total amount. The former’s share was more because exposing corruption while being
outside the system was more challenging. But in the case of bhritakas, striving for a corruption free
administration was considered more of a duty that was ideally expected of them.
• Kautilya argued for advertising the cases of increase in revenue due to the honest and dedicated efforts
of the superintendents by giving rewards and promotions. Bestowing public honour creates a sense of
pride and boosts the motivation and morale of honest officials. They act as role models for ideal
youngsters who wish to join the administration and serve the state.
• Kautilya also proposed a number of measures to avoid cases of corruption arising at all. Several positions
in each department were to be made temporary. Permanency for such positions was to be reserved as
an award granted by the king to those who help augment revenue rather than eating up hard earned
resources.
• Kautilya also favoured the periodic transfer of government servants from one place to another. This was
done with the intention of not giving them enough time to pick holes in the system and manipulate it to
their advantage.
• Kautilya wrote that “dispensing with (the service of too many) government servants...[is] conducive to
financial prosperity”. This is not only because of the reduction in expenditure on salary but rightsizing
the bureaucracy also results in faster decision making and the transaction of government business
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without unnecessary delay and red tape. This effectively reduces the scope for bribery in particular and
corruption in general.
• It is interesting to note that the superintendents could not undertake any new initiative (except remedial
measures against imminent danger) without the knowledge of the king. Kautilya, therefore, laid
emphasis on some kind of an accountability mechanism. Apart from using the services of spies for
unearthing cases of fraud, Kautilya also talked about an intra-departmental, self-scrutinising mechanism
under the headship of chief officer (adhikarna) to detect and deter imminent cases of corruption.
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SIMILARITIES AND DIFFERENCES BETWEEN KAUTILYA AND

MACHIAVELLI
Similarities of opinion
• Firstly, For instance, the acquisition, preservation and expansion of the State, Both realistically analyse
the methods by which a king may rise to supreme power and maintain it against all odds.
• In both, we find the duality of treatment of the feelings and weaknesses of men and the tendency to
legitimize force and fraud in the interest of the State.
• For, both the authors, the State, vis-a-vis the interest of a person are paramount.
• Both of them held the belief that, through a proper and critical study of history, one could deduce not
only the causes of maladies of society, but also the cures thereof.
• Kautilya belonged to the Arthashastra School which looked at the political phenomenon without linking
them in any way with divine agency or revelation. The approach was thus religious but at the same time
rational. The Modern Italian thinker affected a break with the medieval way of thinking and reasoning
and adopted the empirical or historical method of investigation and released the State from the burden
to religious authorities.
• Thirdly, in the field of real politics, there is much that is common between Kautilya and Machiavelli.
Kautilya is aware that the Swami (king) can hardly feel secure in a State where persons denied of power
by him are still alive and well. Similar insistence was that of Machiavelli while cautioning the Prince
against any possible conspiracy and scandal.
• Both Kautilya and Machiavelli advised the ruler to be merciless, cruel and unscrupulous while suppressing
internal disruptions and external aggressions. The former provided different kinds sanctions which
coercive in nature and punishments prescribed by him were stringent and cruel. But Machiavelli, while
elaborating the theme of the art of war, did not mention cruel techniques like blinding through the use
of poisonous powders for attaining political goal. Kautilya surpassed Machiavelli and left him for behind
while sanctioning several barbarous and cruel measures for attaining success. No ethical code supports
Kautilya's methods for swimming success. For the sake of the country's security all kinds of measures
including violence and fraud were welcome and they could not be considered as reprehensible. This is
what both Kautilya and Machiavelli advocated. To them, end justified the means.
• Both Kautilya and Machiavelli were quite pessimistic in their approach to human nature. It seems that
the former treated men with contempt as they were unreliable and entrust wrongly. Hence they should
not be taken into confidence. He, however, made “no categorical statement regarding the corruptibility
of human nature in general”. Machiavelli, on the other hand, categorically said that people were
ungrateful, fickle, deceitful avaricious, vicious, evil, mean, corrupt and unreliable. He, therefore,
suggested that there should be strong political force to restrain the deviant behaviour of the people.
Force and fraud were welcome measures as they checked their psychological abnormality. He upheld a
more pervert conception of human nature than Kautilya. He considered men to be greedy, selfish and
cruel. They understood only the language of force. Kautilya now here made a generalized statement
about the weakness or perversity, or selfishness of man.
Differences of opinion
1. Machiavelli was motivated by a burning patriotism to see Italy rise again from the ashes into a modern
nation for the liberation of the unhappy land from decay. Kautilya, on the contrary, was aspired to ensure
the security and stability of the kingdom so as to achieve Dharma on the globe. Kautilya's major
preoccupation, unlike that of Machiavelli, was to foster and restore the ethical values of Indian system
both in method and in principle.
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2. Secondly, Kautilya's essentially spiritual nature and Machiavelli's essentially secular material makeup
stand out against each other. Though both believed and prescribed to the rulers the rules of the game
of politics, the use of religion for political ends, their grounds for doing so, as also their concepts of power
and goals, were mutually exclusive.
3. Thirdly, Kautilya also does not wholly subscribe to the view of Machiavelli that man is born badly and has
no inherent virtue in him. On the contrary, Kautilya admits that man has altruistic and good qualities
alongside some selfish and bad traits. He thus, does not endorse the view of Machiavelli that man is
thoroughly bad and wholly selfish. To him, a man, apart from being selfish and leaning is altogether
rational and is, therefore, advised to follow a code of conduct on Dharma and to adopt immoral means
to deal with cunning.
4. Fourthly, Kautilya stressed that the State was an organism on which depended the happiness of the
society and its individual members. This moral base of the State was repeatedly denied by Machiavelli,
for his mission was to free politics from its captivity to religion and isolating the phenomenon of politics
from moral constraints.
5. Fifthly, There is fundamental difference between the kingship of Kautilya and Machiavelli. As for
Machiavelli, he left the personal and private character of the Prince of his upbringing out of sight, and
treated him as the personification of the State, wherein the private individual is inevitably merged in the
politician. On the other hand, Kautilya's characterization of the king was by self-control, wisdom,
discipline and noble conduct. What is most significant is Kautilya's priority to Dharma over Danda. While
Machiavelli argues, "it is not necessary for a prince really to have virtues, but it is very necessary to
seem to have them", Kautilya, King's departure from moral norms was a temporary step for those moral
norms. The king was expected to be a virtuous person in thought, word and deed. If he had to be cruel
by necessity, it was to make virtuous life possible for all.
6. Sixthly, So far as the ultimate objective of the State is concerned, Machiavelli did not think much of the
populace, the welfare of the less privileged did not bother him, as these concerned Kautilya. The majority
of citizens to Machiavelli were content with the security of person and property that the State provided
them. He glorified the State and stressed the over-riding claim of the State to the loyalty of the individual.
He would not concede that man had any right over and against the State. Man attained his optimum
development through subordinating himself to the society, held Machiavelli, and that the State provided
a political framework essential to the development of mankind. On the other hand, to Kautilya. The State
was subordinated to the society which it did not create, but which it existed to secure. The highest office
of the State is, thus an aggregate of the people whose welfare is an end in itself. Political power is the
means to attain such an end.
7. Seventhly, the Kautilyan maxim: Prajaa Sukhe Sukham Rajyah, Prajanam cha Hiteh Hitam (in the welfare
and happiness of the people lies the king's welfare and happiness), is indicative of his emphasis on the
equation of welfare vs. power. Machiavelli insists that a good ruler is one who achieves the good of the
people by fair or foul means; Kautilya demands that a good ruler should be a good man, besides being a
good ruler. Kautilya, therefore, was the spokesman of Udyaana, the establishment of righteousness on
earth, and aspired for Vaarta, enhancement to trade and commerce.
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IN SHORT: KEY POINTS AND CONCEPTS IN ARTHASHASTRA

Kautilya’s Arthashastra
• Written around 325 B.C.

• Published by Shama Shastri in 1909
• Contains 15 parts, 180 divisions, 150 chapters and 6,000 shlokas
• Kautilya described well-organized state; Kingship, the qualities of an ideal ruler; the principles of
practical politics; Administration; ethical and moral order of the society; domestic and inter-state
policies; Warfare, Criminology, Intelligence & Espionage; etc.
• Besides politics, the other subjects included in Arthashastra are Economics, Ethics, Sociology, Science of
Education, Engineering and others.
The Origin of State (Kingship)
• Anarchy of Matsyanyaya
• To get rid of this Hobbesian kind of a situation, people selected Manu, the Vaivasvata, as their first king
• The King was expected not only to ensure their ‘safety and security’ and ‘punish’ people with anarchic
tendencies, but also to ‘maintain individual and social order’
• Royal dues equivalent to ‘one-sixth of the grain grown and one-tenth of merchandise’
• The king was expected to ensure the Yogakshema of the subjects and was also authorized to act at
once, as Indra and Yama acted, while dispensing rewards and punishment
The Organic State : The Saptanga Theory
Seven Elements (Prakritis) Corresponding Characteristics

1. The Swami, the sovereign King - Unity, uniformity and solidarity of the state
2. The Mantrin, the ministers - Stable and systematic administration;
3. The Janapada, the people and the territory - Definite territory, able to protect and support
both the king and the subjects;
4. The Durga, the fortification - Planned system of security and defence;
5. The Kosha, the treasury - System of just and proportionate taxation;
6. The Sena or the Danda, the army - Strong and powerful state; and
7. The Mitra, the allies - Freedom from alien rule
The Element of Sovereignty
• Absence of conceptual equivalent in Sanskrit of the notion of State sovereignty

• ‘Natural Frontiers’ notion is expressed by Kautilya in his ‘Chaturanta’ sovereignty (an empire up to four
limits)
• Kautilya was convinced that society can never hope to be in peace without a strong state.
• Swami is not merely a feudatory chieftain, but a variable sovereign, owing allegiance to none.
• The word Swami is derived from the word Swayam, which refers to self-determining.
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• The crystallization of sovereignty in the king’s court and also in the metropolitan centers, if not in the
peripheral tribal republics.
• The existence of 16 Mahajanapadas as a proof of state-formation during Mauryan Empire.
• Overriding authority of the king's decree over all other judicial processes.
• Sovereignty appeared to be imbibed in monarch, the Swami.
Sources of Law
• Dharma (cannon law),
• Vyavahara (customary law),
• Samstha (usages) and
• Rajashasana (logical principles)
Kautilya was of the considered view that in case of conflict of interpretation, the king should himself decide
the dispute and his interpretation is to be upheld as final.
Forms of Government
• Mention of Dvairajya (rule of two), Vairajya (rule by foreign ruler), Sanghavritta (council of rulers),
• V.R. Mehta suggests not to categorize government either as absolute monarchy or oriental despotism
or constitutional monarchy.
• Monarchy is assumed to be the normal form of government
Checks on the absolute power of the Monarch
• Training in Dandaniti to Use his power with judiciousness
• Purohita to remind him his duties
• Moral Pressure: fear of losing throne
• Popular uprising against Oppressive Rule (e.g. Last rulers of the Maurya & Shunga Dynasties and
Govinda IV of Rashtrakuta)
• Threat to migrate to better governed state
Hereditary Monarchy: Succession to the Throne
• Continuity of rule in same dynasty – if Prince is properly trained
• If lone Prince is not properly trained, Daughter’s son may be appointed
• In the absence of such Prince, Princes or Widow of the late ruler to be vested with powers
• The widow to wield authority till a son is born to her (by Niyoga) and duly crowned
Proper upbringing / Qualities of the Prince: the Heir Apparent
Personal Ethics: Expected Qualities
• Qualities of an inviting nature (Abhigamika Guna)
• Qualities of intellect and intuition (Prajyna Guna)
• Qualities of enthusiasm (Utsaha Guna)
• Qualities of self-restraint and spirit (Atma Sampad)
To control Shatru-Shadvarga the six enemies of sex, anger, greed, vanity, haughtiness and over joy.
As Dandadhara
• Ability to conserve and promote Trayee, Anvikshiki and Vaarta
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As Trustee of Kingship
• To regard his own happiness as that of his subjects
Advocacy for a Strong Centralized Monarchical Bureaucratic All-India State
Arthashastra as Science of Political-Economy

• ‘The substance of mankind is termed Artha (wealth), the earth that contains and is termed Artha
(wealth): the science, which deals with the means of acquiring and maintaining the Earth’
• Politics (Dandaniti) deals with
• ‘the acquisition of what has not been gained (Alabdha Laabhaartha);
• the preservation of what has been acquired (labdha Parirakshani);
• the accentuation or increase of what has been preserved (Rakshit Vivardhani); and
• Due-apportionment or the bestowal of the surplus upon the deservers (Vriddhasya Tirtheshu
Pratipaadini).
Systematic harmonious Integration

• The King may enjoy in an equal degree the three pursuits of life: charity, wealth and aesthetic desire,
which are interdependent upon each other
• Notion of the maximization of wealth and territory, a full treasure and power of punishment to control
one's own people (in the latter's pursuit towards Dharma, Artha, Kama and Moksha) and also to
suppress the enemy in his theory of the state, while ensuring due and proportionate taxation and
proper administration of treasury
Functions of State: Protective and Promotive
PROTECTIVE FUNCTIONS
• To protect (i) the life of his people, especially the ones in distress, the widows, the women without
children, the women with infants, the orphans, the sick and the indigent; (ii) hermits, shrotriyas and
students, and (iii) property of the people;
• To put down violence and maintain law and order;
• To avert dangers and command the army;
• To 'redress peoples' grievances;
• To punish the wrong-doers; and
• To administer justice impartially and in accordance with the sacred law (Dharma, evidence (Vyavhara),
history (Samstha) and enacted law (Raajasthasana)
PROMOTIVE FUNCTION
• To promote the moral and material happiness and welfare of his people, as in their happiness lies his
happiness and in their welfare his welfare;
• To enable them to pursue freely their independent efforts in life;
• To maintain unity and solidarity;
• To reward virtue;
• To promote agriculture, industry and arts;
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• To regulate the means of livelihood especially of the labourers and artisans; and
• To encourage education and help students.
Yogakshema: Kautilya’s Model of Welfare State
In general, term Welfare State used as
• antonym for the term ‘power state’ of the dictators
• differentiated from the laissez faire state and the communist state
• involved state activity for the provision of the basic needs of the individual
• Involved the process of levelling up by providing ‘the basic minimum’-a subsistence level – and a
process of levelling down, which socialism postulated
Yogakshema denoted:
• Yoga (addition to or furtherance of, and not the depletion of, all resources) and Kshema (well utilization
of resources) in all human pursuits.
• Yoga and Kshema were considered the sources of exertion and peaceful possession respectively. (6.II.1)
Material prosperity was never considered as an end in itself, instead it was believed that material
provisions are essential and it is the duty of state to ensure this.
• A policy of minimum state-welfare, leaving the individual to maximum of self-help. The state only
confined to help the helpless. It involves the well-being of the poorest of the poor.
The basis of Yogakshema:
• To ensure the moral and material well-being of its citizens
• Yogakshema of the citizens has its quintessence in perfection, freedom and self-realization
• Attainment of this perfection was to depend upon material, physical, moral and spiritual welfare
• Combined duty of the individual, society and the state to improve the lot of the citizens
• Yogakshema to be attained through:
1) Dharma (Varnashramadharma, Trivarga, Svadharma, and morality);
2) Danda (Power of rule); and
3) Family (as the basic unit of society).
Society in general and Family in particular
• To provide (through Varna & Ashrama) the best security network to take care of the old, the sick, the
disabled in the household
• Emphasis on Self-Employment, Self-Help & Self-Reliance
The State was expected to:
• Protect the ones in distress, the widows, the women without children, the women with infants, the
orphans, the sick and the indigent
• Create conditions for a good life not only by digging wells, canals, and constructing dams, planting
trees, preservation of forest, but also by providing the infrastructure for trade, commerce and industry
through construction of roads; providing impetus to navigation; rural and urban colonization and
settlement; monetary system and even control of weights and measures; regulation of commerce and
mines; protection of Guilds and Artisans
• Aspire for comprehensive social plan which aimed at realizing Dharma through Artha.
Kautilya’s Maxim
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‘Prajaa Sukhe Sukham Rajyah, Prajanam cha Hiteh Hitam’

(In the welfare and happiness of the people lies the king’s welfare and happiness)
The State to conserve and consolidate its achievements, to maximize its gains and to promote proper and
equitable distribution of social gains through
• Trayee (the structure and knowledge constituted by the three Vedas: Rig, Yajur and Saama);
• Anvikshiki (the philosophical systems of the dualistic Samkhya and Yoga and the materialistic
philosophy of Lokayata);
• Varta (which comprehends agriculture, Cattle-breeding and trade) and
• Dandaniti (which is the mean to achieve Yogakshema, the welfare of all)
INTER-STATE RELATIONS AND DIPLOMACY

Some Basic principles
• No state can exist in isolation
• No permanent friends & foes in Inter-state relations
• Bordering state can never be a friend
• Kingdom is an ally or enemy according to its geographical position with respect to the intending
conqueror
• A wise king, trained in politics, though in possession of only a small territory, can conquer the
Chaturanta Mahim with the help of the best elements of his sovereignty
Three categories of States
• Samraajya (State of equal status),
• Heenraajya (States of inferior status), and
• Balwaan Rajya (States of superior status)
Three Kinds of Strength
• Mantra Bal (intellectual strength/the power of deliberation),
• Prabhu Bal (sovereign power/possession of prosperous treasury)
• Utsaaha Bal (powerful army/physical strength)
The King to Increase his Power, in terms of
• Mantra-Siddhi (achievement of intellectual strength)
• Prabhu Siddhi (achievement of prosperous treasury)
• Utsaaha Siddhi (achievement of military and material strength)
Mandala Theory
Aiming at inter-state equilibrium as ‘a gigantic chess game in which certain moves were considered the
most effective methods of attaining a particular end’ (John Spellman)
THE THEORY OF MANDALA
1) Balance of power amongst 12 States
2) Vijigishu (the aspiring king)
3) Ari (the enemy of the Vijigishu)
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4) Mitra (the friend of the Vijigishu)

5) Arimitra (the friend of the enemy)
6) Mitramitra (the friend of the friend)
7) Arimitramitra (the friend of the enemy’s friend)
8) Paarshnigraaha (one who attacks in the rear)
9) Aakranda (ally of the rear)
10) Paashnigraahaasaara (an ally of the rearward enemy)
11) Akrandasara (an ally of the rearward ally)
12) Madhyatma (inter-mediate / indifferent state)
13) Udaasina (neutral state)
Four Primary Circles of States
• Circle I Vijigishu (the conqueror), his friend and his friend’s friend;
• Circle II Ari (the enemy), his friend and his friend’s friend;
• Circle III Madhyama King (the indifferent king), his friend and his friend’s friend; and
• Circle IV Udaasina King (the neutral king, his friend and his friend’s friend.
Total Elements of States
• 12 kings (four primary circles of States include King, his friend and friend’s friend making it 4X3)
• 60 elements of sovereignty (possess the five elements of sovereignty such as the minister (Amatya),
the country (people and territory of Janapada), the fort (Durg), the treasury (Kosha) and the army
(Danda) making it 12 X 5) and
• 72 elements of States (12+ 60).
PEACE POLITICS : UPAAYAS
• Conciliation (Saama),
• giving presents (Dana),
• causing dissensions (Bheda), and
• war of punishment (Danda)
WAR TACTICS or SIX GUNAS (SHADGUNYAS)
• Sandhi (alliance),
• Vigraha (War),
• Yaan (Military expedition),
• Aasana (halting),
• Samashrya (seeking protection) and
• Dvedhibhaava (duplicity)
DIPLOMATIC SYSTEM
Three Types of Diplomats
• Nisrishtartha or plenipotentiary
• Parimitartha with definite instructions for a particular mission
• Shasanahara or royal messenger
Envoys had certain immunities
• Not to be killed
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• Freedom of movement within the state

• To be allowed passage and
• Exempted from payment of all ferry and custom duties
ESPIONAGE SYSTEM
Baahya (external) and Aabhyantar (internal) Spies
Five institutions (Sansthas) of espionage
• Kaapatika-chhaatra (working under the guise of a fraudulent disciple);
• Udaasthita (a sham ascetic who has fallen from the real duties of asceticism);
• Grihapatika (a householder spy);
• Vaidehaka (a merchant spy); and
• Taapasa (a spy under the guise of an ascetic practising austerities)
Four types of wandering spies (Sanchaarah)
• Satri (classmate spies or spies learning by social intercourse);
• Tikshna (firebrands of fiery spies);
• Rasad (poisoners who are very cruel); and
• Bhikshuki (a woman ascetic)
WAR AS THE LAST RESORT OF DIPLOMACY
Three Types of Warfare
• Prakaash- Yuddha (Open war)
• Kuta-Yuddha (Treachrous war) and
• Tushnim-Yuddha (Silent war)
Three Types of Conquests
• Dharmavijaya (Just Conquest),
• Lobhavijaya (Greedy Conquest), and
• Asuravijaya (demon-like conquest)
In formulating the details of his political ideals, principles, plans and ethico-political strategies, Kautilya had
taken cognizance not only of the events of his days, but also the ones that were likely to change the entire
course of thought and action. That is why he and his Arthashastra have their marked relevance not only for
our times, but also for the generations to come.
Relevance of Kautilya’s Political Thought

• The Arthashastra is based only on available texts on polity but also on the experience and knowledge
that Kautilya acquired by his personal observations and study of the phenomena and institution around
him. He corrected his knowledge by observing and analysing practices and forms of governmental
institutions of that time. Kautilya's Arthashastra carries significance because for the first time it liberated
the science of politics from all sorts of limitations and developed a systematic tool of administration of
the state.
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• The state described in Kautilya Arthashastra is elaborate and seeks to control every aspects of national
activity. Social life, trade, finance, civic activities, cultivation and almost every part of man's organised
life was considered by Kautilya to be within the legitimate sphere of administration. Kautilya regarded
the state to be of central importance in ensuring order in the affairs of society. He believed in a strong
centralizing state. For the good of the state, the king enjoyed freedom, meaning that he was free to
practice treachery, deceit and sacrilege if necessary.
• Social: Kautilya emphasized the effective role of the state in shaping man's moral, economic, social and
physical life. For the progress of the society, Kautilya believed in imparting education to the people. It
was the duty of the state to provide grants for education as an important constituent of state
expenditure. The teachers and school are to receive funds from the state to import education to the
people. Kautilya attached great importance to education. If the nation had to steer ahead, education the
masses was of great importance. The people of the state were to be well educated so that they could
lead the nation towards the path of progress. Education was universal and free.
• Kautilya’s State made several laws for the welfare of the society. A ban was imposed on the sale and
purchase of children as slaves. This shows his immense concern for child labour. Similarly, an employer
could not force a female slave to become naked or hurt or abuse her chastity. This indicates remarkable
human values which Kautilya cherished against slavery and thus guaranteeing civil rights to shudras. His
views related to children slavery and women liberty are significant in modern period because today every
state enacts laws against the child labour and for protection of women liberty.
• The State should protect the Dharma of the land as it was of fundamental importance. The duty of the
king consists in protecting his subjects with justice and its observance leads him to heaven. He who does
not protect his people or upsets the social order wields his royal sceptre in vain. It was for the first time
that Kautilya associated the shudras with certain civil rights which were not contemplated caste. He
permitted liberty to lower class as witnesses in the court. Kautilya recognized mixed castes and the claims
of the offspring of Pratiloma marriage for inheritance. There was no inflexible rigidity between the orders
and the destruction of the old nobility was the most significant feature of the Kautilya’s state.
• Economic: As a practical statesman, Kautilya looked at things from a realistic point of view and there is
nothing unnatural when we find his state extending its jurisdictions over almost all the spheres of life.
With all the limitations of the time, the state activity was not only unbounded but also distinctly socialistic
and highly beneficial to the people. The whole economic policy was regulated and controlled by the state.
The state offered doles to the needy. Kautilya believed that the stability and efficiency of state were
essential for human welfare.
• Kautilya's Arthashastra provides valuable basis for economic system. It contains useful ideas and policy
about economic. It can be used in our time to illustrate several modern economic ideas. In the economic
sphere, Kautilya suggests that the state should promote economic development in all spheres including
agriculture. For the promotion of economic sphere Kautilya laid down many responsibilities for the king
and state. The king shall carry on mining operations and manufactures, exploit timber, offer facilities for
cattle breeding and commerce, construct roads for traffic both by land and water and set up own market.
Kautilya allows private property and private ownership. Kautilya's economic system might fall under
'Mixed Economy System' as the state retained the right to interfere in case of loss of production, or
overproduction or workers problems. The state also regulated the trade to ensure good of the
consumers. Kautilya said the state accordingly has to regulate the prices of the commodities, import and
export, weight and measure etc. According to Kautilya unrestricted exports and imports or all
commodities were not allowed.
• Kautilya’s state assumed the nature of a welfare state. It not only regulated the economic activities but
also actively participated and at the same time controlled private enterprises in many ways. The state
owned all the natural resources and even the treasure troves belonged to the state. Kautilyan state was
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interested in the promotion of trade and commerce and protected traders and merchants from the
molestation of workers, robbers, guards, civil servants and others. The state took measures to provide
avenues of employment to a large body of population.
• Judicial: No administrative system can be complete without a well-organised judicial system. Naturally,
Kautilya also could not overlook this aspect of administration. Judges were appointed at all important
centres to ensure the protection of life and property, as well as the trial and punishment of wrong doers.
• Kautilya was the first law-maker of ancient India who gave every individual right to judicial or protection.
The basic objective of Kautilya's law has been to provide intellectual and spiritual freedom to man.
Kautilya gives a detailed account of law. He makes a distinction between civil and criminal law.
• Political: According to Kautilya the welfare of a state depends on an active foreign policy. Kautilya was
quite original in prescribing a foreign policy based on expediency, diplomacy and war. His main objective
was to create a strong state which can establish the power of dominance over the other states. His
patriotism provoked him to create a powerful state which can defend itself against the invaders and
enemies.
• Kautilya’s a expertise in the state craft is evident from his concept of diplomacy which has been given in
'Mandala Theory' of foreign policy. His Mandala theory is a great contribution on the study of diplomacy.
The aim of Mandala theory is to maintain a balance of power with the other states. According to Kautilya,
the relations with other states are important because no state exists in isolation. In fact, every state is
competing with every other for land. This is the natural order where none is content with what he already
has .This implies that no state can be stable unless it takes care or its foreign relations. If such relations
are ignored, the state will soon fall a prey to conspiracy hatched by other princes. Kautilya attached great
importance of diplomacy in the interstate relation.
• Kautilya surrendered all moral principles to the wisdom of King and suggested double standard of
morality like Machiavelli to build a strong nation. Hence he suggested his king should be clever, shrewd,
cunning, deceitful, brave and courageous in foreign relations. By means of spies, dissension and discord
should be created in foreign policy.
• In this way Kautilya's views on state, government, law, justice system of administration, state function
and foreign relations are milestones in the political literature and provide guidelines for all generations.
• Kautilya's Arthashastra is the most important work on Public Administration in Ancient India. The science
of Public Administration mainly studies three parts: the principles of Public Administration, the
machinery of government and the personnel. The outline in Arthashastra about the relationship between
the science of Public Administration and the that of Economics and of government holds relevance even
today. Arthashastra deals with the perennial problem of 'acquiring and maintaining the earth'. The
supreme significance of this work lies in being the systematic optimization and constructive synthesis in
the political ideas and notions available in those days. Kautilya made politics an independent discipline.
He emphasized on the four sciences - first Anviksaki, or philosophy including the materialistic lokayate
system, secondly, the Tray, or triple Vedas, Rik, sama and yajus, thirdly varta or economics was concerned
with agriculture, cattle and trade and lastly Dandaniti or politics was the science of government of the
enforcement of law and order. Kautilya proclaimed that politics was the supreme science and supreme
art. It lay at the root of all. The welfare of all sciences depends on the well-being of politics.
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Machiavelli
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Machiavelli’s Life and Times
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• Machiavelli was born in 1469 and raised in Florence, Italy.
•
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Machiavelli was born in a tumultuous era in which popes waged acquisitive wars against Italian city-states, and
people and cities often fell from power as France, Spain, and the Holy Roman Empire battled for regional
• SH A
influence and control.
Political-military alliances continually changed, featuring mercenary leaders, who changed sides without
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warning, and the rise and fall of many short-lived governments.
• In 1494 Florence restored the republic, expelling the Medici family that had ruled Florence for some sixty years.
YU C
Shortly after Machiavelli was appointed to an office of the second a medieval writing office that put Machiavelli
in charge of the production of official Florentine government documents.
PI H
• In the first decade of the sixteenth century, he carried out several diplomatic missions: most notably to the
Papacy in Rome. Moreover, from 1502 to 1503, he witnessed the brutal reality of the state-building methods
R S
of Cesare Borgia and his father, Pope Alexander VI, who were then engaged in the process of trying to bring a
large part of Central Italy under their possession. Other excursions to the court of Louis XII and the Spanish court
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influenced his writings such as The Prince.

•
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Between 1503 and 1506, Machiavelli was responsible for the Florentine militia. He distrusted mercenaries (a
distrust that he explained in his official reports and then later in his theoretical works for their unpatriotic and
uninvested nature in the war that makes their allegiance fickle and often too unreliable when most needed) and
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instead staffed his army with citizens, a policy that was to be repeatedly successful.
• In 1513 the Medici family returned to Florence. Machiavelli was first imprisoned and tortured on the grounds of
U .
conspiracy, then sent in exile. It is here he devoted himself to studying and writing of the political treatises that
R
earned his place in the intellectual development of political philosophy and political conduct
• If the rotten politics of Italy affected him deeply, Machiavelli was also materially influenced by the growing spirit
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of the Renaissance in Italy which ushered in an era of unstrained intellectual outlook, freedom from the shackles
of' scholastic dogma and ancient i.e. pre-Christian attitude towards morality and religion.
• The Catholic Church and the clergy of Machiavelli’s time wanted to maintain a shadow of their spiritual power
over whole of Italy, which left Italy in a state of degradation.
• Machiavelli was very much a creature of the Renaissance, native city of Florence being then the center of Italian
Renaissance. In the middle Ages, the church and the state were closely interrelated, the Church on the whole
dominating the state and profoundly influencing the political philosophy of the latter. The Renaissance
encouraged men to re-examine things from-other than the religious point of view.
• It was possible now to formulate political theories on a purely secular basis and Machiavelli is the chief exponent
of this school of thought.
• Dunning says that “Machiavelli stood on the border-line between the Middle and the Modern ages. He
ushered in the Modern Age by riding politics of the vassal state of religion”.
• In the middle ages people had concentrated on matters of spirit salvation and God in the light of dogmatic
Christian theology. Man, as man, had little significance then. With the renaissance, man instead of God, became
the chief entity and subject of study.
• There developed the spirit of individualism which laid stress on the dignity of man, natural and human.
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WESTERN POLITICAL THOUGHT: MACHIAVELLI

Renaissance ushered in rationalism which viewed on God, man and nature from the standpoint of reason.
His Methodology
• Machiavelli's methods, like that of Aristotle, was historical. But, it was more so in appearance than in substance
and reality. He was more concerned with the actual working of the governmental machinery than the abstract
principles of constitution. A realist in politics his writings expound a theory of the art of government rather than
a theory of State.
• He was an accurate observer and acute analyst of the prevailing circumstances. He, therefore, adopted a form
and method of political philosophy which ignored completely the scholastic and juristic ideals.
• His conclusions were reached empirically based on common sense and shrewd political foresight.
• According to Sabine: "He used history exactly as he used his own observation to illustrate or support a
conclusion that he had reached without reference to history."
Y
• It was Dunning who called his study as "the study of the art of government rather than a theory of the State".
• Thus, the substance of his thought covers-a much narrower field than Aristotle. But, in this narrow field his
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treatment of the problems exhibit, in the words of Sabine, "the shrewdest insight into points of weakness and
strength in a political situation, the clearest and coolest judgement of the resources and temperament of an
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opponent, the most objective estimate of the limitations of a policy, the soundest common sense in
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forecasting the logic of events, and the outcome of a course of action".
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H
Prince: Analysis of Monarchy
His Political Thought
YU C
Discourses on Livius: Analysis of Strong Republic
• In the first one, the main theme is the successful creation of a princedom by an individual; in the other it is the
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creation of an empire of free citizens.

•
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But in both, the centre of his thought is the method of those who wield the power of the state rather than the
nature of relationship between the ruler and the ruled.
D U
• Machiavelli viewed things from the standpoint of the ruler and not the ruled, preservation of the state rather
than the excellence of its constitution was his main consideration.
IY
• He writes of the mechanisms of the governments by which the state can be made strong and the politics that
can expand their powers. He points out the errors that bring about their downfall too.
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• In the words of Sabine: "The purpose of politics is to preserve and increase political power itself, and the
standard by which he judges it is its success in doing this. He often discusses the advantage of immorality
skilfully used to gain a ruler's ends, and it is this which is mainly responsible for his evil repute. But for the
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most part he is not so much immoral as non-moral."

• A thing which would be immoral for an individual to do, might, if necessary, in interest of the state, be
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justifiably done by a ruler or a monarch. His indifference towards morality, therefore, can be explained in
terms of political expediency.
• Machiavelli based his thought on two premises. First, on the ancient Greek assumption that the state is the
highest form of human association necessary for the protection, welfare and perfection of humanity and as such
the interests of the state are definitely superior to individual or social interests.
• The second premise was that the self-interest in one form or another, particularly material self-interest, is the
most potent of all factors of political motivation. Hence, the art of statecraft consists of the cold calculations of
elements of self-interests in ally given situation and the intelligent use of the practical means to meet the
conflicting interests.
Concept of Universal Egoism

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• He did not believe in the essential goodness of human nature, he held that all men are wicked and essentially
selfish. Selfishness and egoism are the chief motive forces of human conduct.
• Fear is mightier than love. He focus on issue of security since he believes men by nature are aggressive and
acquisitive.
• Men aim to keep what they already have and desire to acquire more and there are no limits to human desires,
and all being the same there being a natural scarcity of things there is everlasting competition and strife.
Security is only possible when the ruler is strong.
• A 'Prince', therefore, ought to personify fear. A Prince who is feared knows how to stand in relation to his
subjects and aims at the security of their life and property.
• Men always commit error of not knowing when to limit their hopes, therefore, the only way to remedy this evil
is to make them aware of the equal and negative consequences of their actions if they disobey the ruler.
• These basic elements of human nature which are responsible to make him ungrateful, fickle, deceitful and
cowardly along with their evil effects were most prominent in Italy during Machiavelli's time. The corruption in
Y
all spheres was the order of the day and all sorts of license and violence, absence of discipline, great inequalities
E
in wealth and power, the destruction of peace and justice and the growth of disorderly ambitions and dishonesty
prevailed.
11 B
• The only way to rectify such a situation was the establishment of absolute monarchy and despotic powers,
according to Machiavelli.
U
•
SH A
H Power
Machiavelli held that the purpose of political power is to maintain itself and to extend itself. It has nothing to do
with the welfare of the people. It has nothing to do with principles or ideology or right and wrong. The welfare of
YU C
the people, principles, ideology, right and wrong: these are related to the means to the end, but the goal is
power. Do whatever it takes to keep your power and extend your power. Sabine writes:
PI H
• "This is Machiavelli's most conspicuous quality. He writes almost wholly of the mechanics of government, of
the means by which states may be made strong, of the policies by which they can expand their power, and of
R S
the errors that lead to their decay or overthrow. Political and military measures are almost the sole objects of
D U
his interest, and he divorces these almost wholly from religious, moral, and social considerations, except as
the latter affect political expedients. The purpose of politics is to preserve and increase political power itself,
IY
and the standard by which he judges it is its success in doing this. Whether a policy is cruel or faithless or
lawless he treats for the most part as a matter of indifference, though he is well aware that such qualities may
react upon its political success. He often discusses the advantages of immorality skillfully used to gain a ruler's
SE P
ends, and the most part he is not so much immoral as non-moral. He simply abstracts politics from other
considerations and writes of it as if it were and end in itself."
U . R
Morals, Ethics, and Religion

D
• Machiavelli held that it was good to promote morals and ethics and religious convictions among the people.
These were important in order to keep them under control and productive. Morals and ethics maintained
stability and order and peace.
• Sabine writes: “ruler must believe in the religion of his subjects or practice their virtues... Machiavelli offers an
extreme example of a double standard of morals, one for the ruler and another for the private citizen."
• So the ruler, himself, was under no obligation to live by these same morals and ethics and religious convictions.
The ruler was above these things. He was beyond good and evil. The ruler had the obligation to do whatever was
necessary to maintain and extend his political power.
• Sabine notes that Machiavelli, "openly sanctioned the use of cruelty, perfidy, murder, or any other means,
provided only they are used with sufficient intelligence and secrecy to reach their ends".
• Machiavelli promoted the idea that a ruler should be gentle most of the time, but when necessary the ruler must
make use of any form of manipulation, deceit, and even murder to achieve his ends.
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• Machiavelli writes: "Alexander VI did nothing else but deceive men, nor ever thought of doing otherwise, and he
always found victims; for there never was a man who had greater power in asserting, or who with greater oaths
would affirm a thing, yet would observe it less; nevertheless his deceits always succeeded according to his
wishes, because he well understood this side of mankind.
• "Therefore it is unnecessary for a prince to have all the good qualities I have enumerated, but it is very
necessary to appear to have them.
• And I shall dare to say this also, that to have them and always to observe them is injurious, and that to appear
to have them is useful; to appear merciful, faithful, humane, religious, upright, and to be so, but with a mind
so framed that should you require not to be so, you may be able and know how to change to the opposite.
• And you have to understand this that a prince, especially a new one, cannot observe all those things for which
men are esteemed, being often forced, in order to maintain the state, to act contrary to faith, friendship,
humanity, and religion. Therefore it is necessary for him to have a mind ready to turn itself accordingly as the
winds and variations of fortune force it, yet, as I have said above, not to diverge from the good if he can avoid
Y
doing so, but, if compelled, and then to know how to set about it.
E
• "For this reason a prince ought to take care that he never lets anything slip from his lips that is not replete
with the above-named five qualities that he may appear to him who sees and hears him altogether merciful,
11 B
faithful, humane, upright, and religious.
• There is nothing more necessary to appear to have than this last quality, inasmuch as men judge generally
U
more by the eye than by the hand, because it belongs to everybody to see you, too few to come in touch with
•
you.
SH A
Everyone sees what you appear to be, few really know what you are, and those few dare not oppose
H
themselves to the opinion of the many.
Those things were virtuous in a which excelled in bringing success and power and that virtue lay in functional
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excellence , these were ruthlessness , cunningness , deceitfulness, boldness and shrewdness along with an
unflinching will”.
•
PI H
From the foregoing, it is obvious that Machiavelli had little place for ethics or for the matter of that for religion in
his system of political philosophy and that formed the chief difference between him and the medieval writers.
R S
• Aristotle had already distinguished ethics from politics but had not separated the two whereas Machiavelli
brought about a complete divorce between them. Moral virtues had their own value but he refused to assign
D U
them any place in his scheme of things.

• Morality was not denied but was subordinated to politics and, therefore, Machiavelli “is not immoral but
IY
unmoral in his politics”. With Machiavelli, the end justified the means. Machiavelli may be called the “founder
of utilitarian ethics”.
SE P
• Machiavelli believed that the state was the highest form of human association and had a superior claim to a
man’s obligations. Reasons of state must outweigh any ethical considerations. Public interests were the most
U .
potent of all motives for political action. Public standards of action were different from private standards. It is
R
wrong for a private individual to kill but it is not wrong for the state to kill by way of punishment for crime. The
state hangs a murderer because public safety demands it and because public interests are more important than
D
private interests of the criminal. Private interests or ethics have nothing to do with public action. Public conduct
is neither inherently good, nor bad. It is good if its results are good. A good citizen is one who is a bad man for
whom patriotism is the only moral law.
The Prince: Detailed suggestion by Machiavelli to the Prince
The prince of Machiavelli consists of 26 chapters which lend themselves to three divisions.
• Division I represents a general introduction and discusses various forms of absolute government.
• Division II denounces the then current system of mercenary troops and pleads for the establishment of a
national army.
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• Division III contains the substance of Machiavelli’s philosophy. It gives a number of rules for the guidance of the
prince, especially the ‘new prince’ i.e. one who was a usurper or a leader of men who had seized a state with
force or craft.
The Prince of Machiavelli is neither an academic treatise nor a book on political science as such. It is ‘real politic’.
It is a memorandum on the art of government and of political success prepared by the ex-secretary of Florence. It
deals with the mechanics of government. It is pragmatic in character and gives the technique of successful ruler-
ship.
The whole argument of the Prince is based on two premises, borrowed mainly from Aristotle.
• One of these is that the state is the highest form of human association and the most indispensable instrument
for the promotion of human welfare and it is by merging ‘himself in the state that an individual maintains the
Y
state and thereby finds his full fruition, his best self. Considerations of the welfare of the state must, therefore,
E
outweigh any considerations of individual or group welfare.
• The second premise is that material self is the most potent of motive forces in individual and public action. The
11 B
art of government, therefore, lies in the intelligent and unflinching pursuit by the ruler of his self-interest
regardless o ethical considerations. Machiavelli almost identifies the state with the ruler.
U
SH A
H
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Suggestions:
PI H
• To Machiavelli, as to the ancient Greeks, virtue in a prince which excelled in bringing success and power and
these were cunning, deceit and ruthlessness.
R S
• Chapter XVIII of the Prince gives Machiavelli’s idea of the virtues which a successful prince must possess:
•
D U
Integrity may be theoretically better than collusion but cunning and subtlety are often very useful. The two
means of success are law and force.
IY
• A prince must combine in himself the rational and the brutal, the latter in turn representing a judicious
combination of the lion and the fox.
• A prince must play the fox and act the hypocrite to disguise his real motives and inclinations.
SE P
• To Machiavelli the preservation of the state was the raison d’etre of monarchy. A prince must regard his
neighbors as likely enemies and keep on guard.
U .
• A clever prince will realize the internal unity of his state not by surrendering his powers to the people but by
R
establishing thorough-going despotism.

•
D
Economic motives being the mainspring of human conduct, a prince must do all he can to keep his subjects
materially contented. A prince might execute a conspirator but should not confiscate his property, for
confiscation would be more seriously taken notice of by the affected family then the execution.
• A prince held Machiavelli must be free from emotional disturbances but must be ready and capable of taking
advantage of the emotions of other people.
• He must be a cool and calculating opportunist. He must oppose evil by evil. In the interests of the state he must
be ready to sin boldly.
• He must be of unshakeable purpose and dead to every sentiment except love for his state which he must save
even at the cost of his own soul.
• It was always wrong for an individual to tell a lie but sometimes necessary and good for the ruler to do so in the
interests of the state.
• He must not allow himself to be weighed down by any puerile considerations of justice or injustice, good or bad,
right or wrong, mercy or cruelty, honor or dishonor in matters of state.
• Subtlety is often useful in public affairs. Dishonesty is the best policy.
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• The fact is that Machiavelli conceived of himself as a physician of the state. He was concerned not with the
ethics of his patient’s public actions but only with the means of maintaining his patient i.e. the state in a
condition of good vigor and prosperity regardless of what this vigor was to be used for.
• To Machiavelli it was clear that the interests of the state justified everything. The end of justified the means.
Public necessity knew no law.
• State actions were not to be judged by individual ethics. Machiavelli prescribes a double standard of conduct for
the ruler and for individual citizens on the basis that the ruler is a creator of law as also of morality for moral
obligations must ultimately be derived from and sustained by law. As such he is above both.
• It will be the ruin of the state if the ruler’s public actions relating to problems of external and internal security of
the state were to be weighed down by individual ethics.
• The state has no ethics. It is an un-ethical entity. The rightness or wrongness of a state action was to be judged
merely by its results.
Y
Relation with other states:
E
• The prince should aim at acquisition and extension of his princely powers and territories. If he fails to do this, he
11 B
is bound to perish.
•
U
For this he should always regard his neighboring states as enemies and remain always prepared to attack them
at some weak moments of theirs. For this he must have a well-trained citizens' soldiery. A good army of soldiers
• SH A
are in reality the essence of princely strength.
Mercenary soldiers should be rid of, as they may become the cause of lawlessness. Such bands of hired
H
hooligans would be ready to fight for the largest pay and could not be faithful to anyone. This could shake the
authority of the Prince; therefore, the Prince must possess a nationalized standing army of soldiers at his
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disposal.
PI H
Classification of Government
R S
• He accepts the Aristotelian classification of governments into monarchy, aristocracy and constitutional
D U
democracy with perversions tyranny, oligarchy and democracy.

• He also agrees with Roman political thinkers Polybius and Cicero that a mixed type of constitution with proper
IY
checks and balances is the best and the most suitable constitution for a state.
• The treatment of government in his two major works is significantly different; rather inconsistent and
SE P
contradictory to each other. The Prince deals with monarchies or absolute governments, while the Discourses
showed his admiration for expanded Roman Republic.
• In both forms his emphasis is on the cardinal principle of the preservation of the state irrespective of its
U . R
foundations, depends on the excellence of its law, for this is the source of all civic virtues of its citizens.
• Even in a monarchy the prime condition for stable government is that it should be regulated by law. Thus,
D
Machiavelli insisted upon the need for legal remedies against official abuses in order to prevent illegal violence.
• He pointed out the political danger of lawlessness in rulers and folly of vexatious and harassing policies.
• Both the books show equally the qualities for which Machiavelli has been specially known, such as, indifference
to the use of immoral means for political purpose and belief that governments depend largely on force and craft.
• Machiavelli never erected his belief in the omnipotent law giver into a general theory of absolutism.
• Both the books present aspects of the same subject-the cause of the rise and decline of states and the means by
which statesmen could make them permanent. This corresponds to twofold classification of states or form of
government.
• The stability and preservation of the state is the prime objective of the ruler. Machiavelli favoured a gentle rule
where ever possible and the use of severity only in moderation.
• He believed explicitly that government is more stable where it is shared by many. He preferred election to
inheritance as a mode of choosing rulers.
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• He also spoke for general freedom to propose measures for the public good and for liberty of discussion before
reaching a decision. He, in his 'Discourses' expressed that people must be independent and strong, because
there is no way to make them suitable without giving them the means of rebellion.
• He had a high opinion both of these virtue and the judgement of an uncorrupted people as compared to those of
the prince. These observations only show the conflicting and contradictory ideas of Machiavelli's philosophy; on
one hand he advocates an absolute monarchy and on the other shows his admiration for a republic.
• As Sabine remarks: "His judgement was swayed by two admirations-for the resourceful despot and for the
free, self-governing people-which were not consistent. He patched the two together, rather precariously, as
the theories respectively of founding a state and of preserving it after it is founded. In more modern terms it
might be said that he had one theory for revolution and another for government.”
• He recommends despotism mainly for reforming the corrupt state and preserving its security. However he
believed that state can be made permanent only if the people are admitted to some share in the government
and if the Prince conducts the ordinary business of the state in accordance with law and with a due regard for
Y
the property and rights of his subjects.
E
• Despotic violence is a powerful political medicine, needed in corrupt states and for special contingencies, but it is
still a poison which must be used with the greatest caution.
11 B
• He holds both monarchy and republican form of government as ideal, but he had very low opinion of aristocracy
and nobility, whom he perceived as antagonistic to both the monarchy and the middle class, and that an orderly
U
government required their suppression.
SH A
How to expand the State as per The Prince and Discourses?
H
• In the Prince and the Discourses, Machiavelli insists on the necessity of extending the territory of the state. An
YU C
irresistible tendency to expand is inherent in both monarchies and republics. His idea of the extension of the
dominion of a state did not mean “the blending of two or more social or political organism, but as consisting in
PI H
the subjection of a number of states to the rule of a single prince or commonwealth”.

• To Machiavelli a state must either expand or expire and extension of dominion was easier in one’s own country
R S
where there was no difficulty of language or of institutions to overcome in the assimilation of the conquered
people. Machiavelli thought the Roman state and its policy of expansion to be ideal.
D U
• Force of arms was necessary for political aggrandizement as well as preservation of a state but force must be
IY
judiciously combined with craft. The doctrine of aggrandizement is one of the most characteristic features of
Machiavelli’s political philosophy and brings out vividly his moral indifference.
• Both The Prince and the Discourses give us Machiavelli’s ideas regarding the means to be adopted for the In a
SE P
monarchy, a prince must pay due respect to the established customs and institutions of the land which people
hold as something dearer than liberty or life itself.
U .
• He must fire the imagination of his subjects by grand schemes and enterprises. He must not impose heavy taxes
R
and he must patronize art and literature. Machiavelli’s ideal prince is, thus, an enlightened despot of a non-
moral type.
D
• In a republic, the most important thing is that the constitution should be flexible, the law of the land reflecting
the varying conditions in the republic.
Machiavelli and Kautilya

Similarities
• B. K. Sarkar says, “Denuded of all extraneous particulars, Machiavellism may be boiled down to two cardinal
dicta: (1) the enemy, actual or potential, must be crushed at all costs. And here end justifies the means. (2) The
manner in which a person behaves as the servant of a group, party or state must be different from that in which
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he appears as an individual in regard to other individuals. He adds that both these principles are quite natural.
And he argues that these principles are also at the basis of the Arthashastra teaching.
• W. Ruben, who has also made a detailed comparison between Kautilya and Machiavelli, argues that the stand-
point of both is that of ‘Real politics’, and hence according to both the statesman has to be dishonest,
unorthodox, impious and egotistical, although at the same time he must be self-restrained and active (that is,
not fatalistic). He also refers to the occasionally relentless frankness and clear-headedness and harshness of the
politician reflected in the works of both.
• Both realistically analyse the methods by which a king may rise to supreme power and maintain it against all
odds.
• In both, we find the duality of treatment of the feelings and susceptibilities of men and the tendency to
• Both of them held the belief that, through a proper and critical study of history, one could deduce not only the
Y
causes of maladies of society, but also the cures thereof.
E
• Kautilya belonged to the Arthashastra School which looked at the political phenomenon without linking them in
any way with divine agency or revelation. The approach was thus religious and rational. The Modern Italian
11 B
thinker affected a break with the medieval way of thinking and reasoning and adopted the empirical or historical
method of investigation and released the State from the bondage to religious authorities.
U
• Kautilya is aware that the Swami (king) can hardly feel secure in a State where persons cut off of power by him
•
SH A
are still alive and well. Similar insistence was that of Machiavelli while cautioning the Prince against any possible
conspiracy and scandal.
H
Both Kautilya and Machiavelli advised the ruler to be merciless, cruel and unscrupulous while suppressing
internal disruptions and external aggressions. The former provided different kinds sanctions which coercive in
YU C
nature and punishments prescribed by him were stringent and cruel. But Machiavelli, while elaborating the
theme of the art of war, did not mention cruel techniques like blinding through the use of poisonous powders
PI H
for attaining political goal. Kautilya surpassed Machiavelli and left him for behind while sanctioning several
barbarous and cruel measures for attaining success.
R S
• No ethical code supports Kautilya's methods for swimming success. For the sake of the country's security all
kinds of measures including violence and fraud were welcome and they could not be considered as
D U
reprehensible. This is what both Kautilya and Machiavelli advocated. To them, end justified the means.
• Both Kautilya and Machiavelli were quite pessimistic in their approach to human nature. It seems that the
IY
former treated men with contempt as they were unreliable and entrust wrongly. Hence they should not be taken
into confidence. Kautilya, however, made “no categorical statement regarding the corruptibility of human nature
SE P
in general”. Machiavelli, on the other hand, categorically said that people were ungrateful, fickle, deceitful
avaricious, vicious, evil, mean, corrupt and unreliable. He, therefore, suggested that there should be strong
U .
political force to restrain the deviant behaviour of the people. He upheld a more pervert conception of human
R
nature than Kautilya. He considered men to be greedy, selfish and cruel. They understood only the language of
force. Kautilya now here made a generalized statement about the weakness or perversity, or selfishness of man.
D
Differences
• Machiavelli's empirical method, founded on historical data, has no equivalent in Kautilya’s casual references to
classical ancient times. Machiavelli's application of history to point a moral is different from Kautilya's
dependence on scriptures and conventional wisdom for reinforcing the traditional moral order.
• While Machiavelli occupies as the first modern political philosopher a unique position in European history,
Kautilya was preceded in Ancient India by a long line of individual authors and schools who may justly claim to
have introduced a number modernist political ideas into the stock of our ancient thought.
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• The detailed account of the organization and working of the State-administration which constitutes such a
prominent feature of Kautilya’s work is wanting in Machiavelli’s statecraft.
• The more fundamental difference lies in the objectives of the two sets of policies formulated by them.
Machiavelli was motivated by a burning patriotism to see Italy rise again from the ashes into a modern nation for
the deliverance of the unhappy land from decay. Kautilya, on the contrary, was aspired to ensure the security
and stability of the kingdom so as to achieve Dharma on the globe. Kautilya's major preoccupation, unlike that of
Machiavelli, was to foster and restore the ethical values of Indian system both in method and in principle.
• Kautilya's essentially spiritual disposition and Machiavelli's essentially secular material makeup stand out against
each other. Though both believed and prescribed to the rulers the rules of the game of politics, the use of
religion for political ends, their grounds for doing so, as also their concepts of power and goals, were mutually
exclusive.
• Kautilya also does not wholly subscribe to the view of Machiavelli that man is born badly and has no inherent
Y
virtue in him. That he is a "compound of weakness, folly and knavery, intended by nature to be the dupe of the
cunning and the prey of the despotic". On the contrary. Kautilya admits that man has altruistic and good
E
qualities alongside some selfish and bad traits. He thus, does not endorse the view of Machiavelli that man is
11 B
thoroughly bad and wholly selfish. To him, a man, apart from being selfish and leaning is altogether rational and
is, therefore, advised to follow a code of conduct on Dharma and to adopt immoral means to deal with cunning.
U
• There is fundamental difference between the kingship of Kautilya and Machiavelli. As for Machiavelli, he left the
SH A
personal and private character of the Prince of his upbringing out of sight, and treated him as the personification
of the State, wherein the private individual is inevitably merged in the politician. On the other hand, Kautilya's
H
characterization of the king was by self-control, wisdom, discipline and noble conduct. What is most significant is
Kautilya's priority to Dharma over Danda. While Machiavelli argues, "it is not necessary for a prince really to
YU C
have virtues, but it is very necessary to seem to have them", Kautilya, King's departure from moral norms was a
temporary expedient for those moral norms. The king was expected to be a virtuous person in thought, word
PI H
and deed. If he had to be cruel by necessity, it was to make virtuous life possible for all.
•
R S
While Machiavelli singles out the class of aristocrats as the object of his ruthless policy, their place in Kautilya is
taken by antisocial elements of the population and the clandestine public enemies and the enemies outside.
D U
• So far as the ultimate objective of the State is concerned, Machiavelli did not think much of the populace, the
IY
welfare of the less privileged did not bother him, as these concerned Kautilya. The majority of citizens to
Machiavelli were content with the security of person and property that the State provided them. He glorified the
State and stressed the over-riding claim of the State to the loyalty of the individual. He would not concede that
SE P
man had any right over and against the State. Man attained his optimum development through subordinating
himself to the society, held Machiavelli, and that the State provided a political framework essential to the
U .
development of mankind. On the other hand, to Kautilya. The State was subordinated to the society which it did
R
not create, but which it existed to secure. The highest office of the State is, thus an aggregate of the people
whose welfare is an end in itself.
D
• A more fundamental difference may be observed between the objectives of the two sets of policies. In
Machiavelli there lay behind all his thought the urge of burning patriotism which sought passionately for the
deliverance and unification of his unhappy motherland .The aim of Kautilya’s statecraft, by contrast, was much
more limited and selfish, for it consisted in ensuring the security and stability of the King’s rule inside the
Kingdom and its progressive advance towards the goal of universal dominion outside the same.
Criticism
• Machiavelli has tried to separate ethics from politics but the two cannot be really divorced because the state is
founded on the minds of its citizens who are moral agents. A good man will be a good citizen only in a good state
with good laws.
• Machiavelli builds his theories on the assumption that man is bad and selfish by nature. This is wrong. Man is a
bundle of good and evil. It is the environment that converts him into good or bad. The ruler being one of the
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individuals of the society cannot be set apart from the environment having quite different standards of morality
from the rest of the people. The idea of right and wrong which represents the ethical standard of the people
must also affect the actions of the rulers and their orders. Rulers' actions must reflect the moral opinion and
beliefs of the people. Hence what is morally wrong cannot politically be right.
• If rulers' actions are not judged by the standards of private morality, he may assume dictatorial powers.
Separation of ethics from politics may ultimately result in tyranny which a democratic minded man will never
tolerate. Machiavelli's theory of moral indifference, therefore, leads towards the usurpation of individual's rights
and liberties and the negation of his will.
• His theories were not developed in a systematic manner, they were mainly in the form of remarks upon
particular
Significance
Y
• That he is regarded as the first modern political thinker who not only gave the concept of state but also of
E
sovereignty.
•
11 B
He first gave the idea of Secularism. Allen says,’ The Machiavelli state is to begin within a complete sense an
entirety secular state’. He placed religion within the state and not above it and according to him,’ the
U
observance of the ordinances of religion is the cause of greatness of the commonwealth; as also in their
neglect the cause of their ruin.
•
•
•
SH A
His importance lies in that he rescued political thought from the scholastic vagueness.
He also deserves to be ranked as one of the greatest pragmatists.
H
Machiavelli's character and personality as well as his philosophy have been one of the enigmas of modern
YU C
history. In the words of George Sabine, "he writes about nothing and thinks about nothing except politics,
Statecraft and the art of war. He was perhaps too practical to be philosophically profound".
• The extremely dark picture of human nature taken by Machiavelli may explain the existence of the state but it
PI H
cannot ' explain its ever-growing activities and, the growing multiplicity of social association in the state.
• To quote George H. Sabine, Machiavelli's philosophy was both narrowly local and narrowly dated. Had he
R S
written in any country except Italy or had he written in Italy after the beginning of the Reformation and still after
D U
the beginning of the Counter Reformation, it is impossible to suppose that he would have treated religion as he
did.
IY
• Many concepts of modern political thought begin with Machiavelli. It was he who first used the word state in the
sense in which it is used nowadays, that is, something having a definite territory, population, government and
SE P
sovereignty of its own.

• It was on Machiavelli’s concept of a sovereign territorial and secular state that Bodin and Grotius built up a
theory of legal sovereignty which was given a proper formulation by John Austin. Hobbes borrowed his
U .
conception of human nature from Machiavelli and built up a theory of absolute sovereignty. Both Machiavelli
R
and Hobbes believe that man is an egoistic brute and is motivated to action by fear. Machiavelli is the first of
D
modern totalitarian thinkers.
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• Machiavelli believes in the potency of material interests rather than spiritual ones and may be said to have
inspired Karl Marx in his materialistic interpretation of history. Machiavelli deifies the state and is for the
complete absorption of the individual by the state. So does Hegel who views the state as the march of God on
earth. Machiavelli is the first exponent, with his theory of aggrandizement of the modern theory of power
politics on which much has been written by thinkers like Nietzsche, Treitschke, Bernhard and others.
Commentaries
Sabine
• He used history exactly as he used his own observation to illustrate or support a conclusion that he had
reached without reference to history.
Y
• the shrewdest insight into points of weakness and strength in a political situation, the clearest and coolest
judgement of the resources and temperament of an opponent, the most objective estimate of the
E
limitations of a policy, the soundest common sense in forecasting the logic of events, and the outcome of a
11 B
course of action.
• The purpose of politics is to preserve and increase political power itself, and the standard by which he
U
judges it is its success in doing this. He often discusses the advantage of immorality skilfully used to gain a
ruler's ends, and it is this which is mainly responsible for his evil repute. But for the most part he is not so
• SH A
much immoral as non-moral.
H
Ruler must believe in the religion of his subjects or practice their virtues... Machiavelli offers an extreme
example of a double standard of morals, one for the ruler and another for the private citizen.
YU C
• Openly sanctioned the use of cruelty, perfidy, murder, or any other means, provided only they are used
with sufficient intelligence and secrecy to reach their ends.
• His judgement was swayed by two admirations-for the resourceful despot and for the free, self-governing
PI H
people-which were not consistent. He patched the two together, rather precariously, as the theories
R S
respectively of founding a state and of preserving it after it is founded. In more modern terms it might be
said that he had one theory for revolution and another for government.
D U
IY
Dunning and Allen

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• Dunning: Machiavelli stood on the border-line between the Middle and the Modern ages. He ushered
in the Modern Age by riding politics of the vassal state of religion.
U .
• It was dunning who called his study as "the study of the art of government rather than a theory of the
R
State".
D
in the Modern Age by riding politics of the vassal state of religion”.
• Allen says,’ The Machiavelli state is to begin within a complete sense an entire secular state’.
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By Machiavelli
• Therefore it is unnecessary for a prince to have all the good qualities I have enumerated, but it is very
• And I shall dare to say this also, that to have them and always to observe them is injurious, and that to
appear to have them is useful; to appear merciful, faithful, humane, religious, upright, and to be so, but with
a mind so framed that should you require not to be so, you may be able and know how to change to the
opposite.
• And you have to understand this that a prince, especially a new one, cannot observe all those things for
which men are esteemed, being often forced, in order to maintain the state, to act contrary to faith,
friendship, humanity, and religion. Therefore it is necessary for him to have a mind ready to turn itself
accordingly as the winds and variations of fortune force it, yet, as I have said above, not to diverge from the
good if he can avoid doing so, but, if compelled, and then to know how to set about it.
Y
• For this reason a prince ought to take care that he never lets anything slip from his lips that is not replete
E
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more by the eye than by the hand, because it belongs to everybody to see you, too few to come in touch
U
with you.
• Everyone sees what you appear to be, few really know what you are, and those few dare not oppose
• SH A
H
YU C
unflinching will.
• The observance of the ordinances of religion is the cause of greatness of the commonwealth; as also in their
PI H
• I affirm that a people is more prudent, more stable and of better judgment than a prince. Not without reason
is the voice of a people likened to the voice of God".
R S
D U
IY
SE P
U . R
D
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Machiavelli
E Y
Machiavelli’s Life and Times
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• Machiavelli was born in 1469 and raised in Florence, Italy.
•
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Machiavelli was born in a tumultuous era in which popes waged acquisitive wars against Italian city-states, and
people and cities often fell from power as France, Spain, and the Holy Roman Empire battled for regional
• SH A
influence and control.
Political-military alliances continually changed, featuring mercenary leaders, who changed sides without
H
warning, and the rise and fall of many short-lived governments.
• In 1494 Florence restored the republic, expelling the Medici family that had ruled Florence for some sixty years.
YU C
Shortly after Machiavelli was appointed to an office of the second a medieval writing office that put Machiavelli
in charge of the production of official Florentine government documents.
PI H
• In the first decade of the sixteenth century, he carried out several diplomatic missions: most notably to the
Papacy in Rome. Moreover, from 1502 to 1503, he witnessed the brutal reality of the state-building methods
R S
of Cesare Borgia and his father, Pope Alexander VI, who were then engaged in the process of trying to bring a
large part of Central Italy under their possession. Other excursions to the court of Louis XII and the Spanish court
D U
influenced his writings such as The Prince.

•
IY
Between 1503 and 1506, Machiavelli was responsible for the Florentine militia. He distrusted mercenaries (a
distrust that he explained in his official reports and then later in his theoretical works for their unpatriotic and
uninvested nature in the war that makes their allegiance fickle and often too unreliable when most needed) and
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instead staffed his army with citizens, a policy that was to be repeatedly successful.
• In 1513 the Medici family returned to Florence. Machiavelli was first imprisoned and tortured on the grounds of
U .
conspiracy, then sent in exile. It is here he devoted himself to studying and writing of the political treatises that
R
earned his place in the intellectual development of political philosophy and political conduct
• If the rotten politics of Italy affected him deeply, Machiavelli was also materially influenced by the growing spirit
D
of the Renaissance in Italy which ushered in an era of unstrained intellectual outlook, freedom from the shackles
of' scholastic dogma and ancient i.e. pre-Christian attitude towards morality and religion.
• The Catholic Church and the clergy of Machiavelli’s time wanted to maintain a shadow of their spiritual power
over whole of Italy, which left Italy in a state of degradation.
• Machiavelli was very much a creature of the Renaissance, native city of Florence being then the center of Italian
Renaissance. In the middle Ages, the church and the state were closely interrelated, the Church on the whole
dominating the state and profoundly influencing the political philosophy of the latter. The Renaissance
encouraged men to re-examine things from-other than the religious point of view.
• It was possible now to formulate political theories on a purely secular basis and Machiavelli is the chief exponent
of this school of thought.
• Dunning says that “Machiavelli stood on the border-line between the Middle and the Modern ages. He
ushered in the Modern Age by riding politics of the vassal state of religion”.
• In the middle ages people had concentrated on matters of spirit salvation and God in the light of dogmatic
Christian theology. Man, as man, had little significance then. With the renaissance, man instead of God, became
the chief entity and subject of study.
• There developed the spirit of individualism which laid stress on the dignity of man, natural and human.
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Renaissance ushered in rationalism which viewed on God, man and nature from the standpoint of reason.
His Methodology
• Machiavelli's methods, like that of Aristotle, was historical. But, it was more so in appearance than in substance
and reality. He was more concerned with the actual working of the governmental machinery than the abstract
principles of constitution. A realist in politics his writings expound a theory of the art of government rather than
a theory of State.
• He was an accurate observer and acute analyst of the prevailing circumstances. He, therefore, adopted a form
and method of political philosophy which ignored completely the scholastic and juristic ideals.
• His conclusions were reached empirically based on common sense and shrewd political foresight.
• According to Sabine: "He used history exactly as he used his own observation to illustrate or support a
conclusion that he had reached without reference to history."
Y
• It was Dunning who called his study as "the study of the art of government rather than a theory of the State".
• Thus, the substance of his thought covers-a much narrower field than Aristotle. But, in this narrow field his
E
treatment of the problems exhibit, in the words of Sabine, "the shrewdest insight into points of weakness and
strength in a political situation, the clearest and coolest judgement of the resources and temperament of an
11 B
opponent, the most objective estimate of the limitations of a policy, the soundest common sense in
U
forecasting the logic of events, and the outcome of a course of action".
SH A
H
Prince: Analysis of Monarchy
His Political Thought
YU C
Discourses on Livius: Analysis of Strong Republic
• In the first one, the main theme is the successful creation of a princedom by an individual; in the other it is the
PI H
creation of an empire of free citizens.

•
R S
But in both, the centre of his thought is the method of those who wield the power of the state rather than the
nature of relationship between the ruler and the ruled.
D U
• Machiavelli viewed things from the standpoint of the ruler and not the ruled, preservation of the state rather
than the excellence of its constitution was his main consideration.
IY
• He writes of the mechanisms of the governments by which the state can be made strong and the politics that
can expand their powers. He points out the errors that bring about their downfall too.
SE P
• In the words of Sabine: "The purpose of politics is to preserve and increase political power itself, and the
standard by which he judges it is its success in doing this. He often discusses the advantage of immorality
skilfully used to gain a ruler's ends, and it is this which is mainly responsible for his evil repute. But for the
U . R
most part he is not so much immoral as non-moral."

• A thing which would be immoral for an individual to do, might, if necessary, in interest of the state, be
D
justifiably done by a ruler or a monarch. His indifference towards morality, therefore, can be explained in
terms of political expediency.
• Machiavelli based his thought on two premises. First, on the ancient Greek assumption that the state is the
highest form of human association necessary for the protection, welfare and perfection of humanity and as such
the interests of the state are definitely superior to individual or social interests.
• The second premise was that the self-interest in one form or another, particularly material self-interest, is the
most potent of all factors of political motivation. Hence, the art of statecraft consists of the cold calculations of
elements of self-interests in ally given situation and the intelligent use of the practical means to meet the
conflicting interests.
Concept of Universal Egoism

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• He did not believe in the essential goodness of human nature, he held that all men are wicked and essentially
selfish. Selfishness and egoism are the chief motive forces of human conduct.
• Fear is mightier than love. He focus on issue of security since he believes men by nature are aggressive and
acquisitive.
• Men aim to keep what they already have and desire to acquire more and there are no limits to human desires,
and all being the same there being a natural scarcity of things there is everlasting competition and strife.
Security is only possible when the ruler is strong.
• A 'Prince', therefore, ought to personify fear. A Prince who is feared knows how to stand in relation to his
subjects and aims at the security of their life and property.
• Men always commit error of not knowing when to limit their hopes, therefore, the only way to remedy this evil
is to make them aware of the equal and negative consequences of their actions if they disobey the ruler.
• These basic elements of human nature which are responsible to make him ungrateful, fickle, deceitful and
cowardly along with their evil effects were most prominent in Italy during Machiavelli's time. The corruption in
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all spheres was the order of the day and all sorts of license and violence, absence of discipline, great inequalities
E
in wealth and power, the destruction of peace and justice and the growth of disorderly ambitions and dishonesty
prevailed.
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• The only way to rectify such a situation was the establishment of absolute monarchy and despotic powers,
according to Machiavelli.
U
•
SH A
H Power
Machiavelli held that the purpose of political power is to maintain itself and to extend itself. It has nothing to do
with the welfare of the people. It has nothing to do with principles or ideology or right and wrong. The welfare of
YU C
the people, principles, ideology, right and wrong: these are related to the means to the end, but the goal is
power. Do whatever it takes to keep your power and extend your power. Sabine writes:
PI H
• "This is Machiavelli's most conspicuous quality. He writes almost wholly of the mechanics of government, of
the means by which states may be made strong, of the policies by which they can expand their power, and of
R S
the errors that lead to their decay or overthrow. Political and military measures are almost the sole objects of
D U
his interest, and he divorces these almost wholly from religious, moral, and social considerations, except as
the latter affect political expedients. The purpose of politics is to preserve and increase political power itself,
IY
and the standard by which he judges it is its success in doing this. Whether a policy is cruel or faithless or
lawless he treats for the most part as a matter of indifference, though he is well aware that such qualities may
react upon its political success. He often discusses the advantages of immorality skillfully used to gain a ruler's
SE P
ends, and the most part he is not so much immoral as non-moral. He simply abstracts politics from other
considerations and writes of it as if it were and end in itself."
U . R
Morals, Ethics, and Religion

D
• Machiavelli held that it was good to promote morals and ethics and religious convictions among the people.
These were important in order to keep them under control and productive. Morals and ethics maintained
stability and order and peace.
• Sabine writes: “ruler must believe in the religion of his subjects or practice their virtues... Machiavelli offers an
extreme example of a double standard of morals, one for the ruler and another for the private citizen."
• So the ruler, himself, was under no obligation to live by these same morals and ethics and religious convictions.
The ruler was above these things. He was beyond good and evil. The ruler had the obligation to do whatever was
necessary to maintain and extend his political power.
• Sabine notes that Machiavelli, "openly sanctioned the use of cruelty, perfidy, murder, or any other means,
provided only they are used with sufficient intelligence and secrecy to reach their ends".
• Machiavelli promoted the idea that a ruler should be gentle most of the time, but when necessary the ruler must
make use of any form of manipulation, deceit, and even murder to achieve his ends.
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• Machiavelli writes: "Alexander VI did nothing else but deceive men, nor ever thought of doing otherwise, and he
always found victims; for there never was a man who had greater power in asserting, or who with greater oaths
would affirm a thing, yet would observe it less; nevertheless his deceits always succeeded according to his
wishes, because he well understood this side of mankind.
• "Therefore it is unnecessary for a prince to have all the good qualities I have enumerated, but it is very
• And I shall dare to say this also, that to have them and always to observe them is injurious, and that to appear
to have them is useful; to appear merciful, faithful, humane, religious, upright, and to be so, but with a mind
so framed that should you require not to be so, you may be able and know how to change to the opposite.
• And you have to understand this that a prince, especially a new one, cannot observe all those things for which
men are esteemed, being often forced, in order to maintain the state, to act contrary to faith, friendship,
humanity, and religion. Therefore it is necessary for him to have a mind ready to turn itself accordingly as the
winds and variations of fortune force it, yet, as I have said above, not to diverge from the good if he can avoid
Y
doing so, but, if compelled, and then to know how to set about it.
E
• "For this reason a prince ought to take care that he never lets anything slip from his lips that is not replete
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U
more by the eye than by the hand, because it belongs to everybody to see you, too few to come in touch with
•
you.
SH A
Everyone sees what you appear to be, few really know what you are, and those few dare not oppose
H
YU C
unflinching will”.
•
PI H
From the foregoing, it is obvious that Machiavelli had little place for ethics or for the matter of that for religion in
his system of political philosophy and that formed the chief difference between him and the medieval writers.
R S
• Aristotle had already distinguished ethics from politics but had not separated the two whereas Machiavelli
brought about a complete divorce between them. Moral virtues had their own value but he refused to assign
D U
them any place in his scheme of things.

• Morality was not denied but was subordinated to politics and, therefore, Machiavelli “is not immoral but
IY
unmoral in his politics”. With Machiavelli, the end justified the means. Machiavelli may be called the “founder
of utilitarian ethics”.
SE P
• Machiavelli believed that the state was the highest form of human association and had a superior claim to a
man’s obligations. Reasons of state must outweigh any ethical considerations. Public interests were the most
U .
potent of all motives for political action. Public standards of action were different from private standards. It is
R
wrong for a private individual to kill but it is not wrong for the state to kill by way of punishment for crime. The
state hangs a murderer because public safety demands it and because public interests are more important than
D
private interests of the criminal. Private interests or ethics have nothing to do with public action. Public conduct
is neither inherently good, nor bad. It is good if its results are good. A good citizen is one who is a bad man for
whom patriotism is the only moral law.
The Prince: Detailed suggestion by Machiavelli to the Prince
The prince of Machiavelli consists of 26 chapters which lend themselves to three divisions.
• Division I represents a general introduction and discusses various forms of absolute government.
• Division II denounces the then current system of mercenary troops and pleads for the establishment of a
national army.
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• Division III contains the substance of Machiavelli’s philosophy. It gives a number of rules for the guidance of the
prince, especially the ‘new prince’ i.e. one who was a usurper or a leader of men who had seized a state with
force or craft.
The Prince of Machiavelli is neither an academic treatise nor a book on political science as such. It is ‘real politic’.
It is a memorandum on the art of government and of political success prepared by the ex-secretary of Florence. It
deals with the mechanics of government. It is pragmatic in character and gives the technique of successful ruler-
ship.
The whole argument of the Prince is based on two premises, borrowed mainly from Aristotle.
• One of these is that the state is the highest form of human association and the most indispensable instrument
for the promotion of human welfare and it is by merging ‘himself in the state that an individual maintains the
Y
state and thereby finds his full fruition, his best self. Considerations of the welfare of the state must, therefore,
E
outweigh any considerations of individual or group welfare.
• The second premise is that material self is the most potent of motive forces in individual and public action. The
11 B
art of government, therefore, lies in the intelligent and unflinching pursuit by the ruler of his self-interest
regardless o ethical considerations. Machiavelli almost identifies the state with the ruler.
U
SH A
H
YU C
Suggestions:
PI H
• To Machiavelli, as to the ancient Greeks, virtue in a prince which excelled in bringing success and power and
these were cunning, deceit and ruthlessness.
R S
• Chapter XVIII of the Prince gives Machiavelli’s idea of the virtues which a successful prince must possess:
•
D U
Integrity may be theoretically better than collusion but cunning and subtlety are often very useful. The two
means of success are law and force.
IY
• A prince must combine in himself the rational and the brutal, the latter in turn representing a judicious
combination of the lion and the fox.
• A prince must play the fox and act the hypocrite to disguise his real motives and inclinations.
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• To Machiavelli the preservation of the state was the raison d’etre of monarchy. A prince must regard his
neighbors as likely enemies and keep on guard.
U .
• A clever prince will realize the internal unity of his state not by surrendering his powers to the people but by
R
establishing thorough-going despotism.

•
D
Economic motives being the mainspring of human conduct, a prince must do all he can to keep his subjects
materially contented. A prince might execute a conspirator but should not confiscate his property, for
confiscation would be more seriously taken notice of by the affected family then the execution.
• A prince held Machiavelli must be free from emotional disturbances but must be ready and capable of taking
advantage of the emotions of other people.
• He must be a cool and calculating opportunist. He must oppose evil by evil. In the interests of the state he must
be ready to sin boldly.
• He must be of unshakeable purpose and dead to every sentiment except love for his state which he must save
even at the cost of his own soul.
• It was always wrong for an individual to tell a lie but sometimes necessary and good for the ruler to do so in the
interests of the state.
• He must not allow himself to be weighed down by any puerile considerations of justice or injustice, good or bad,
right or wrong, mercy or cruelty, honor or dishonor in matters of state.
• Subtlety is often useful in public affairs. Dishonesty is the best policy.
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• The fact is that Machiavelli conceived of himself as a physician of the state. He was concerned not with the
ethics of his patient’s public actions but only with the means of maintaining his patient i.e. the state in a
condition of good vigor and prosperity regardless of what this vigor was to be used for.
• To Machiavelli it was clear that the interests of the state justified everything. The end of justified the means.
Public necessity knew no law.
• State actions were not to be judged by individual ethics. Machiavelli prescribes a double standard of conduct for
the ruler and for individual citizens on the basis that the ruler is a creator of law as also of morality for moral
obligations must ultimately be derived from and sustained by law. As such he is above both.
• It will be the ruin of the state if the ruler’s public actions relating to problems of external and internal security of
the state were to be weighed down by individual ethics.
• The state has no ethics. It is an un-ethical entity. The rightness or wrongness of a state action was to be judged
merely by its results.
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Relation with other states:
E
• The prince should aim at acquisition and extension of his princely powers and territories. If he fails to do this, he
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is bound to perish.
•
U
For this he should always regard his neighboring states as enemies and remain always prepared to attack them
at some weak moments of theirs. For this he must have a well-trained citizens' soldiery. A good army of soldiers
• SH A
are in reality the essence of princely strength.
Mercenary soldiers should be rid of, as they may become the cause of lawlessness. Such bands of hired
H
hooligans would be ready to fight for the largest pay and could not be faithful to anyone. This could shake the
authority of the Prince; therefore, the Prince must possess a nationalized standing army of soldiers at his
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disposal.
PI H
Classification of Government
R S
• He accepts the Aristotelian classification of governments into monarchy, aristocracy and constitutional
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democracy with perversions tyranny, oligarchy and democracy.

• He also agrees with Roman political thinkers Polybius and Cicero that a mixed type of constitution with proper
IY
checks and balances is the best and the most suitable constitution for a state.
• The treatment of government in his two major works is significantly different; rather inconsistent and
SE P
contradictory to each other. The Prince deals with monarchies or absolute governments, while the Discourses
showed his admiration for expanded Roman Republic.
• In both forms his emphasis is on the cardinal principle of the preservation of the state irrespective of its
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foundations, depends on the excellence of its law, for this is the source of all civic virtues of its citizens.
• Even in a monarchy the prime condition for stable government is that it should be regulated by law. Thus,
D
Machiavelli insisted upon the need for legal remedies against official abuses in order to prevent illegal violence.
• He pointed out the political danger of lawlessness in rulers and folly of vexatious and harassing policies.
• Both the books show equally the qualities for which Machiavelli has been specially known, such as, indifference
to the use of immoral means for political purpose and belief that governments depend largely on force and craft.
• Machiavelli never erected his belief in the omnipotent law giver into a general theory of absolutism.
• Both the books present aspects of the same subject-the cause of the rise and decline of states and the means by
which statesmen could make them permanent. This corresponds to twofold classification of states or form of
government.
• The stability and preservation of the state is the prime objective of the ruler. Machiavelli favoured a gentle rule
where ever possible and the use of severity only in moderation.
• He believed explicitly that government is more stable where it is shared by many. He preferred election to
inheritance as a mode of choosing rulers.
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• He also spoke for general freedom to propose measures for the public good and for liberty of discussion before
reaching a decision. He, in his 'Discourses' expressed that people must be independent and strong, because
there is no way to make them suitable without giving them the means of rebellion.
• He had a high opinion both of these virtue and the judgement of an uncorrupted people as compared to those of
the prince. These observations only show the conflicting and contradictory ideas of Machiavelli's philosophy; on
one hand he advocates an absolute monarchy and on the other shows his admiration for a republic.
• As Sabine remarks: "His judgement was swayed by two admirations-for the resourceful despot and for the
free, self-governing people-which were not consistent. He patched the two together, rather precariously, as
the theories respectively of founding a state and of preserving it after it is founded. In more modern terms it
might be said that he had one theory for revolution and another for government.”
• He recommends despotism mainly for reforming the corrupt state and preserving its security. However he
believed that state can be made permanent only if the people are admitted to some share in the government
and if the Prince conducts the ordinary business of the state in accordance with law and with a due regard for
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the property and rights of his subjects.
E
• Despotic violence is a powerful political medicine, needed in corrupt states and for special contingencies, but it is
still a poison which must be used with the greatest caution.
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• He holds both monarchy and republican form of government as ideal, but he had very low opinion of aristocracy
and nobility, whom he perceived as antagonistic to both the monarchy and the middle class, and that an orderly
U
government required their suppression.
SH A
How to expand the State as per The Prince and Discourses?
H
• In the Prince and the Discourses, Machiavelli insists on the necessity of extending the territory of the state. An
YU C
irresistible tendency to expand is inherent in both monarchies and republics. His idea of the extension of the
dominion of a state did not mean “the blending of two or more social or political organism, but as consisting in
PI H
the subjection of a number of states to the rule of a single prince or commonwealth”.

• To Machiavelli a state must either expand or expire and extension of dominion was easier in one’s own country
R S
where there was no difficulty of language or of institutions to overcome in the assimilation of the conquered
people. Machiavelli thought the Roman state and its policy of expansion to be ideal.
D U
• Force of arms was necessary for political aggrandizement as well as preservation of a state but force must be
IY
judiciously combined with craft. The doctrine of aggrandizement is one of the most characteristic features of
Machiavelli’s political philosophy and brings out vividly his moral indifference.
• Both The Prince and the Discourses give us Machiavelli’s ideas regarding the means to be adopted for the In a
SE P
monarchy, a prince must pay due respect to the established customs and institutions of the land which people
hold as something dearer than liberty or life itself.
U .
• He must fire the imagination of his subjects by grand schemes and enterprises. He must not impose heavy taxes
R
and he must patronize art and literature. Machiavelli’s ideal prince is, thus, an enlightened despot of a non-
moral type.
D
• In a republic, the most important thing is that the constitution should be flexible, the law of the land reflecting
the varying conditions in the republic.
Machiavelli and Kautilya

Similarities
• B. K. Sarkar says, “Denuded of all extraneous particulars, Machiavellism may be boiled down to two cardinal
dicta: (1) the enemy, actual or potential, must be crushed at all costs. And here end justifies the means. (2) The
manner in which a person behaves as the servant of a group, party or state must be different from that in which
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he appears as an individual in regard to other individuals. He adds that both these principles are quite natural.
And he argues that these principles are also at the basis of the Arthashastra teaching.
• W. Ruben, who has also made a detailed comparison between Kautilya and Machiavelli, argues that the stand-
point of both is that of ‘Real politics’, and hence according to both the statesman has to be dishonest,
unorthodox, impious and egotistical, although at the same time he must be self-restrained and active (that is,
not fatalistic). He also refers to the occasionally relentless frankness and clear-headedness and harshness of the
politician reflected in the works of both.
• Both realistically analyse the methods by which a king may rise to supreme power and maintain it against all
odds.
• In both, we find the duality of treatment of the feelings and susceptibilities of men and the tendency to
• Both of them held the belief that, through a proper and critical study of history, one could deduce not only the
Y
causes of maladies of society, but also the cures thereof.
E
• Kautilya belonged to the Arthashastra School which looked at the political phenomenon without linking them in
any way with divine agency or revelation. The approach was thus religious and rational. The Modern Italian
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thinker affected a break with the medieval way of thinking and reasoning and adopted the empirical or historical
method of investigation and released the State from the bondage to religious authorities.
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• Kautilya is aware that the Swami (king) can hardly feel secure in a State where persons cut off of power by him
•
SH A
are still alive and well. Similar insistence was that of Machiavelli while cautioning the Prince against any possible
conspiracy and scandal.
H
Both Kautilya and Machiavelli advised the ruler to be merciless, cruel and unscrupulous while suppressing
internal disruptions and external aggressions. The former provided different kinds sanctions which coercive in
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nature and punishments prescribed by him were stringent and cruel. But Machiavelli, while elaborating the
theme of the art of war, did not mention cruel techniques like blinding through the use of poisonous powders
PI H
for attaining political goal. Kautilya surpassed Machiavelli and left him for behind while sanctioning several
barbarous and cruel measures for attaining success.
R S
• No ethical code supports Kautilya's methods for swimming success. For the sake of the country's security all
kinds of measures including violence and fraud were welcome and they could not be considered as
D U
reprehensible. This is what both Kautilya and Machiavelli advocated. To them, end justified the means.
• Both Kautilya and Machiavelli were quite pessimistic in their approach to human nature. It seems that the
IY
former treated men with contempt as they were unreliable and entrust wrongly. Hence they should not be taken
into confidence. Kautilya, however, made “no categorical statement regarding the corruptibility of human nature
SE P
in general”. Machiavelli, on the other hand, categorically said that people were ungrateful, fickle, deceitful
avaricious, vicious, evil, mean, corrupt and unreliable. He, therefore, suggested that there should be strong
U .
political force to restrain the deviant behaviour of the people. He upheld a more pervert conception of human
R
nature than Kautilya. He considered men to be greedy, selfish and cruel. They understood only the language of
force. Kautilya now here made a generalized statement about the weakness or perversity, or selfishness of man.
D
Differences
• Machiavelli's empirical method, founded on historical data, has no equivalent in Kautilya’s casual references to
classical ancient times. Machiavelli's application of history to point a moral is different from Kautilya's
dependence on scriptures and conventional wisdom for reinforcing the traditional moral order.
• While Machiavelli occupies as the first modern political philosopher a unique position in European history,
Kautilya was preceded in Ancient India by a long line of individual authors and schools who may justly claim to
have introduced a number modernist political ideas into the stock of our ancient thought.
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• The detailed account of the organization and working of the State-administration which constitutes such a
prominent feature of Kautilya’s work is wanting in Machiavelli’s statecraft.
• The more fundamental difference lies in the objectives of the two sets of policies formulated by them.
Machiavelli was motivated by a burning patriotism to see Italy rise again from the ashes into a modern nation for
the deliverance of the unhappy land from decay. Kautilya, on the contrary, was aspired to ensure the security
and stability of the kingdom so as to achieve Dharma on the globe. Kautilya's major preoccupation, unlike that of
Machiavelli, was to foster and restore the ethical values of Indian system both in method and in principle.
• Kautilya's essentially spiritual disposition and Machiavelli's essentially secular material makeup stand out against
each other. Though both believed and prescribed to the rulers the rules of the game of politics, the use of
religion for political ends, their grounds for doing so, as also their concepts of power and goals, were mutually
exclusive.
• Kautilya also does not wholly subscribe to the view of Machiavelli that man is born badly and has no inherent
Y
virtue in him. That he is a "compound of weakness, folly and knavery, intended by nature to be the dupe of the
cunning and the prey of the despotic". On the contrary. Kautilya admits that man has altruistic and good
E
qualities alongside some selfish and bad traits. He thus, does not endorse the view of Machiavelli that man is
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thoroughly bad and wholly selfish. To him, a man, apart from being selfish and leaning is altogether rational and
is, therefore, advised to follow a code of conduct on Dharma and to adopt immoral means to deal with cunning.
U
• There is fundamental difference between the kingship of Kautilya and Machiavelli. As for Machiavelli, he left the
SH A
personal and private character of the Prince of his upbringing out of sight, and treated him as the personification
of the State, wherein the private individual is inevitably merged in the politician. On the other hand, Kautilya's
H
characterization of the king was by self-control, wisdom, discipline and noble conduct. What is most significant is
Kautilya's priority to Dharma over Danda. While Machiavelli argues, "it is not necessary for a prince really to
YU C
have virtues, but it is very necessary to seem to have them", Kautilya, King's departure from moral norms was a
temporary expedient for those moral norms. The king was expected to be a virtuous person in thought, word
PI H
and deed. If he had to be cruel by necessity, it was to make virtuous life possible for all.
•
R S
While Machiavelli singles out the class of aristocrats as the object of his ruthless policy, their place in Kautilya is
taken by antisocial elements of the population and the clandestine public enemies and the enemies outside.
D U
• So far as the ultimate objective of the State is concerned, Machiavelli did not think much of the populace, the
IY
welfare of the less privileged did not bother him, as these concerned Kautilya. The majority of citizens to
Machiavelli were content with the security of person and property that the State provided them. He glorified the
State and stressed the over-riding claim of the State to the loyalty of the individual. He would not concede that
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man had any right over and against the State. Man attained his optimum development through subordinating
himself to the society, held Machiavelli, and that the State provided a political framework essential to the
U .
development of mankind. On the other hand, to Kautilya. The State was subordinated to the society which it did
R
not create, but which it existed to secure. The highest office of the State is, thus an aggregate of the people
whose welfare is an end in itself.
D
• A more fundamental difference may be observed between the objectives of the two sets of policies. In
Machiavelli there lay behind all his thought the urge of burning patriotism which sought passionately for the
deliverance and unification of his unhappy motherland .The aim of Kautilya’s statecraft, by contrast, was much
more limited and selfish, for it consisted in ensuring the security and stability of the King’s rule inside the
Kingdom and its progressive advance towards the goal of universal dominion outside the same.
Criticism
• Machiavelli has tried to separate ethics from politics but the two cannot be really divorced because the state is
founded on the minds of its citizens who are moral agents. A good man will be a good citizen only in a good state
with good laws.
• Machiavelli builds his theories on the assumption that man is bad and selfish by nature. This is wrong. Man is a
bundle of good and evil. It is the environment that converts him into good or bad. The ruler being one of the
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individuals of the society cannot be set apart from the environment having quite different standards of morality
from the rest of the people. The idea of right and wrong which represents the ethical standard of the people
must also affect the actions of the rulers and their orders. Rulers' actions must reflect the moral opinion and
beliefs of the people. Hence what is morally wrong cannot politically be right.
• If rulers' actions are not judged by the standards of private morality, he may assume dictatorial powers.
Separation of ethics from politics may ultimately result in tyranny which a democratic minded man will never
tolerate. Machiavelli's theory of moral indifference, therefore, leads towards the usurpation of individual's rights
and liberties and the negation of his will.
• His theories were not developed in a systematic manner, they were mainly in the form of remarks upon
particular
Significance
Y
• That he is regarded as the first modern political thinker who not only gave the concept of state but also of
E
sovereignty.
•
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He first gave the idea of Secularism. Allen says,’ The Machiavelli state is to begin within a complete sense an
entirety secular state’. He placed religion within the state and not above it and according to him,’ the
U
observance of the ordinances of religion is the cause of greatness of the commonwealth; as also in their
•
•
•
SH A
His importance lies in that he rescued political thought from the scholastic vagueness.
He also deserves to be ranked as one of the greatest pragmatists.
H
Machiavelli's character and personality as well as his philosophy have been one of the enigmas of modern
YU C
history. In the words of George Sabine, "he writes about nothing and thinks about nothing except politics,
Statecraft and the art of war. He was perhaps too practical to be philosophically profound".
• The extremely dark picture of human nature taken by Machiavelli may explain the existence of the state but it
PI H
cannot ' explain its ever-growing activities and, the growing multiplicity of social association in the state.
• To quote George H. Sabine, Machiavelli's philosophy was both narrowly local and narrowly dated. Had he
R S
written in any country except Italy or had he written in Italy after the beginning of the Reformation and still after
D U
the beginning of the Counter Reformation, it is impossible to suppose that he would have treated religion as he
did.
IY
• Many concepts of modern political thought begin with Machiavelli. It was he who first used the word state in the
sense in which it is used nowadays, that is, something having a definite territory, population, government and
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sovereignty of its own.

• It was on Machiavelli’s concept of a sovereign territorial and secular state that Bodin and Grotius built up a
theory of legal sovereignty which was given a proper formulation by John Austin. Hobbes borrowed his
U .
conception of human nature from Machiavelli and built up a theory of absolute sovereignty. Both Machiavelli
R
and Hobbes believe that man is an egoistic brute and is motivated to action by fear. Machiavelli is the first of
D
modern totalitarian thinkers.
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• Machiavelli believes in the potency of material interests rather than spiritual ones and may be said to have
inspired Karl Marx in his materialistic interpretation of history. Machiavelli deifies the state and is for the
complete absorption of the individual by the state. So does Hegel who views the state as the march of God on
earth. Machiavelli is the first exponent, with his theory of aggrandizement of the modern theory of power
politics on which much has been written by thinkers like Nietzsche, Treitschke, Bernhard and others.
Commentaries
Sabine
• He used history exactly as he used his own observation to illustrate or support a conclusion that he had
reached without reference to history.
Y
• the shrewdest insight into points of weakness and strength in a political situation, the clearest and coolest
judgement of the resources and temperament of an opponent, the most objective estimate of the
E
limitations of a policy, the soundest common sense in forecasting the logic of events, and the outcome of a
11 B
course of action.
• The purpose of politics is to preserve and increase political power itself, and the standard by which he
U
judges it is its success in doing this. He often discusses the advantage of immorality skilfully used to gain a
ruler's ends, and it is this which is mainly responsible for his evil repute. But for the most part he is not so
• SH A
much immoral as non-moral.
H
Ruler must believe in the religion of his subjects or practice their virtues... Machiavelli offers an extreme
example of a double standard of morals, one for the ruler and another for the private citizen.
YU C
• Openly sanctioned the use of cruelty, perfidy, murder, or any other means, provided only they are used
with sufficient intelligence and secrecy to reach their ends.
• His judgement was swayed by two admirations-for the resourceful despot and for the free, self-governing
PI H
people-which were not consistent. He patched the two together, rather precariously, as the theories
R S
respectively of founding a state and of preserving it after it is founded. In more modern terms it might be
said that he had one theory for revolution and another for government.
D U
IY
Dunning and Allen

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in the Modern Age by riding politics of the vassal state of religion.
U .
• It was dunning who called his study as "the study of the art of government rather than a theory of the
R
State".
D
in the Modern Age by riding politics of the vassal state of religion”.
• Allen says,’ The Machiavelli state is to begin within a complete sense an entire secular state’.
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By Machiavelli
• Therefore it is unnecessary for a prince to have all the good qualities I have enumerated, but it is very
• And I shall dare to say this also, that to have them and always to observe them is injurious, and that to
appear to have them is useful; to appear merciful, faithful, humane, religious, upright, and to be so, but with
a mind so framed that should you require not to be so, you may be able and know how to change to the
opposite.
• And you have to understand this that a prince, especially a new one, cannot observe all those things for
which men are esteemed, being often forced, in order to maintain the state, to act contrary to faith,
friendship, humanity, and religion. Therefore it is necessary for him to have a mind ready to turn itself
accordingly as the winds and variations of fortune force it, yet, as I have said above, not to diverge from the
good if he can avoid doing so, but, if compelled, and then to know how to set about it.
Y
• For this reason a prince ought to take care that he never lets anything slip from his lips that is not replete
E
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more by the eye than by the hand, because it belongs to everybody to see you, too few to come in touch
U
with you.
• Everyone sees what you appear to be, few really know what you are, and those few dare not oppose
• SH A
H
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unflinching will.
• The observance of the ordinances of religion is the cause of greatness of the commonwealth; as also in their
PI H
• I affirm that a people is more prudent, more stable and of better judgment than a prince. Not without reason
is the voice of a people likened to the voice of God".
R S
D U
IY
SE P
U . R
D
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STATE IN COMPARATIVE PERSPECTIVE: CHARACTERISTICS AND

CHANGING NATURE OF THE STATE IN CAPITALIST AND SOCIALIST
ECONOMIES, AND, ADVANCED INDUSTRIAL AND DEVELOPING
SOCIETIES.
• The contemporary world was politically divided into three major parts: the first world
(Western capitalist countries plus Japan, Australia and New Zealand; often including Israel
and South Africa); the second world (Communist states of Eastern and Central Europe, led
by the former Soviet Union) and the third world (the newly independent, developing
countries of Asia, Africa and Latin America).
• While the first world and the second world were engaged in the 'cold war' (ideological
propaganda against each other in a bid to prove their respective superiority), the third
world preferred to remain 'non-aligned' in order to focus on development and also to
contain the intensity of the prevailing 'cold war'.
• With the dissolution of the second world around 1991, and the consequent end of the
'cold war', this division became partly outdated. However, the third world still maintained
its identity with a more vigorous focus on development.
• Its identity was reinforced by an alternative division of the world on economic basis which
was in vogue along with its political division. The economic division of the world
recognized two broad categories: the developed world and the developing world,
sometimes identified as North-South divide.
• The concept of the developing world coincided with the third world. Indeed the aggregate
of the developing countries continued to be described as the third world even in the
context of economic division of the world. With the increasing importance of economic
power in the world politics, the economic division of the world has become more
significant.
CHARACTERISTICS AND CHANGING NATURE OF THE STATE IN CAPITALIST/SOCIALIST

AND ADVANCED INDUSTRIAL SOCIETIES/ECONOMIES
• Western writers have been trying to demonstrate that the course of development in the
advanced industrial countries is determined by the level of their industrialization and
consequent modernization, and not by their ideological commitment.This meant that the
western democracies and the communist states would follow a similar course of
development.
• Max Weber, a German sociologist, had observed in early twentieth century that all
modern societies were prone to developing a 'legal-rational' model of bureaucracy.
• By the mid of the twentieth century, James Burnham tried to show (Managerial
Revolution) that the rise of a new class of managers was common to capitalist, communist
and mixed economies. This symbolized the shift of power from the legal owner of the
means of production to the effective manager. Burnham declared that the war of 1939
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(the Second World War) was the first great war of managerial society as the war of 1914
(the First World War) was the last great war of capitalist society.
• Several economists and economic historians in 1960s postulated similar patterns of
development in all industrial societies in spite of differences in their ideologies. Of these,
W.W. Rostow {The Stages of Economic Growth), J.K. Galbraith (The New industrial
State), and Simon Kuznets (Economic Growth and Structure) are particularly important.
• They argued that economic growth constitutes a uniform process involving definite stages
of growth in all industrial economies irrespective of their adherence to diverse political
ideologies.
• In other words, all industrializing societies are governed by a uniform 'logic' underlying
this process. These may be identified by a number of common characteristics, e.g. the
demand to utilize technology efficiently; the increasing specialization of tasks; the
necessity for a highly skilled and educated manpower; an increasing ratio of workers in
industrial and service sectors in relation to the agricultural sector; the growing significance
of material incentives; evolution of more complex organizational structures; and the
emergence of similar patterns of management, planning and policy objectives.
• Then a host of sociologists also sought to identify common tendencies of development in
all 'modernizing' societies. Thus Marion J. Levy, Jr. (Modernization and the Structure of
Society) and Talcott Parsons (The System of Modern Societies) asserted that universal
structural constraints involved in the process of industrialization lead to the development
of certain common characteristics in different types of societies.
• These include urbanization, expanding educational systems, similar occupational prestige
and mobility patterns, falling birth and death rates, widespread electronic communication
networks, etc.
• Advanced industrial societies are further characterized by dominance of scientific
rationalism over superstition, universalism over particularism, individualism over
collectivism, standards of achievement over nepotism, and the dominance of a state that
defines rights and obligations, extension of citizenship, increased political participation,
and the expansion of individual liberties.
• Critics point out that most of these characteristics focus on the western model of
development. The theory of universal characteristics of developed societies underplays
the role of cultural and ideological factors as well as the strength of leadership prevailing
in different types of political systems.
• It would be futile to look for these characteristics in the course of progress made in
socialist countries and the third world. This theory is largely designed to project 'market
society model' as a universal model of development which would work to the advantage
of western democracies at the expense of other countries.
• Incidentally, the concept of 'post-industrial society', developed by Daniel Bell (The
Coming of Post-Industrial Society; A Venture in Social Forecasting) gives a vivid
description of the most highly developed states in the western world.
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• Bell himself is a votary of the 'end of ideology' thesis which holds that the character of
social-economic organization of a country at the advanced stage of industrial
development is determined by the level of its industrial development, and not by the
prevailing ideology.
• His description of 'post-industrial society' throws many hints about the possible course
of development in many countries beyond western democracies. In order to contrast a
'post-industrial society' with an 'industrial society' Bell observes that in an industrial
society, corporation is the chief economic and social institution, work is machine-oriented
which leads to conflict between capital and labour.
• On the other hand, in a post-industrial society, corporation has a less central place, work
relations are more people-oriented, and a lesser proportion of the labour force works in
industry than in services. In such a society, scientific and technical elites play prominent
role; universities, research institutes and knowledge in general are held in high esteem;
merit rather than property is the principle of social stratification; group competition
replaces class warfare, and the social structure has a more rational and efficient basis.
• The economic function is subordinated to the political order because the government is
responsible for planning. Experts and the bureaucracy play a leading role in such planning,
and the state intervenes in the economy for a broad variety of reasons. This trend
challenges some aspects of democracy and constitutes a danger to individual rights.
• In a nutshell, advanced industrial societies in the contemporary world are characterized
by the expansion of service sector. More people are now employed in hotels, restaurants,
shops, motor garages, transport and tourism, communication, entertainment and
advertising jobs, etc. than those in factories. The business becomes more people-
oriented. Government planning and regulation is extended to every part of public life. This
may provide for some protection to ordinary people, but it may also involve strict vigilance
on individual's life and some restriction on his freedom.
TRENDS IN THE THIRD WORLD

• The third world largely comprises of developing countries. Mostly they are situated in
Asia, Africa and Latin America. They achieved their independence from colonial
domination at various points of time after the Second World War (1939-45), although
Latin American countries had attained formal independence in early nineteenth century.
• They were at different levels of 'underdevelopment' at the time of their respective
independence. Different countries made progress at different rate. They are now at
different levels of 'development'.
• Most of third world countries remained politically 'non-aligned' in the era of the 'cold war',
but most of them have now been economically 'linked' with the developed world thanks
to the all-pervading process of 'globalization'.
• Some countries had independently adopted socialist path without seeking alignment with
the second world. The collapse of socialism in the Eastern Europe and the former Soviet
Union (1989-91) had a profound impact on their mode of thought.
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• Thus Albania, Yugoslavia, Mongolia and Yemen relinquished socialist systems on their
own. China, Vietnam, North Korea and Cuba have retained socialist systems, probably
with a more liberal outlook. China—the largest and the most important among them—
has shown keen interest in the process of liberalization and globalization.
• China gained independence in 1949 and emerged as a big communist power. It did not
join the communist camp, nor took interest in the 'non-aligned' movement. It always
proclaimed itself to be part of the third world although non-aligned nations viewed this
claim with suspicion.
• It is true that China did not qualify as a superpower, yet as a country with one billion
people—largest in any country of the world, bountiful natural resources, and nuclear
hardware is, by any standard, a great power. Incidentally, India and Pakistan have also
become nuclear powers although Pakistan's economic condition remains deplorable.
• Economic division of the world was sought to be formalized by the Report of the Willy
Brandt Commission, entitled North-South: A Program for Survival (1980). It drew
distinction between two hemispheres: North, which was economically more advanced;
and South, which was less developed.
• This division paved the way for evolving more meaningful relation between rich and poor
countries. Issues like North-South dialogue and South-South cooperation came into
prominence in pursuance of this idea. However, technically this division was not found
correct.
• There are some well-to-do nations, like Australia and New Zealand, and even South Africa,
south of the equator; and some poor nations, like India and the rest of South Asia
(Pakistan, Bangladesh, Nepal, Sri Lanka, Bhutan and Maldives), most of South-East Asia,
the Caribbean, Central America, and the northern region of South America are in the
north.
• Now with the disintegration of the second world, and further disintegration of some
members of the former second world, like Czechoslovakia, the category of poor countries
is no longer confined to the third world. Again, there is a wide variety of levels of
development.
• Some Middle Eastern countries have a higher per capita income than does the United
States. Then the first generation of countries like Taiwan, the Republic of Korea (South
Korea), Singapore and Hong Kong (the 'Four Dragons') had penetrated Japanese and
Western markets; and the second generation of these newly industrializing economies is
likely to excel in the competition. (Of these, Hong Kong has merged with China since
1997.)
• On the other end of the spectrum, sub-Saharan Africa is the most marginalized region of
the world. On political side, a large number of third world countries came under military
rule because of their political, administrative and economic instability. It has been
superseded by popular rule in most of those countries. At one time, most of Latin
American countries were under military rule.
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• But in late 1990s democracy had been established in the entire region. However, Ecuador
experienced military coup in 2000. In Africa, Nigeria had a pretty long history of military
rule. It returned to civilian rule in 1999. In Asia, Pakistan returned to military rule in 1999
followed by democratic elections in 2002. Military rulers in Myanmar (Burma) have been
constantly evading handing over power to people's elected representatives.
• Finally, ethnic bias and fundamentalist attitude, combined with the widespread
frustration of the youth on economic front, in several parts of the third world have given
rise to terrorism at a large scale, threatening many parts of the world. Destruction of the
World Trade Centre at New York in 2001, involving hundreds of casualties, was one of the
most heinous acts of terrorism. Third world countries will not only have to solve their
economic problems but also ensure an end to exploitation of vulnerable sections of
people both at national and international levels.
SPECIAL CASE STUDY : CASE OF SO CALLED SOCIALIST ECONOMIES
• An economic system defines the mechanism of production, distribution, and allocation of

goods, services and resources in a society/country with defined rules and policies about
ownership and administration. The most commonly followed economic system, modern-
day capitalism, was based on a framework to secure supply of the key elements required
for industry–land, machinery, and labor–as disruption in any of these would lead to
increased risk and loss for the venture.
• Socialists viewed this commoditization of labor as an inhuman practice, and that led to
the birth of socialist market economies.
• But what is a socialist market economy? And how does it work? Let’s explore the
economies of North Korea and Cuba, along with China, as a case study for the key socialist
market economies in the present era.
Types of Socialist Economies
• One of the variants is the “socialist economy,” which is a financial system based on the
public or cooperative ownership of production. A prominent characteristic of the socialist
economy is that the goods and services are produced based on usage value. This usage
value is subject to the needs of the society, hence preventing under-production and over-
production. This is completely different from the common capitalist economic system, in
which goods and services are produced to generate profit and capital accumulation,
rather than based on their usage and value.
Socialism vs. Communism
Socialism, similar to communism, advocates that the means of production be owned by the
people, either directly or through government agencies. Socialism also believes that wealth
and income should be shared more equally among people. However, socialism differs from
communism in that:
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• It does not favor violent aggression or overthrowing of capitalists by workers.

• It does not advocate that all private property ownership be eliminated, but rather that
the gap should be narrowed down, preventing accumulation.
• The main goal of socialism is to narrow, but not totally remove, the gap between the rich
and the poor. The government, through its agencies and policies, takes the responsibility
to redistribute production and wealth, making the society fairer and leveled.
Other Important Characteristics of a Socialist System
• A socialist economy also offers collective ownership, usually through a state-controlled

agency, worker cooperative, or owned by the society as a whole, with delegation to
representatives. Socialist market economies generally discourage private ownership.
• In addition, in socialist market economies, goods and services are produced for their
usefulness, with the aim to eliminate the need for a demand-based market. In this way, it
discourages accumulation, which is assumed to be the root cause of wealth imbalance.
• Interestingly, no pure socialist, pure capitalist or pure communist economy exists in the
world today. All economic system changes were introduced with a big bang approach and
had to make “adjustments” to allow appropriate modifications as the situation developed.
• To analyze the socialist economies further, let’s look at the cases of three prominent
socialist economies across the globe – Cuba, China, and North Korea.
TRENDS: How Cuba's Socialist Market Economy Works
• Cuba is one of the most well-known socialist economies, having a mostly state-run
economy, a national healthcare program, government-sponsored education free for
nationals at all levels, subsidized housing, utilities, entertainment, and even subsidized
food programs. Together, these social programs compensate for the low salaries of Cuban
workers, making them better off than their international counterparts in many other
countries. As a socialist economy, Cuba has a primarily planned economy with around 80%
of its workforce working in state-owned enterprises. Cuba does not have a stock
exchange–a crucial indicator of a capital-free economy.
• Starting with the modern-day and tracking backward, President Raúl unveiled economic
reforms in 2010 aimed to shift toward a mixed economy that would allow free-market
mechanisms, remove government control of small businesses, lay off unnecessary state
workers, and make self-employment easier. Why was this change needed in a pure
“socialist economy”?
• It seemed that state-run subsidies had become insufficient to support numerous social
programs. Despite the enormous aid received from the Soviet Union (before it split), there
were high poverty levels, a widening gap between the rich and the poor, and a massive
burden on social programs.
• As of today, Cuba seems to be better situated with a parallel financial system–one that
operates on the usual social programs in common sectors, while operating as a free-
market economy in the tourism, export and international business sectors. The latter
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actually assists the social system. Around 20% of Cuban workers are currently employed
in this private sector.
• Introducing better reforms through new laws aimed to bring in higher foreign investment,
the changes to the closed “socialist economy” are already on their way to mixing with the
market-based open economy. Tax-free special development zones are being introduced
for foreign companies to conduct business freely and allow the transfer of tariff-free
profits abroad, among other benefits. This is a significant change from the central
“socialist” planning.
TRENDS: How China's Socialist Market Economy Works
• A significant portion of the Chinese economy is still government-controlled, although the

number of government programs has declined significantly. Universal health care, for
example, is being discontinued. China's foreign policy continues to be pro-socialist, but it
has essentially become a free-market economy. In essence, China no longer remains a
“pure socialist economy."
• Interestingly, the privately-owned firms reportedly generate a substantial portion of GDP
for China (figures vary from 33% to 70%, as reported by various news sources). After the
U.S., China is the second-largest economy in the world and the number-one largest
manufacturing economy.
• Effectively, China transitioned from a “socialist economy” to a “socialist market
economy.” The communist regime in China quickly realized that it would be to its
disadvantage to keep China's economy secluded from the rest of the world. Since then, it
has been able to successfully strike a balance between the “collective” and “capitalist”
approach.
• Policies allow entrepreneurs and investors to take profits but within the controls of the
state. Around 2004, the government began to allow a person’s right to private property.
Establishing a special economic zone and opening up to international trade have allowed
the country to embark on fast-paced economic growth – all courtesy to the right changes
to the socialist policies at the required time.
TRENDS: How North Korea's Socialist Market Economy Works
• North Korea–the world's most totalitarian state–is another prominent example of a

socialist economy. Like Cuba, North Korea has an almost entirely state-controlled
economy, with similar social programs to those of Cuba. There is no stock exchange in
North Korea either.
• Around mid-1975, North Korea was better educated and more productive than China
(based on international trade per capita). However, the economic and social situation has
been precarious in North Korea since a massive famine hit the country between the years
of 1994 and 1998.
• Today, many world powers have discontinued aid and trade with North Korea due to the
many human rights abuse allegations of the totalitarian government. These sanctions by
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other world powers have significantly restricted any economic development of the North
Korean economy. Apart from the challenges of dynastic rule in North Korea, which
prevents the country from becoming self-reliant, the campaign of "military-first politics"
also imposes a heavy burden on the economy.
• North Korea’s only foreign-trade partner is China, and the business is dominated by
middlemen who broker the deals between Chinese companies and Korean firms. This has
completely closed off North Korea on nearly all fronts.
• In May of 2019, the United Nations estimated that ten million North Koreans were facing
severe food shortages. Over 43 percent of the population is suspected to be
undernourished.
• Due to a lack of self-sufficient manufacturing facilities and markets in the country and
increasing dependency on China, private firms and businesses are on the rise in North
Korea.
• Irrespective of the existing situations and causal factors, the development of parallel
“second” markets, where citizens and firms trade or barter for goods and services, are
thriving. Indicating a significant shift from the heavily controlled "socialist” economy of
North Korea, this parallel system is seeing involvement from all–housewives exchanging
unused goods for the ones required, farmers selling their produce locally, and an
increasing number of firms importing Chinese goods through agents.
• Lack of credible official information on North Korea makes it hard to observe the economic
development (or lack thereof), but available information does point to the existence of a
different financial system.
• As one scholarly article explains, “No communist state has ever been able to eradicate
private economic activities completely, and despite their persistent efforts, all Leninist
regimes have had to tolerate the existence of a 'second economy.’ The second economy
operates outside the planning framework, is conducted for private gain and/or involves
‘knowing contravention of existing law.’ Entities thus engaged may be households,
enterprises (including SOEs) or criminal organizations.”
CONCLUSION
• Socialist market economies across the globe have existed and continue to progress.
However, there may not be any standard of a pure socialist economy remaining. Over
time, many world leaders that previously identified under the umbrella of socialist
economies have now bent towards capitalist-shifts in programs and policies–China being
the leader among them. The ones taking a rigid stand are facing severe problems or
developing parallel markets.
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ADDITIONAL NOTES
DOMINANT AND DISTINCTIVE FEATURES OF NON-WESTERN POLITICAL PROCESS.
Persistent efforts are being made to identify and prescribe generalized models of the political
processes more or less common to non-Western systems. These might serve as the yardsticks
by which to measure the particular systems by way of comparison, and to account for
variations.
Lucian Pye has given an exhaustive outline of the some of the dominant and distinctive
characteristics of the non-Western Political process. Some of them are:
• In non-western societies, the political sphere is not sharply differentiated from the social
and personal sphere, but follows from the latter. Power, prestige and influences are based
largely on social status. The fundamental framework of politics is communal, and national
politics is dominated by an educated urban and upper-class elite.
• Political parties or groups are not oriented to a distinct political arena or particular
political principles, but tend to take on a world view and represent a way of life. Successful
parties tend to become social movements so to say.
• The political process is characterized by a prevalence of cliques. Since the social structure
is characterized by functionally diffuse relationships, decision making is largely influenced
by judgements about personality and the particular relations of the various actors to each
other. The pattern of political relationships is largely determined by decisions made at the
personal level.
• Political loyalty is governed more by a sense of identification with the concrete group than
by identification with the professed policy goals of the group, and leadership has a high
degree of freedom in determining matters of strategy and tactics.
• Since the leadership and the ruling party are committed to a total change in society or
fundamental questions about its destiny or the interest of the whole nation, the role of
opposition parties is dubbed as obstructive of progress and hence is considered to be
revolutionary seeking to disrupt the progress of the nation.
• The political process is fragmented and is characterized by a lack of integration among the
participants on account of the absence of a communications system in society. This limits
the types of political issues than can arise in such societies. For example, the value and
concepts of the rural element are not effectively represented in the national political
process.
• The political process is characterized by a high rate of recruitment of new elements into
political roles. There is a constant increase in the number of participants and types of
organizations involved in the political process. Also, the existence of multiple channels of
contact with the national government tends to increase the number of people anxious to
participate in national decision making...
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• The political process is characterized by sharp differences in the political orientation of

the generations. The younger generation, who are the aspiring elite, put pressure on the
current leaders who took part in the revolutionary movement, for inclusion in the circle
of national politics, but are thwarted by them. This results in a clash of views and
consequent tensions.
• There is little consensus regarding the legitimate ends and means of political action. Since
the urban elite and the village peasant live in different worlds and have different attitudes,
outlook and orientation, they can rarely exhibit a common approach towards political
activity. The relationship of the means to the ends tends to be more organic than rational
and functional.
• There is a wide divergence between the level of information and knowledge through
discussion of the masses, and their actual participation in political decision making. They
keep themselves informed of the political development without trying to influence such
developments.
• There is a high degree of interchangeability of roles which are not clearly differentiated,
but are functionally diffuse. There are no sharply defined divisions of labour in any sphere
of life.
• Following from the above, there are relatively few organized interest groups with
functionally specific roles. Trade unions and peasant association, for example, are merely
agents of the government or of a dominant party or movement. Although the process of
social change is creating the basis for new interests, the formation of explicit interests
groups rarely moves at the same pace. Many interests are not explicitly organized, and
when organized, they act more as protective associations than as pressure groups.
• The national leadership have to appeal to an undifferentiated public, and have no means
for calculating the relative distribution of values and attitudes throughout society. They
have few guides to how the public opinion is divided over particular issues.
• The unstructured character of the non-Western political process encourages leaders to
adopt more clearly defined positions in international issues than on domestic issues. They
seek a role in world politics that is out of proportion to their nation’s power.
• The affective or expressive aspect of politics tends to override its problem-solving or
public policy aspect.
• Charismatic leaders tend to prevail in non-Western politics because societies experiencing
cultural change are characterized by a confusion over values providing an ideal setting for
such leaders. The problem of political communications further reinforces the position of
the charismatic leader.
• The non-Western political process operates largely without benefits of political ‘brokers’.
The articulation function and the bargaining operation in the West as performed by the
influential members of the competing political parties or constitutional government have,
with a few exceptions found instability to be the dominant feature of politics.
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THE CHARACTERISTICS OF THE DEMOCRATIC REGIMES OF DEVELOPED WORLD.

The liberal democratic regimes in the developed states have been categorised as
polyarchical regimes by Robert Dahl in his work 'Polyarchy: Participation and
Opposition'. The term 'Polyarchy' has been preferred to 'liberal democracy' by the
western comparative political theorists primarily because of two reasons. First, liberal
democracy as a concept has been treated mostly as a political ideal than a form of regime,
and is thus invested with broader normative implications. Second, the usage of the
concept of 'Polyarchy' tends to acknowledge that the democratic regimes in the
developed countries, mostly western, still fall short. In significant ways, of the goal of
democracy as theorised in political theory. The liberal democratic or polyarchical regimes
are to be found in the states of North America, Western Europe and Australia. However,
there are states like Japan and South Africa who also exhibit the same characteristics.
Some of these characteristics may be identified in a brief manner as given below:
• These democratic regimes represent political institutions and practices which include
universal suffrage. Elections of representatives for a specified period makes them directly
responsible to people.
• These regimes also provide equal opportunities to the citizens to compete for public
office. The political parties and the political leaders enjoy the rights to compete publicly
for support.
• Free and fair elections are the basis of the formation of governments. A competitive party
system is supplemented by the pressure groups and the lobbying organisations. These
pressure groups influence the conduct of the government by mobilising the people.
• The democratic regimes reflect a high level of tolerance of opposition that is sufficient to
check the arbitrary inclination of the government. The existence of alternative sources of
information independent of the control of the government and of one another is helpful
in this regard. Institutionally guaranteed and protected civil and political.
• Rights are further strengthened by the presence of the new social movements. It all
results into a vigorous and democratically conscious civil society.
• The democratic regimes accept the presence of political cleavages due to diversity in the
civil society. As such political conflicts are seen as an inevitable aspect of political life.
Political thought and practice, enshrined in these democratic regimes accept conflict as a
normal and not aberrant ‘feature.
• These democratic regimes derive their underpinnings from the western liberal
individualistic tradition of political thought thus besides guaranteeing the individual rights
they also support free competitive market society. The cultural and ideological orientation
of these regimes likewise is also derived from western liberalism.
• The democratic regimes in the developed World are not considered all alike. Some of
them tend to favour centralisation and majority rule whereas others favour fragmentation
and pluralism.
• 'Thus the comparative political theorists like Lijphart distinguishes these regimes
between 'majority' democratic regimes and the 'pluralist' democratic regimes.
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• The 'majority' democratic regimes are organised along parliamentary lines in accordance
with the Westminster model. Such democratic regimes are to be found in United
Kingdom, New Zealand, Australia, Canada and Israel.
• Some of the significant features these regimes share are single party government, a lack
of separation of powers between the executive and the legislature, a simple plurality or
first past the post electoral system, unitary or quasi-federal government, legislative
supremacy, etc.
• The pluralist democratic regimes based on the US model represent the separation of
power and checks and balance. The provisions of the Constitution allow institutional
fragmentation.
• The states like Netherlands, Belgium, Austria and Switzerland which are divided by deep
religious, ideological, regional, linguistic and cultural diversities have adopted such
regimes which are also called the consociational democratic regimes.
• These regimes promote the value of bargaining and power sharing which can ensure
consensus. The common features these regimes share are coalition Government, A
separation of power between the legislature and executive, an effective bicameral
system, a multiparty system, Proportional representation. Federalism or devolution of
political power, a Bill of rights, etc.
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Hamza Alavi’s Model of Over Developed State
When the Asian, African and Latin American countries became independent, there was tremendous
responsibility on state for bringing about much needed social and political transformation. This can be
explained on the following grounds:
•First, this of an Interventionist State was in line with the colonial statist tradition. The claims of the anti-
colonial movements were to state takeover of the state. For that purpose, nationalist attempted to bridge
the space between civil society and the state, to ground state in the internal structures of the society i.e. civil
society. The aspirations for state power on the part of the nationalist leadership provided legitimacy and
acceptability to the third world state.
•Second, since the civil society is underdeveloped as a result of the colonial intervention so post-colonial
state assumes centrality in social institutions
•Third, it was widely agreed that the post-colonial state has to reverse the colonial legacy by playing an
interventionist role in bringing about social engineering, ethnic homogeneity, economic modernization as
well as nation building.
Now this conception of state as the principle actor of change was aggressively criticized by neo-Marxists,
activists as well as the feminists because of the following reasons:
•The modern third world state is undemocratic as it has to impart preferential treatment to the modern
sector against the traditional one. (Industry over agriculture as an example)
•The people, whose livelihood depended on traditional sector or whose and society, were ones not to be
supported by the 'developmental state'.
•The claim that this was in national interest was deemed as questionable as there was considerable evidence
that those who run the state apparatus- the elite in modernisation terms- derived a great deal of personal
gains from that involvement, often in ways that could not be seen as to the general national interest.
•The delegitimation of the state as an agent of social transformation or economic reforms or political change
led to a paradigm shift in theorisation about the developing states of Asia, Africa and Latin America.
Role of Bureaucracy in Post-Colonial State
•
• The main feature of state in post-colonial societies is interventionist state as this notion of an
Interventionist State was in line with the colonial statist tradition. Second, since the civil society was
underdeveloped as a result of the colonial intervention so Post-colonial state assumed centrality to the
social formations
• Third, it was widely agreed that the post-colonial state was to reverse the colonial legacy by playing an
interventionist role in bringing about social engineering, ethnic homogeneity and economic
modernization as well as nation building.
• Hamza Alavi, writing in the concrete context of South Asia grounded his state theory on the historical
specificity of the post-colonial societies. He attributed this as emanating the structural changes brought
about by the colonial domination as well as distant history, culture and tradition of these societies.
• The major contention of Alavi is that the post-colonial state dominates the politics as well as civil society
because of it’s over developed super structure. The ideological and coercive apparatus of state being
over developed in nature dominates all social forces. The post-colonial states equipped with military,
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bureaucratic apparatus mechanism of power and instutionalised practices control and regulate
indigenous social classes.
• Alavi traces a historical symmetry between the nature of colonial and the post-colonial state as due
to of a properly developed capitalist class bureaucratic military oligarchy have become all too a common
phenomenon in post-colonial states.
• He traced out that the post-colonial state is not the instrument of a single class. It is relatively
autonomous because of the over developed nature of state apparatus as well as because it mediates as
well as act on behalf of three dominant proprietary classes- the metropolitan bourgeoisie, the indigenous
bourgeoisie and landed classes having competing interests. Thus the post-colonial state is entrusted with
the task of preserving a social order in which the ruling classes' interests is embedded.
• According to Alavi in post-colonial society’s state play a special ideological function of the state to create
territorial unity, legitimacy and a sense of nationhood? In post-colonial societies, given the artificial
nature of territorial boundaries such a hegemonic position had to be created once the powerful force of
direct colonial fiat was gone.
• Neo Marxist has contested view over bureaucracy as class for example views of Nicos Poulantzas who
argues that the bureaucracy does not constitute a social class, it a social category that can be defined as
social ensemble, whose main feature is based on its specific relationship to the political structures other
than economic ones. However, Poulantzas concedes that in the post-colonial societies where the
relations of production have not acquired the capitalist form, the state bourgeois is able to establish a
specific place for itself.
• Neo Marxist Saul argued that the indigenous classes were in a state of formation and as such unlike the
Asian societies, did not have fixed class interest. This Was due to the repressive policies of the colonial
state. In fact, in the postcolonial societies like Africa, the state bureaucracy becomes decisive in the
formulation of state policies in the face of the apparent inability of indigenous bourgeoisie to emerge as
a dominant ruling class, which allows the state bureaucracy to enjoy the status of governing class.
• Shivji, and Mamdani while writing in the context of post-colonial Africa they argued that where the
indigenous bourgeoisie was unusually weak and the state relatively strong, it was strong state
bureaucracy that appropriated and accumulated the economic surplus.
• There is a general theory of the post-colonial state. While three classes, namely metropolitan
bourgeoisie, the indigenous bourgeoisie and the landed peasantry may be regarded as economically
dominant and therefore exercising directly or indirectly political dominance or control., state personnel/
bureaucratic bourgeoisie1 petty bourgeoisie may be judged to be the ruling or governing element being
most active in the political process and indeed holding the rein of government.
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● The legend of Manu of the Deluge is described in Shatapatha Brahmana. He was the person
who survived the great Deluge and then became the founder of the present race of human
beings. Manu Vaivasvata is alluded to as the first king of human beings who founded the
institution of kingship. As stated in Kautilya's Arthashastra:
● People suffering from anarchy as illustrated by the proverbial tendency of a large fish
swallowing a small one (maatsyanyayabhibhutah prajah) first elected Manu, the Vivasvata,
to be the king.
● Now Manu, the lawgiver, the author of famous Manusmriti or the Code of Manu also figures
in Mythology as one of the seven great sages created by Brahma (the Creator of the Universe
). But since Manusmriti, as a literary work.
● With the age-old sanctity of the contents of Manusmriti, it would be reasonable to regard it
as a work of quite an ancient origin. Moreover, of all the most important and authoritative. It
is supposed to embody the essence of Vedas(the most ancient and sacred scriptures of
Hindus), and any smriti text opposed to Manusmriti was not approved.
● Manu is regarded as the chief exponent of the Dharmashastra tradition which regulates all
aspects of social life including polity. In fact, the whole edifice of traditional Hindu society
was erected on the code of law enunciated by Manu himself.
● Initially, it was based on sound logic, but in the subsequent ages, Manu's system was reduced
to dogma. It was even exploited by some sections to serve their vested interests and to
perpetuate social injustice.
● Many social reformers and intellectuals of modern times sought to reinterpret Manu's
dictates in the light of their underlying logic to make them compatible with the needs of
social progress and the goal of justice
● At the outset, Manu (in his celebrated manusmriti) argues that the whole range of creation
represents an interrelated pattern, drawing its source for. The unconditional Absolute
Brahaman(i.e.God as the creator of the universe). Social organization, to be perfect, must
follow the pattern of the cosmos.
● Manu identifies four basic functions of social organization which are best performed by those
inherently capable of performing the specific function. Accordingly, society is divided into
four varnas (roughly corresponding to four castes) :(a) Brahmas who take care of intellect
and spiritual aspects of social life;(b) Kshatriya who specialize in fighting and who are fit to
rule ©Vaishyas who have a special aptitude for business and industry and who are fit to wield
the power of wealth; and finally, (d) Shudras who are fit to perform manual work and provide
necessary services to society. Of these, Brahmans enjoyed the highest social status;
Kshatriyas and Vaishyas were placed in successively lower positions, and Shudras were
relegated to the lowest social status.
● It is doubtful whether Manu treated this fourfold, hierarchical division of society as divinely
ordained and whether the social status of each individual in the subsequent generation was
to be determined strictly by birth with no scope for social mobility.
● Incidentally, Manu also identifies three Gunas, i.e.basic properties found in the nature of
things, including human nature. This threefold classification of Gunas represents the
descending order of virtue from an ancient point of view.
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● Of these, Sattva refers to the highest level virtue which is based on goodness; it makes a
person kind, calm, alert and thoughtful. Then Rajas represent middle-level virtue; it is based
on passion and leads a person to a path of greed, ambition, restlessness and anger.
● Finally, Tamas corresponds to the lowest level of virtue; it is based on darkness or dullness; It
leads to a plague towards idleness, ignorance and delusion. This threefold divot of Guna of
each person depends on his or her inherent quality:it is not related to his or her social status
in the caste system.
● It is quite possible to find a high caste pers with a low level of virtue and vice versa. It implies
that the reputation for being virtuous is to be attained by persistent effort; it is not
determined by birth.
● The concept of Varna in Manusmriti is closely followed by the concept of Ashram. Ashrama
refers to the division of a person's life devoted to a particular pursuit of life.
● Manu recognizes four Ashramas :(a) Brahmacharya refers to the first part of twenty-five years
of a person's life, devoted to education and training and building up of character which
necessitates a good deal of self-restraint and control of the senses ;(b) Grihastha refers to
next twenty-five years of a person's life which involve the acceptance of marriages and family
obligations;(C) Vanaprastha refers to the third spell of twenty-five years of person's life- the
period of detachment from worldly pursuits finally, (d) Samnyasa refers to the period of last
twenty -five years of a person's life --- the period of renunciation and pursuit of spiritual
emancipation.
● It transpires from the aforesaid arrangement that only one-fourth of a person's life was
devoted to physical labour contributing to social production. It is a matter of investigation
whether the rule of four Ashramas uniformly applied to all castes and both sexes.
● If so, it did not involve a serious violation of the principles of equality. However, if a sizable
section of women and lower castes (Vaishyas and Shudras) we're excluded from its purview,
it would imply that the burden of physical labour in society was unevenly distributed which
involved a blatant violation of the principles of equality.
● It may be conceded that Manu' model of social organization was based on a sound logic
befitting the early stage of civilization. Those who forgot that logic chose to follow his model
blindly and reduced his teaching to a dogma. The result was social stagnation which involved
injustice to certain sections of society. That's why the opposed sections of present-day
society ridicule the followers of Manu as irrational puritans, devoid of the sense of humanity.
● Manu identifies four sources of law that prevailed in his times:(a) Shruties which largely
comprised of four Vedas; they dealt with the immanent and eternal laws of the universe and
provided the universal elements of all law;(b) Smritis; they were the principal sources of
lawyers' laws; they are coterminous with Dharmashastra, that is the treatises in Dharma;
● (c) Custom and approved usage which represents the conventional wisdom and the social
experience of the commy (it mainly consist of Sadachar, i. e. the rules of good conduct, and
Shishtachar, i.e. the rulers of decency); and finally, (d) Dictates of good conscience which
comprise an ever-evolving source of law corresponding to the development of social
consciousness. Recognition of this (fourth) source of law guarantees that Manu's teaching
should not be reduced to dogma.
● Manu also conceded that law was subject to variation with the changes in time and space.
It implies that while universal elements of the law were inexorable, their temporal and local
elements were largely flexible. Besides, Manusmriti provides an elaborate judicial procedure
that also refers to various types of cases that must be decided in a court of law. Manu carefully
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distinguished between civil and criminal laws. Some of his instructions seem to anticipate
the modern principles of natural justice.
● However, Manu's View on this behalf should not be confused with the Western theory of the
divine right of the king as enunciated in early modern times. The Western vowel regards the
human monarch as an agent of God as a source of law itself, as if 'King can do no wrong.
King's person was composed of the unique qualities of all major divinities:the might of
Indra(the lord of death), the treasure of Kuber (the Lord of Riches), and the pleasantness of
the moon. In any case, was at best only a representative of God who was subject to the
supremacy of Dharma, like any other human being.
● Manu's Concept of Dharma is derived from Vedas which declare: "God produced the
transcendent body of law since the law is the king of kings, far more powerful and enduring
than they; nothing can be mightier than law by whose aid, as by that of the highest
monarchs, even the weak may prevail over the strong. "
● It is further important to note that of three Guna (i.e. the basic properties of the nature of
things), representing the three levels of virtue, Manu 'concept of the king as the
representative of God belongs only to Sattva, that is the highest level virtue based in
goodness. A king could attain his exalted status only by fulfilling the duties imposed in Hindi
by Dharam.
● The primary duty of the king is the protection of his subjects. This is evident from
Manusmriti's account of the creation of the Kings. It reads:When God saw this work in a state
of anarchy where people were running in different directions out of fear, he created the king
for everybody' protection. "Manusmriti envisages the kings as the wielder of 'Danda' which
means a rod - an instrument of chastisement; a symbol of state literature the science of polity
set was described as Dandaniti, that is the art of applying the state power. Although Manu
wanted the King to act strongly, yet he wanted him to '' behave like a father towards all men
'' And please all.
● According to Manusmriti, a king was entitled to receive one-sixth of the wealth of his subjects
towards taxes, as a for providing solid protection to their person and property.
● If the king fulfilled this duty efficiently, he was also entitled to one-sixth of the divine reward
for their good deeds. If he failed to perform this duty, he was condemned to endure one-
sixth of the divine wrath that resulted from the bad deed of his subject. In a nutshell, the
extra power of the king was directly dependent on the condition of fulfilling his extraordinary
duties.

Arthashashtra
● It is important to note that the term Rajadharma occurs most frequently in Mahabharata to
refer to the science of politics. There is a large section on Rajadharma within the
Shantiparvam (an important section of this great epic). Rajadharma literally means the code
or royal duties which also implies the art of good governance.
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● It largely prescribes what a king or a ruler should do under normal conditions. It is

supplemented by Aapaddharma (also celebrated in this epic) which describes what a ruler
should do under abnormal conditions. Another important term that frequently occurs in
Mahabharata to refer to the science of politics is Dandaniti. It implies the science of
chastisement- the use of power to govern the ungovernable and to punish the offenders.
Dandaniti was the current coin of ancient Indian political discourse.
● As regards the origin of kingship, Mahabharata narrates that in the Krita age (the earliest
age of human existence) when everybody was righteous and free from vices, no king was
nice. Later on, when various vices (like lust, anger, greed, delusion and arrogance) crept into
the human mind and human society degenerated, it found itself in the grip of complete
anarchy and chaos.
● Under the circumstances, several sages and minor gods approached the Creator acceded
to their request and appointed Mani Vaivasvata as the king for the protection of people, and
to enable them to pursue the path of righteousness and progress. The king was equipped
with divine powers to enable him to control all the creatures on earth.
● In ancient Indian political thought, the king is regarded as a sovereign power. Sovereignty in
this sense is not confined to 'supreme legal authority ' as contemplated in the Western
tradition. Sovereignty in the Indian tradition denotes the supreme power of the king in moral
as well as material sense.
● As elucidated in Mahabharata, here the king assumes the functions of different gods on
different occasions. When the king, enraged by the evil deeds of miscreants, applies his fierce
energy to burn the sinful offenders, he assumes the function of Agni (the God of fire).
● When he observes the acts of all persons, through his spies to reward or punish them as they
deserved, the King assumes the function of Aditya (Sun God). When he destroys hundreds
of wicked men by his wrath, he assumes the function of Mrityu (the God of Death). When he
restrains the wicked by inflicting the function of Mrityu (the God of Death). When he restrains
the wicked by inflicting severe punishments upon them and promotes the righteous by
bestowing unique rewards upon them, he performs the function of Yama (the God of
Righteousness).
● Finally, when the king bestows immense wealth to people who have rendered valuable
service to society and deprives the sinners and offenders of their wealth, he assumes the
function of Kubera (The God of Treasure).
● The power wielded by the king is symbolized by Danada, i.e. the rise of chastisement.
Exaltation of rod in the ancient texts, therefore, exemplifies the majesty of the King himself.
According to Mahabharata, the rod of chastisement sways all subjects and protects them.
The rod is awake when all else is asleep. The rod, therefore, represents the righteousness
itself.
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● Indian sages had identified four principal objects of human life (purusharthas): Dharna (the
virtue promoted by the performance of one's duty as prescribed by the sacred law); Artha
(the virtues promotes by the acquisition of wealth and material prosperity); Karma (the virtue
promoted by the gratified of desires and sensual enjoyments); and Moksha (emancipation if
the soul itself).
● According to Mahabharata, protection of the first three of these cardinal virtues depends on
the efficiency of the rod of chastisement (which paves the way for the accomplishment of
the fourth one).
● Mahabharata further observes that if the rod of chastisement did not protect people, they
would have been immersed in the darknet of hell. In the absence of the rod of chastisement,
all creatures would be destroyed like fishes in the oct, where each fish is devoured by a bigger
one.
● If you dispense with the rod of chastisement, the sense of discrimination between good and
evil or between right and wrong would also disappear. Then human life would no longer
remain worth living.
VIRTUES OF THE KING
● The unique significance of kingship is dependent on the virtues of an ideal king. So

Mahabharata particularly focuses on these virtues. It advises that at first, the king should
control himself; only then he would be capable of controlling others. Similarly, the king
should first subdue himself and then seek to subdue his foes. If a king fails to conquer
himself, he cannot hope to conquer his foes.
● According to Mahabharata, protection of the subjects and securing their happiness is the
first and foremost duty of the king To accomplish this task, the king is advised to undertake
redistribution of wealth through judicious taxation and forfeiture of the property of the
wicked and offenders. Mahabharata contains brilliant insight into a judicious policy of
taxation.
● Accordingly, a king should milk his kingdom. Like a bee collecting honey from plants. He
should act like the cow-herd who takes milk from the cow without boring her udders and
without starving the calf. Again, the king should act like the leech sucking blood mildly. He
should impose the taxes gradually with a run of conciliation, and in a proper season. The
author warns that draining the kingdom to raise revenue rapidly would be detrimental to
the progress of the state.
● It is important to note that apart from the Rajdharma, Mahabharata also dwells on
Aapadharmaa (i.e.duties of the king in times of distress or under abnormal conditions). It
asserts that under normal conditions, the king should act as an epitome of moral excellence.
● However, under abnormal conditions, it allows some departure from rigid moral standards
to achieve the noble end of the state. In this respect, the dictates of Mahabharata correspond
to Artashatra tradition. While Dharamshastra tradition insists on adherence to righteous
means under all conditions, Arthashastra tradition allows the use of dubious means under
abnormal conditions to achieve the noble end.
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● Mahabharata enumerates four criteria to determine the means to achieve the end of the
kingship(or the state), that is the people:Satya (truth), Upapatti (reasoning); Sadachara (good
conduct) and Upaya (expediency). Appropriate means should be chosen for their efficiency
in a particular situation. It is true that nothing is higher than truth, but where life is in
jeopardy, it would not be improper to save it by telling a lie (hence the departures from the
truth).
● Mahabharata allows the king to use his discretion to decide when to act in a straightforward
or in a crooked way, as long as he is fully devoted to his noble duty to secure the good of the
people. For example, if an enemy is trying to create dissension within his kingdom, he may
overcome the subversive tendencies by resorting to deception.
● Let us take an elaborate example. Suppose a king is deprived of his allies; he has many
enemies, a small army and a little revenue; moreover, his ministers and assistant are wicked.
What should he do to save his kingdom for the good of the people? Mahabharata suggests
that under these circumstances, the king should think beyond the rigid standards of truth,
reasoning and good conduct, and have recourse to expediency.
● The king should ensure that he does not fall prey to his enemies; he should never allow his
fortunes to sink; and in case of imminent danger, he should try to rescue himself. In the case
of distress, the king is advised to seize the property of the rich, and if need be, all property
other than that of ascetics and Brahamanas.
● It is conceded that Kosha (treasury)and Bala (Army) are the foundations of kingship; of these
Kosha is more important because the king cannot maintain an army or secure the good of
the people without money. Under normal conditions, the king is advised to levy necessary
taxes and collect them by force. For raising sufficient money to run the kingdom, even the
recourse to violence and oppression would also be justified.
● It is necessary to realize that any departure from the path of righteousness may be allowed
to the king for the efficient performance of his noble duties. Under no circumstances, he is
allowed to use violence Or oppression for his gratification or in an arbitrary manner.
● Mahabharata does not allow royal absolutism. It goes to the extent of advising that if a king
fails to perform his duty of protecting the people, or he becomes a tyrant, he should be
dethroned and killed like a mad dog.
The advent of Buddhist Tradition
● Whereas traditional philosophers indulged in intellectual disputation for its own sake,
Buddha discouraged it as a fruitless exercise that distracts the individual from awakening.
Buddha also repudiated the conventional Hindu belief that Brahamans were the genuine
children of Brahma ( the creator of the Universe), born of his mouth.
● Then Buddha denied linking an individual's status with his position in the hierarchy of the
caste system. He asserted that men should be judged by their deeds regarding the standard
of righteousness, and not by their birth in a particular class.
● Buddha declared that all those who became his followers and observed Dhamma ( the
virtuous path prescribed by Buddha) would be treated as equal without district of caste,
gender, race or region. Buddha argued that as all rivers - great and small -lose their distinct
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identities on joining the ocean, so all castes and classes acquire identical status on joining
his Sangha(Buddhist organic).
ETHICAL FOUNDATION OF BUDDHISM
● Buddhism initially flourished as an Eastern religion in the fifth century B.C. Its basic tenets
are enshrined in 'four noble Truths'. These are: (a) All existence is afflicted with suffering; (b)
Desire, appetite or cravings is the source of suffering that binds all beings to the cycle of birth
and rebirth; (c) Through the elimination of craving, suffering, can be brought to an end ;(d)
In worldly life, men should follow the 'eightfold path' which is the key to their redemption
from suffering.
● The eightfold path shows the way to renounce one's cravings. It implies eight noble
principles: Right Thinking, Right Intention, Right Speech, Right Conduct, Right Livelihood,
Right effort, Right mindfulness or control of thoughts and Right Concentration. Buddha
advised his followers to refrain from extremes and always follow the 'middle path' to mitigate
suffering.
● In contrast to the Hindu mode of thought, Buddhism does not recognize any supernatural
deity. It holds that by following the 'eightfold path', one will eventually attain Enlight on
Nirvana, which is the state of liberation of the soul from the passions and frustrations of
ordinary living.
● Buddhism holds that an individual's self is linked with the lives of all other creatures and to
his or her past and future incarnations. This interconnectedness of the universe is often
involved to assert a strong sense of social solidarity and an individual's moral obligation
towards others.
POLITICAL PERSPECTIVE
ORIGIN OF THE STATE
● The Buddhist account of the origin of the state of kingship is closely linked with its account
of the evolution of the universe. According to Digha Nikaya, an important Buddhist scripture,
with the appearance of high-quality rice and its consumption, men acquire physical
strength.
● This results in the rise of passions among men and women who tend to build households
and store rice. This tension gives rise to scarcity situations whereas men decide to divide and
demarcate their rice fields. Now a certain greedy being while guarding his own rice plot
steals another's plot and makes use of it. Thereupon others arrest and censure him for this
act.
● They make him promise not to do it again. But he resorts to lying and repeats the act when
he is struck by others. Thus four evils come into existence :(a) Theft; (b) Censure; © Lying; and
(d) Violence. Thereupon people together to deliberate on the ways to control these evils.
● They decide to select a person who should be wrathful when indignation is justified; who
should ensure the person that must be censured; and who should banish the one who
deserves to be banished.
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● The people also agree to give a portion of their rice to the person with whom they are
competent to perfect these functions; the person so chosen accepts their offer keeping in
view their common interest. In this way, the' sovereign' comes into existence.
● In Buddhist literature, the 'sovereign' is described by three standing phrases : (a)
Mahajanasammata ( one who is chosen by multitude) ;(b) Khattiya(Sanskrit: Kshatriya) ( one
who is Lord of the fields): and © Raha (one who justifies the others in accordance with
Dhamma.
● The Buddhist view of the origin of the state stands in sharp contrast to the Hind theory of
Matsya Nyaya which held that the king was created to control an unbearable state of affairs.
● According to Manusmriti, Kautilya's Arthashatra and Mahabharata, when there is no rule to
wield the power of punishment on earth, the strong would devour the weak like fishes in
water: the stronger was based on a belief in the innate depravity.
● It held that man was even ready to live in peace and amity with his fellow beings, to
cooperate with them, and even to sacrifice himself for the sake of his fellow beings provided
he was properly guided.
● Buddha argued that man could be controlled more effectively by self-understanding and
inward discipline rather than by discipline imposed from above by an external.
RULES OF GOOD CONDUCT
● Indeed, Buddhist scriptures set out certain norms of conduct for rulers as well as for subjects.
To contain the 'four evils' which necessitated the formation of the state, Buddhists prescribe
a set of five ethical principles, described as Panchsheel which must be followed by the
individual to have a better life - full of happiness and free from worries.
● These include: (a) Non-violence (refraining from taking lives of others) ; (b) Non-theft
(refraining from taking what is not given to him) ; (c) Non -indulgence (refraining from
sensual misconduct) ; (d) Adherent to Truth (refrain from lying); and (e) Non -addiction (
refraining from intoxicants).
● It is sometimes alleged that the Arthashastra Focus on statecraft tends to subordinate ethics
to politics whereas Buddhist traditions do not compromise the primacy of ethics power
politics.
● As U. N. Ghoshal ( A History of Political ideas 1966) has rightly argued: " For while the
Arthashastra teachers were inspired by their avowed end of ensuring the security and
prosperity of the state to condone, if not to justify, breaches of morality in its interest,
Buddhist with its stem unbending code of ethics stood for the unqualified supremacy of the
moral law over governmental affairs. "
● This mode of governance implied the brotherhood of minks that was established on
democratic principles. The day to day affairs of the Sangha was governed by a liberal culture
of equalitarian interpersonal relations.
● There was no formal hierarchy Or dynastic favouritism in the monastic order. The monastic
code of conduct stipulates that the individual life of a monk is immersed in a community of
persons ideally seeking liberation from greed, hatred, delusion, folly, conceit and ignorance.
● They were required to live in a state of communal harmony, with communal property and a
bare minimum of one's private material possessions. This form of monastic governance
contained many features of statecraft found in the self-governing Confederacies and
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republics rather than the large monarchical kingdom of the North, such as Koshala and
Magadh. While monarchical Kingdoms exemplified the Brahmanic notions of divinely
ordained systems of a superior class of rulers, the self-governing Confederacies largely
conformed to the logic of human foundations of Buddhist Ethics.
CONCLUSION
● The advent of the Buddhist tradition of social and political thought in ancient India marked
a departure from the then prevailing rigidity of custom and social stagnation.
● Before Buddha, the law was treated as something divinely ordained; the King was regarded
to be the Guardian of law, not empowered to change it; the man was expected to live for the
observance of that law. It was Buddha who introduced the concept of 'legislation' in ancient
India which implied that law could be made or modified for the welfare of man.
● As B. R. Ambedkar, modern Indian social philosopher, significantly observed: "I prefer
Buddhism because it gives three principles in combination which no other religion does.
Buddhism teaches Prajana (understanding) as against superstition and supernaturalism,
Karuna (love and compassion) and Samata (equality). This is what man wants for a good and
happy life. "
● As a devout Hindu, Gandhi: "Buddha never rejected Hinduism, but he broadened its base.
He gave it a new life and new interpretation. " It is high time to integrate Buddhist ethics
with the general framework of modern times.
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Globalisation and Democracy
The moment we say ‘globalisation’, we often confine ourselves to the economic system that
developed over the past fifty years or so. But it is more than that. Globalisation is not only about
integrating economic systems but also integrating or disseminating social and political ideas. So
how much has globalisation impacted democracy? Has globalisation spread democracy? Or is it a
threat to democracy? Democracy tests the intelligence and character of the people of the nation.
Elections are not the only way through which people exercise their rights or power. Time and again,
we see people coming forward to show their disapproval with the government and its actions. And
globalisation has taken it to the next level of participation. With the advent of technology, we can
see the immediate reaction of people whether it is positive or negative.
How has Globalisation promoted democracy?

● People are more alert and interested in knowing how the country is run which shows the
strong democratic character of the nation. People are more alert and interested in knowing
how the country is run which shows the strong democratic character of the nation. Recently,
when a black man was assaulted and killed by the white police officers in the United States,
protests broke out all over the world.
● People, from various parts of the world, rose up in anger against the brutal police action and
racial injustice. It shows the transcending nature of democratic ideals across national
boundaries. These democratic ideals have crept into many authoritarian regimes and have
even resulted in overthrowing those regimes.
● Similarly, when the youth movement “Youth for Climate” was started in Sweden, it spread
rapidly to other parts of the world too. The students from different countries including India
organised themselves and demanded action from political leaders to prevent climate
change. As a result which the United Kingdom became the first country to pass laws to end
climate change. India also faced criticism from the global citizen community on the
government 'response to protests on farmer laws and the CAA protest.
● For businesses to grow, peace and stability must be entrenched in all potential investment
countries. Subsequently, as democratic countries scarcely ever fight with each other, there
is an increase in the demand for a democratic form of government. As economic links
among states expand, authoritarian countries experience an increase in pressure from
transnational companies for political liberalization.
● These authoritarian states, as a result of globalization, have fewer incentives to cling to power
or proceed with their radical policies. Globalization encourages authoritarian states to
decentralize power as they hand over their control to make progress for the market, which
is fundamentally democratic. This concept of allowing the economy to fluctuate is known as
laissez-faire, a French expression meaning “let it be” which allows industries to be free from
state involvement in restrictions such as taxes and state monopolies.
● The reduction in information and travelling costs mean that people have access to a lot more
information not only from their government but from all over the world. This means
democracies can now promote their values and ideals to autocratic countries a lot more
freely, as autocracies have diminishing control over information. (Hanen 1990) Another
advantage of globalization reducing borders is that it strengthens the distribution of
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democratic values over borders. The more democracies border non-democratic countries,
the more the chances that country has of becoming democratic.
● In addition, with the increase in the demand for human rights and humanitarian
interventions in countries that abuse power, democracy is progressively becoming the only
alternative to autocratic regimes. As the preponderance of states withholds democratic
values, it is expected that any other state that is non-democratic is in violation of human
rights as they are not allowing their citizens to voice their opinion and have a say in the way
their government is run.
● Hence, interventions have contributed to the democratization of numerous countries such
as Iraq and several other countries in Sub-Saharan Africa. Currently, international
organizations such as the IMF and the World Bank have reformed numerous of these
authoritarian countries so that they become potential investment opportunities for
multinationals, and this is only due to the result of the expansion of globalization to such
nations (Kura 2005).
● This, however, is one of the main causes of rising military conflict and tensions amongst
nations in the international community. Many sceptics and especially countries with
alternative values believe that the process of globalization has pressured them into
becoming liberal democracies and believing in western capitalist values. Since the
beginning of the cold war, there has always been great tension between western
democracies and the rest of the world. Now, the few countries that do not withhold western
values feel threatened and ever more forced into opening their economies and becoming a
democratic system.
● Globalization encourages democratic institutions which promote democracy. As the global
market relies on capitalist democratic values, it is inevitable that organizations that reinforce
these values are rewarded meaning they can expand into countries with other forms of
government and promote these ideals. Hence, the increasing involvement of INGO’s and
other businesses furthers the transparency and liability of institutions that reduce state
intervention, all of which facilitate democracy. “Western policymakers and
nongovernmental groups trying to promote greater political liberalization have placed their
faith in the indirect effects of globalization. An authoritarian government agrees to a global
regime to gain benefits of one sort but is forced to accept the political consequences that
follow.” (Dalpino 2001).
How has globalization threatened democracy?

● Many scholars such as Jens Bartelson would agree with the idea that globalization poses a
threat to the democratic state instead of aiding its expansion. It is believed that it
undermines the essential requirements of state autonomy, patriotism and national identity
(Bartelson 2004).
● For this reason, one could argue that political globalization could be a contradiction in terms.
One of the anti-globalist theories is that globalization is causing the decline of the nation-
state, as governments no longer have control over their economy, their trade and their
borders. Nation-states may have in the past been in complete control of their markets,
exchange rates and capital.
● Now, trans-national companies are becoming increasingly imperative to the economy, and
the state is becoming obsolete. This supports the argument that globalization is reducing
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the power of democracy and the state, resulting in hollow democracy. Sceptics believe that
while globalization promotes opportunity for growth and increase in wealth, it has also
increased the socio-economic disparity between people, making nations less democratic
and progressively more ruled by wealthy multinationals. This means that “governments now
try and compete for foreign capital and design their policies to please global investors and
firms, who may not act in the best interest of, nor be held accountable to, the voters. It follows
that the level of democracy declines.”
● Also, scholars such as Peter Drucker argue that globalization cripples, even more, those who
are less fortunate, as previously stated. Companies that are unable to compete for with
multinationals on an international scale lose from more economic openness. The results of
this loss cause a weakening in the country’s democracy (Drucker 1994).
● This encourages the prosperous economic winners to maintain their edge over the poorer
and reduce their competition. These actions intensify social inequality and undermine the
progress democracy has made (Robertson 1992). This inequality, however, is not only carried
out on a national scale. Even in the international community, globalization has increased the
cleavage between the developed countries from the north and the developing countries
from the south. In international organizations such as the United Nations, it is commonly
witnessed that the elite wealthy countries always have the final say in conflicts or important
issues that are discussed, which ends up swaying the domestic politics of less developed
countries to their favour (Samir 1996).
● In the United States, protectionist pressures are increasingly evident, reflecting fears that the
country is being flooded with cheap foreign goods. In Europe, politicians complain that the
continent is being flooded with cheap foreign labour. In Latin America there are complaints
that the benefits of globalization are not being equitably shared between foreign energy
companies and the host countries, leading Bolivia and Peru to declare their contracts with
those companies null and void. Only China, where democracy has made no headway and
the government still feels only mild popular pressure, can smoothly push ahead with an
economic opening. But elsewhere, in democratic countries, there are disquieting signs of a
globalization backlash.
Impact on international institutions

● Democratic principles are also reshaping regional institutions. The European Union,
originally an economic community, now requires democratic government as a precondition
for membership and promotes democracy in its collective foreign policy.
● The Organization of American States, once a diplomatic forum for both democratic and
nondemocratic governments, now works actively to restore democracy when it is imperilled
in member states. The Organization of African Unity, also a traditional diplomatic group, is
attempting to forge a regional human rights code modelled after the Helsinki process in
Europe.
● But the trend halts abruptly where the political spectrum includes an equal number of
democratic and nondemocratic states or where authoritarian regimes are predominant. In
Asia, for example, the diversity of political regimes has largely kept democracy and human
rights off the table in the Asian-Pacific Economic Cooperation (APEC) group and the
Association of Southeast Asian Nations (ASEAN).
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● There is rising demand for reforming international institutions like World bank , IMF, WTO to
make them more democratic. According to some critics,these institutions do not represent
the current realities and do not reflect the democratic ideals in their functioning.
What can be done to face the challenges mentioned above?

● The fact that globalization and democracy are mutually supportive only when the fruits of
globalization are widely shared and the political system is designed to make this happen,
should not be overlooked. For example in Bolivia and Peru, globalization has
disproportionately benefited the educated urban population that is well placed to take
advantage of the resulting opportunities.
● The indigenous peoples living in the highlands have not been provided with the education
and training needed to move into new sectors and activities and understandably feel left
behind. They see foreign energy companies as reaping enormous profits and stripping their
country of its national patrimony. They, therefore, elect leftist leaders like Evo Morales and
Alan Garcia to deliver a more equitable division of the spoils.
● Governments should invest in education, training and rural infrastructure so that the
benefits of economic opening are more widely shared, then globalization and democracy
will turn out to be mutually reinforcing after all.
● At the Raisina Dialogue 2019 session on “A Renewed Imperative: Strategic Cooperation
amongst Democracies,” the panellists discussed the need for democracies to work together
to address the challenges faced by the current global order.
● Democratic collaboration between countries benefits political strategies, military
cooperation and exercises and economic cooperation. While most democracies share
common goals, there are limiting factors when it comes to cooperation, including disputes
over strategy or policy, trade disputes, and differing national interests and objectives. The
complete alignment is yet to be achieved, but countries must continue working towards it.
● Joseph Stiglitz in his book Globalization and its New Discontents says That the failure of
globalization to deliver on the promises of mainstream politicians has surely undermined
trust and confidence in the “establishment.” And governments’ offers of generous bailouts
for the banks that had brought on the 2008 financial crisis, while leaving ordinary citizens
largely to fend for themselves, reinforced the view that this failure was not merely a matter
of economic misjudgments.
● Considering above argument The governments need to reform their political, economical
and social systems to align with globalisation to make it resilient from negative impacts.
Towards cosmopolitan democracy?

● The idea of ‘cosmopolitan democracy’ (Held 1995) emerged out of debates about the nature
and future direction of global governance.
● Although it recognized that the trend towards global governance was profound and
probably irresistible, it highlighted a major defect in the emerging global governance
system, namely a lack of democratic participation and accountability.
● The novel aspect of this idea was that it suggested that the project of democratization, which
has traditionally focused on domestic politics, can and should be refocused on global
political institutions.
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● However, this is not to argue in favour of world government or a global state, as most
advocates of cosmopolitan democracy favour a multilevel system of post-sovereign
governance, in which supra-state bodies, state-level bodies and sub-state bodies inter-act
without any of them exercising final authority.
● The argument in favour of cosmopolitan democracy is nevertheless based on the
assumption that domestic democracy (democracy that operates only at state and sub-state
levels) is no longer adequate, largely because globalization has ‘hollowed out the state and
strengthened transnational processes.
● But what would cosmopolitan democracy look like? For Held (1995), it would involve the
establishment of a ‘global parliament, reformed and more accountable regional and global
political bodies, and the ‘permanent shift of a growing proportion of a nation state’s coercive
capability to regional and global institutions.
● Monbiot (2004), for his part, proposed the creation of a popularly elected world parliament,
containing 600 representatives, each with a constituency of about 10 million people, many
of which would straddle national borders.
● Alternative visions of cosmopolitan democracy have been less ambitious and formalized,
relying more on the reform of existing international organizations and the strengthening of
global civil society. However, the idea of cosmopolitan democracy has been criticized as both
unachievable and undesirable.
● Realists regard any project of political cosmopolitanism, whether democratic or non-
democratic, as unfeasible, because effective power continues to reside with states, and
states will be unwilling to relinquish it.
● States, and especially major states, will therefore block any trend towards global democracy,
or ensure that any ‘alternative’ bodies that may be created will be peripheral to global
decision-making and lack credibility. In a wider sense, the egalitarian thrust implicit in the
idea of cosmopolitan democracy is simply out of step with the deep economic, political and
military disparities of the existing global system.
● However, even if democratic global institutions could be established, they may suffer from a
number of drawbacks. In the first place, the ‘gap between popularly-elected global political
institutions and ordinary citizens around the world would mean that any idea that these
institutions are democratic would be a mere pretence.
● Democracy, in this light, is perhaps only meaningful if it is local or domestic, and all supra-
state institutions, whether regional or global, must suffer from a debilitating ‘democratic
deficit’. Communitarian and multiculturalist thinkers have added to this critique by pointing
out that cosmopolitan democracy is unable to articulate the views and interests of ethnically
or culturally-based communities.
● Having, for example, constituencies of 10 million people would only ensure that
representation (if it exists at all) is bland and generalized, being unable to take account of
real people and real communities.
● Finally, cosmopolitan democracy assumes the existence of a global citizenry, whose values
and sensibilities somehow transcend those of the nation-state. As nationalism is showing
little sign of succumbing to cosmopolitanism, it is difficult to see how cosmopolitan
democracy could be anything other than a creature of ‘globalized’ political elites.
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STATE IN COMPARATIVE PERSPECTIVE: CHARACTERISTICS AND

CHANGING NATURE OF THE STATE IN CAPITALIST AND SOCIALIST
ECONOMIES, AND, ADVANCED INDUSTRIAL AND DEVELOPING
SOCIETIES.
• The contemporary world was politically divided into three major parts: the first world
(Western capitalist countries plus Japan, Australia and New Zealand; often including Israel
and South Africa); the second world (Communist states of Eastern and Central Europe, led
by the former Soviet Union) and the third world (the newly independent, developing
countries of Asia, Africa and Latin America).
• While the first world and the second world were engaged in the 'cold war' (ideological
propaganda against each other in a bid to prove their respective superiority), the third
world preferred to remain 'non-aligned' in order to focus on development and also to
contain the intensity of the prevailing 'cold war'.
• With the dissolution of the second world around 1991, and the consequent end of the
'cold war', this division became partly outdated. However, the third world still maintained
its identity with a more vigorous focus on development.
• Its identity was reinforced by an alternative division of the world on economic basis which
was in vogue along with its political division. The economic division of the world
recognized two broad categories: the developed world and the developing world,
sometimes identified as North-South divide.
• The concept of the developing world coincided with the third world. Indeed the aggregate
of the developing countries continued to be described as the third world even in the
context of economic division of the world. With the increasing importance of economic
power in the world politics, the economic division of the world has become more
significant.
CHARACTERISTICS AND CHANGING NATURE OF THE STATE IN CAPITALIST/SOCIALIST

AND ADVANCED INDUSTRIAL SOCIETIES/ECONOMIES
• Western writers have been trying to demonstrate that the course of development in the
advanced industrial countries is determined by the level of their industrialization and
consequent modernization, and not by their ideological commitment.This meant that the
western democracies and the communist states would follow a similar course of
development.
• Max Weber, a German sociologist, had observed in early twentieth century that all
modern societies were prone to developing a 'legal-rational' model of bureaucracy.
• By the mid of the twentieth century, James Burnham tried to show (Managerial
Revolution) that the rise of a new class of managers was common to capitalist, communist
and mixed economies. This symbolized the shift of power from the legal owner of the
means of production to the effective manager. Burnham declared that the war of 1939
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(the Second World War) was the first great war of managerial society as the war of 1914
(the First World War) was the last great war of capitalist society.
• Several economists and economic historians in 1960s postulated similar patterns of
development in all industrial societies in spite of differences in their ideologies. Of these,
W.W. Rostow {The Stages of Economic Growth), J.K. Galbraith (The New industrial
State), and Simon Kuznets (Economic Growth and Structure) are particularly important.
• They argued that economic growth constitutes a uniform process involving definite stages
of growth in all industrial economies irrespective of their adherence to diverse political
ideologies.
• In other words, all industrializing societies are governed by a uniform 'logic' underlying
this process. These may be identified by a number of common characteristics, e.g. the
demand to utilize technology efficiently; the increasing specialization of tasks; the
necessity for a highly skilled and educated manpower; an increasing ratio of workers in
industrial and service sectors in relation to the agricultural sector; the growing significance
of material incentives; evolution of more complex organizational structures; and the
emergence of similar patterns of management, planning and policy objectives.
• Then a host of sociologists also sought to identify common tendencies of development in
all 'modernizing' societies. Thus Marion J. Levy, Jr. (Modernization and the Structure of
Society) and Talcott Parsons (The System of Modern Societies) asserted that universal
structural constraints involved in the process of industrialization lead to the development
of certain common characteristics in different types of societies.
• These include urbanization, expanding educational systems, similar occupational prestige
and mobility patterns, falling birth and death rates, widespread electronic communication
networks, etc.
• Advanced industrial societies are further characterized by dominance of scientific
rationalism over superstition, universalism over particularism, individualism over
collectivism, standards of achievement over nepotism, and the dominance of a state that
defines rights and obligations, extension of citizenship, increased political participation,
and the expansion of individual liberties.
• Critics point out that most of these characteristics focus on the western model of
development. The theory of universal characteristics of developed societies underplays
the role of cultural and ideological factors as well as the strength of leadership prevailing
in different types of political systems.
• It would be futile to look for these characteristics in the course of progress made in
socialist countries and the third world. This theory is largely designed to project 'market
society model' as a universal model of development which would work to the advantage
of western democracies at the expense of other countries.
• Incidentally, the concept of 'post-industrial society', developed by Daniel Bell (The
Coming of Post-Industrial Society; A Venture in Social Forecasting) gives a vivid
description of the most highly developed states in the western world.
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• Bell himself is a votary of the 'end of ideology' thesis which holds that the character of
social-economic organization of a country at the advanced stage of industrial
development is determined by the level of its industrial development, and not by the
prevailing ideology.
• His description of 'post-industrial society' throws many hints about the possible course
of development in many countries beyond western democracies. In order to contrast a
'post-industrial society' with an 'industrial society' Bell observes that in an industrial
society, corporation is the chief economic and social institution, work is machine-oriented
which leads to conflict between capital and labour.
• On the other hand, in a post-industrial society, corporation has a less central place, work
relations are more people-oriented, and a lesser proportion of the labour force works in
industry than in services. In such a society, scientific and technical elites play prominent
role; universities, research institutes and knowledge in general are held in high esteem;
merit rather than property is the principle of social stratification; group competition
replaces class warfare, and the social structure has a more rational and efficient basis.
• The economic function is subordinated to the political order because the government is
responsible for planning. Experts and the bureaucracy play a leading role in such planning,
and the state intervenes in the economy for a broad variety of reasons. This trend
challenges some aspects of democracy and constitutes a danger to individual rights.
• In a nutshell, advanced industrial societies in the contemporary world are characterized
by the expansion of service sector. More people are now employed in hotels, restaurants,
shops, motor garages, transport and tourism, communication, entertainment and
advertising jobs, etc. than those in factories. The business becomes more people-
oriented. Government planning and regulation is extended to every part of public life. This
may provide for some protection to ordinary people, but it may also involve strict vigilance
on individual's life and some restriction on his freedom.
TRENDS IN THE THIRD WORLD

• The third world largely comprises of developing countries. Mostly they are situated in
Asia, Africa and Latin America. They achieved their independence from colonial
domination at various points of time after the Second World War (1939-45), although
Latin American countries had attained formal independence in early nineteenth century.
• They were at different levels of 'underdevelopment' at the time of their respective
independence. Different countries made progress at different rate. They are now at
different levels of 'development'.
• Most of third world countries remained politically 'non-aligned' in the era of the 'cold war',
but most of them have now been economically 'linked' with the developed world thanks
to the all-pervading process of 'globalization'.
• Some countries had independently adopted socialist path without seeking alignment with
the second world. The collapse of socialism in the Eastern Europe and the former Soviet
Union (1989-91) had a profound impact on their mode of thought.
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• Thus Albania, Yugoslavia, Mongolia and Yemen relinquished socialist systems on their
own. China, Vietnam, North Korea and Cuba have retained socialist systems, probably
with a more liberal outlook. China—the largest and the most important among them—
has shown keen interest in the process of liberalization and globalization.
• China gained independence in 1949 and emerged as a big communist power. It did not
join the communist camp, nor took interest in the 'non-aligned' movement. It always
proclaimed itself to be part of the third world although non-aligned nations viewed this
claim with suspicion.
• It is true that China did not qualify as a superpower, yet as a country with one billion
people—largest in any country of the world, bountiful natural resources, and nuclear
hardware is, by any standard, a great power. Incidentally, India and Pakistan have also
become nuclear powers although Pakistan's economic condition remains deplorable.
• Economic division of the world was sought to be formalized by the Report of the Willy
Brandt Commission, entitled North-South: A Program for Survival (1980). It drew
distinction between two hemispheres: North, which was economically more advanced;
and South, which was less developed.
• This division paved the way for evolving more meaningful relation between rich and poor
countries. Issues like North-South dialogue and South-South cooperation came into
prominence in pursuance of this idea. However, technically this division was not found
correct.
• There are some well-to-do nations, like Australia and New Zealand, and even South Africa,
south of the equator; and some poor nations, like India and the rest of South Asia
(Pakistan, Bangladesh, Nepal, Sri Lanka, Bhutan and Maldives), most of South-East Asia,
the Caribbean, Central America, and the northern region of South America are in the
north.
• Now with the disintegration of the second world, and further disintegration of some
members of the former second world, like Czechoslovakia, the category of poor countries
is no longer confined to the third world. Again, there is a wide variety of levels of
development.
• Some Middle Eastern countries have a higher per capita income than does the United
States. Then the first generation of countries like Taiwan, the Republic of Korea (South
Korea), Singapore and Hong Kong (the 'Four Dragons') had penetrated Japanese and
Western markets; and the second generation of these newly industrializing economies is
likely to excel in the competition. (Of these, Hong Kong has merged with China since
1997.)
• On the other end of the spectrum, sub-Saharan Africa is the most marginalized region of
the world. On political side, a large number of third world countries came under military
rule because of their political, administrative and economic instability. It has been
superseded by popular rule in most of those countries. At one time, most of Latin
American countries were under military rule.
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• But in late 1990s democracy had been established in the entire region. However, Ecuador
experienced military coup in 2000. In Africa, Nigeria had a pretty long history of military
rule. It returned to civilian rule in 1999. In Asia, Pakistan returned to military rule in 1999
followed by democratic elections in 2002. Military rulers in Myanmar (Burma) have been
constantly evading handing over power to people's elected representatives.
• Finally, ethnic bias and fundamentalist attitude, combined with the widespread
frustration of the youth on economic front, in several parts of the third world have given
rise to terrorism at a large scale, threatening many parts of the world. Destruction of the
World Trade Centre at New York in 2001, involving hundreds of casualties, was one of the
most heinous acts of terrorism. Third world countries will not only have to solve their
economic problems but also ensure an end to exploitation of vulnerable sections of
people both at national and international levels.
SPECIAL CASE STUDY : CASE OF SO CALLED SOCIALIST ECONOMIES
• An economic system defines the mechanism of production, distribution, and allocation of

goods, services and resources in a society/country with defined rules and policies about
ownership and administration. The most commonly followed economic system, modern-
day capitalism, was based on a framework to secure supply of the key elements required
for industry–land, machinery, and labor–as disruption in any of these would lead to
increased risk and loss for the venture.
• Socialists viewed this commoditization of labor as an inhuman practice, and that led to
the birth of socialist market economies.
• But what is a socialist market economy? And how does it work? Let’s explore the
economies of North Korea and Cuba, along with China, as a case study for the key socialist
market economies in the present era.
Types of Socialist Economies
• One of the variants is the “socialist economy,” which is a financial system based on the
public or cooperative ownership of production. A prominent characteristic of the socialist
economy is that the goods and services are produced based on usage value. This usage
value is subject to the needs of the society, hence preventing under-production and over-
production. This is completely different from the common capitalist economic system, in
which goods and services are produced to generate profit and capital accumulation,
rather than based on their usage and value.
Socialism vs. Communism
Socialism, similar to communism, advocates that the means of production be owned by the
people, either directly or through government agencies. Socialism also believes that wealth
and income should be shared more equally among people. However, socialism differs from
communism in that:
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• It does not favor violent aggression or overthrowing of capitalists by workers.

• It does not advocate that all private property ownership be eliminated, but rather that
the gap should be narrowed down, preventing accumulation.
• The main goal of socialism is to narrow, but not totally remove, the gap between the rich
and the poor. The government, through its agencies and policies, takes the responsibility
to redistribute production and wealth, making the society fairer and leveled.
Other Important Characteristics of a Socialist System
• A socialist economy also offers collective ownership, usually through a state-controlled

agency, worker cooperative, or owned by the society as a whole, with delegation to
representatives. Socialist market economies generally discourage private ownership.
• In addition, in socialist market economies, goods and services are produced for their
usefulness, with the aim to eliminate the need for a demand-based market. In this way, it
discourages accumulation, which is assumed to be the root cause of wealth imbalance.
• Interestingly, no pure socialist, pure capitalist or pure communist economy exists in the
world today. All economic system changes were introduced with a big bang approach and
had to make “adjustments” to allow appropriate modifications as the situation developed.
• To analyze the socialist economies further, let’s look at the cases of three prominent
socialist economies across the globe – Cuba, China, and North Korea.
TRENDS: How Cuba's Socialist Market Economy Works
• Cuba is one of the most well-known socialist economies, having a mostly state-run
economy, a national healthcare program, government-sponsored education free for
nationals at all levels, subsidized housing, utilities, entertainment, and even subsidized
food programs. Together, these social programs compensate for the low salaries of Cuban
workers, making them better off than their international counterparts in many other
countries. As a socialist economy, Cuba has a primarily planned economy with around 80%
of its workforce working in state-owned enterprises. Cuba does not have a stock
exchange–a crucial indicator of a capital-free economy.
• Starting with the modern-day and tracking backward, President Raúl unveiled economic
reforms in 2010 aimed to shift toward a mixed economy that would allow free-market
mechanisms, remove government control of small businesses, lay off unnecessary state
workers, and make self-employment easier. Why was this change needed in a pure
“socialist economy”?
• It seemed that state-run subsidies had become insufficient to support numerous social
programs. Despite the enormous aid received from the Soviet Union (before it split), there
were high poverty levels, a widening gap between the rich and the poor, and a massive
burden on social programs.
• As of today, Cuba seems to be better situated with a parallel financial system–one that
operates on the usual social programs in common sectors, while operating as a free-
market economy in the tourism, export and international business sectors. The latter
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actually assists the social system. Around 20% of Cuban workers are currently employed
in this private sector.
• Introducing better reforms through new laws aimed to bring in higher foreign investment,
the changes to the closed “socialist economy” are already on their way to mixing with the
market-based open economy. Tax-free special development zones are being introduced
for foreign companies to conduct business freely and allow the transfer of tariff-free
profits abroad, among other benefits. This is a significant change from the central
“socialist” planning.
TRENDS: How China's Socialist Market Economy Works
• A significant portion of the Chinese economy is still government-controlled, although the

number of government programs has declined significantly. Universal health care, for
example, is being discontinued. China's foreign policy continues to be pro-socialist, but it
has essentially become a free-market economy. In essence, China no longer remains a
“pure socialist economy."
• Interestingly, the privately-owned firms reportedly generate a substantial portion of GDP
for China (figures vary from 33% to 70%, as reported by various news sources). After the
U.S., China is the second-largest economy in the world and the number-one largest
manufacturing economy.
• Effectively, China transitioned from a “socialist economy” to a “socialist market
economy.” The communist regime in China quickly realized that it would be to its
disadvantage to keep China's economy secluded from the rest of the world. Since then, it
has been able to successfully strike a balance between the “collective” and “capitalist”
approach.
• Policies allow entrepreneurs and investors to take profits but within the controls of the
state. Around 2004, the government began to allow a person’s right to private property.
Establishing a special economic zone and opening up to international trade have allowed
the country to embark on fast-paced economic growth – all courtesy to the right changes
to the socialist policies at the required time.
TRENDS: How North Korea's Socialist Market Economy Works
• North Korea–the world's most totalitarian state–is another prominent example of a

socialist economy. Like Cuba, North Korea has an almost entirely state-controlled
economy, with similar social programs to those of Cuba. There is no stock exchange in
North Korea either.
• Around mid-1975, North Korea was better educated and more productive than China
(based on international trade per capita). However, the economic and social situation has
been precarious in North Korea since a massive famine hit the country between the years
of 1994 and 1998.
• Today, many world powers have discontinued aid and trade with North Korea due to the
many human rights abuse allegations of the totalitarian government. These sanctions by
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other world powers have significantly restricted any economic development of the North
Korean economy. Apart from the challenges of dynastic rule in North Korea, which
prevents the country from becoming self-reliant, the campaign of "military-first politics"
also imposes a heavy burden on the economy.
• North Korea’s only foreign-trade partner is China, and the business is dominated by
middlemen who broker the deals between Chinese companies and Korean firms. This has
completely closed off North Korea on nearly all fronts.
• In May of 2019, the United Nations estimated that ten million North Koreans were facing
severe food shortages. Over 43 percent of the population is suspected to be
undernourished.
• Due to a lack of self-sufficient manufacturing facilities and markets in the country and
increasing dependency on China, private firms and businesses are on the rise in North
Korea.
• Irrespective of the existing situations and causal factors, the development of parallel
“second” markets, where citizens and firms trade or barter for goods and services, are
thriving. Indicating a significant shift from the heavily controlled "socialist” economy of
North Korea, this parallel system is seeing involvement from all–housewives exchanging
unused goods for the ones required, farmers selling their produce locally, and an
increasing number of firms importing Chinese goods through agents.
• Lack of credible official information on North Korea makes it hard to observe the economic
development (or lack thereof), but available information does point to the existence of a
different financial system.
• As one scholarly article explains, “No communist state has ever been able to eradicate
private economic activities completely, and despite their persistent efforts, all Leninist
regimes have had to tolerate the existence of a 'second economy.’ The second economy
operates outside the planning framework, is conducted for private gain and/or involves
‘knowing contravention of existing law.’ Entities thus engaged may be households,
enterprises (including SOEs) or criminal organizations.”
CONCLUSION
• Socialist market economies across the globe have existed and continue to progress.
However, there may not be any standard of a pure socialist economy remaining. Over
time, many world leaders that previously identified under the umbrella of socialist
economies have now bent towards capitalist-shifts in programs and policies–China being
the leader among them. The ones taking a rigid stand are facing severe problems or
developing parallel markets.
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ADDITIONAL NOTES
DOMINANT AND DISTINCTIVE FEATURES OF NON-WESTERN POLITICAL PROCESS.
Persistent efforts are being made to identify and prescribe generalized models of the political
processes more or less common to non-Western systems. These might serve as the yardsticks
by which to measure the particular systems by way of comparison, and to account for
variations.
Lucian Pye has given an exhaustive outline of the some of the dominant and distinctive
characteristics of the non-Western Political process. Some of them are:
• In non-western societies, the political sphere is not sharply differentiated from the social
and personal sphere, but follows from the latter. Power, prestige and influences are based
largely on social status. The fundamental framework of politics is communal, and national
politics is dominated by an educated urban and upper-class elite.
• Political parties or groups are not oriented to a distinct political arena or particular
political principles, but tend to take on a world view and represent a way of life. Successful
parties tend to become social movements so to say.
• The political process is characterized by a prevalence of cliques. Since the social structure
is characterized by functionally diffuse relationships, decision making is largely influenced
by judgements about personality and the particular relations of the various actors to each
other. The pattern of political relationships is largely determined by decisions made at the
personal level.
• Political loyalty is governed more by a sense of identification with the concrete group than
by identification with the professed policy goals of the group, and leadership has a high
degree of freedom in determining matters of strategy and tactics.
• Since the leadership and the ruling party are committed to a total change in society or
fundamental questions about its destiny or the interest of the whole nation, the role of
opposition parties is dubbed as obstructive of progress and hence is considered to be
revolutionary seeking to disrupt the progress of the nation.
• The political process is fragmented and is characterized by a lack of integration among the
participants on account of the absence of a communications system in society. This limits
the types of political issues than can arise in such societies. For example, the value and
concepts of the rural element are not effectively represented in the national political
process.
• The political process is characterized by a high rate of recruitment of new elements into
political roles. There is a constant increase in the number of participants and types of
organizations involved in the political process. Also, the existence of multiple channels of
contact with the national government tends to increase the number of people anxious to
participate in national decision making...
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• The political process is characterized by sharp differences in the political orientation of

the generations. The younger generation, who are the aspiring elite, put pressure on the
current leaders who took part in the revolutionary movement, for inclusion in the circle
of national politics, but are thwarted by them. This results in a clash of views and
consequent tensions.
• There is little consensus regarding the legitimate ends and means of political action. Since
the urban elite and the village peasant live in different worlds and have different attitudes,
outlook and orientation, they can rarely exhibit a common approach towards political
activity. The relationship of the means to the ends tends to be more organic than rational
and functional.
• There is a wide divergence between the level of information and knowledge through
discussion of the masses, and their actual participation in political decision making. They
keep themselves informed of the political development without trying to influence such
developments.
• There is a high degree of interchangeability of roles which are not clearly differentiated,
but are functionally diffuse. There are no sharply defined divisions of labour in any sphere
of life.
• Following from the above, there are relatively few organized interest groups with
functionally specific roles. Trade unions and peasant association, for example, are merely
agents of the government or of a dominant party or movement. Although the process of
social change is creating the basis for new interests, the formation of explicit interests
groups rarely moves at the same pace. Many interests are not explicitly organized, and
when organized, they act more as protective associations than as pressure groups.
• The national leadership have to appeal to an undifferentiated public, and have no means
for calculating the relative distribution of values and attitudes throughout society. They
have few guides to how the public opinion is divided over particular issues.
• The unstructured character of the non-Western political process encourages leaders to
adopt more clearly defined positions in international issues than on domestic issues. They
seek a role in world politics that is out of proportion to their nation’s power.
• The affective or expressive aspect of politics tends to override its problem-solving or
public policy aspect.
• Charismatic leaders tend to prevail in non-Western politics because societies experiencing
cultural change are characterized by a confusion over values providing an ideal setting for
such leaders. The problem of political communications further reinforces the position of
the charismatic leader.
• The non-Western political process operates largely without benefits of political ‘brokers’.
The articulation function and the bargaining operation in the West as performed by the
influential members of the competing political parties or constitutional government have,
with a few exceptions found instability to be the dominant feature of politics.
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THE CHARACTERISTICS OF THE DEMOCRATIC REGIMES OF DEVELOPED WORLD.

The liberal democratic regimes in the developed states have been categorised as
polyarchical regimes by Robert Dahl in his work 'Polyarchy: Participation and
Opposition'. The term 'Polyarchy' has been preferred to 'liberal democracy' by the
western comparative political theorists primarily because of two reasons. First, liberal
democracy as a concept has been treated mostly as a political ideal than a form of regime,
and is thus invested with broader normative implications. Second, the usage of the
concept of 'Polyarchy' tends to acknowledge that the democratic regimes in the
developed countries, mostly western, still fall short. In significant ways, of the goal of
democracy as theorised in political theory. The liberal democratic or polyarchical regimes
are to be found in the states of North America, Western Europe and Australia. However,
there are states like Japan and South Africa who also exhibit the same characteristics.
Some of these characteristics may be identified in a brief manner as given below:
• These democratic regimes represent political institutions and practices which include
universal suffrage. Elections of representatives for a specified period makes them directly
responsible to people.
• These regimes also provide equal opportunities to the citizens to compete for public
office. The political parties and the political leaders enjoy the rights to compete publicly
for support.
• Free and fair elections are the basis of the formation of governments. A competitive party
system is supplemented by the pressure groups and the lobbying organisations. These
pressure groups influence the conduct of the government by mobilising the people.
• The democratic regimes reflect a high level of tolerance of opposition that is sufficient to
check the arbitrary inclination of the government. The existence of alternative sources of
information independent of the control of the government and of one another is helpful
in this regard. Institutionally guaranteed and protected civil and political.
• Rights are further strengthened by the presence of the new social movements. It all
results into a vigorous and democratically conscious civil society.
• The democratic regimes accept the presence of political cleavages due to diversity in the
civil society. As such political conflicts are seen as an inevitable aspect of political life.
Political thought and practice, enshrined in these democratic regimes accept conflict as a
normal and not aberrant ‘feature.
• These democratic regimes derive their underpinnings from the western liberal
individualistic tradition of political thought thus besides guaranteeing the individual rights
they also support free competitive market society. The cultural and ideological orientation
of these regimes likewise is also derived from western liberalism.
• The democratic regimes in the developed World are not considered all alike. Some of
them tend to favour centralisation and majority rule whereas others favour fragmentation
and pluralism.
• 'Thus the comparative political theorists like Lijphart distinguishes these regimes
between 'majority' democratic regimes and the 'pluralist' democratic regimes.
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• The 'majority' democratic regimes are organised along parliamentary lines in accordance
with the Westminster model. Such democratic regimes are to be found in United
Kingdom, New Zealand, Australia, Canada and Israel.
• Some of the significant features these regimes share are single party government, a lack
of separation of powers between the executive and the legislature, a simple plurality or
first past the post electoral system, unitary or quasi-federal government, legislative
supremacy, etc.
• The pluralist democratic regimes based on the US model represent the separation of
power and checks and balance. The provisions of the Constitution allow institutional
fragmentation.
• The states like Netherlands, Belgium, Austria and Switzerland which are divided by deep
religious, ideological, regional, linguistic and cultural diversities have adopted such
regimes which are also called the consociational democratic regimes.
• These regimes promote the value of bargaining and power sharing which can ensure
consensus. The common features these regimes share are coalition Government, A
separation of power between the legislature and executive, an effective bicameral
system, a multiparty system, Proportional representation. Federalism or devolution of
political power, a Bill of rights, etc.
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Hamza Alavi’s Model of Over Developed State
When the Asian, African and Latin American countries became independent, there was tremendous
responsibility on state for bringing about much needed social and political transformation. This can be
explained on the following grounds:
•First, this of an Interventionist State was in line with the colonial statist tradition. The claims of the anti-
colonial movements were to state takeover of the state. For that purpose, nationalist attempted to bridge
the space between civil society and the state, to ground state in the internal structures of the society i.e. civil
society. The aspirations for state power on the part of the nationalist leadership provided legitimacy and
acceptability to the third world state.
•Second, since the civil society is underdeveloped as a result of the colonial intervention so post-colonial
state assumes centrality in social institutions
•Third, it was widely agreed that the post-colonial state has to reverse the colonial legacy by playing an
interventionist role in bringing about social engineering, ethnic homogeneity, economic modernization as
well as nation building.
Now this conception of state as the principle actor of change was aggressively criticized by neo-Marxists,
activists as well as the feminists because of the following reasons:
•The modern third world state is undemocratic as it has to impart preferential treatment to the modern
sector against the traditional one. (Industry over agriculture as an example)
•The people, whose livelihood depended on traditional sector or whose and society, were ones not to be
supported by the 'developmental state'.
•The claim that this was in national interest was deemed as questionable as there was considerable evidence
that those who run the state apparatus- the elite in modernisation terms- derived a great deal of personal
gains from that involvement, often in ways that could not be seen as to the general national interest.
•The delegitimation of the state as an agent of social transformation or economic reforms or political change
led to a paradigm shift in theorisation about the developing states of Asia, Africa and Latin America.
Role of Bureaucracy in Post-Colonial State
•
• The main feature of state in post-colonial societies is interventionist state as this notion of an
Interventionist State was in line with the colonial statist tradition. Second, since the civil society was
underdeveloped as a result of the colonial intervention so Post-colonial state assumed centrality to the
social formations
• Third, it was widely agreed that the post-colonial state was to reverse the colonial legacy by playing an
interventionist role in bringing about social engineering, ethnic homogeneity and economic
modernization as well as nation building.
• Hamza Alavi, writing in the concrete context of South Asia grounded his state theory on the historical
specificity of the post-colonial societies. He attributed this as emanating the structural changes brought
about by the colonial domination as well as distant history, culture and tradition of these societies.
• The major contention of Alavi is that the post-colonial state dominates the politics as well as civil society
because of it’s over developed super structure. The ideological and coercive apparatus of state being
over developed in nature dominates all social forces. The post-colonial states equipped with military,
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bureaucratic apparatus mechanism of power and instutionalised practices control and regulate
indigenous social classes.
• Alavi traces a historical symmetry between the nature of colonial and the post-colonial state as due
to of a properly developed capitalist class bureaucratic military oligarchy have become all too a common
phenomenon in post-colonial states.
• He traced out that the post-colonial state is not the instrument of a single class. It is relatively
autonomous because of the over developed nature of state apparatus as well as because it mediates as
well as act on behalf of three dominant proprietary classes- the metropolitan bourgeoisie, the indigenous
bourgeoisie and landed classes having competing interests. Thus the post-colonial state is entrusted with
the task of preserving a social order in which the ruling classes' interests is embedded.
• According to Alavi in post-colonial society’s state play a special ideological function of the state to create
territorial unity, legitimacy and a sense of nationhood? In post-colonial societies, given the artificial
nature of territorial boundaries such a hegemonic position had to be created once the powerful force of
direct colonial fiat was gone.
• Neo Marxist has contested view over bureaucracy as class for example views of Nicos Poulantzas who
argues that the bureaucracy does not constitute a social class, it a social category that can be defined as
social ensemble, whose main feature is based on its specific relationship to the political structures other
than economic ones. However, Poulantzas concedes that in the post-colonial societies where the
relations of production have not acquired the capitalist form, the state bourgeois is able to establish a
specific place for itself.
• Neo Marxist Saul argued that the indigenous classes were in a state of formation and as such unlike the
Asian societies, did not have fixed class interest. This Was due to the repressive policies of the colonial
state. In fact, in the postcolonial societies like Africa, the state bureaucracy becomes decisive in the
formulation of state policies in the face of the apparent inability of indigenous bourgeoisie to emerge as
a dominant ruling class, which allows the state bureaucracy to enjoy the status of governing class.
• Shivji, and Mamdani while writing in the context of post-colonial Africa they argued that where the
indigenous bourgeoisie was unusually weak and the state relatively strong, it was strong state
bureaucracy that appropriated and accumulated the economic surplus.
• There is a general theory of the post-colonial state. While three classes, namely metropolitan
bourgeoisie, the indigenous bourgeoisie and the landed peasantry may be regarded as economically
dominant and therefore exercising directly or indirectly political dominance or control., state personnel/
bureaucratic bourgeoisie1 petty bourgeoisie may be judged to be the ruling or governing element being
most active in the political process and indeed holding the rein of government.
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GANDHI
INFLUENCES OVER GANDHI

Some of the events which contributed to change in Gandhi’s political ideology
towards pro-British to Anti-British were:
● Partition of Bengal
● Racial discriminations against Indians in South Africa
● Rowlatt Acts
● Jallianwala Bagh Massacre
● Khilafat issue
The change in Gandhi’s political thinking during this period was also influenced
by the following books, which he read:
i) Critical Writings on Modern Civilization

During this period, Gandhi read the works of Tolstoy, Ruskin, Carpenter,
Maitland, Salter, R.P.Dutt, Dadabhai Naoroji, etc. Of these, Leo Tolstoy’s The
Kingdom of God is Within You and The Gospel in Brief and John Ruskin’s Unto
This Last had a very great impact on Gandhi. Gandhi’s ideas of swaraj and
sarvodaya, meaning self-realization through service to others, were greatly
influenced by Tolstoy and Ruskin.
ii) Hindu Religious Philosophy

Gandhi also studied the Bhagavad Gita and several other holy books of
Hinduism, some of which were recommended to him by his Jain mentor,
Rajchand Mehta, also called Raychandbhai. These were books on yoga, advaita
vedanta, Jainism, Buddhism, Samkhya, etc. These books led Gandhi to espouse
a set of religiously inspired norms or principles of personal and collective
conduct, e.g., the values of satya, ahimsa, aparigraha and samabhava. Gandhi
saw in them an alternative or corrective to the dominant, modern/western values
or principles of individualism, utilitarianism and violence.
The hymns of Narsinh Mehta, a saint-poet of the fifteenth century, also instilled
in him the value of service to others, especially the poor and the needy.
Unacademy Code: DRPIYUSH11
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Gandhi’s moral-political ideas can be found in his books as well as in

his articles, letters and editorials in the four weekly journals, which he
edited or published at different times during his public life in South
Africa and India. These weekly journals were: Indian Opinion, Young
India, Harijan, and Navajivan. Gandhi’s books, some of which were
first serialized in his journals, were: Hind Swaraj, Satyagraha in
South Africa, The Story of My Experiments with Truth, Ashram
Observances in Action, A Guide to Health, Discourses on the Gita
and Constructive Programme. Gandhi also wrote and published
paraphrases and/or translations (in Gujarati) of Plato’s Apology, W.
Salter’s Ethical Religion, John Ruskin’s Unto this Last, Henry David
Thoreau’s Principles of Civil Disobedience and Leo Tolstoy’s Letter
to a Hindoo.
GANDHIAN CONCEPTION OF SWARAJ

Although the word swaraj means self-rule, Gandhi gave it the content of an
integral revolution that encompasses all spheres of life. "At the individual level
swaraj is vitally connected with the capacity for dispassionate
self-assessment, ceaseless self-purification and growing swadeshi or
self-reliance".
By Swaraj, Gandhi meant both outward or political freedom and inward or
spiritual freedom. In “outward freedom,” he included national political
independence and parliamentary swaraj. They are forms of outward freedom in
that they seek to free people from external control or rule by others, be they
foreigners or one’s own compatriots.
By “inward freedom,” he meant freedom from such inner impediments as
ignorance, illusions, selfishness, greed, intolerance and hatred. These,
according to Gandhi, impede or obstruct the individual’s self-realization or
attainment of moksha, i.e. the atman’s realization of its identity with the
Brahman or paramatman. Hence, he writes: “Government over self is the truest
Swaraj, it is synonymous with moksha or salvation”.
How to realize swaraj also engaged Gandhiji's attention seriously. He reminded
his colleagues that swaraj will not drop from the cloud and it would be the fruit
of patience, perseverance, ceaseless toil, courage and intelligent appreciation of
the environment. He also reminded them that swaraj means vast organizing
ability, penetration into the villages solely for the services of the villagers; in other
words, it means national education i.e., education of the masses.' And in the
Gandhian discourse, education of the masses means conscientization,
mobilization and empowerment, making people capable and determined to
stand up to the powers that be. He said: "Real swaraj will come, not by the
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acquisition of authority but by the acquisition of the capacity by all to resist

authority when it is abused. In other words, swaraj is to be attained by
educating the masses to a sense of their capacity to regulate and control
authority."
He talked of his ideal of swaraj as a square, of which the four inseparable sides
are: (i) political independence; (ii) economic independence; (iii) Non-violence in
social relations and moral obligations toward others; and (iv) Truth as dharma.
Swaraj is complete independence of alien control and complete economic
independence. So at one end, you have political independence, at the other the
economic. It has two other ends. One of them is moral and social; the
corresponding end is dharma, i.e. religion in the highest sense of the term.
INDEPENDENCE AND PARLIAMENTARY SWARAJ

The first component of Gandhi’s conception of swaraj as outward freedom is
national political independence. While maintaining that national political
independence was an essential meaning of his conception of swaraj, Gandhi
argued that it is only a partial or incomplete meaning or component of it. That
fuller conception of swaraj includes, besides national political independence, the
following additional components: a “parliamentary or democratic swaraj” and
swaraj as self-realization through service to others.
In 1931, he elaborated it in the following words: By Swaraj I mean the
government of India by the consent of the people as ascertained by the
largest number of the adult population, male or female, native-born or
domiciled…. [R]eal swaraj will come not by the acquisition of authority by a
few but by the acquisition of the capacity by all to resist authority when it is
abused. In other words, swaraj is to be obtained by educating the masses to
a sense of their capacity to regulate and control authority.
While answering to his critics regarding his views on Industrialization he said
that his Hind Swaraj was to be taken, not as “an attempt to go back to the
so-called ignorant dark ages”, but as an attempt to examine modern civilization
“in the scale of ethics.” He declared that in the name of his ideal swaraj, he
would not dream, as he had been accused of doing, “of no railways, no
machinery, no army, no navy, no laws and no law courts.” He would rather
have them re-structured so that they operate “for the benefit of the people,” and
“not as now for draining the masses dry.” He now viewed “parliamentary”, i.e.,
“democratic swaraj” as a very necessary and valuable component of his
conception of comprehensive swaraj.
As to the organizational features of “parliamentary swaraj,” Gandhi preferred it to
be a village-based, decentralized set-up, in which all but the lowest level of
government was to be indirectly elected by the immediately lower level. This
decentralized (adopted in DPSP of the Indian Constitution), village-based model
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of parliamentary/democratic swaraj was not the model that was favored by the
Congress and adopted by the Indian Constitution.
Some Features of Parliamentary Swaraj

In his practical and theoretical work for establishing Parliamentary Swaraj,
Gandhi concentrated on endowing it with four features: universal adult franchise,
civil liberties, minority rights, and a primary commitment to justice for the poor
and the exploited. These, he believed, are the necessary ingredients of
parliamentary swaraj. Gandhi regarded personal and civil liberties to be the
“foundation” and “breath” of Parliamentary Swaraj.
Gandhi was acutely aware of the danger of parliamentary democracy lapsing
into majoritarian tyranny over, or intolerance of, minority groups or communities.
Gandhi ji supported the principle of the guarantee or protection of fundamental,
cultural or religious rights of minority communities. In 1931 Gandhi maintained
that “matters of first rate importance” to the religious and cultural life of the
minority communities should be kept outside the purview of the democratic,
procedural principle of majority rule. A very special feature of Gandhi’s
conception of parliamentary/democratic swaraj is the justice of its basic
institutions, which seeks to promote the welfare of all by giving primacy to the
interests of the poor and needy. Gandhi’s conception of social/distributive justice,
which he often referred to in terms of “economic quality,” is rooted in his
trusteeship doctrine of property. He believed that statutory trusteeship is a form
of organizing economic life, which, without depriving the individuals of their
legitimate incentives for greater productivity and without depriving the
society of the increases in wealth, brings about a non-violent, equitable
distribution of wealth.
(To extract more materials on this topic, click here.)
SARVODAYA: SWARAJ AS SELF-REALIZATION

THROUGH SOCIAL SERVICE
The term was first coined by Mohandas Gandhi as the title of his 1908 translation
of John Ruskin's tract on political economy, "Unto This Last", and Gandhi came to
use the term for the ideal of his own political philosophy. In that book, Ruskin
gave a moralistic critique of the science of political economy of self-interest. He
outlined three basic features of sarvodaya:
1. that the good of the individual is contained in the good of all;
2. that a lawyer’s work has the same value as the barber’s in as much as all
have the same right of earning their livelihood from their work;
3. that a life of labor, i.e., the life of the tiller of the soil and the
handicraftsman is the life worth living.
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While swaraj conveys Gandhi’s idea of freedom, sarvodaya (welfare of all)

conveys his idea of equality. Gandhi’s doctrine of sarvodaya (which is often
rendered as non-violent socialism) is a corrective to utilitarianism, communism
and the doctrines which justify inequalities and exclusions on the basis of
caste, race, color, gender, etc.
Of these three principles, the first is the main principle of sarvodaya (welfare of
all). There are several steps in Gandhi’s thinking on sarvodaya (welfare of all).
They are:
- Our aim in life is self-realization or moksha.
- Self-realization or moksha means identification of the self or atman with
Brahman or God. This requires a discipline or yoga of self-purification.
- The way of realizing our identification with Brahman or, in other words,
the way of finding God is to see God in all his creation or manifestation.
- Love or service of all is the way to self-realization or moksha in this world.
Gandhi believed that without self-restraint or self-purification, we could not
render moksha-oriented service to others. Refuting the charge that these are
ideals for the ascetics, he said that they are meant “for acceptance by mankind in
general.” He wrote: No worker who has not overcome lust can hope to render any
genuine service to the cause of Harijans, communal unity, Khadi, cow-protection
or village reconstruction. Great causes like these cannot be served by intellectual
equipment alone; they call for spiritual effort or soul-force.
Mahatma Gandhi was of the firm view that the earth provides enough to satisfy
every man's needs, but not for every man's greed. In the Sarvodaya society of his
dream, therefore, every member will be free from any greed for limitless
acquisition of material wealth and more and more luxurious living and they will
follow the motto of simple living and high thinking. Everyone will, thus, get
ample opportunity to produce and earn sufficiently through honest work for
decent and dignified living. Consequently there will be no problem of
unemployment. Of course, obviously, the income of different people may be
different, depending on their talent, ability and effort. But those who will earn
more will use the bulk of their greater earnings for the good of the society as a
whole. In such a society, all wealth, including land, will be assumed as common
property to be utilized for the welfare of all. If an individual has more than his
proportionate portion, he becomes a trustee of the excess wealth for the benefit
of the less fortunate members of the society. As regards use of machinery in
economic activity, Gandhi said that "If we feel the need of machines, we
certainly will have them. But there should be no place for machines that
concentrate power in a few hands and turn the masses into mere
machine-minders, if, indeed, they do not make them unemployed."
Gandhi’s moral-political conception of sarvodaya is a corrective both to Western
utilitarianism and to the inequalities and exclusions of the traditional caste
system. His critique of utilitarianism can be found in his Introduction to his
Sarvodaya, which was his paraphrase of Ruskins’s book, Unto This Last.
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SATYAGRAHA VERSUS PASSIVE RESISTANCE

Satyagraha is the most important contribution of Gandhi to social philosophy
and movement. It emerged as a weapon of conflict resolution. The concept of
satyagraha could be understood in the broader context of Gandhian
socio-political thought that developed out of actions, which he called
'Experiments with Truth.' It was aimed not merely at political change, but at the
complete social, political, economic and cultural transformation. So far as its
contemporary relevance as a means for attainment of justice and conflict
resolution is concerned, diverse worldwide social movements drew and continue
to draw inspiration from the Gandhian Way.
Satyagraha is the name of the Gandhian, non-violent way of political action to
resist and transform untruthful and violent systems of social or political power.
During 1906-14, Gandhi successfully used such a way of political action to resist
the policy of racial discrimination, which the British colonial government of
South Africa had adopted against the Indian immigrants. Gandhi acknowledged
that his theory of satyagraha was influenced to some extent by Henry David
Thoreau’s writings. In Thoreau’s essay, “On the Duty of Civil Disobedience”,
Gandhi found confirmation of his views on coercive features of state and on the
individual’s obligation to his own conscience.
Gandhi’s initial struggles against racial discriminations in South Africa were
described as ‘Passive Resistance’. But, he soon found the English term to be
unsatisfactory, partly because it was not intelligible to ordinary Indians and partly
because it did not convey the special characteristic of his method of political
struggle. Hence, in 1906, he invited the readers of his weekly, Indian Opinion, to
suggest an alternative name. The best of the suggestions received was
satyagraha, meaning “firmness in a good cause.” Gandhi changed it to
satyagraha as it conveyed his preferred idea of “truth force.” He explained his
choice in the following words: Truth (satya) implies love, and firmness (agraha)
engenders and therefore serves as a synonym for force. I thus began to call the
Indian movement “satyagraha” that is to say, the force which is born to Truth
and Love or on-violence, and gave up the use of the phrase “passive resistance.”
Gandhi distinguished between body-force = brute-force = the force of arms from
soul force = love force = truth force. He referred to the former as the method of
violence, which, he said, is celebrated in and by modern civilization. Satyagraha,
he said, relies on soul-force or truth-force and is appropriate to swaraj. He wrote:
‘Satyagraha…. is a method of securing rights by personal suffering; it is the
reverse of resistance by arms. When I refuse to do a thing that is repugnant to
my conscience, I use soul-force’.
According to Gandhi, satyagraha was both practically necessary and morally
desirable for the Indian Freedom Movement. He said that since the “English are
splendidly armed”, it would take many, many years for the Indians to arm
themselves in a matching or effective manner. More than this practical difficulty,
Gandhi disapproved of the immorality of the method of violence. He pointed out
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that “to arm India on a large scale is to Europeanise it” or, in other words, to
continue to be seduced by the morally flawed modern European civilization.
According to Gandhi, the distinctive features of satyagraha, in comparison with
“passive resistance,” are as follows:
1. While the passive resisters harbor hatred toward their adversaries, the
satyagrahis view their opponents with love.
2. The passive resisters, unlike the satyagrahis, may harass and injure their
opponents.
3. Satyagraha, unlike passive resistance, can be offered even to one’s nearest
and dearest ones.
4. Passive resistance is a resistance by the weak and helpless, and it does not
exclude the use of violence, whereas satyagraha is a moral-political action
by the strong, and it excludes the use of violence. Believing themselves to
be weak, the passive resisters would tend to give up the struggle at the
earliest opportunity.
“On the other hand,” Gandhi wrote, “if we offer satyagraha believing ourselves
to be strong, two clear consequences follow. Fostering the idea of strength,
we grow stronger and stronger every day. With the increase in our strength,
our satyagraha too becomes more effective and we would never be casting
about for an opportunity to give it up.”
Principles and Methods of Satyagraha

Satyagraha is based on the principles of satya (truth), ahimsa (non-violence) and
tapas (self-suffering). Gandhi believed in the dharmasastra tradition according to
which dharma, derived from ‘dhr’ (to be firm, to sustain or uphold) refers to the
moral law governing the cosmos. Its essence is satya (truth), the root of which is
sat (being, reality, right, what is and what will be). Gandhi writes: The word satya
(truth) is derived from sat, which means being. And nothing is or exists in reality
except Truth. That is why sat or Truth is perhaps the most important name of
God.
Gandhi’s satyagraha is an experiment for the introduction of truth and
non-violence into political conduct. According to Gandhi, although Truth is
absolute, our knowledge and experience of it is relative and partial. What we take
to be truth may be untruth for others. Infact, the satyagrahi assumes that his
opponents or oppressors are also truth-seekers, acting on the basis of what they
perceive to be the truth. It is for this reason that ahimsa (non-violence) is the
means of discovery of truth. Acting on the basis of relative truths, the satyagrahis
seek to resolve basic conflicts and ensure social harmony through the
non-violent path of vindicating the validity of rival truth claims. Gandhi writes:
Satyagrahis use truth-force or love-force not to eliminate the opponents or
oppressors, but to bring about a restructuring of the total conflictual or
oppressive relationship so that both parties to the initial conflict can realize a
heightened mutuality or moral interdependence. Through satyagraha, the
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victims of oppression seek to liberate themselves by aiding in the emancipation

of their oppressors from their self-deceptive truth-denying beliefs and actions.
Gandhi writes: In its negative form it (ahimsa) means not injuring any living
being whether in body or mind. I may not, therefore, hurt the person of any
wrong-doer or bear any ill-will to him and so cause him mental suffering. In its
positive form, ahimsa means the largest love, the greatest charity. If I am a
follower of ahimsa, I must love my enemy or a stranger to me as I would my
wrong doing father or son. This active ahimsa necessarily includes truth and
fearlessness. Its positive test is action meant to promote the welfare of others.
We have so far considered two elements of satyagraha, namely, satya (truth) and
ahimsa (non-violence). A third element is Tapas (self-suffering). Action based on
love toward others, we saw earlier, is a positive test of truth. From this Gandhi
goes on to say that tapas or self-suffering is the test of such love. Self-suffering by
satyagrahis, it must be understood, is not out of their cowardice or weakness; it is
based on a higher form of courage than that of those who resort to violence and
it is meant to aid in the moral persuasion of one’s opponents or oppressors.He
writes: Since satyagraha is one of the most powerful methods of direct action, a
satyagrahi exhausts all other means before he resorts to satyagraha. He will,
therefore, constantly and continually approach the constituted authority, he will
appeal to public opinion, educate public opinion, state his case calmly and coolly
before everybody who wants to listen to him; and only after he has exhausted all
these avenues will he resort to satyagraha. In a satyagraha campaign, the
satyagrahis seek to validate the truth of contested social “system” or norms
through (i) reasoning, i.e., persuading the opponents about the untruth of their
position and at the same time remaining open to their counterarguments; and
(2) appealing to the opponents through the self-suffering of the satyagrahis. The
various methods of satyagraha are:
● purificatory or penitential actions by the satyagrahis, such as pledges,
prayers and fasts;
● acts of non-cooperation, such as boycott, strikes, hartal, fasting and hijrat
(i.e. voluntary emigration);
● acts of civil disobedience, such as picketing, non-payment of taxes and
defiance of specific laws;
● a constructive programme of social reform and social service, such as the
promotion of inter-communal unity, the removal of untouchability, adult
education, and the removal of economic and social inequalities.
Critical Evaluation of Satyagraha

Concerning Gandhi’s theory and praxis of satyagraha, several critics maintain
that non-violence and self-suffering are impractical methods against violent
oppression. The Gandhian way, they way, is “other-worldly” and “anti-humanist”.
Gandhi maintained that non-violence and self-suffering were “not for the
unworldly, but essentially for the worldly.” He did admit that these principles
were very difficult to practice, but insisted that we need to, and can, keep on
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moving along these lines.“Perfect non-violence whilst you are inhabiting the
body, '' he wrote, “is only a theory like Euclid’s point or straight line, but we have
to endeavor every moment of our lives”.
It may still be objected that satyagraha demands of the satyagrahis,
self-suffering even unto death. It is true that self-suffering is a major element of
satyagraha. However, self-sacrifice is also involved in case of violent resistance.
Sacrifice even unto death is, thus, the common element in both violent and
non-violent resistance against oppression. That is why Gandhi approved of the
use of satyagraha only in cases of conflict over fundamental issues and only after
all milder methods of nonviolence have failed. Gandhi explained my non-violent
resistance is activised resistance on a different plane. Nonviolent resistance to
evil does not mean absence of any resistance whatsoever, but it means not to
resist evil with evil but with good. Resistance therefore, is transferred to a higher
and absolutely effective plane.
Gandhi acknowledged that reading Tolstoy made him realize the “infinite
possibilities of universal love” and made him a “firm believer in ahimsa”. Gandhi
and Tolstoy corresponded with each other. In his last letter to Gandhi, Tolstoy
acknowledged that his satyagraha movement in South Africa was a new and
most important mode of emancipatory struggle by the oppressed. Like Tolstoy,
Einstein too has written in deep appreciation of Gandhian satyagraha. In a tribute
published in a festschrift for Gandhi’s seventieth birthday, he wrote: Gandhi is
unique in political history. He has invented an entirely new and humane
technique for the liberation struggle of an oppressed people and carried it out
with the greatest energy and devotion. The moral influence which he has
exercised upon thinking people through the civilized world may be far more
durable than would appear likely in our present age with its exaggeration of
brute force. For the work of statesmen is permanent only insofar as they arouse
and consolidate the moral forces of their peoples through their personal example
and educating influence.
GANDHI ON ENVIRONMENT
The Industrial Revolution has greatly changed the face of European civilisation
including heavy industrialisation, pursuit of capitalist patterns of economy,
exploitation of labor and injudicious use of natural resources. It has given to human
society tremendous material pleasure and prosperity that was eventually pursued by
other nations. At the same time, it has also imperceptibly done irreparable loss to
mankind. Reckless and limitless pursuit of industrialisation by all nations is now
posing serious problems for the very existence of not only man but also for all living
creatures and all kinds of species on our Planet.
Reference: S. K. Jha, see Mahatma Gandhi- An environmentalist with a
Difference:http://www.mkgandhi.org/environment/environment.htm.
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Population explosion, mass poverty, over-utilisation of renewable resources, overuse

of fertilizers leading to water pollution, rapid industrialisation, global warming, desert
formation, deforestation, emission of harmful substances into air causing air
pollution, industrial and synthetic wastes, nuclear hazards that are more man-made
in nature are all causing irreparable damages to our planet. As the environmental
consciousness spread worldwide, there were meetings including the Stockholm
Conference, the United Nations Conference on Environment and Development
and so on that recognised the need to use the natural resources judiciously so as to
ensure a safe future for the coming generations. The ‘Union of Concerned
Scientists’ stated that human beings and the natural world are on a collision course.
Human activities inflict harsh and often irreversible damage on the environment and
on the critical resources. It calls for a great stewardship to halt further damage and
mutilation of the planet and also calls for reducing the over-consumption to reduce
the pressure on global environmental resources (Ramjee Singh, pp.129-130). Gandhi
precisely called for the same measures in a prophetic tone.
Gandhiji was a practitioner of recycling decades before the idea caught on in the
West, and he initiated perhaps the most far-reaching critiques of the ideas of
consumption and that fetish of the economist called “growth”. Thus, in myriad ways,
we can believe that he was a thinker with a profoundly ecological sensibility.
There are three respects in which the ecological vision of Gandhiji’s life opens itself
up to us.
1. He was of the considered opinion that nature should be allowed to take its
course. The environmental crises and “extreme weather events” that are upon
us have been precipitated by the gross and appalling instrumentalisation of
nature. The earth is not merely there to be mined, logged and hollowed out.
However, we have to first preserve the ecological equanimity of the body.
Nature’s creatures mind their own business; if humans were to do the same,
we would not be required to legislate the health of all species. Gandhiji did not
prevent others from killing snakes but a cobra entering his room was left
alone. “I do not want to live at the cost of the life of a snake,” he said.
2. Gandhiji mounted a rigorous critique of the “waste” that is behind modern
industrial civilisation in more ways than we imagine. European colonization
the world over was justified with the claim that natives and indigenous people
“wasted” their land and did not render it sufficiently productive. But Gandhiji
held the view that humans are prone to transform whatever they touch into
waste. His close disciple and associate Kaka Kalelkar was in the habit of
breaking off an entire twig merely for four or five neem leaves he needed to
rub on the fibers of the carding-bow to make its strings pliant and supple.
When Gandhiji saw that, he said: “This is violence. We should pluck the
required number of leaves after offering an apology to the tree for doing
so. But you broke off the whole twig, which is wasteful and wrong.”
3. Gandhiji was a staunch vegetarian, and he would have been pleased with a
great deal of modern research which has established that the meat industry
has put extreme pressures on the soil and water resources and the massive
increase in levels of meat consumption when people start entering the middle
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class in countries such as India. But to be “ecological” in sensibility also means

harboring a notion of largesse towards others; it is a way of being in the world.
Gandhiji strikes a remarkable chord with all those who have cherished the
principles of non-injury, cared for the environment, practiced vegetarianism,
worked energetically to conserve air, soil, and water, resisted the depredations
of developers, recycled paper, or accorded animals the dignity of humans. (Vijay
Lal:https://www.thehindu.com/news/national/mahatma-gandhi-an-environmentalist
-by-nature/article29566196.ece )
Spiritual Basis of Environmentalism

Gandhi’s views on the environment consist of moral, spiritual and non-violent
dimensions. To him, the hallmark of development of man consisted not in
materialism or consumerism but in spiritual self-realization, a character heavily
loaded with morality and non-violence. The craving for materialistic wants was
alien to him for it hindered the path to one’s realization. His simple living and
high thinking reiterated his love for all living beings, which is the very manifestation
of God’s creation. His concept of non-violence thus encompassed all living beings
and embodied the eternal values of life in his thoughts and actions. As Gandhi said,
‘My ethics not only permits me to claim but requires me to own kinship with not
merely the ape but the horse and the sheep, the lion and the leopard, the snake and
the scorpion…’ (M.K.Gandhi, Truth, Navajivan, Ahmedabad, 1952, p.10). He insisted on
the eternal sacredness of life that included a tree, plant or a cow. ‘Indeed his love
towards all life constitutes his attempt to realize the Vaishnava ideal ‘Vasudevam
Sarvamidam’ (Everything is HE) (Benoy Gopal Ray, Gandhian Ethics, Ahmedabad,
1950, p.8)
Gandhi was greatly influenced by Adolph Just’s book ‘Return to Nature’ that further
strengthened his conviction that if a man desires to live a wholesome life, he will
have to share his life with not only humans but all living beings - birds, animals,
plants and the whole ecosystem. Man must return to nature what he takes from her.
He abhorred violence, in any form, towards animals or other living beings. Gandhi
thus expressed his sense of the unity of all life. He wrote in Harijan in 1937, “I do
believe that all God’s creatures have the right to live as much as we have.” Gandhi
was a great believer in advaita (non-duality) and in the essential unity of man and all
lives (Young India, 1924). Thomas Weber brings an interesting perspective on how
Arne Naess, who was thoroughly influenced by Gandhian philosophy, interprets the
link between self-realization and non-violence. Weber’s interpretation is as follows:
1. Self-realization presupposes a search for truth.
2. All living beings are one
3. Himsa (violence) against oneself makes complete self-realization impossible
4. Himsa against a living being is Himsa against oneself and.
5. Himsa against a living being makes complete self-realization impossible (T.
Weber, Gandhi and Deep Ecology, Journal of Peace Research, vol.36, No.3, May
1999). The ancient Indian religious philosophy, thought and action and
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practices point out to a harmonious relation between man and other living
beings. Gandhi was an ardent believer of this philosophy of Vedanta, a
combination of spiritual faith and scientific thought.
GANDHI’S CRITIQUE OF MODERN CIVILISATION

Gandhi was undoubtedly a visionary who could foresee the ills of industrialisation
and modernisation. He was an early critic of the dehumanizing character of modern
industrial civilization. It is in the context of new value orientation and the quest for
human survival threatened by environmental and ecological crisis that the
re-discovering of Gandhi’s warning of ‘industrialize and perish’ has to be seen’ (Savita
Singh, pp.58-59). His Hind Swaraj depicts his understanding of the chaos the modern
civilisation would usher in. Having witnessed the human devastation that
industrialisation had caused in England, he warned us of the impending dangers of
an urban industrial society. He was baffled at the thought of India being heavily
industrialized and its culture eroded through dehumanizing. He wrote in Young
India (20-12-1928, p.422), ‘God forbid that India should ever take to industrialism
after the manner of the West. The economic imperialism of a single tiny
Kingdom (England) is today keeping the world in chains. If an entire nation of
300 millions (India’s population in 1928) took to similar economic exploitation, it
would strip the world like locusts’. He further elaborates that ‘to make India like
England and America is to find some other races and places on earth for
exploitation. So far it appears that the western nations have divided all the
known races outside Europe for exploitation and that there is no new world to
discover, what can be the fate of India trying to ape the west?’
Gandhi firmly believed that India lives in its villages. And to erode its village’s culture
and civilisation via technology, machinery and industrialisation, to him, amounts to
sin. He warned the youth not to be carried away by the glitter of modern civilization
because ‘its defects are well known but not one of them is irremediable’. He
advocated village life as the goal, as India is an inheritor of rural civilisation. Therefore,
the intentions of the youth may be ill founded if they were to uproot it and
substitute for it an urban civilisation (Young India, 7-11-1929). He was also against the
use of machinery that is meant to displace people from their livelihood means. He
was thoroughly in favor of promoting Charkha, hand machinery as against “the
machinery that displaces the labor of those who cannot otherwise be employed.
What we must dread is huge machinery run not by hand but by non-human power
such as steam, electricity, etc’ (4-10-1929 in a letter to Shri Giriraj).
Regarding urbanization, Gandhi expressed his views as follows: ‘it is a process of
double drain from the villages. Urbanization in India is slow but sure death for her
villages and villagers. It can never support 90% of India’s population, which is living in
her 7,00,000 villagers (number of villages in 1934). To remove from these villages
tanning and such other industries is to remove what little opportunity there still is for
making skilled use of the hand and head. And when the village handicrafts
disappears, the villagers working only with their cattle on the field, with idleness for
six or four months in the year, must be reduced to the level of the beast and be
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without proper nourishment either of the mind or the body, and, therefore without
joy and without hope’ (Harijan, 7-9-1934). To him the modern civilisation, therefore,
with its explicit or implicit stress on unabated exploitation of resources,
multiplication of wants, production for the market and consumption is satanic
(Hind Swaraj, p.33) The best practice, as he suggested, was ‘instead of welcoming
machinery as a boon, we should look upon it as an evil, it would ultimately go’ (Hind
Swaraj, p.84). Adopting this modern civilisation and life-style negates one’s
spirituality and morality. He was concerned that ‘this civilisation takes note neither of
morality nor of religion. Immorality is often taught in the name of morality.
Civilisation seeks to increase bodily comforts, and it fails miserably even in doing so’
(Hind Swaraj, pp.32-33). Civilisation, as he perceived it, is that mode of conduct which
points out to man the path of duty; to observe morality to attain mastery over our
mind and passions (Hind Swaraj, p.53). Having a moral and religious basis in our
civilisation, he expressed ‘there will naturally be progress, retrogression, reforms and
reactions but one effort is required and that is to drive out Western civilisation. All
else will follow’ (Hind Swaraj, p.80).
GANDHI SOCIAL PROGRAMMES
REMOVAL OF UNTOUCHABILITY
The first and foremost item of this reform was the removal of untouchability, a cruel
and inhuman institution. It violates human dignity and blinds the sensibility of both
the oppressor and the oppressed. Untouchability was against the spirit of democracy
and also raised economic problems. The untouchables were the poorest section of
Indian society.
Their avenues of employment were strictly limited; they lived apart, in unhygienic
surroundings, on the outskirts of villages and cities. Though they were Hindus and
believed in and worshiped Hindu gods and goddesses, they were not allowed to
enter Hindu temples. Public institutions like schools, hotels, hostels, etc., were closed
to them.
Gandhi rightly felt that they who denied justice to those who suffered injustice at
their hands had no right to demand justice for themselves from their oppressors.
In tackling the problem of untouchability Gandhi did not call upon the untouchables
to join in the struggle for the assertion of their human rights. They were even
incapable then of doing so. They took their lowly position as having been ordained by
God. During the campaign against untouchability, the so called higher castes often
visited their lowly homes.
If they asked for water from them, they would refuse to give it, saying that it would
be ‘adharma’ for them to offer water to high caste people. It was such a degradation
to which a large portion of the population was reduced. Gandhi, therefore, called
upon the caste Hindus to make all the sacrifice necessary for the removal of
untouchability. He said that they would thus be rendering only belated justice for the
grievous injury inflicted by their ancestors on the untouchables through the
centuries.
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About untouchability Gandhi said: “To remove untouchability is a penance that caste
Hindus owe to Hinduism and to themselves. The purification required is not of
‘untouchables’ but of the so-called superior castes. There is no vice that is special to
the ‘untouchables’, not even dirt and insanitation. It is the arrogance which blinds
superior Hindus, to their own blemishes and which magnifies those of the
downtrodden brethren whom they have suppressed and whom they keep under
suppression. Religions like nations are being weighed in the balance. God’s grace
and revelation are the monopoly of no race or nation. They descend equally upon all
who wait upon God. That religion and that nation will be blotted out from the face of
the earth which pins its faith to injustice, untruth or violence.”
He poured out the anguish of his soul when he said : “I do not want to be reborn. But
if I have to be reborn, I should be born an untouchable, so that I may share their
sorrows, sufferings, and the affronts leveled at them, in order that I may endeavor to
free myself and them from that miserable condition. I, therefore, pray that if I should
be born again, I should do so not as a Brahmin, Kshatriya, Vaishya or Shudra but as an
Atishudra.” In framing the Congress constitution he made it a condition precedent
for anybody joining the national organization that he declares himself against
untouchability. This was incorporated in the annual pledge that every Congressman
had to take.
Temple Entry
The equality that Gandhi claimed for the untouchables in Hindu society included the
right to enter Hindu temples. It did not matter to him if these temples were built or
endowed by caste Hindus. This insistence of Gandhi on temple entry was
misunderstood by some intellectuals. This was generally due to the influence of
Marxist thought, which explains every human activity and institution in economic
terms. Such an interpretation is manifestly untenable in the case of untouchability in
India, as is the racial and color prejudice in Western communities, in their homelands
and their colonies. Untouchability in India, as the race and color problems in the
West, rests upon the idea of the superiority of one section of people over another on
account of their birth. The untouchable continues to profess the Hindu religion,
worships the same gods and goddesses but is denied access to the Hindu temples.
Once the untouchable is allowed entry into Hindu temples, the stigma attached to
his community will no longer be there, being deprived of its so-called religious
sanction. About this Gandhiji says: “Temple entry is the one spiritual act that would
constitute the message of freedom to the ‘untouchables’ and assure them that they
are not outcastes before God”. “It is not a question of Harijans asserting their right of
temple entry or claiming it. They may or may not want to enter that temple even
when it is declared open to them. But it is the bounden duty of every caste Hindu to
secure that opening for Harijans”.
“If all that there is in the universe is pervaded by God, that is to say, if the Brahmana
and the Bhangi, the learned man and the scavenger, the Ezhava and the Pariah, no
matter what caste they belong to- if all these are pervaded by Lord God, in the light
of this Mantra, there is none that is high and none that is low, all are absolutely equal,
equal because all are the creatures of that Creator. And this is not a philosophical
thing to be dished out to Brahmanas or Kshatriyas, but it enunciates an eternal truth
which admits of no reduction, no palliation. And if that is so, how can anyone here
dare to arrogate superiority to himself or herself over any other human being? I tell
you, therefore, that if this Mantra holds good, if there is any man or woman here who
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believes that the temples are defined by those who are called Avarnas, that person, I
declare, would be guilty of a grave sin”.
Gandhi made it a point not to enter a Hindu temple which was not open to Harijans.
His religion did not require him to enter a temple. But he sometimes did it as a mark
of courtesy. Even this courtesy did not extend to the temples where Harijans had no
free access. Gandhi set up the Harijan Sevak Sangh, which was to work for the
removal of all their disabilities. This organization continues to function even to this
day. It consists not only of politicians but also all those who on humanitarian grounds
are against untouchability.
To set an example, Gandhi brought a Harijan family to live in the Ashram. He adopted
their daughter as his own. He also blessed all the marriages that were celebrated
between Harijans and caste Hindus. Some of these marriages took place in his own
Ashram. In 1932 he even endangered his life to see that the disabilities of the Harijans
were removed while they remained in the Hindu fold. He opposed the award of the
British Prime Minister giving them separate electorates. He knew that a vast majority
of them did not want to abandon their religion in spite of the fact that they could
have equality with other citizens by merely changing it. Then even the Hindus would
not regard them as untouchables.
CASTE SYSTEM
The movement against the caste system in India is almost as old as caste itself.
Buddhism and Jainism were reformist movements which were partly aimed against
caste. The Bhakti movement of the middle-ages was mainly directed against the
caste system. Sikhism was similarly opposed to caste. The various reformist
movements in the second half of the Nineteenth Century like the Brahma Samaj,
Prarthana Samaj, Arya Samaj, Ramakrishna Mission, Theosophical Society, etc. all
believed in human brotherhood and the leveling up of Hindu society.
Gandhi separates what he considers to be the inessentials of the caste system from
its essentials, rejects the former and declares the latter to be beneficial for society. He
tackles the problem on three fronts: (i) untouchability and its attendant strictures, (ii)
the thousands of endogamous or semi-endogamous groups called caste, and (iii)
varna or the four-fold functional division of society. He regards untouchability as
‘immoral’ and therefore, in need of complete eradication, caste as unnecessary and
undesirable.
Gandhi believed that there is no inseparable connection between untouchability and
the caste system; untouchability can be eradicated without abolishing caste
altogether. He argues in favor of the abolition of the multiplicity of castes and their
reduction into the four varnas; the eradication of untouchability is not dependent
even on this proposed simplification of the caste system, not to speak of its abolition
altogether. Gandhi had asked for a message from Dr. B.R. Ambedkar, the leader of
the untouchables, for the inaugural number of Harijan. Ambedkar refused to send
any message, and instead sent a statement for publication in the inaugural issue of
the journal. Dr.Ambedkar observed untouchability as a by-product of the caste
system, and it could be abolished only when the ‘odious and vicious dogma’ of caste
was altogether abolished. Gandhi published this statement in the first issue of
Harijan with the following comment:
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“As to the burden of his message, the opinion he holds about the caste system is
shared by many educated Hindus. I have not, however, been able to share that
opinion. I do not believe that the caste system, even as distinguished from
varnashrama, to be an ‘odious and vicious dogma’. It has its limitations and its
defects, but there is nothing sinful about it, as there is about untouchability, and if it
is a by-product of the caste system it is only in the same sense that an ugly growth is
of a body, or weeds of a crop. It is as wrong to destroy caste because of the outcaste,
as it would be to destroy a body because of an ugly growth in it, or a crop because of
the weeds’ (Harijan, 11-2-1933).
Yet, since in practice the caste system represents a social hierarchy based on the idea
of high and low, and since it is an unnecessary outgrowth of the four varnas which
alone are fundamental and essential to the organization of a society, he considers
the multiplicity of castes to be undesirable and superfluous. “The division, however,
into innumerable castes is an unwarranted liberty taken with the doctrine (of
varnashrama). The four divisions are all-sufficing”.
COMMUNAL PROBLEMS
Gandhi was a protagonist of the concept of common good of all the inhabitants of
India; he believed in the spiritual unity and equality of mankind and in Hindu-Muslim
unity on moral grounds. He never made distinctions among people on racial,
religious and caste grounds. His Satyagraha in South Africa was launched to redeem
the civic rights of the Indian community amongst whom the Muslims constituted a
majority and controlled the larger share of wealth.
Gandhi supported the Khilafat movement because he deeply felt that it was initiated
on the grounds of restoring justice and also because it offered “an opportunity of
uniting Hindus and Muslims as would not arise in a hundred years”. In a letter to the
Viceroy in 1920, he wrote: “I consider that, as a staunch Hindu wishing to live on
terms of the closest friendship with my Mussalman countrymen, I should be an
unworthy son of India if I did not stand by them in their hour of trial”.
In 1920, Gandhi had emphasised Hindu-Muslim unity as a precondition for Swaraj. He
had said that Hindus and Muslims should unite on the issue of fighting for freedom.
This unity would have hastened the process of the achievement of political
independence and would have negated the cry for the partition of the country.
Gandhi did not advocate Hindu-Muslim unity mainly for social and political reasons.
In 1924, he undertook a twenty-one day fast for Hindu-Muslim unity and claimed that
the fast was dictated by God and thus was the call of the highest duty. In the eyes of
God, all men are equally his children and Gandhi was deeply anguished at the
growing communal schism and tensions in the country.
The solution that Gandhi provided for the Hindu-Muslim problems was threefold.
First, a sincere and devout understanding of the fundamental moral bases of the two
religions was essential. He himself had studied Sale’s translation of the Koran in the
early years of his stay in South Africa. He ‘learnt of the Prophet’s greatness and
bravery and austere living’.
He read Washington Irving’s Life of Mahomet and his Successors. From the
chapter entitled ‘Comparative Study of Religions’ in his Autobiography, it is clear
that Gandhi read Carlyle’s chapter on Muhammad’s practical instinct as reformer and
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his monotheism have been ‘a constant strength and support to him’. C. F. Andrews
mentions that for Gandhi, Ali, Hassan and Husssain were representatives of the
concept of ‘suffering injury without retaliation’ (Andrews, 1931, pp.163-64). Gandhi was
encouraged to find that in moments of despair and confusion, Muhammad also
fasted and prayed. He admired the patriarchal simplicity of the early Caliphs of Islam.
In 1924 Gandhi wrote: “When the West was sunk in darkness a bright star rose in the
eastern firmament and gave light and comfort to a groaning world. Islam is not a
false religion. Let Hindus study it reverently, and they will love it even as I do”. He
believed that communal struggles are rooted in an insufficient understanding of the
tenets of the two religions and cultures. He stated that to say that “Hinduism and
Islam represent two antagonistic cultures” is a denial of God for “I believe with
my whole soul that the God of the Quran is also the God of the Gita”. He accepted
that all the religious scriptures of the world should be studied in a spirit of genuine
humility. He disclaimed the use of religious scriptures as armory for pugnacious
disquisitions and sectarian animosities. He preached, instead, a process of
“heart-unity”. Gandhi opined, in the Koran, non-violence is sanctioned as a duty while
violence is permitted only as a matter of necessity.
The second basic point in Gandhi’s approach to the communal problem was that he
pleaded for generosity on the part of the majority community. He did not subscribe
to the mathematics of the exact allocation of seats and shares in strict proportion to
the numbers of the two communities. Instead, he wanted an attitude of generosity
to be cultivated. He felt that being in a majority did impose some obligations and the
majority community had to inspire the minorities with confidence in their bona fides.
They had to adopt even an attitude of self-sacrifice. He was not tired of eulogising the
self-sacrificing martyrdom of Ganesh Shankar Vidyarthi in April 1931, at Kanpur, in the
cause of settling Hindu-Muslim tensions and riots.
The third point in Gandhi’s philosophy of communal harmony is the pursuit of the
Constructive Programme by both the communities. Such a common social and
economic action was bound to generate in their hearts an enhanced regard for
independence. The Constructive Programme was bound to bring together the
masses and the classes, and foster unity of hearts based on mutual interest. It was
clear that the common pursuit of the Constructive Programme as a method of
Hindu-Muslim unity would generate a process of the growth of heart unity. For the
promotion of lasting unity what was needed was not a promulgation of a decree by
the foreign government but the pursuit of the obligations of a common citizenship
as implied in the Constructive Programme. Gandhi had regarded Hindu-Muslim
unity as a matter of pre-eminent national importance. He was never tired of
repeating that they were blood brothers born of the same sacred soil of Hindustan
and nourished by the same water. Regarding each other as natural enemies was the
denial of the central divinity lodged in the heart of all living beings. The advent of
British imperialism wedded to the cult of ‘divide and rule’ and drove the wedge of
acrimony and suspicion among them. He believed that during Muslim rule, Hindus
and Muslims lived more in peace than under British rule. Their unity could convey
the gospel of reconciliation to the world.
On August 15, 1947, India not only became independent from British imperial rule but
was also partitioned into India and Pakistan. Instead of celebrating in Delhi, the
nation’s capital, Mahatma Gandhi was in Calcutta (the capital of the state of West
Bengal), pitting his whole soul against the communal riots that had broken out
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between Hindus and Muslims in the wake of partition. On August 26, 1947, Lord
Mountbatten, the last Viceroy of British India and first Governor-General of
Independent India, sent a letter to Gandhi that said: “My dear Gandhiji, in the
Punjab we have 55 thousand soldiers and large-scale rioting on our hands. In
Bengal our forces consist of one man, and there is no rioting. As a serving officer,
as well as an administrator, may I be allowed to pay my tribute to the One-man
Boundary Force.”
DIGNITY OF WOMANHOOD
Gandhi worked for the restoration of the status of India’s womanhood which had
deteriorated appallingly in a degenerating society. Gross violations of the dignity of a
woman veiled under customs and traditions, violated women's equal rights with
man. Gandhi succeeded in lifting, to some extent, the degrading burden placed
unjustly on the Indian woman. Gandhi revolted against the subordination of women:
‘By sheer force of vicious custom even the most ignorant and worthless men have
been enjoying superiority over women which they do not deserve and ought not to
have.’ Illiteracy is no justification for the denial of their ‘equal and natural rights’ as
human beings. He pointed an accusing finger at ‘the glaring inequalities to which
they are subjected’ in being, for instance, incapacitated to inherit anything. ‘The root
of evil lies much deeper than most people realize. It lies in man’s greed of power and
fame, and deeper still in mutual lust . . . ‘She should labor under no legal disability
not suffered by man’ (Young India, 17-10-1929).
Ill-treatment of Women
What came in for real scathing remarks from him was the positive ill treatment of
women. We know by painful experience of what is daily happening in India, that
there are enough husbands who regard their wives as their property like their cattle
or household furniture, and therefore think they have the right to beat them as they
would their cattle.’ ‘More often than not the woman’s time is taken up, not by the
performance of essential domestic duties, but catering for the egoistic pleasures of
her lord and master… To me this slavery of woman is a symbol of our barbarism... It is
high time that our womankind was freed from this incubus.’ ‘Excessive subordination
of the wife to the husband.... This has resulted in the husband sometimes usurping
and exercising authority that reduces him to the level of the beast’ (Harijan, 5-6-1940).
Child Marriage
Gandhi lashed mercilessly against some evil customs in Indian society, such as child
marriage etc. ‘It is irreligion not religion to give religious sanction to a brutal custom’
he said of the evils of child marriage. He even defied the Hindu scriptures when they
gave sanction to it. The health of the race, the morality of the children involved and
so many other reasons, he said, would induce us to hold it as ‘sinful’ to give children
in marriage. He spoke against it by drawing on his own experience and also on the
appalling statistics he had before him of its consequent evils. He spoke against
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forced marriages and forced widowhood, especially of teenage widowhood. He was

all for ‘voluntary widowhood .which adds grace and dignity to life, sanctifies the
home and uplifts religion itself.’ But he could not bear the ‘enormity of the wrong
done to the Hindu girl widows…Widowhood imposed by the religion or custom is an
unbearable yoke, and defiles the home by secret vice and degrades religion’,
especially when widowhood is so common in child marriages. Besides, it makes one
‘lose sight of elementary justice’.
Dowry and Purdah System

The system of dowry, for Gandhi, ‘was nothing but the sale of girls’. Speaking of the
evils of dowry, for instance disposing of young children to old men by needy parents,
accused the community of committing ‘a double sin’. ‘Any young man who makes
dowry a condition for marriage discredits his education and his country and
dishonors womanhood.’
He waged war also on the system of purdah. Refuting the charge that it was meant
to protect the chastity of women, he said: ‘Chastity is not a hothouse growth. It
cannot be superimposed. It cannot be protected by the surrounding wall of the
purdah. It must grow from within, and to be worth anything it must be capable of
withstanding every unsought temptation. It must be as defiant as Sita’s. It must be a
very poor thing that cannot stand the gaze of men. Men, to be men, must be able to
trust their womenfolk even as the latter are compelled to trust them’. In 1927 he
spoke against the purdah saying: ‘It pained and humiliated me deeply. I thought of
the wrong done by men to the women of India, by clinging to a barbarous custom
which, whatever use it might have had when it was first introduced, had now
become totally useless and was doing incalculable harm to the country’ (Young
India, 3-2-1927).
Other Evils
There are many other fields in which Gandhi tried to uphold the dignity of the
woman. Thus for example he continually railed against obscene literature which had
reached ‘an altogether wrong apotheosis’ of women, thus degrading their nature. He
did his best to counteract the practice of prostitution which he called ‘a life of shame’,
a life of ‘debasing indulgence’, against which ‘curse’ he hoped ‘humanity will rise. So
too, he pitted himself against the protagonists of contraceptives who asked the
Indian woman to violate ‘the sacredness of her body’.
Behind all his holy zeal there lay the implicit conviction that women are as much
human as men and hence they must enjoy perfect equality of rights pertaining to
human nature as such. He said: ‘I am uncompromising in the matter of women's
rights. In my opinion she should labor under no legal disability not suffered by man.
He emphasized the point repeatedly. ‘She has the right to participate in the minutest
detail of man's activity, and she has the same right of freedom and liberty as he.’
‘Man and woman are equal in status, but are not identical. They are a peerless pair
being complementary to one another…..’ Of course he admitted the ‘point of
bifurcation’ in them. Thus he said: ‘Whilst both are fundamentally one, it is also
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equally true that in the form there is a vital difference between the two. Hence the
vocation of the two must be also different.’ The woman by vocation is destined to
rear children. And it would be wrong to forsake that work together for another.
Gandhi felt that ‘she is entitled to a supreme place in her own sphere of activity as
man is in his’ and is unjust in denying her that right.
Gandhi did succeed in bringing back honor to India’s womanhood. He asked them to
‘forget that they belong to the weaker sex’; he convinced them that ‘the economic
and moral salvation of India’ rested mainly on them. ‘The future of India lies on your
knees, for you will nurture the future generation.’ He drew thousands of them into
his political campaign; scores of hundreds answered his call to the satyagraha and
swadeshi drive; they lived up to his definition of woman – ‘embodiment of sacrifice
and suffering’ by giving their all to fight for truth with him. The fearlessness they
displayed and their capacity to ‘work wonders on behalf of the motherland’,
rebounded in getting back the honor and dignity that had increasingly been denied
to them in modern Indian society.
SOCIAL EQUALITY
Gandhi was driven by the basic conviction that no man can claim superiority just by
his birth. It is the equality of human rights derived from one common Father whom
we have in God that postulates a social equality among men. And due to his
persuasion, he threw himself headlong into the struggle for social justice. This
struggle was specially seen in his efforts to reinstate the Indian woman in her rightful
position, and to purge the scourge of untouchability from India’s soil. Gandhi was too
much of a realist to rule out every difference in social status. He admitted some
inequalities in property and opportunities and saw the necessity of a social hierarchy.
``We own no master but Daridra Narayana, and if for the time being we own human
superiors, we do so voluntarily well knowing that no organization can be carried on
without discipline. Discipline presupposes an organizing head. He is only the first
among equals. He is there on sufferance. But whilst he is there, he is entitled to the
whole hearted allegiance and uncompromising obedience of all the fellow servants’
(Harijan, 22- 6-1935). Though this was said in connection with some ‘humanitarian
services’ there is no doubt that it well expresses the social aspect of his philosophy.
Coming to the positive meaning of his social equality he says, ‘I do not believe that all
class distinctions can be obliterated. I believe in the doctrine of equality as taught by
Lord Krishna in the Gita. The Gita teaches us that the members of all the four castes
should be treated on an equal basis. It does not prescribe the same dharma for the
Brahmin as for the bhangi. But it insists that the latter should be entitled to the same
measure of consideration and esteem as the former with all his superior learning.’
This equality derives from ‘God, who is the creator of all.’ ‘All are one in the eyes of
God’, and so He, ‘the Father in heaven will deal with us all with even handed justice’.
Therefore, ‘there cannot be greater ignorance than this; birth and observance of
forms cannot determine one’s superiority or inferiority. Character is the only
determining factor. God did not create men with the badge of superiority or
inferiority, and no scripture which labels a human being as inferior or untouchable,
because of his or her birth, can command our allegiance. It is a denial of God and of
Truth which is God’ (ibid, 31-8-1934). Gandhi held that man’s essential dignity, which
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he has in common with all men, derives neither from his birth nor his occupation but
from his very human nature, which entitles him to all basic human rights and to an
undiscriminating justice.
PROHIBITION
Gandhi was a tireless campaigner against alcohol and an open advocate of
prohibition as a national policy. He considered the consumption of alcohol as a social
evil, on par with the reprehensible practice of untouchability, and totally inimical to
the pursuit of nonviolence. Gandhi’s public opposition to consumption of alcohol
dated back to his days in South Africa when it was reported that ‘one of the reasons
for disenfranchisement of Indians in South Africa was because they either supplied
liquor to the natives or consumed it in very large quantities themselves’. Writing in
the Vegetarian, 21 February 1891, Gandhi said:
“Alcohol is one of the most greatly-felt evils of British Rule, an enemy of mankind
and a curse of civilization. The poor, as everywhere, are the greatest sufferers. It
is they who spend what little they earn in buying alcohol instead of buying good
food and other necessaries. It is that wretched poor man who has to starve his
family, who has to break the sacred trust of looking after his children, if any, in
order to drink himself into misery and premature death” (Collected Works of
Mahatma Gandhi, 1, pp.29-30).
The use of alcoholic drinks is habit-forming and there is always the possible danger
of excess. It is more so among the poor whose power of resistance to a bad habit is
the lowest. Also, they can ill-afford to indulge in this expensive habit. They generally
waste their earnings, which could be profitably used for raising the standard of living
of their families and promoting the welfare of their children. Often the laborer as
soon as he gets his wage visits the grog shop before he goes home. The
consequence is that the family lives in chronic poverty and indebtedness. Thus the
innocent are made to suffer for the guilty. In the case of most people, especially the
poor, intoxicating drinks impair their intelligence which distinguishes man from the
animal. It also deadens one’s moral sensitivity. Gandhi says: “Having identified myself
with labor, I know what ruin drink has brought to the homes of laborers given to
drink. I know that they will not touch liquor if it was not within their reach. We have
contemporaneous evidence that drinkers themselves are in many cases asking for
prohibition”.
OCEANIC CIRCLES
Background
The concept of participative democracy with its roots rising from villages is what had
been one of the biggest aims that MK Gandhi looked after India attained
independence. For this purpose, he wanted a proper development of social
organizations at the rural level. Hence, MK Gandhi sought to create a new polity
based on this communitarian society in which men would work for a common life.
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According to MK Gandhi, “Independence must begin at the bottom. Thus, every

village will be a republic or panchayat having full powers. It follows, therefore,
that every village has to be self-sustained and capable of managing its affairs
even to the extent of defending itself against the whole world. It will be trained
and prepared to perish in the attempt to defend itself against any onslaught
from without independence must begin at the bottom. Thus, every village will
be a republic or panchayat having full powers. It follows, therefore, that every
village has to be self-sustained and capable of managing its affairs even to the
extent of defending itself against the whole world. It will be trained and
prepared to perish in the attempt to defend itself against any onslaught from
without.”
The true basis of such polity would be the various groupings in society starting with
the family, village, state in which there would be instructive cooperation and at the
higher stage of evolution cooperation would not be based on rules and laws. In this
structure composed of innumerable villages, there will be ever widening, never
ascending circles. Life will not be a pyramid with the apex sustained by the bottom.
But it will be an oceanic circle whose center will always be individual. The outermost
circumference will not yield power to crush the inner circle but will give strength to
all within and derive its own strength from it.
Why is there a need for a decentralized concept?

● Modern urban-industrial civilisation was approached critically by Gandhi and
thus many of its tendencies and features like centralizing tendency,
homogenisation, industrialisation leading to centralized mass production etc.
were also reflected upon with suspicion by him.
● Gandhi saw, as Bhikhu Parekh observes, modern civilisation 'primarily
through the eyes of its victims'. For Gandhi modern Western civilisation
lacked self restraint as it is devoid of a sense of direction and purpose.
● Gratifications based on materialism are at the core of modern civilisation's
conception of human beings. The unbridled hunger for profit has fostered a
mad rush for mechanization and industrialisation leading to centralisation in
production, power and organizational structures.
● Nevertheless, Gandhi notes, this phenomenon inevitably invites colonial
expeditions and thus violence becomes the logical corollary of this trend.
● Exploitation of fellow human beings is, in consequence, built into the very
structures of modern urban-industrial civilisation.
● Another key feature of modern civilisation is that it is based on 'naive
rationalism'. For Gandhi this rationalism is inherently hierarchical and
missionary and thus has deep imperialist orientation as it has a tendency to
homogenize and suppress diversity.
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● The centralisation of production in the modern economy, according to Gandhi,

created social and economic problems of national and international
magnitude. This also provided impetus to a centralized political agency to deal
with such problems. Thus the emergence of a highly centralized and
bureaucratic modern state enjoying and guarding its monopoly of political
power is also a necessary product of this civilisation.
● The state, for Gandhi, has a vested institutional interest in remaining at the
center of the social life and creating the illusion that the problems of the
society are too complex and intractable to be solved by ordinary citizens
acting individually or collectively, and therefore should be left to the state and
its official agencies.
Oceanic Circles
Gandhian Oceanic Circles Theory is in accordance with the philosophy of
double-edged weapons, the basic goal of which is to transform society and
individuals concurrently by inculcating the principles of truth and violence.
Source: Springer
As per this theory, it is the individual who is the unit. This does not exclude
dependence on and willing help from neighbors or from the world. It will be free and
voluntary play of mutual forces. These individuals will combine to form the society.
When a society will come into existence, the newly conglomerated resultant unit will
be necessarily highly cultured in which every man and woman knows what he or she
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wants and what is more, knows that no one should want anything that others
cannot have with equal labor.
But it will be an oceanic circle whose center will be the individual always ready to
perish for the village, the latter ready to perish for the circle of villages, till at last the
whole becomes one life composed of individuals, never aggressive in their
arrogance, but ever humble, sharing the majesty of the oceanic circle of which they
are integral units.
Therefore, the outermost circumference will not wield power to crush the inner
circle, but will give strength to all within and derive its own strength from it. We must
have a proper picture of what we want before we can have something approaching
it.
Modern hierarchical systems are both embedded in and also emanate from
pyramids like societal organizations. Gandhi's suspicion for crushing the hierarchical
system is quite evident in his conception of the oceanic circle. He also allots a central
role to the individual and the village in his scheme. This way Gandhi suggests
radically altering the power equations prevailing in modern societies where power
moves from top to bottom.
Relevance of Oceanic Circles

The essence of world reality, not merely the reality of India reflected by Oceanic
Circles. Oceanic Circles could be seen as a reasonably authentic construct of the past,
though this construct may not be adequately satisfying to a historiographer but then
this is true of the theories of social contract on which so much of fulfilling political
and philosophical discourses hinged. The Gandhian Oceanic Circles approximate to,
or atleast are not unrelated with, what is conveyed by the present day ideas of civil
society.
In so far as civil society consists of communitarian arrangements social and

economic ,entered into by citizens for their social and economic life, without
dependence on state, Gandhi’s Oceanic Circles could represent civil societies of an
earlier era.
These arrangements had the virtue of possessing a built-in hedge against the
destabilizing risks of international trade. As stated above, the civil societies
constituting the Oceanic Circles were not devoid of inter-linking but did not have
integrating arrangements, driven by comparative advantage-based trade.
They did not suffer from general glut or lack of aggregate demand, as they did not
function at all on the basis of aggregation, the bane of modern societies. The civil
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societies of olden times remained unintegrated until the time when the state, in the
modern sense, came into existence and tended to weave those together.
Application of science, which advanced in the meantime, played a 6 cementing role

in this integration, loosening the communitarian arrangements. The slow methods
of transmitting knowledge of the historic civil societies gave way to newer methods
made possible by science and technology, over which members of communities
ceased to have any control or say.
Gandhi wanted a technology that would improve the material welfare, particularly
from the perspective of the last person, of all - not just of the rich and 'educated' and
thus becoming the very basis of self-rule. 'His debate is not on whether India needs
technology; his debate is on the kind of technology that India needs'. As a
corollary, what he argued was that we must have industry, but of the right kind.
While the unintegrated civil societies needed travelers and explorers to transmit
knowledge, companies took over this role gradually, with modern science advancing
fast. Trade started growing quickly, with companies all the time pushing for growth
of trade.
Small societies lost in the process their simplicity and gradually ceased to qualify to
the epithet of Gandhi’s Oceanic Circles, because comparative advantage
considerations of the companies were the driving force behind trade now, not the
test whether something was essential, or import of that militates against the
presumed preference of communities.
With revolution in transport facilities, distant trade became the order of the day.
Small communities were so integrated, each of those did not have any view over
what its commerce could be doing in a distant community with which it was trading.
In Oceanic Circles, there is a counter to aggregation and in them there is no general
glut or the problem of deficiency of aggregate demand. There is thus reality in the
concept of Oceanic Circles as regards the past as also a craving to return to some of it
whether for avoiding the risks of trade or for securing human rights. This is because
the implications of economic pursuits are at home to be felt by everyone, not in
distant places if we succeed in getting back to the Oceanic Circles. Gandhi realized
that we have moved too far away from Oceanic Circles that may have existed earlier
and suggested steps to restore some of it by
1. Trusteeship idea
2. Reining in Science and Technology by Conscious efforts
The important point to note is that via trusteeship, Gandhi provided in his thinking
for play of enterprises and entrepreneurship, and for accumulation, but ensured that
accumulation is for social good by inculcating the spirit of guardianship and use of
accumulated resources for common good.
This still could work and lead to sharing resources equitably and democratically in
other words to Commons, with all that this expression evokes. Global warming and
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the need to change life-styles and reduction in consumption patterns to counter

global warming may lead the world to turn to the rich ideas of Hind Swaraj and
Oceanic Circles, that the political philosopher Gandhi left to us as his bequest, for
pondering and action.
Hence, through his Oceanic Circles Theory, Gandhi was trying to move towards a
more equalizer world. It is because Gandhi was one of the initial thinkers who poked
at the growing asymmetry between the city and the village. To Gandhi it is
imperative to rejuvenate the village against the big city, and individual against the
machine. The decentralized scheme in which the village and the 'local' is the locus of
production dovetail well with the essence articulated in the notion of oceanic circle.
To rejuvenate the village against the big city Gandhi called for decentralized and
diffused 'rural industrialisation' with the objective of 'work for all'.
Conclusion
Gandhi stated, “The adoption of correct philosophy even at this stage can save
the country as the country is passing through crises of identity.” The Gandhian
alternative of oceanic circles may or may not be perfect, but if it is remembered that
the kind of individual he is aiming for is precisely the key to the solution of the most
of the problems confronting human societies, for in the ultimate analysis it is the
individual who has marginalized himself, the fundamental truth of Gandhi’s ideas
becomes clear.
In a nutshell, Gandhi tried to depict that just like the waves of the ocean transfer their
energy, the empowerment of individuals will get transmitted to uplift the deprived
section of the society.
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GANDHI
INFLUENCES OVER GANDHI

Some of the events which contributed to change in Gandhi’s political ideology
towards pro-British to Anti-British were:
● Partition of Bengal
● Racial discriminations against Indians in South Africa
● Rowlatt Acts
● Jallianwala Bagh Massacre
● Khilafat issue
The change in Gandhi’s political thinking during this period was also influenced
by the following books, which he read:
i) Critical Writings on Modern Civilization

During this period, Gandhi read the works of Tolstoy, Ruskin, Carpenter,
Maitland, Salter, R.P.Dutt, Dadabhai Naoroji, etc. Of these, Leo Tolstoy’s The
Kingdom of God is Within You and The Gospel in Brief and John Ruskin’s Unto
This Last had a very great impact on Gandhi. Gandhi’s ideas of swaraj and
sarvodaya, meaning self-realization through service to others, were greatly
influenced by Tolstoy and Ruskin.
ii) Hindu Religious Philosophy

Gandhi also studied the Bhagavad Gita and several other holy books of
Hinduism, some of which were recommended to him by his Jain mentor,
Rajchand Mehta, also called Raychandbhai. These were books on yoga, advaita
vedanta, Jainism, Buddhism, Samkhya, etc. These books led Gandhi to espouse
a set of religiously inspired norms or principles of personal and collective
conduct, e.g., the values of satya, ahimsa, aparigraha and samabhava. Gandhi
saw in them an alternative or corrective to the dominant, modern/western values
or principles of individualism, utilitarianism and violence.
The hymns of Narsinh Mehta, a saint-poet of the fifteenth century, also instilled
in him the value of service to others, especially the poor and the needy.
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Gandhi’s moral-political ideas can be found in his books as well as in

his articles, letters and editorials in the four weekly journals, which he
edited or published at different times during his public life in South
Africa and India. These weekly journals were: Indian Opinion, Young
India, Harijan, and Navajivan. Gandhi’s books, some of which were
first serialized in his journals, were: Hind Swaraj, Satyagraha in
South Africa, The Story of My Experiments with Truth, Ashram
Observances in Action, A Guide to Health, Discourses on the Gita
and Constructive Programme. Gandhi also wrote and published
paraphrases and/or translations (in Gujarati) of Plato’s Apology, W.
Salter’s Ethical Religion, John Ruskin’s Unto this Last, Henry David
Thoreau’s Principles of Civil Disobedience and Leo Tolstoy’s Letter
to a Hindoo.
GANDHIAN CONCEPTION OF SWARAJ

Although the word swaraj means self-rule, Gandhi gave it the content of an
integral revolution that encompasses all spheres of life. "At the individual level
swaraj is vitally connected with the capacity for dispassionate
self-assessment, ceaseless self-purification and growing swadeshi or
self-reliance".
By Swaraj, Gandhi meant both outward or political freedom and inward or
spiritual freedom. In “outward freedom,” he included national political
independence and parliamentary swaraj. They are forms of outward freedom in
that they seek to free people from external control or rule by others, be they
foreigners or one’s own compatriots.
By “inward freedom,” he meant freedom from such inner impediments as
ignorance, illusions, selfishness, greed, intolerance and hatred. These,
according to Gandhi, impede or obstruct the individual’s self-realization or
attainment of moksha, i.e. the atman’s realization of its identity with the
Brahman or paramatman. Hence, he writes: “Government over self is the truest
Swaraj, it is synonymous with moksha or salvation”.
How to realize swaraj also engaged Gandhiji's attention seriously. He reminded
his colleagues that swaraj will not drop from the cloud and it would be the fruit
of patience, perseverance, ceaseless toil, courage and intelligent appreciation of
the environment. He also reminded them that swaraj means vast organizing
ability, penetration into the villages solely for the services of the villagers; in other
words, it means national education i.e., education of the masses.' And in the
Gandhian discourse, education of the masses means conscientization,
mobilization and empowerment, making people capable and determined to
stand up to the powers that be. He said: "Real swaraj will come, not by the
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acquisition of authority but by the acquisition of the capacity by all to resist

authority when it is abused. In other words, swaraj is to be attained by
educating the masses to a sense of their capacity to regulate and control
authority."
He talked of his ideal of swaraj as a square, of which the four inseparable sides
are: (i) political independence; (ii) economic independence; (iii) Non-violence in
social relations and moral obligations toward others; and (iv) Truth as dharma.
Swaraj is complete independence of alien control and complete economic
independence. So at one end, you have political independence, at the other the
economic. It has two other ends. One of them is moral and social; the
corresponding end is dharma, i.e. religion in the highest sense of the term.
INDEPENDENCE AND PARLIAMENTARY SWARAJ

The first component of Gandhi’s conception of swaraj as outward freedom is
national political independence. While maintaining that national political
independence was an essential meaning of his conception of swaraj, Gandhi
argued that it is only a partial or incomplete meaning or component of it. That
fuller conception of swaraj includes, besides national political independence, the
following additional components: a “parliamentary or democratic swaraj” and
swaraj as self-realization through service to others.
In 1931, he elaborated it in the following words: By Swaraj I mean the
government of India by the consent of the people as ascertained by the
largest number of the adult population, male or female, native-born or
domiciled…. [R]eal swaraj will come not by the acquisition of authority by a
few but by the acquisition of the capacity by all to resist authority when it is
abused. In other words, swaraj is to be obtained by educating the masses to
a sense of their capacity to regulate and control authority.
While answering to his critics regarding his views on Industrialization he said
that his Hind Swaraj was to be taken, not as “an attempt to go back to the
so-called ignorant dark ages”, but as an attempt to examine modern civilization
“in the scale of ethics.” He declared that in the name of his ideal swaraj, he
would not dream, as he had been accused of doing, “of no railways, no
machinery, no army, no navy, no laws and no law courts.” He would rather
have them re-structured so that they operate “for the benefit of the people,” and
“not as now for draining the masses dry.” He now viewed “parliamentary”, i.e.,
“democratic swaraj” as a very necessary and valuable component of his
conception of comprehensive swaraj.
As to the organizational features of “parliamentary swaraj,” Gandhi preferred it to
be a village-based, decentralized set-up, in which all but the lowest level of
government was to be indirectly elected by the immediately lower level. This
decentralized (adopted in DPSP of the Indian Constitution), village-based model
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of parliamentary/democratic swaraj was not the model that was favored by the
Congress and adopted by the Indian Constitution.
Some Features of Parliamentary Swaraj

In his practical and theoretical work for establishing Parliamentary Swaraj,
Gandhi concentrated on endowing it with four features: universal adult franchise,
civil liberties, minority rights, and a primary commitment to justice for the poor
and the exploited. These, he believed, are the necessary ingredients of
parliamentary swaraj. Gandhi regarded personal and civil liberties to be the
“foundation” and “breath” of Parliamentary Swaraj.
Gandhi was acutely aware of the danger of parliamentary democracy lapsing
into majoritarian tyranny over, or intolerance of, minority groups or communities.
Gandhi ji supported the principle of the guarantee or protection of fundamental,
cultural or religious rights of minority communities. In 1931 Gandhi maintained
that “matters of first rate importance” to the religious and cultural life of the
minority communities should be kept outside the purview of the democratic,
procedural principle of majority rule. A very special feature of Gandhi’s
conception of parliamentary/democratic swaraj is the justice of its basic
institutions, which seeks to promote the welfare of all by giving primacy to the
interests of the poor and needy. Gandhi’s conception of social/distributive justice,
which he often referred to in terms of “economic quality,” is rooted in his
trusteeship doctrine of property. He believed that statutory trusteeship is a form
of organizing economic life, which, without depriving the individuals of their
legitimate incentives for greater productivity and without depriving the
society of the increases in wealth, brings about a non-violent, equitable
distribution of wealth.
(To extract more materials on this topic, click here.)
SARVODAYA: SWARAJ AS SELF-REALIZATION

THROUGH SOCIAL SERVICE
The term was first coined by Mohandas Gandhi as the title of his 1908 translation
of John Ruskin's tract on political economy, "Unto This Last", and Gandhi came to
use the term for the ideal of his own political philosophy. In that book, Ruskin
gave a moralistic critique of the science of political economy of self-interest. He
outlined three basic features of sarvodaya:
1. that the good of the individual is contained in the good of all;
2. that a lawyer’s work has the same value as the barber’s in as much as all
have the same right of earning their livelihood from their work;
3. that a life of labor, i.e., the life of the tiller of the soil and the
handicraftsman is the life worth living.
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While swaraj conveys Gandhi’s idea of freedom, sarvodaya (welfare of all)

conveys his idea of equality. Gandhi’s doctrine of sarvodaya (which is often
rendered as non-violent socialism) is a corrective to utilitarianism, communism
and the doctrines which justify inequalities and exclusions on the basis of
caste, race, color, gender, etc.
Of these three principles, the first is the main principle of sarvodaya (welfare of
all). There are several steps in Gandhi’s thinking on sarvodaya (welfare of all).
They are:
- Our aim in life is self-realization or moksha.
- Self-realization or moksha means identification of the self or atman with
Brahman or God. This requires a discipline or yoga of self-purification.
- The way of realizing our identification with Brahman or, in other words,
the way of finding God is to see God in all his creation or manifestation.
- Love or service of all is the way to self-realization or moksha in this world.
Gandhi believed that without self-restraint or self-purification, we could not
render moksha-oriented service to others. Refuting the charge that these are
ideals for the ascetics, he said that they are meant “for acceptance by mankind in
general.” He wrote: No worker who has not overcome lust can hope to render any
genuine service to the cause of Harijans, communal unity, Khadi, cow-protection
or village reconstruction. Great causes like these cannot be served by intellectual
equipment alone; they call for spiritual effort or soul-force.
Mahatma Gandhi was of the firm view that the earth provides enough to satisfy
every man's needs, but not for every man's greed. In the Sarvodaya society of his
dream, therefore, every member will be free from any greed for limitless
acquisition of material wealth and more and more luxurious living and they will
follow the motto of simple living and high thinking. Everyone will, thus, get
ample opportunity to produce and earn sufficiently through honest work for
decent and dignified living. Consequently there will be no problem of
unemployment. Of course, obviously, the income of different people may be
different, depending on their talent, ability and effort. But those who will earn
more will use the bulk of their greater earnings for the good of the society as a
whole. In such a society, all wealth, including land, will be assumed as common
property to be utilized for the welfare of all. If an individual has more than his
proportionate portion, he becomes a trustee of the excess wealth for the benefit
of the less fortunate members of the society. As regards use of machinery in
economic activity, Gandhi said that "If we feel the need of machines, we
certainly will have them. But there should be no place for machines that
concentrate power in a few hands and turn the masses into mere
machine-minders, if, indeed, they do not make them unemployed."
Gandhi’s moral-political conception of sarvodaya is a corrective both to Western
utilitarianism and to the inequalities and exclusions of the traditional caste
system. His critique of utilitarianism can be found in his Introduction to his
Sarvodaya, which was his paraphrase of Ruskins’s book, Unto This Last.
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SATYAGRAHA VERSUS PASSIVE RESISTANCE

Satyagraha is the most important contribution of Gandhi to social philosophy
and movement. It emerged as a weapon of conflict resolution. The concept of
satyagraha could be understood in the broader context of Gandhian
socio-political thought that developed out of actions, which he called
'Experiments with Truth.' It was aimed not merely at political change, but at the
complete social, political, economic and cultural transformation. So far as its
contemporary relevance as a means for attainment of justice and conflict
resolution is concerned, diverse worldwide social movements drew and continue
to draw inspiration from the Gandhian Way.
Satyagraha is the name of the Gandhian, non-violent way of political action to
resist and transform untruthful and violent systems of social or political power.
During 1906-14, Gandhi successfully used such a way of political action to resist
the policy of racial discrimination, which the British colonial government of
South Africa had adopted against the Indian immigrants. Gandhi acknowledged
that his theory of satyagraha was influenced to some extent by Henry David
Thoreau’s writings. In Thoreau’s essay, “On the Duty of Civil Disobedience”,
Gandhi found confirmation of his views on coercive features of state and on the
individual’s obligation to his own conscience.
Gandhi’s initial struggles against racial discriminations in South Africa were
described as ‘Passive Resistance’. But, he soon found the English term to be
unsatisfactory, partly because it was not intelligible to ordinary Indians and partly
because it did not convey the special characteristic of his method of political
struggle. Hence, in 1906, he invited the readers of his weekly, Indian Opinion, to
suggest an alternative name. The best of the suggestions received was
satyagraha, meaning “firmness in a good cause.” Gandhi changed it to
satyagraha as it conveyed his preferred idea of “truth force.” He explained his
choice in the following words: Truth (satya) implies love, and firmness (agraha)
engenders and therefore serves as a synonym for force. I thus began to call the
Indian movement “satyagraha” that is to say, the force which is born to Truth
and Love or on-violence, and gave up the use of the phrase “passive resistance.”
Gandhi distinguished between body-force = brute-force = the force of arms from
soul force = love force = truth force. He referred to the former as the method of
violence, which, he said, is celebrated in and by modern civilization. Satyagraha,
he said, relies on soul-force or truth-force and is appropriate to swaraj. He wrote:
‘Satyagraha…. is a method of securing rights by personal suffering; it is the
reverse of resistance by arms. When I refuse to do a thing that is repugnant to
my conscience, I use soul-force’.
According to Gandhi, satyagraha was both practically necessary and morally
desirable for the Indian Freedom Movement. He said that since the “English are
splendidly armed”, it would take many, many years for the Indians to arm
themselves in a matching or effective manner. More than this practical difficulty,
Gandhi disapproved of the immorality of the method of violence. He pointed out
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that “to arm India on a large scale is to Europeanise it” or, in other words, to
continue to be seduced by the morally flawed modern European civilization.
According to Gandhi, the distinctive features of satyagraha, in comparison with
“passive resistance,” are as follows:
1. While the passive resisters harbor hatred toward their adversaries, the
satyagrahis view their opponents with love.
2. The passive resisters, unlike the satyagrahis, may harass and injure their
opponents.
3. Satyagraha, unlike passive resistance, can be offered even to one’s nearest
and dearest ones.
4. Passive resistance is a resistance by the weak and helpless, and it does not
exclude the use of violence, whereas satyagraha is a moral-political action
by the strong, and it excludes the use of violence. Believing themselves to
be weak, the passive resisters would tend to give up the struggle at the
earliest opportunity.
“On the other hand,” Gandhi wrote, “if we offer satyagraha believing ourselves
to be strong, two clear consequences follow. Fostering the idea of strength,
we grow stronger and stronger every day. With the increase in our strength,
our satyagraha too becomes more effective and we would never be casting
about for an opportunity to give it up.”
Principles and Methods of Satyagraha

Satyagraha is based on the principles of satya (truth), ahimsa (non-violence) and
tapas (self-suffering). Gandhi believed in the dharmasastra tradition according to
which dharma, derived from ‘dhr’ (to be firm, to sustain or uphold) refers to the
moral law governing the cosmos. Its essence is satya (truth), the root of which is
sat (being, reality, right, what is and what will be). Gandhi writes: The word satya
(truth) is derived from sat, which means being. And nothing is or exists in reality
except Truth. That is why sat or Truth is perhaps the most important name of
God.
Gandhi’s satyagraha is an experiment for the introduction of truth and
non-violence into political conduct. According to Gandhi, although Truth is
absolute, our knowledge and experience of it is relative and partial. What we take
to be truth may be untruth for others. Infact, the satyagrahi assumes that his
opponents or oppressors are also truth-seekers, acting on the basis of what they
perceive to be the truth. It is for this reason that ahimsa (non-violence) is the
means of discovery of truth. Acting on the basis of relative truths, the satyagrahis
seek to resolve basic conflicts and ensure social harmony through the
non-violent path of vindicating the validity of rival truth claims. Gandhi writes:
Satyagrahis use truth-force or love-force not to eliminate the opponents or
oppressors, but to bring about a restructuring of the total conflictual or
oppressive relationship so that both parties to the initial conflict can realize a
heightened mutuality or moral interdependence. Through satyagraha, the
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victims of oppression seek to liberate themselves by aiding in the emancipation

of their oppressors from their self-deceptive truth-denying beliefs and actions.
Gandhi writes: In its negative form it (ahimsa) means not injuring any living
being whether in body or mind. I may not, therefore, hurt the person of any
wrong-doer or bear any ill-will to him and so cause him mental suffering. In its
positive form, ahimsa means the largest love, the greatest charity. If I am a
follower of ahimsa, I must love my enemy or a stranger to me as I would my
wrong doing father or son. This active ahimsa necessarily includes truth and
fearlessness. Its positive test is action meant to promote the welfare of others.
We have so far considered two elements of satyagraha, namely, satya (truth) and
ahimsa (non-violence). A third element is Tapas (self-suffering). Action based on
love toward others, we saw earlier, is a positive test of truth. From this Gandhi
goes on to say that tapas or self-suffering is the test of such love. Self-suffering by
satyagrahis, it must be understood, is not out of their cowardice or weakness; it is
based on a higher form of courage than that of those who resort to violence and
it is meant to aid in the moral persuasion of one’s opponents or oppressors.He
writes: Since satyagraha is one of the most powerful methods of direct action, a
satyagrahi exhausts all other means before he resorts to satyagraha. He will,
therefore, constantly and continually approach the constituted authority, he will
appeal to public opinion, educate public opinion, state his case calmly and coolly
before everybody who wants to listen to him; and only after he has exhausted all
these avenues will he resort to satyagraha. In a satyagraha campaign, the
satyagrahis seek to validate the truth of contested social “system” or norms
through (i) reasoning, i.e., persuading the opponents about the untruth of their
position and at the same time remaining open to their counterarguments; and
(2) appealing to the opponents through the self-suffering of the satyagrahis. The
various methods of satyagraha are:
● purificatory or penitential actions by the satyagrahis, such as pledges,
prayers and fasts;
● acts of non-cooperation, such as boycott, strikes, hartal, fasting and hijrat
(i.e. voluntary emigration);
● acts of civil disobedience, such as picketing, non-payment of taxes and
defiance of specific laws;
● a constructive programme of social reform and social service, such as the
promotion of inter-communal unity, the removal of untouchability, adult
education, and the removal of economic and social inequalities.
Critical Evaluation of Satyagraha

Concerning Gandhi’s theory and praxis of satyagraha, several critics maintain
that non-violence and self-suffering are impractical methods against violent
oppression. The Gandhian way, they way, is “other-worldly” and “anti-humanist”.
Gandhi maintained that non-violence and self-suffering were “not for the
unworldly, but essentially for the worldly.” He did admit that these principles
were very difficult to practice, but insisted that we need to, and can, keep on
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moving along these lines.“Perfect non-violence whilst you are inhabiting the
body, '' he wrote, “is only a theory like Euclid’s point or straight line, but we have
to endeavor every moment of our lives”.
It may still be objected that satyagraha demands of the satyagrahis,
self-suffering even unto death. It is true that self-suffering is a major element of
satyagraha. However, self-sacrifice is also involved in case of violent resistance.
Sacrifice even unto death is, thus, the common element in both violent and
non-violent resistance against oppression. That is why Gandhi approved of the
use of satyagraha only in cases of conflict over fundamental issues and only after
all milder methods of nonviolence have failed. Gandhi explained my non-violent
resistance is activised resistance on a different plane. Nonviolent resistance to
evil does not mean absence of any resistance whatsoever, but it means not to
resist evil with evil but with good. Resistance therefore, is transferred to a higher
and absolutely effective plane.
Gandhi acknowledged that reading Tolstoy made him realize the “infinite
possibilities of universal love” and made him a “firm believer in ahimsa”. Gandhi
and Tolstoy corresponded with each other. In his last letter to Gandhi, Tolstoy
acknowledged that his satyagraha movement in South Africa was a new and
most important mode of emancipatory struggle by the oppressed. Like Tolstoy,
Einstein too has written in deep appreciation of Gandhian satyagraha. In a tribute
published in a festschrift for Gandhi’s seventieth birthday, he wrote: Gandhi is
unique in political history. He has invented an entirely new and humane
technique for the liberation struggle of an oppressed people and carried it out
with the greatest energy and devotion. The moral influence which he has
exercised upon thinking people through the civilized world may be far more
durable than would appear likely in our present age with its exaggeration of
brute force. For the work of statesmen is permanent only insofar as they arouse
and consolidate the moral forces of their peoples through their personal example
and educating influence.
GANDHI ON ENVIRONMENT
The Industrial Revolution has greatly changed the face of European civilisation
including heavy industrialisation, pursuit of capitalist patterns of economy,
exploitation of labor and injudicious use of natural resources. It has given to human
society tremendous material pleasure and prosperity that was eventually pursued by
other nations. At the same time, it has also imperceptibly done irreparable loss to
mankind. Reckless and limitless pursuit of industrialisation by all nations is now
posing serious problems for the very existence of not only man but also for all living
creatures and all kinds of species on our Planet.
Reference: S. K. Jha, see Mahatma Gandhi- An environmentalist with a
Difference:http://www.mkgandhi.org/environment/environment.htm.
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Population explosion, mass poverty, over-utilisation of renewable resources, overuse

of fertilizers leading to water pollution, rapid industrialisation, global warming, desert
formation, deforestation, emission of harmful substances into air causing air
pollution, industrial and synthetic wastes, nuclear hazards that are more man-made
in nature are all causing irreparable damages to our planet. As the environmental
consciousness spread worldwide, there were meetings including the Stockholm
Conference, the United Nations Conference on Environment and Development
and so on that recognised the need to use the natural resources judiciously so as to
ensure a safe future for the coming generations. The ‘Union of Concerned
Scientists’ stated that human beings and the natural world are on a collision course.
Human activities inflict harsh and often irreversible damage on the environment and
on the critical resources. It calls for a great stewardship to halt further damage and
mutilation of the planet and also calls for reducing the over-consumption to reduce
the pressure on global environmental resources (Ramjee Singh, pp.129-130). Gandhi
precisely called for the same measures in a prophetic tone.
Gandhiji was a practitioner of recycling decades before the idea caught on in the
West, and he initiated perhaps the most far-reaching critiques of the ideas of
consumption and that fetish of the economist called “growth”. Thus, in myriad ways,
we can believe that he was a thinker with a profoundly ecological sensibility.
There are three respects in which the ecological vision of Gandhiji’s life opens itself
up to us.
1. He was of the considered opinion that nature should be allowed to take its
course. The environmental crises and “extreme weather events” that are upon
us have been precipitated by the gross and appalling instrumentalisation of
nature. The earth is not merely there to be mined, logged and hollowed out.
However, we have to first preserve the ecological equanimity of the body.
Nature’s creatures mind their own business; if humans were to do the same,
we would not be required to legislate the health of all species. Gandhiji did not
prevent others from killing snakes but a cobra entering his room was left
alone. “I do not want to live at the cost of the life of a snake,” he said.
2. Gandhiji mounted a rigorous critique of the “waste” that is behind modern
industrial civilisation in more ways than we imagine. European colonization
the world over was justified with the claim that natives and indigenous people
“wasted” their land and did not render it sufficiently productive. But Gandhiji
held the view that humans are prone to transform whatever they touch into
waste. His close disciple and associate Kaka Kalelkar was in the habit of
breaking off an entire twig merely for four or five neem leaves he needed to
rub on the fibers of the carding-bow to make its strings pliant and supple.
When Gandhiji saw that, he said: “This is violence. We should pluck the
required number of leaves after offering an apology to the tree for doing
so. But you broke off the whole twig, which is wasteful and wrong.”
3. Gandhiji was a staunch vegetarian, and he would have been pleased with a
great deal of modern research which has established that the meat industry
has put extreme pressures on the soil and water resources and the massive
increase in levels of meat consumption when people start entering the middle
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class in countries such as India. But to be “ecological” in sensibility also means

harboring a notion of largesse towards others; it is a way of being in the world.
Gandhiji strikes a remarkable chord with all those who have cherished the
principles of non-injury, cared for the environment, practiced vegetarianism,
worked energetically to conserve air, soil, and water, resisted the depredations
of developers, recycled paper, or accorded animals the dignity of humans. (Vijay
Lal:https://www.thehindu.com/news/national/mahatma-gandhi-an-environmentalist
-by-nature/article29566196.ece )
Spiritual Basis of Environmentalism

Gandhi’s views on the environment consist of moral, spiritual and non-violent
dimensions. To him, the hallmark of development of man consisted not in
materialism or consumerism but in spiritual self-realization, a character heavily
loaded with morality and non-violence. The craving for materialistic wants was
alien to him for it hindered the path to one’s realization. His simple living and
high thinking reiterated his love for all living beings, which is the very manifestation
of God’s creation. His concept of non-violence thus encompassed all living beings
and embodied the eternal values of life in his thoughts and actions. As Gandhi said,
‘My ethics not only permits me to claim but requires me to own kinship with not
merely the ape but the horse and the sheep, the lion and the leopard, the snake and
the scorpion…’ (M.K.Gandhi, Truth, Navajivan, Ahmedabad, 1952, p.10). He insisted on
the eternal sacredness of life that included a tree, plant or a cow. ‘Indeed his love
towards all life constitutes his attempt to realize the Vaishnava ideal ‘Vasudevam
Sarvamidam’ (Everything is HE) (Benoy Gopal Ray, Gandhian Ethics, Ahmedabad,
1950, p.8)
Gandhi was greatly influenced by Adolph Just’s book ‘Return to Nature’ that further
strengthened his conviction that if a man desires to live a wholesome life, he will
have to share his life with not only humans but all living beings - birds, animals,
plants and the whole ecosystem. Man must return to nature what he takes from her.
He abhorred violence, in any form, towards animals or other living beings. Gandhi
thus expressed his sense of the unity of all life. He wrote in Harijan in 1937, “I do
believe that all God’s creatures have the right to live as much as we have.” Gandhi
was a great believer in advaita (non-duality) and in the essential unity of man and all
lives (Young India, 1924). Thomas Weber brings an interesting perspective on how
Arne Naess, who was thoroughly influenced by Gandhian philosophy, interprets the
link between self-realization and non-violence. Weber’s interpretation is as follows:
1. Self-realization presupposes a search for truth.
2. All living beings are one
3. Himsa (violence) against oneself makes complete self-realization impossible
4. Himsa against a living being is Himsa against oneself and.
5. Himsa against a living being makes complete self-realization impossible (T.
Weber, Gandhi and Deep Ecology, Journal of Peace Research, vol.36, No.3, May
1999). The ancient Indian religious philosophy, thought and action and
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practices point out to a harmonious relation between man and other living
beings. Gandhi was an ardent believer of this philosophy of Vedanta, a
combination of spiritual faith and scientific thought.
GANDHI’S CRITIQUE OF MODERN CIVILISATION

Gandhi was undoubtedly a visionary who could foresee the ills of industrialisation
and modernisation. He was an early critic of the dehumanizing character of modern
industrial civilization. It is in the context of new value orientation and the quest for
human survival threatened by environmental and ecological crisis that the
re-discovering of Gandhi’s warning of ‘industrialize and perish’ has to be seen’ (Savita
Singh, pp.58-59). His Hind Swaraj depicts his understanding of the chaos the modern
civilisation would usher in. Having witnessed the human devastation that
industrialisation had caused in England, he warned us of the impending dangers of
an urban industrial society. He was baffled at the thought of India being heavily
industrialized and its culture eroded through dehumanizing. He wrote in Young
India (20-12-1928, p.422), ‘God forbid that India should ever take to industrialism
after the manner of the West. The economic imperialism of a single tiny
Kingdom (England) is today keeping the world in chains. If an entire nation of
300 millions (India’s population in 1928) took to similar economic exploitation, it
would strip the world like locusts’. He further elaborates that ‘to make India like
England and America is to find some other races and places on earth for
exploitation. So far it appears that the western nations have divided all the
known races outside Europe for exploitation and that there is no new world to
discover, what can be the fate of India trying to ape the west?’
Gandhi firmly believed that India lives in its villages. And to erode its village’s culture
and civilisation via technology, machinery and industrialisation, to him, amounts to
sin. He warned the youth not to be carried away by the glitter of modern civilization
because ‘its defects are well known but not one of them is irremediable’. He
advocated village life as the goal, as India is an inheritor of rural civilisation. Therefore,
the intentions of the youth may be ill founded if they were to uproot it and
substitute for it an urban civilisation (Young India, 7-11-1929). He was also against the
use of machinery that is meant to displace people from their livelihood means. He
was thoroughly in favor of promoting Charkha, hand machinery as against “the
machinery that displaces the labor of those who cannot otherwise be employed.
What we must dread is huge machinery run not by hand but by non-human power
such as steam, electricity, etc’ (4-10-1929 in a letter to Shri Giriraj).
Regarding urbanization, Gandhi expressed his views as follows: ‘it is a process of
double drain from the villages. Urbanization in India is slow but sure death for her
villages and villagers. It can never support 90% of India’s population, which is living in
her 7,00,000 villagers (number of villages in 1934). To remove from these villages
tanning and such other industries is to remove what little opportunity there still is for
making skilled use of the hand and head. And when the village handicrafts
disappears, the villagers working only with their cattle on the field, with idleness for
six or four months in the year, must be reduced to the level of the beast and be
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without proper nourishment either of the mind or the body, and, therefore without
joy and without hope’ (Harijan, 7-9-1934). To him the modern civilisation, therefore,
with its explicit or implicit stress on unabated exploitation of resources,
multiplication of wants, production for the market and consumption is satanic
(Hind Swaraj, p.33) The best practice, as he suggested, was ‘instead of welcoming
machinery as a boon, we should look upon it as an evil, it would ultimately go’ (Hind
Swaraj, p.84). Adopting this modern civilisation and life-style negates one’s
spirituality and morality. He was concerned that ‘this civilisation takes note neither of
morality nor of religion. Immorality is often taught in the name of morality.
Civilisation seeks to increase bodily comforts, and it fails miserably even in doing so’
(Hind Swaraj, pp.32-33). Civilisation, as he perceived it, is that mode of conduct which
points out to man the path of duty; to observe morality to attain mastery over our
mind and passions (Hind Swaraj, p.53). Having a moral and religious basis in our
civilisation, he expressed ‘there will naturally be progress, retrogression, reforms and
reactions but one effort is required and that is to drive out Western civilisation. All
else will follow’ (Hind Swaraj, p.80).
GANDHI SOCIAL PROGRAMMES
REMOVAL OF UNTOUCHABILITY
The first and foremost item of this reform was the removal of untouchability, a cruel
and inhuman institution. It violates human dignity and blinds the sensibility of both
the oppressor and the oppressed. Untouchability was against the spirit of democracy
and also raised economic problems. The untouchables were the poorest section of
Indian society.
Their avenues of employment were strictly limited; they lived apart, in unhygienic
surroundings, on the outskirts of villages and cities. Though they were Hindus and
believed in and worshiped Hindu gods and goddesses, they were not allowed to
enter Hindu temples. Public institutions like schools, hotels, hostels, etc., were closed
to them.
Gandhi rightly felt that they who denied justice to those who suffered injustice at
their hands had no right to demand justice for themselves from their oppressors.
In tackling the problem of untouchability Gandhi did not call upon the untouchables
to join in the struggle for the assertion of their human rights. They were even
incapable then of doing so. They took their lowly position as having been ordained by
God. During the campaign against untouchability, the so called higher castes often
visited their lowly homes.
If they asked for water from them, they would refuse to give it, saying that it would
be ‘adharma’ for them to offer water to high caste people. It was such a degradation
to which a large portion of the population was reduced. Gandhi, therefore, called
upon the caste Hindus to make all the sacrifice necessary for the removal of
untouchability. He said that they would thus be rendering only belated justice for the
grievous injury inflicted by their ancestors on the untouchables through the
centuries.
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About untouchability Gandhi said: “To remove untouchability is a penance that caste
Hindus owe to Hinduism and to themselves. The purification required is not of
‘untouchables’ but of the so-called superior castes. There is no vice that is special to
the ‘untouchables’, not even dirt and insanitation. It is the arrogance which blinds
superior Hindus, to their own blemishes and which magnifies those of the
downtrodden brethren whom they have suppressed and whom they keep under
suppression. Religions like nations are being weighed in the balance. God’s grace
and revelation are the monopoly of no race or nation. They descend equally upon all
who wait upon God. That religion and that nation will be blotted out from the face of
the earth which pins its faith to injustice, untruth or violence.”
He poured out the anguish of his soul when he said : “I do not want to be reborn. But
if I have to be reborn, I should be born an untouchable, so that I may share their
sorrows, sufferings, and the affronts leveled at them, in order that I may endeavor to
free myself and them from that miserable condition. I, therefore, pray that if I should
be born again, I should do so not as a Brahmin, Kshatriya, Vaishya or Shudra but as an
Atishudra.” In framing the Congress constitution he made it a condition precedent
for anybody joining the national organization that he declares himself against
untouchability. This was incorporated in the annual pledge that every Congressman
had to take.
Temple Entry
The equality that Gandhi claimed for the untouchables in Hindu society included the
right to enter Hindu temples. It did not matter to him if these temples were built or
endowed by caste Hindus. This insistence of Gandhi on temple entry was
misunderstood by some intellectuals. This was generally due to the influence of
Marxist thought, which explains every human activity and institution in economic
terms. Such an interpretation is manifestly untenable in the case of untouchability in
India, as is the racial and color prejudice in Western communities, in their homelands
and their colonies. Untouchability in India, as the race and color problems in the
West, rests upon the idea of the superiority of one section of people over another on
account of their birth. The untouchable continues to profess the Hindu religion,
worships the same gods and goddesses but is denied access to the Hindu temples.
Once the untouchable is allowed entry into Hindu temples, the stigma attached to
his community will no longer be there, being deprived of its so-called religious
sanction. About this Gandhiji says: “Temple entry is the one spiritual act that would
constitute the message of freedom to the ‘untouchables’ and assure them that they
are not outcastes before God”. “It is not a question of Harijans asserting their right of
temple entry or claiming it. They may or may not want to enter that temple even
when it is declared open to them. But it is the bounden duty of every caste Hindu to
secure that opening for Harijans”.
“If all that there is in the universe is pervaded by God, that is to say, if the Brahmana
and the Bhangi, the learned man and the scavenger, the Ezhava and the Pariah, no
matter what caste they belong to- if all these are pervaded by Lord God, in the light
of this Mantra, there is none that is high and none that is low, all are absolutely equal,
equal because all are the creatures of that Creator. And this is not a philosophical
thing to be dished out to Brahmanas or Kshatriyas, but it enunciates an eternal truth
which admits of no reduction, no palliation. And if that is so, how can anyone here
dare to arrogate superiority to himself or herself over any other human being? I tell
you, therefore, that if this Mantra holds good, if there is any man or woman here who
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believes that the temples are defined by those who are called Avarnas, that person, I
declare, would be guilty of a grave sin”.
Gandhi made it a point not to enter a Hindu temple which was not open to Harijans.
His religion did not require him to enter a temple. But he sometimes did it as a mark
of courtesy. Even this courtesy did not extend to the temples where Harijans had no
free access. Gandhi set up the Harijan Sevak Sangh, which was to work for the
removal of all their disabilities. This organization continues to function even to this
day. It consists not only of politicians but also all those who on humanitarian grounds
are against untouchability.
To set an example, Gandhi brought a Harijan family to live in the Ashram. He adopted
their daughter as his own. He also blessed all the marriages that were celebrated
between Harijans and caste Hindus. Some of these marriages took place in his own
Ashram. In 1932 he even endangered his life to see that the disabilities of the Harijans
were removed while they remained in the Hindu fold. He opposed the award of the
British Prime Minister giving them separate electorates. He knew that a vast majority
of them did not want to abandon their religion in spite of the fact that they could
have equality with other citizens by merely changing it. Then even the Hindus would
not regard them as untouchables.
CASTE SYSTEM
The movement against the caste system in India is almost as old as caste itself.
Buddhism and Jainism were reformist movements which were partly aimed against
caste. The Bhakti movement of the middle-ages was mainly directed against the
caste system. Sikhism was similarly opposed to caste. The various reformist
movements in the second half of the Nineteenth Century like the Brahma Samaj,
Prarthana Samaj, Arya Samaj, Ramakrishna Mission, Theosophical Society, etc. all
believed in human brotherhood and the leveling up of Hindu society.
Gandhi separates what he considers to be the inessentials of the caste system from
its essentials, rejects the former and declares the latter to be beneficial for society. He
tackles the problem on three fronts: (i) untouchability and its attendant strictures, (ii)
the thousands of endogamous or semi-endogamous groups called caste, and (iii)
varna or the four-fold functional division of society. He regards untouchability as
‘immoral’ and therefore, in need of complete eradication, caste as unnecessary and
undesirable.
Gandhi believed that there is no inseparable connection between untouchability and
the caste system; untouchability can be eradicated without abolishing caste
altogether. He argues in favor of the abolition of the multiplicity of castes and their
reduction into the four varnas; the eradication of untouchability is not dependent
even on this proposed simplification of the caste system, not to speak of its abolition
altogether. Gandhi had asked for a message from Dr. B.R. Ambedkar, the leader of
the untouchables, for the inaugural number of Harijan. Ambedkar refused to send
any message, and instead sent a statement for publication in the inaugural issue of
the journal. Dr.Ambedkar observed untouchability as a by-product of the caste
system, and it could be abolished only when the ‘odious and vicious dogma’ of caste
was altogether abolished. Gandhi published this statement in the first issue of
Harijan with the following comment:
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“As to the burden of his message, the opinion he holds about the caste system is
shared by many educated Hindus. I have not, however, been able to share that
opinion. I do not believe that the caste system, even as distinguished from
varnashrama, to be an ‘odious and vicious dogma’. It has its limitations and its
defects, but there is nothing sinful about it, as there is about untouchability, and if it
is a by-product of the caste system it is only in the same sense that an ugly growth is
of a body, or weeds of a crop. It is as wrong to destroy caste because of the outcaste,
as it would be to destroy a body because of an ugly growth in it, or a crop because of
the weeds’ (Harijan, 11-2-1933).
Yet, since in practice the caste system represents a social hierarchy based on the idea
of high and low, and since it is an unnecessary outgrowth of the four varnas which
alone are fundamental and essential to the organization of a society, he considers
the multiplicity of castes to be undesirable and superfluous. “The division, however,
into innumerable castes is an unwarranted liberty taken with the doctrine (of
varnashrama). The four divisions are all-sufficing”.
COMMUNAL PROBLEMS
Gandhi was a protagonist of the concept of common good of all the inhabitants of
India; he believed in the spiritual unity and equality of mankind and in Hindu-Muslim
unity on moral grounds. He never made distinctions among people on racial,
religious and caste grounds. His Satyagraha in South Africa was launched to redeem
the civic rights of the Indian community amongst whom the Muslims constituted a
majority and controlled the larger share of wealth.
Gandhi supported the Khilafat movement because he deeply felt that it was initiated
on the grounds of restoring justice and also because it offered “an opportunity of
uniting Hindus and Muslims as would not arise in a hundred years”. In a letter to the
Viceroy in 1920, he wrote: “I consider that, as a staunch Hindu wishing to live on
terms of the closest friendship with my Mussalman countrymen, I should be an
unworthy son of India if I did not stand by them in their hour of trial”.
In 1920, Gandhi had emphasised Hindu-Muslim unity as a precondition for Swaraj. He
had said that Hindus and Muslims should unite on the issue of fighting for freedom.
This unity would have hastened the process of the achievement of political
independence and would have negated the cry for the partition of the country.
Gandhi did not advocate Hindu-Muslim unity mainly for social and political reasons.
In 1924, he undertook a twenty-one day fast for Hindu-Muslim unity and claimed that
the fast was dictated by God and thus was the call of the highest duty. In the eyes of
God, all men are equally his children and Gandhi was deeply anguished at the
growing communal schism and tensions in the country.
The solution that Gandhi provided for the Hindu-Muslim problems was threefold.
First, a sincere and devout understanding of the fundamental moral bases of the two
religions was essential. He himself had studied Sale’s translation of the Koran in the
early years of his stay in South Africa. He ‘learnt of the Prophet’s greatness and
bravery and austere living’.
He read Washington Irving’s Life of Mahomet and his Successors. From the
chapter entitled ‘Comparative Study of Religions’ in his Autobiography, it is clear
that Gandhi read Carlyle’s chapter on Muhammad’s practical instinct as reformer and
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his monotheism have been ‘a constant strength and support to him’. C. F. Andrews
mentions that for Gandhi, Ali, Hassan and Husssain were representatives of the
concept of ‘suffering injury without retaliation’ (Andrews, 1931, pp.163-64). Gandhi was
encouraged to find that in moments of despair and confusion, Muhammad also
fasted and prayed. He admired the patriarchal simplicity of the early Caliphs of Islam.
In 1924 Gandhi wrote: “When the West was sunk in darkness a bright star rose in the
eastern firmament and gave light and comfort to a groaning world. Islam is not a
false religion. Let Hindus study it reverently, and they will love it even as I do”. He
believed that communal struggles are rooted in an insufficient understanding of the
tenets of the two religions and cultures. He stated that to say that “Hinduism and
Islam represent two antagonistic cultures” is a denial of God for “I believe with
my whole soul that the God of the Quran is also the God of the Gita”. He accepted
that all the religious scriptures of the world should be studied in a spirit of genuine
humility. He disclaimed the use of religious scriptures as armory for pugnacious
disquisitions and sectarian animosities. He preached, instead, a process of
“heart-unity”. Gandhi opined, in the Koran, non-violence is sanctioned as a duty while
violence is permitted only as a matter of necessity.
The second basic point in Gandhi’s approach to the communal problem was that he
pleaded for generosity on the part of the majority community. He did not subscribe
to the mathematics of the exact allocation of seats and shares in strict proportion to
the numbers of the two communities. Instead, he wanted an attitude of generosity
to be cultivated. He felt that being in a majority did impose some obligations and the
majority community had to inspire the minorities with confidence in their bona fides.
They had to adopt even an attitude of self-sacrifice. He was not tired of eulogising the
self-sacrificing martyrdom of Ganesh Shankar Vidyarthi in April 1931, at Kanpur, in the
cause of settling Hindu-Muslim tensions and riots.
The third point in Gandhi’s philosophy of communal harmony is the pursuit of the
Constructive Programme by both the communities. Such a common social and
economic action was bound to generate in their hearts an enhanced regard for
independence. The Constructive Programme was bound to bring together the
masses and the classes, and foster unity of hearts based on mutual interest. It was
clear that the common pursuit of the Constructive Programme as a method of
Hindu-Muslim unity would generate a process of the growth of heart unity. For the
promotion of lasting unity what was needed was not a promulgation of a decree by
the foreign government but the pursuit of the obligations of a common citizenship
as implied in the Constructive Programme. Gandhi had regarded Hindu-Muslim
unity as a matter of pre-eminent national importance. He was never tired of
repeating that they were blood brothers born of the same sacred soil of Hindustan
and nourished by the same water. Regarding each other as natural enemies was the
denial of the central divinity lodged in the heart of all living beings. The advent of
British imperialism wedded to the cult of ‘divide and rule’ and drove the wedge of
acrimony and suspicion among them. He believed that during Muslim rule, Hindus
and Muslims lived more in peace than under British rule. Their unity could convey
the gospel of reconciliation to the world.
On August 15, 1947, India not only became independent from British imperial rule but
was also partitioned into India and Pakistan. Instead of celebrating in Delhi, the
nation’s capital, Mahatma Gandhi was in Calcutta (the capital of the state of West
Bengal), pitting his whole soul against the communal riots that had broken out
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between Hindus and Muslims in the wake of partition. On August 26, 1947, Lord
Mountbatten, the last Viceroy of British India and first Governor-General of
Independent India, sent a letter to Gandhi that said: “My dear Gandhiji, in the
Punjab we have 55 thousand soldiers and large-scale rioting on our hands. In
Bengal our forces consist of one man, and there is no rioting. As a serving officer,
as well as an administrator, may I be allowed to pay my tribute to the One-man
Boundary Force.”
DIGNITY OF WOMANHOOD
Gandhi worked for the restoration of the status of India’s womanhood which had
deteriorated appallingly in a degenerating society. Gross violations of the dignity of a
woman veiled under customs and traditions, violated women's equal rights with
man. Gandhi succeeded in lifting, to some extent, the degrading burden placed
unjustly on the Indian woman. Gandhi revolted against the subordination of women:
‘By sheer force of vicious custom even the most ignorant and worthless men have
been enjoying superiority over women which they do not deserve and ought not to
have.’ Illiteracy is no justification for the denial of their ‘equal and natural rights’ as
human beings. He pointed an accusing finger at ‘the glaring inequalities to which
they are subjected’ in being, for instance, incapacitated to inherit anything. ‘The root
of evil lies much deeper than most people realize. It lies in man’s greed of power and
fame, and deeper still in mutual lust . . . ‘She should labor under no legal disability
not suffered by man’ (Young India, 17-10-1929).
Ill-treatment of Women
What came in for real scathing remarks from him was the positive ill treatment of
women. We know by painful experience of what is daily happening in India, that
there are enough husbands who regard their wives as their property like their cattle
or household furniture, and therefore think they have the right to beat them as they
would their cattle.’ ‘More often than not the woman’s time is taken up, not by the
performance of essential domestic duties, but catering for the egoistic pleasures of
her lord and master… To me this slavery of woman is a symbol of our barbarism... It is
high time that our womankind was freed from this incubus.’ ‘Excessive subordination
of the wife to the husband.... This has resulted in the husband sometimes usurping
and exercising authority that reduces him to the level of the beast’ (Harijan, 5-6-1940).
Child Marriage
Gandhi lashed mercilessly against some evil customs in Indian society, such as child
marriage etc. ‘It is irreligion not religion to give religious sanction to a brutal custom’
he said of the evils of child marriage. He even defied the Hindu scriptures when they
gave sanction to it. The health of the race, the morality of the children involved and
so many other reasons, he said, would induce us to hold it as ‘sinful’ to give children
in marriage. He spoke against it by drawing on his own experience and also on the
appalling statistics he had before him of its consequent evils. He spoke against
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forced marriages and forced widowhood, especially of teenage widowhood. He was

all for ‘voluntary widowhood .which adds grace and dignity to life, sanctifies the
home and uplifts religion itself.’ But he could not bear the ‘enormity of the wrong
done to the Hindu girl widows…Widowhood imposed by the religion or custom is an
unbearable yoke, and defiles the home by secret vice and degrades religion’,
especially when widowhood is so common in child marriages. Besides, it makes one
‘lose sight of elementary justice’.
Dowry and Purdah System

The system of dowry, for Gandhi, ‘was nothing but the sale of girls’. Speaking of the
evils of dowry, for instance disposing of young children to old men by needy parents,
accused the community of committing ‘a double sin’. ‘Any young man who makes
dowry a condition for marriage discredits his education and his country and
dishonors womanhood.’
He waged war also on the system of purdah. Refuting the charge that it was meant
to protect the chastity of women, he said: ‘Chastity is not a hothouse growth. It
cannot be superimposed. It cannot be protected by the surrounding wall of the
purdah. It must grow from within, and to be worth anything it must be capable of
withstanding every unsought temptation. It must be as defiant as Sita’s. It must be a
very poor thing that cannot stand the gaze of men. Men, to be men, must be able to
trust their womenfolk even as the latter are compelled to trust them’. In 1927 he
spoke against the purdah saying: ‘It pained and humiliated me deeply. I thought of
the wrong done by men to the women of India, by clinging to a barbarous custom
which, whatever use it might have had when it was first introduced, had now
become totally useless and was doing incalculable harm to the country’ (Young
India, 3-2-1927).
Other Evils
There are many other fields in which Gandhi tried to uphold the dignity of the
woman. Thus for example he continually railed against obscene literature which had
reached ‘an altogether wrong apotheosis’ of women, thus degrading their nature. He
did his best to counteract the practice of prostitution which he called ‘a life of shame’,
a life of ‘debasing indulgence’, against which ‘curse’ he hoped ‘humanity will rise. So
too, he pitted himself against the protagonists of contraceptives who asked the
Indian woman to violate ‘the sacredness of her body’.
Behind all his holy zeal there lay the implicit conviction that women are as much
human as men and hence they must enjoy perfect equality of rights pertaining to
human nature as such. He said: ‘I am uncompromising in the matter of women's
rights. In my opinion she should labor under no legal disability not suffered by man.
He emphasized the point repeatedly. ‘She has the right to participate in the minutest
detail of man's activity, and she has the same right of freedom and liberty as he.’
‘Man and woman are equal in status, but are not identical. They are a peerless pair
being complementary to one another…..’ Of course he admitted the ‘point of
bifurcation’ in them. Thus he said: ‘Whilst both are fundamentally one, it is also
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equally true that in the form there is a vital difference between the two. Hence the
vocation of the two must be also different.’ The woman by vocation is destined to
rear children. And it would be wrong to forsake that work together for another.
Gandhi felt that ‘she is entitled to a supreme place in her own sphere of activity as
man is in his’ and is unjust in denying her that right.
Gandhi did succeed in bringing back honor to India’s womanhood. He asked them to
‘forget that they belong to the weaker sex’; he convinced them that ‘the economic
and moral salvation of India’ rested mainly on them. ‘The future of India lies on your
knees, for you will nurture the future generation.’ He drew thousands of them into
his political campaign; scores of hundreds answered his call to the satyagraha and
swadeshi drive; they lived up to his definition of woman – ‘embodiment of sacrifice
and suffering’ by giving their all to fight for truth with him. The fearlessness they
displayed and their capacity to ‘work wonders on behalf of the motherland’,
rebounded in getting back the honor and dignity that had increasingly been denied
to them in modern Indian society.
SOCIAL EQUALITY
Gandhi was driven by the basic conviction that no man can claim superiority just by
his birth. It is the equality of human rights derived from one common Father whom
we have in God that postulates a social equality among men. And due to his
persuasion, he threw himself headlong into the struggle for social justice. This
struggle was specially seen in his efforts to reinstate the Indian woman in her rightful
position, and to purge the scourge of untouchability from India’s soil. Gandhi was too
much of a realist to rule out every difference in social status. He admitted some
inequalities in property and opportunities and saw the necessity of a social hierarchy.
``We own no master but Daridra Narayana, and if for the time being we own human
superiors, we do so voluntarily well knowing that no organization can be carried on
without discipline. Discipline presupposes an organizing head. He is only the first
among equals. He is there on sufferance. But whilst he is there, he is entitled to the
whole hearted allegiance and uncompromising obedience of all the fellow servants’
(Harijan, 22- 6-1935). Though this was said in connection with some ‘humanitarian
services’ there is no doubt that it well expresses the social aspect of his philosophy.
Coming to the positive meaning of his social equality he says, ‘I do not believe that all
class distinctions can be obliterated. I believe in the doctrine of equality as taught by
Lord Krishna in the Gita. The Gita teaches us that the members of all the four castes
should be treated on an equal basis. It does not prescribe the same dharma for the
Brahmin as for the bhangi. But it insists that the latter should be entitled to the same
measure of consideration and esteem as the former with all his superior learning.’
This equality derives from ‘God, who is the creator of all.’ ‘All are one in the eyes of
God’, and so He, ‘the Father in heaven will deal with us all with even handed justice’.
Therefore, ‘there cannot be greater ignorance than this; birth and observance of
forms cannot determine one’s superiority or inferiority. Character is the only
determining factor. God did not create men with the badge of superiority or
inferiority, and no scripture which labels a human being as inferior or untouchable,
because of his or her birth, can command our allegiance. It is a denial of God and of
Truth which is God’ (ibid, 31-8-1934). Gandhi held that man’s essential dignity, which
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he has in common with all men, derives neither from his birth nor his occupation but
from his very human nature, which entitles him to all basic human rights and to an
undiscriminating justice.
PROHIBITION
Gandhi was a tireless campaigner against alcohol and an open advocate of
prohibition as a national policy. He considered the consumption of alcohol as a social
evil, on par with the reprehensible practice of untouchability, and totally inimical to
the pursuit of nonviolence. Gandhi’s public opposition to consumption of alcohol
dated back to his days in South Africa when it was reported that ‘one of the reasons
for disenfranchisement of Indians in South Africa was because they either supplied
liquor to the natives or consumed it in very large quantities themselves’. Writing in
the Vegetarian, 21 February 1891, Gandhi said:
“Alcohol is one of the most greatly-felt evils of British Rule, an enemy of mankind
and a curse of civilization. The poor, as everywhere, are the greatest sufferers. It
is they who spend what little they earn in buying alcohol instead of buying good
food and other necessaries. It is that wretched poor man who has to starve his
family, who has to break the sacred trust of looking after his children, if any, in
order to drink himself into misery and premature death” (Collected Works of
Mahatma Gandhi, 1, pp.29-30).
The use of alcoholic drinks is habit-forming and there is always the possible danger
of excess. It is more so among the poor whose power of resistance to a bad habit is
the lowest. Also, they can ill-afford to indulge in this expensive habit. They generally
waste their earnings, which could be profitably used for raising the standard of living
of their families and promoting the welfare of their children. Often the laborer as
soon as he gets his wage visits the grog shop before he goes home. The
consequence is that the family lives in chronic poverty and indebtedness. Thus the
innocent are made to suffer for the guilty. In the case of most people, especially the
poor, intoxicating drinks impair their intelligence which distinguishes man from the
animal. It also deadens one’s moral sensitivity. Gandhi says: “Having identified myself
with labor, I know what ruin drink has brought to the homes of laborers given to
drink. I know that they will not touch liquor if it was not within their reach. We have
contemporaneous evidence that drinkers themselves are in many cases asking for
prohibition”.
OCEANIC CIRCLES
Background
The concept of participative democracy with its roots rising from villages is what had
been one of the biggest aims that MK Gandhi looked after India attained
independence. For this purpose, he wanted a proper development of social
organizations at the rural level. Hence, MK Gandhi sought to create a new polity
based on this communitarian society in which men would work for a common life.
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According to MK Gandhi, “Independence must begin at the bottom. Thus, every

village will be a republic or panchayat having full powers. It follows, therefore,
that every village has to be self-sustained and capable of managing its affairs
even to the extent of defending itself against the whole world. It will be trained
and prepared to perish in the attempt to defend itself against any onslaught
from without independence must begin at the bottom. Thus, every village will
be a republic or panchayat having full powers. It follows, therefore, that every
village has to be self-sustained and capable of managing its affairs even to the
extent of defending itself against the whole world. It will be trained and
prepared to perish in the attempt to defend itself against any onslaught from
without.”
The true basis of such polity would be the various groupings in society starting with
the family, village, state in which there would be instructive cooperation and at the
higher stage of evolution cooperation would not be based on rules and laws. In this
structure composed of innumerable villages, there will be ever widening, never
ascending circles. Life will not be a pyramid with the apex sustained by the bottom.
But it will be an oceanic circle whose center will always be individual. The outermost
circumference will not yield power to crush the inner circle but will give strength to
all within and derive its own strength from it.
Why is there a need for a decentralized concept?

● Modern urban-industrial civilisation was approached critically by Gandhi and
thus many of its tendencies and features like centralizing tendency,
homogenisation, industrialisation leading to centralized mass production etc.
were also reflected upon with suspicion by him.
● Gandhi saw, as Bhikhu Parekh observes, modern civilisation 'primarily
through the eyes of its victims'. For Gandhi modern Western civilisation
lacked self restraint as it is devoid of a sense of direction and purpose.
● Gratifications based on materialism are at the core of modern civilisation's
conception of human beings. The unbridled hunger for profit has fostered a
mad rush for mechanization and industrialisation leading to centralisation in
production, power and organizational structures.
● Nevertheless, Gandhi notes, this phenomenon inevitably invites colonial
expeditions and thus violence becomes the logical corollary of this trend.
● Exploitation of fellow human beings is, in consequence, built into the very
structures of modern urban-industrial civilisation.
● Another key feature of modern civilisation is that it is based on 'naive
rationalism'. For Gandhi this rationalism is inherently hierarchical and
missionary and thus has deep imperialist orientation as it has a tendency to
homogenize and suppress diversity.
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● The centralisation of production in the modern economy, according to Gandhi,

created social and economic problems of national and international
magnitude. This also provided impetus to a centralized political agency to deal
with such problems. Thus the emergence of a highly centralized and
bureaucratic modern state enjoying and guarding its monopoly of political
power is also a necessary product of this civilisation.
● The state, for Gandhi, has a vested institutional interest in remaining at the
center of the social life and creating the illusion that the problems of the
society are too complex and intractable to be solved by ordinary citizens
acting individually or collectively, and therefore should be left to the state and
its official agencies.
Oceanic Circles
Gandhian Oceanic Circles Theory is in accordance with the philosophy of
double-edged weapons, the basic goal of which is to transform society and
individuals concurrently by inculcating the principles of truth and violence.
Source: Springer
As per this theory, it is the individual who is the unit. This does not exclude
dependence on and willing help from neighbors or from the world. It will be free and
voluntary play of mutual forces. These individuals will combine to form the society.
When a society will come into existence, the newly conglomerated resultant unit will
be necessarily highly cultured in which every man and woman knows what he or she
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wants and what is more, knows that no one should want anything that others
cannot have with equal labor.
But it will be an oceanic circle whose center will be the individual always ready to
perish for the village, the latter ready to perish for the circle of villages, till at last the
whole becomes one life composed of individuals, never aggressive in their
arrogance, but ever humble, sharing the majesty of the oceanic circle of which they
are integral units.
Therefore, the outermost circumference will not wield power to crush the inner
circle, but will give strength to all within and derive its own strength from it. We must
have a proper picture of what we want before we can have something approaching
it.
Modern hierarchical systems are both embedded in and also emanate from
pyramids like societal organizations. Gandhi's suspicion for crushing the hierarchical
system is quite evident in his conception of the oceanic circle. He also allots a central
role to the individual and the village in his scheme. This way Gandhi suggests
radically altering the power equations prevailing in modern societies where power
moves from top to bottom.
Relevance of Oceanic Circles

The essence of world reality, not merely the reality of India reflected by Oceanic
Circles. Oceanic Circles could be seen as a reasonably authentic construct of the past,
though this construct may not be adequately satisfying to a historiographer but then
this is true of the theories of social contract on which so much of fulfilling political
and philosophical discourses hinged. The Gandhian Oceanic Circles approximate to,
or atleast are not unrelated with, what is conveyed by the present day ideas of civil
society.
In so far as civil society consists of communitarian arrangements social and

economic ,entered into by citizens for their social and economic life, without
dependence on state, Gandhi’s Oceanic Circles could represent civil societies of an
earlier era.
These arrangements had the virtue of possessing a built-in hedge against the
destabilizing risks of international trade. As stated above, the civil societies
constituting the Oceanic Circles were not devoid of inter-linking but did not have
integrating arrangements, driven by comparative advantage-based trade.
They did not suffer from general glut or lack of aggregate demand, as they did not
function at all on the basis of aggregation, the bane of modern societies. The civil
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societies of olden times remained unintegrated until the time when the state, in the
modern sense, came into existence and tended to weave those together.
Application of science, which advanced in the meantime, played a 6 cementing role

in this integration, loosening the communitarian arrangements. The slow methods
of transmitting knowledge of the historic civil societies gave way to newer methods
made possible by science and technology, over which members of communities
ceased to have any control or say.
Gandhi wanted a technology that would improve the material welfare, particularly
from the perspective of the last person, of all - not just of the rich and 'educated' and
thus becoming the very basis of self-rule. 'His debate is not on whether India needs
technology; his debate is on the kind of technology that India needs'. As a
corollary, what he argued was that we must have industry, but of the right kind.
While the unintegrated civil societies needed travelers and explorers to transmit
knowledge, companies took over this role gradually, with modern science advancing
fast. Trade started growing quickly, with companies all the time pushing for growth
of trade.
Small societies lost in the process their simplicity and gradually ceased to qualify to
the epithet of Gandhi’s Oceanic Circles, because comparative advantage
considerations of the companies were the driving force behind trade now, not the
test whether something was essential, or import of that militates against the
presumed preference of communities.
With revolution in transport facilities, distant trade became the order of the day.
Small communities were so integrated, each of those did not have any view over
what its commerce could be doing in a distant community with which it was trading.
In Oceanic Circles, there is a counter to aggregation and in them there is no general
glut or the problem of deficiency of aggregate demand. There is thus reality in the
concept of Oceanic Circles as regards the past as also a craving to return to some of it
whether for avoiding the risks of trade or for securing human rights. This is because
the implications of economic pursuits are at home to be felt by everyone, not in
distant places if we succeed in getting back to the Oceanic Circles. Gandhi realized
that we have moved too far away from Oceanic Circles that may have existed earlier
and suggested steps to restore some of it by
1. Trusteeship idea
2. Reining in Science and Technology by Conscious efforts
The important point to note is that via trusteeship, Gandhi provided in his thinking
for play of enterprises and entrepreneurship, and for accumulation, but ensured that
accumulation is for social good by inculcating the spirit of guardianship and use of
accumulated resources for common good.
This still could work and lead to sharing resources equitably and democratically in
other words to Commons, with all that this expression evokes. Global warming and
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the need to change life-styles and reduction in consumption patterns to counter

global warming may lead the world to turn to the rich ideas of Hind Swaraj and
Oceanic Circles, that the political philosopher Gandhi left to us as his bequest, for
pondering and action.
Hence, through his Oceanic Circles Theory, Gandhi was trying to move towards a
more equalizer world. It is because Gandhi was one of the initial thinkers who poked
at the growing asymmetry between the city and the village. To Gandhi it is
imperative to rejuvenate the village against the big city, and individual against the
machine. The decentralized scheme in which the village and the 'local' is the locus of
production dovetail well with the essence articulated in the notion of oceanic circle.
To rejuvenate the village against the big city Gandhi called for decentralized and
diffused 'rural industrialisation' with the objective of 'work for all'.
Conclusion
Gandhi stated, “The adoption of correct philosophy even at this stage can save
the country as the country is passing through crises of identity.” The Gandhian
alternative of oceanic circles may or may not be perfect, but if it is remembered that
the kind of individual he is aiming for is precisely the key to the solution of the most
of the problems confronting human societies, for in the ultimate analysis it is the
individual who has marginalized himself, the fundamental truth of Gandhi’s ideas
becomes clear.
In a nutshell, Gandhi tried to depict that just like the waves of the ocean transfer their
energy, the empowerment of individuals will get transmitted to uplift the deprived
section of the society.
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Sir Syed Ahmed Khan

• Sir Syed Ahmed Khan (1817-1898) was a great visionary, statesman and Muslim/Social reformer,
educator, jurist, politician, author and many others to count. He flourished in the second half of
the 19th century. His talent, deep insight, love for Islam and hard work played a major role in the
revival of Muslims in India.
• Sir Syed was born in an aristocratic family of Delhi, the capital of Mughal Empire, at a time when
rebellious governors, regional insurrections and the British colonialism had diminished the extent
and power of the Mughal state, reducing its monarch to figurehead. With his elder brother Syed
Muhammad Khan, Sir Syed was raised in a large house in a wealthy area of the city. They were
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raised in strict accordance with Mughal noble traditions and exposed to politics. Their mother
Azis-un-Nisa played a formative role in Sir Syed's life, raising him with rigid discipline with a strong
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emphasis on education. Sir Syed was taught to read and understand the Qur'an by a female tutor,
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which was unusual at the time. He received an education traditional to Muslim nobility in Delhi.
•
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Sir Syed Ahmed Khan attempted to make the community and country progressive and take them
forward on modern lines. His contributions for the betterment and empowerment of the Muslims
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are great. His position in the judicial department left him time to be active in many fields. His
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career as an author in Urdu started at the age of 23. In 1847 he brought out an important book
"Monuments of the Great" on the antiquities of Delhi. Even more important was his pamphlet
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"The Causes of the Indian Revolt". His interest in religion was also active and lifelong. He wrote
on the Life of Prophet Muhammad (Sal-am) and devoted himself to write several volumes of a
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modernist commentary on the holy Quran. In these works he explained how the Islamic faith
could go with progressive scientific and political ideas of his time.
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• During the war of Independence he saved the lives of many Englishmen. The Government
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centered the title of Sir on him. Thus, he won the confidence of the British Government. After the
war of Independence the Muslims were passing through a critical phase. By refusing to acquire
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western education they were not keeping pace with modern times. The Muslims hated English
language and culture. They kept their children away from the schools and colleges. But in this
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manner they were unconsciously damaging the interests of the Muslim Community.
• Their ignorance of the English language and lack of modem education kept them away from
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respectable government posts. On the other hand the Hindus acquired modem knowledge and
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dominated the government jobs.

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• Syed Ahmed Khan was the first Muslim leader to realize the gravity of the situation. He was greatly
pained to see the miserable condition of the Muslims everywhere. He decided to devote his full
efforts for the welfare of the Muslims.
• The first need was the removal of mistrust about the Muslims from the minds of British rulers. For
this purpose he wrote – Essay on the causes of Indian Revolt in which he proved that there were
many factors which led to the uprising of 1857 and that only the Muslims were not to be held
responsible for it.
• In addition he wrote “Loyal Muhammadans of India” in which too he defended the Muslims
against the charges of disloyalty. These works restored confidence of the British in the Muslims to
a large extent.
• Sir Syed Ahmed Khan turned his attention towards the educational uplift of his co-religionists. He
told the Muslims that without acquiring modern education they could not compete with the
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Hindus. He pleaded that there was no harm in adopting western sciences and in learning English
language. He issued a magazine named “Tahzib-ul-Ikhlaq” which projected adoptable European
manners.
• Shortly afterwards Syed Ahmed Khan wrote a commentary on the Holy Quran. In this work Syed
Ahmed Khan interpreted Islam on logical and scientific basis. Syed Ahmed Khan was one of the
pioneers of the Two Nation Theory.
• All his life, Syed Ahmad Khan protested against the practices of purdah, polygamy, easy divorce
and many other superstitions. Promotion of modern western education, however, was his priority.
He believed that progress was possible only if the Muslims adopted western scientific knowledge
and culture.
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In AD 1864, he founded the Translation Society at Aligarh. It was later renamed the Scientific
Society. Also it was the historical beginning of Muslim education in India. This society published
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Urdu translations of books on science and literature at its early times. He also established many
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schools in different parts of the country.
• During his stay at Aligarh he issued a weekly Gazette called “Aligarh Institute Gazette”.
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• In 1869 Syed Ahmed Khan visited England. There he studied the system of Education. Moreover
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he wrote Khutbat-e-Ahmedya in reply to Sir William Muir’s book “Life of Muhammad”.
In 1870 he issued his famous magazine named “Tehzib-ul-Ikhlaq” in order to apprise the Muslims
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of their social evils and moral short comings. This magazine promoted Urdu language immensely.
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His Contributions towards Educational Revolution
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Sir Syed Ahmed Khan alone among his contemporizes realized that the plight of Muslims could not be
improved without a revolution in their attitude towards education. The Muslims were inimical to
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western education for three reasons:

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✓ They considered it inferior to traditional Islamic learning.

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✓ It was being forced upon them by a foreign people, and

✓ They thought that an education saturated with Christianity might corrupt their beliefs.
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• Empowerment comes with knowledge, awareness, character and social identity. Sir Syed knew
that in a country with such variety there should be a sense of unity in the community to bring out
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meaning full changes in governance and implement significant changes right from grass root level.
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• Sir Syed once said that, “Do not show the face of Islam to others; instead show your face as the
follower of true Islam representing character, knowledge, tolerance and piety.” He tried to make
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the community aware of the glorious past and feel proud of the great civilization with such rich
collection of culture and tradition.
• Referring to the community he once said that we should not, by remaining ignorant and illiterate
tarnish the image of our able elders. Sir Syed famous speech which he made while foundation of
MAO College which was laid down by Lord Lytton on 18th January, 1877 is the soul of Aligarh
Movement.
• Sir Syed said: “from the seed which we sow today, there may spring up a mighty tree, whose
branches, like those of the banyan of the soil, shall in their turn strike firm roots into the earth,
and themselves send forth new and vigorous saplings”. Sir Syed’s words are very rightly proved
by the institution which calls itself a citadel of learning, imparting knowledge without any
discrimination on the basis of caste, creed or religion.
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• He spent his efforts to encourage the educational level of Indian people commonly and the
Muslims specially. He quoted:“ Yes the main purpose of this college (MAO) is to impart modern
education to Muslims who are suffering because of lack of it but this institution is for all, Hindus
and Muslims alike. Both of them need education.”
• “We (Hindus and Muslims) eat the same crop, drink water from the same rivers and breathe the
same air. As a matter of fact Hindus and Muslims are the two eyes of the beautiful bride that is
Hindustan. Weakness of any one of them will spoil the beauty of the bride (dulhan)”
• Syed Ahmad Khan was the first man to start a reform movement among the Muslims quite
especially Muslim Women in India. This movement was known as the Aligarh Movement.
• To him Quran was the only authentic scripture for Islam and all other Islamic writings are
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secondary and misnomer. For the safety of the Muslim community in India, he wanted to maintain
cordial relation between the Muslims and the Britisers. Further, he wanted to provide modern
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education to the Muslims.
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• For educating the Muslim society, Ahmad Khan established an English Medium School at Ghazipur
in 1864. Later on he established 'Vegan Samaj' for translating English books to impart scientific
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knowledge to the Muslims.
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To materialize his dream, he established Mohammedan Anglo-Oriental College at Aligarh which
developed into Aligarh Muslim University in 1890, thus, the Aligarh movement was instrumental
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in spreading western education among the Muslims and developing religious fundamentalism
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within them.
• For achieving that end, he organized a Mohammedan Educational Conference which fostered
unity among the Muslims and spread western education among them. Taking chance of it,
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Theodore Back, the first principal of the Mohammedan Anglo Oriental College and his successor
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Mr. Morrison spread communalism among the educated Muslims, he saw that the whole key to
the future of the Muslims in India was education. To this end, he first set up the Scientific Society
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of Aligarh, which become, with the support of the governor, the Mohammadan Anglo-Oriental
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College, and later still, the Muslim University. Here, while Islamic studies were not neglected,
western science and languages were also taught
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• The Aligarh Movement was instrumental in the social, economic and educational progress of the
Muslims in India. Due to the predominance of the Hindus in the national awakening, Ahmad Khan
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launched this movement to safeguard the Muslim interest. Being deeply impressed by the western
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education and culture, Ahmad Khan wanted to incline towards the English administrators of India
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and advised the Muslims to remain loyal to the British authority.

• After establishing the MAO College at Aligarh, Sir Syed Ahmad Khan and his associates in Aligarh
Movement started to realize the need for women’s education. In 1896, the annual executive
session of Muslim Educational Conference was held in Aligarh and a proposal to start a women
education section in Muslim Educational Conference was accepted and Justice Karamat Hussain
was appointed as its Founding Secretary.
His political Thought
• The political thought of Sir Syed Ahmed Khan can be divided into two phases: First phase spanned
up to 1887, and the second phase "started after 1887.
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• During the first phase Sir Syed Ahmed Khan, stood for Hindu-‘Muslim unity. Expressing the need
for Hindu-Muslim unity he said that for “centuries we have been living on the same soil, eating
the same fruit on the same land..... Breathing the air of the same country.
• In 1873, he declared that religion should not be an obstacle for nationalism.
• He advocated separation between religious and political matters. According to him, The religious
and spiritual matters were not linked with mundane affairs.
• As a member of the Viceroy’s legislative council he strove for the welfare of both Hindus and
Muslims.
• In 1884, he made it clear that “by the word qaum, l mean both Hindus and Muslims. What we
see is that ‘all of us, whether Hindus or Muslims, lie on one soil, are governed by the one and
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the same ruler, have the same sources of benefit and equally share the hardships of a famine".
• He was not a religious bigot or Hindu baiter. He worked closely with the Hindus in the scientific
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society" and the Aligarh British India Association. He sought donations from the Hindu Rajas and
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Zamindars for MAO College. Hindus were well represented in the management and the teaching
community. In the initial years of the college, the Hindu students outnumbered the Muslims. Cow
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slaughter was banned in the college. Along with Surendra Nath Banerjee he demanded restoration
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of age for civil services examination from 18 to 21 years. He revived the British Association at
Aligarh for his purpose.
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But surprisingly during the second phase Sir Syed Ahmed Khan changed his views (in December
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1887). Until then he had a background which was almost similar to that of the Congress. ,-But
during this phase imperialist thought found expression in his writings.
• They were based on the “emancipatory,” “democratic” and “progressive” characterisation of the
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British rule.
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• Unlike before he opposed the application of principles of representative and parliamentary

government. He held that the western form of democracy and nationalism would not operate in
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India.
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• He said that in a country like India which was complex and full of diversities of castes, religions
and races, the system of representative form of government would not satisfy the principles of
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equality. Democracy believes in the rule of the majority. In his opinion such a system would lead
to the domination of the more educated and more numerous Hindus over the less educated and
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less numerous Muslims. He opined that Congress demand for a representative form of
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government would hurt the Muslims most.

•
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He said that so long as the religious, castiest and racial differences exist in India, the western
model of democracy could not be established. He felt that if the western model of democracy was
adopted in India, “the large community would totally override the interests of the smaller
community. “
• This argument was carried forward by the communalists who believed in the two-nation theory.
According to this theory Hindus and Muslims were two separate nations which had separate
economic, political and social interests and different cultural and historical background, and who
cannot form a single nation and Sir Syed Ahmed Kham was averse to the process of elections.
• In I888 he said that the system of election would, put the legislation into the hands of “Bengalis
or Hindus of Bengali ‘type’, a condition of utmost degradation" and the Muslims would become
slaves of Hindus.
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• On similar grounds, he rejected the applicability of the Self-government in India, which in his
opinion would "result in the “maltreatment” of Muslims. He even opposed the freedom of speech
and the press. He openly supported the Lyttous attack on the freedom of press.
• Sir Syed Ahmed Khan was even opposed to political agitations. He argued that they would
tantamount to sedition and being anti-government or at least it would arouse the suspicion of
disloyalty in the official mind.
• He exhorted Muslims to shun politics and remain non-political and non-agitational or politically
passive and “complete a breach" between the Muslims and the Bengali-dominated Congress.
• He sought to establish Anglo-Muslim alliance to arouse the Muslim feelings against the Congress.
He changed his views because of the influence of British officials on him. He required the help of
Y
the government for the college founded by him. The British officials took advantage of Sir Syed
Ahmed Khan’s desperation. They influenced his views to the extent that he became a man of ideas
E
which were totally different from those he had cherished earlier.
11 B
• The MAO college principal, Theodore Beck, influenced him the most. Beck set out to counter the
“evil” influence of Congress by counterpoising Sir Syed Ahmed Khan against it. He worked hard to
U
create a “strong conservative school of thought” and “complete a breach” between the Muslims
SH A
and the Bengali dominated Congress. Sir Syed Ahmed Khan relented under the influence of Beck.
He turned against Congress. The growth of Hindu revivalism and its links with the Congress
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intensified his anti-Congress feelings.
•
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Sir Syed Ahmed Khan had limited influence on the North-Indian Muslims. He catalysed social and
educational reforms among sections of Muslims. His, influence was not all pervasive. His sustained
campaign against the Congress prevented the movement from going beyond Aligarh and its
PI H
neighbouring, districts. A large number of Muslims remained uninfluenced by him.

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DR. B.R. AMBEDKAR

Introduction
Bhimrao Ramji Ambedkar was born on 14 April, 1891 in Mahar caste. The Mahar caste was one of
the 'untouchable' castes. With the help of a scholarship from Sayajirao Gaekwad, Maharaja of
Baroda, he attended Columbia University, USA managed to study at the London School of Economics.
In England he obtained a doctorate and also became a barrister. On returning to India he virtually
dedicated himself to the task of upliftment of the untouchable community. Soon he won the
confidence of theuntouchables and became their supreme leader. To mobilise his followers he
established organisations such as the Bahishkrit Hitkarini Sabha, Independent Labour Party and later
All India Scheduled Caste Federation. He led a number of temple-entry Satyagrahas, organized the
untouchables, established many educational institutions and propagated his views from newspapers
like the 'Mooknayak', 'Bahishkrit Bharat' and 'Janata'. He participated in the Round Table Conference
in order to protect the interests of the untouchables. He became the Chairman of the Drafting
Committee of the Constituent Assembly and played a very important role in framing The Indian
Constitution. He was also the Law Minister of India Up to 1951. Right from 1935 Ambedkar was
thinking of renouncing Hinduism. Finally, in 1956 he adopted Buddhism and appealed to his followers
to do the same. He felt that the removal of untouchability and the spiritual upliftment of the
untouchables would not be possible by remaining a Hindu. Hence, he embraced Buddhism.
Ambedkar was not only a political leader and social reformer but also a scholar and thinker. He has
written extensively on various social and political matters. 'Annihilation of Castes', 'Who Were the
Shudras', 'The Untouchables', 'Buddha and His Dharma' are his more important writings. Jyotirao
Phule and Buddha have exercised a deep influence on Ambedkar's ideas on society, religion and
morality. His political views were also influenced by his legal approach. Ambedkar's personal
suffering, his scholarship and his constant attention to the problem of bringing about equality for the
downtrodden untouchable community forms the basis of his thinking and writings.
Scholar Views:
● According to Dhananjay Keer,Ambedkar is the tallest leader among Dalits.No one before
Ambedkar or after Ambedkar could achieve what he could do for members of his
community. Ambedkar is a controversial figure. He is often criticised as the leader of this
community rather than a leader of the nation. He was criticised because of his demand for
his separate communal electorate. He was a critic of Gandhi.He advised Dalits not to
participate in congress led freedom movement. He opposed the Quit India movement and
supported Jinna’s demand for Pakistan.
● Arun Shaurie in his book “Worshiping False God” criticised Ambedkar for his anti-national
stand. He calls Ambedkar anti-national because of his attitude towards the freedom
movement. Ambedkar openly opposed the Purna Swaraj resolution in 1929. On 8th august
1930 during his address at the conference of all India depressed classes in Nagpur he openly
held that he opposed the project of independence.Like Jyoti Rao Phule who held that British
Raj was better than Peshwa Raj. Ambedkar also held that depressed classes should appreciate
the efforts of the British as they relieved them from the long age of tyranny by orthodox
Hindus. In 1939 Ambedkar made his stand clear that whenever there will be a conflict of
interest between country and untouchables he will give preference to untouchables.
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● However, Christophe Jeffrelot has defended Ambedkar and suggests that it is absurd to call
Ambedkar anti-national. According to him, Ambedkar was the leader of the community
which formed the majority of Indian society,the bahujan Samaj,which includes the
untouchables,shudra,Tribals,Minorities,workers. According to him a person who has
constantly worked for the wellbeing of the majority cannot be treated as
anti-national.Ambedkar like Jyotiba Phule had a practical approach. He could not understand
how people divided into so many castes can constitute a Nation. It is true that Ambedkar has
rejected the idea of India as a Nation. He held that Nationalism is an ideology which
becomes a weapon in the hands of the elite to delegitimize any protest by the weaker
section. However,in the heart of Ambedkar there was always a desire that India should
emerge as a Nation. Hence he held that sooner we recognise that we are not a one nation
better it is. Because we are at the start of the process of becoming Nation.
Ambedkar's View on the British Rule in India

● The British government had introduced some representative institutions in India. But full
self-government could not have any alternative. Besides, Ambedkar always complained that
the plight of the untouchables did not change under British rule. The British rulers were not
interested in removing untouchability. Their policy had always been cautious in the matter of
social reform. Reforms were likely to anger the upper castes and give them an opportunity to
rally against' British rule.
● Therefore, British rulers did not encourage rapid social reforms. Even in the field of
education, Ambedkar felt that the government was not sincere in spreading education
among the untouchables. All educational facilities were utilized by the upper castes only.
Moreover, the interests of the upper castes and those of the untouchables were opposed to
each other.
● Ambedkar wanted the British government to mediate on behalf of the. Untouchables. But
the government neglected this responsibility. Because of this attitude of neglect, the
untouchable community could not get any benefit from British rule.He was also not very
happy about British administration. He was particularly critical of the administration on
account of it’s over expensive character and general neglect of public welfare. But he knew
that the abrupt departure of the British would result in political domination of the upper
castes.
● Therefore, a political settlement was necessary, clearly mentioning the powers of and
safeguards for the untouchable community. Without this, independence would be
meaningless for the untouchables. In short, Ambedkar criticized the British rule for failing in
its duty to uplift the untouchables. For this reason he supported the cause of
self-government. But he insisted that in free India, the untouchable community must get a
proper share in the power structure; otherwise independence would merely mean rule by
the upper castes.
AMBEDKAR ON DEMOCRACY
Social and Economic Democracy
● Ambedkar viewed democracy as an instrument of bringing about change peacefully.
Democracy does not merely mean rule by the majority or government by the representatives
of the people. This is a formalistic and limited notion of democracy. We would understand
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the meaning of democracy in better fashion if we view it as a way of realizing drastic changes
in the social and economic spheres of society.
● Ambedkar's idea of democracy is much more than just a scheme of government. He
emphasises the need for bringing about an all-round democracy. Political democracy means
the principle of 'one man one vote' which indicates political equality. But if oppression and
injustice exist, the spirit of political democracy would be missing.
● Democratic government, therefore, should be an extension of a democratic society. In Indian
society, for instance, so long as caste barriers and caste-based inequalities exist, real
democracy cannot operate. In this sense, democracy means a spirit of fraternity and equality
and not merely a political arrangement. Success of democracy in India can be ensured only
by establishing a truly democratic society.
Along with the social foundations of democracy, Ambedkar takes into consideration the economic
aspects also. It is true that he was greatly influenced by liberal thought. Still, he appreciated the
limitations of liberalism.
● Parliamentary democracy, in which he had great faith, was also critically examined by him.
He argued that parliamentary democracy was based on liberalism. It ignored economic
inequalities and never concentrated upon the problems of the downtrodden. Besides, the
general tendency of the western. The type of parliamentary democracy has been to ignore
the issues of social and economic equality. In other words, parliamentary democracy
emphasised only liberty whereas true democracy implies both liberty and equality.
● This analysis becomes very important in the Indian context. Indian society was demanding
freedom from the British. But Ambedkar was afraid that freedom of the nation would not
ensure real freedom for all the people. Social and economic inequalities have dehumanized
Indian society. Establishing democracy in such a society would be nothing short of a
revolution. This would be a revolution in the social structure and attitudes of the people. In
the place of hereditary inequality, the principles of brotherhood and equality must be
established. Therefore, Ambedkar supported the idea of all-round democracy.
Factors Necessary for the Successful Operation of Democracy

Dr. Ambedkar has clearly stated the conditions which are necessary for the successful working of
Democracy. They can be illustrated in brief as under.
Equality:
● For the success of Democracy the first and foremost essential element is equality Dr.
Ambedkar states that there must be known glaring inequalities in the society. There should
not be an“oppressed class” and there should not be a “Suppressed Class”.He refers to
Abraham Lincoln, who once said that “a house divided against itself cannot stand”, and
endorses the latter’s statement.The divided society has within itself the “germs” of a bloody
revolution. His ideal society is based on liberty, equality and fraternity, which he derived
from his preceptor the Buddha. However, he gives primary importance to equality in that
trinity.
● He said in unequivocal terms that, “Fraternity and liberty are really derivative notions. The
basic and fundamental conceptions are equality and respect for human personality.
Fraternity and liberty take their roots in these two fundamental conceptions. Digging
Further down it may be said that equality is the original notion and respect for human
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personality is a reflection of it. So that where equality is denied, everything else may be
taken to be denied”.
● Dr. Ambedkar was of the opinion that equality should prevail inhuman society, there should
not be any discrimination under thepretext of religion, culture, norms in the society. In India
his concept of equality referred to social equality in the society. Due toChaturvarnya system
in India, the Indian society was divided into many fractions of castes. The social norms and
the legal norms of Indian society were based on inequality. Dr. Ambedkar opposed this
inequality in order to establish Democracy in India.Therefore he gave equality as the one of
the necessary conditions for the success of Democracy in India.
Two party system:

● The second important condition for the successful working ofDemocracy is the existence of
strong opposition to the ruling majority. He thinks that there must be an effective veto
power against the authority of those who are ruling the country. There can not be a veto
against the king, but in Democracy it must be exercised against the party in power. Unless
there are two parties,one is to rule and other is to oppose, there can not be Democracy.
● Every five years those who are in power must serve the people and seek a fresh mandate
from the people. If the people do not trust them, they should make room for others. In
Democracy nobody has any perpetual authority to rule and perpetual subjection to others.
He said categorically that, “as a king has no Divine Right to rule, so also a majority has no
Divine Right to rule. Majority rule was tolerated only because it is for a limited period and
subject to the right to have it changed, and secondly because it is a rule of apolitical
majority, i.e. majority which has submitted itself to the suffrage of a minority and not a
communal majority.”
● He thinks that there should be a political majority and a political minority rather than a
communal majority and a communal minority. He had rightly observed that in India, “the
majority is not a political majority. In India the majority is born. It is not made.That is the
difference between a communal majority and a political majority. A political majority is
not a fixed or a permanent majority. It is a majority which is always made, unmade
andremade. A communal majority is a permanent majority fixed in its attitude. One can
destroy it, but one cannot transform it”.In his words, “two parties are necessary to keep
Government from being a despotism”.
Equality in law and administration:

● There was no equality in law and administration in India due to theVedic culture in India. In
Hindu system law and administration created the person according to their castes. There was
no uniform civil code in law in Vedic culture. The Hindu judicial system was based on
injustice. There must be not only equality before law, but there must be equality of
treatment in administration.
● The personnel in administration need to be most sincere and efficient. There should not be
discrimination in administration.Whenever necessary action is taken by the administration
againstany culprit the higher officer should not interfere in the matter ofjustice. The
members of the ruling party should not interfere if any action is taken against any offender.
In other words, the personnel in administration should be permanent, uncorrupt and
efficient so that everybody would be able to get justice. There ought to be a distinction
between what is called ‘Political offices’ and ‘Civil Offices’.
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● The British government maintained distinction between the political offices and civil offices.
In the U.S.A. the ‘spoils system’ is no longer in existence. He thinks that in India also the
administration should be above politics and should not allow at any rate any interference in
the administration.
● The administration must be well responsive, responsible and impartial; and it must be well
determined. It should command obedience to authority.“We must have a Government '', he
said, “in which the men in power will give their undivided allegiance to the best interest of
the country. We must have a Government in which men in power,knowing where
obedience will end and resistance will begin, will not be afraid to amend the social and
economic code of life which the dictates of justice and expediency so urgently call for”.Dr.
Ambedkar however observed that “the administration in India is completely in the hands of
the Hindus. It is their monopoly. From Top to bottom it is controlled by them …. Their one
aim is to discriminate against the Untouchables and to deny and deprive them not only of
the benefits of law, but also of the protection of the law against tyranny and oppression.
The result is that theUntouchables are placed between the Hindu population and
Hinduridden administration, the one committing wrongs against them and the other
protecting the wrong-doer, instead of helping the victims”.
● It is because of this reason that he demanded reservation for theDepressed Classes in the
services in order to change the composition of the administration and to fill in with their own
brethren to hold them and to boost up their morale.
Constitutional Morality:
● Dr. Babasaheb Ambedkar had rightly observed that, “a Constitution which contains legal
provisions, is only a skeleton. The Flesh of the skeleton is to be found in what we call
Constitutional morality”. However, in England it is called the usages and conventions of the
Constitution. Political actors in England are invariably bound to those conventions. The
Constitution needs to be observed in its letter and spirit. Each and every rule of public life
can not be provided in the Constitution.
● The Constitution, however, provides a mere skeleton or some basic principles and not every
detail. The details in the legal skeleton could be filled in by healthy principles or conventions
which are always based on justice and which evolve in the course of history.
● Though one can not challenge in the court of law against those who are in breach of them
but one can do so in the court of public conscience.
● He refers to with admiration the conservation laid down byPresident Washington who of his
own declined to contest forPresidentship of U.S.A. for the third consecutive tenure on the
ground of Constitutional morality. He refers to the convention laid down by King Windsor
Edward III who had to abrogate the throne he married an ordinary woman against the wishes
of theParliament. Thus the Parliament claimed and successfully secured the right to restrain
even the personal life of the King.
No Tyranny of Majority:
● In Democracy there are always two rival parties striving to compete against each other for
political power. The party proving its majority forms the government and the party in
minority forms the opposition. However, it is not expected from a majority to impose its
tyranny over the minority.
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● “The minority”, he states, “must always feel safe that although the majority is carrying on
the government, the minority is not being hurt".He thinks that there should be free and fair
discussion in parliament on any problem. Every member of a minority party should be
treated with due respect and dignity and he should be heard; irrespective of his view. Every
motion of adjournment should be allowed and discussed.
● The opposition party is also expected to cooperate with the ruling party by constructive
criticism and fruitful suggestions in the matter of governance of the state. They should be so
wise and liberal to agree or at least agree to disagree with each other. It is however
necessary to have a political majority or minority and not a communal majority or minority.
The majority party should try to see such an atmosphere on the floor of parliament and even
outside of parliament, in which a revolutionary spirit or an unConstitutional spirit would not
develop.
Moral order:
● According to Dr. Babasaheb Ambedkar Democracy requires the existence of a moral order in
the society. He contemplates that politics can not be devoid of ethics. The Government may
pass the laws and implement them but unless there is morality in the society law can not
achieve any success.
● “A politician”, he said,“does not merely trade in politics, but he also represents a particular
faith covering both the method as well as the metaphysics of politics”He further said that,
“Politics has become a kind of sewage system intolerably unsavory and insanitary. To become
a politician is like going to work in the drain”.Therefore he has no faith in value-free politics.
Once he reportedly said that, “politics has become a game of scoundrel but for me it is a
mission”. He however puts before the people an idea as to how politics could be a mission.
Public conscience:
● The last but not the least is the condition of public conscience which is essential for the
successful working of the democraticConstitution. According to him public conscience
means“conscience which becomes agitated at every wrong, no matter who is the sufferer,
and it means that everybody whether he suffers that particular wrong or not, is prepared to
join him in order to get him relieved.”
● He cites an important example of Reverend Scott a white man, who tried his best to liberate
the Blacks from White racial supremacy and racial discrimination inSouth Africa. Though he
was a white man, he served the cause of the blacks, irrespective of the feelings of his white
community people. He thinks that it is an example to be emulated by others, especially the
Indian high castes. He states very categorically that South Africa is everywhere in India.
However, he feels strange as to why there could not be any non-scheduled caste who could
take up the cause of the oppressed people in India. He rightly observes that it was because
of a lack of “public conscience”.
● He thinks that the non-Dalits should come forward to liberate theDalits. If they failed to do
so, the oppressed people would develop a revolutionary mentality which could prove to be
grievously dangerous to Democracy.
● His thoughts on the conditions precedent for the successful working of Democracy in India
are really worthwhile. India has adopted a new Constitution in 1950 through which we have
pledged to constitute India into a sovereign socialistic secular democratic republic and to
secure to all its citizens’ justice, liberty, equality and fraternity. Whether it would be possible
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to bring into reality the high ideals provided in the Constitution is a question which could be
sincerely answered by every Indian.
● However, it is difficult to say that the Indian society is able to bring into reality those high
ideals unless it is prepared to remove all the inherent evils in the body politic. Therefore it
could be safely concluded that the thoughts of Babasaheb Ambedkar for the success of
Democracy are most significant and relevant to theIndian society in the present scenario.
Future of Parliamentary Democracy

● Dr. Ambedkar delivered a lecture at D.A.V. College,Jullundur City (Punjab) on 28th October
1951. In his speech he submitted his observations on the future of parliamentary
Democracy.Dr. Ambedkar stated that there was a variety of opinions about which systems of
Democracy to be applied in India. After long discussion parliamentary form of Democracy
was accepted in India To which he was greatly attached.
● Dr. Ambedkar explained, parliamentary Democracy is not unknown to India. He refers to the
parliamentary system of Government prevailing from Buddha’s time as follows:
● Parliamentary Democracy is unknown to us at present. But India,at one time, had
parliamentary institutions. India was far more advanced in ancient times. . If you go through
the ‘Suktas’ of Mahaparinibbana, you will find ample evidence in support of mypoint. In
these ‘Suktas’ it is stated that while Bhagwan Buddha was dying at Kusinara (Kushinagar) a
message to that effect was sent to the Mallas who were sitting in session at that time.
● They were devoted to Parliamentary institutions. When they received the message about
Buddha, they decided that they shall not close the session but would carry on with their
work and will go to Kusinara after finishing of the business of the Parliament.There are
innumerable references in our literature to prove that Parliamentary system of Government
was not unknown to us.Regarding the rules of Parliamentary procedure Dr.Ambedkar refers
to Buddhist Sanghas where secret ballot system was also prevailing. Along with intellectual
freedom to all as follows:
● There are many rules about Parliamentary procedure. One rule that is invariably followed
everywhere is that there can be no discussion without a motion. That is why there is no
discussion on a question.This rule was also practiced in our land in ancient times. The System
of secret ballot now in vogue is also not new to us. It was followed in Buddhist Sanghas. They
had the ballot papers which they called ‘Salapatraka Grahakas’.
● Unfortunately, we have lost this entire past heritage that was good. Historians of India must
tackle this question as to why these Parliamentary institutions disappeared from our land.
But I find that they cannot or do not want to find out the reasons for it.Ancient India was the
master of the world. There was such intellectual freedom in ancient India as was nowhere
else to be found.
● Dr. Ambedkar further said that due to the decline of Buddhism inIndia, the Parliamentary
system of Government was not observed.And in the modern times Indian people might feel
that this system of Parliamentary Democracy is known to them. Dr. Ambedkar elaborated the
three main things inherent in the Parliamentary system of Government as follows:
● Firstly, Parliamentary Government means negation of hereditary rule. No person can claim to
be a hereditary ruler. Whoever wants to rule must be elected by the people from time to
time. He must obtain the approval of the people. Hereditary rule has no sanctions in the
Parliamentary System of Government.
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● Secondly, any law, any measure applicable to the public life of the people must be based on
the advice of the people chosen by the people. No single individual can presume the
authority that he knows everything, that he can make the laws and carry the government.
The laws are to be made by the representatives of the people in the Parliament. They are the
people who can advise themen in whose name the law is proclaimed. That is the differences
between the monarchical system of Government and the democratic system of Government.
In monarchy, the affairs of the people are carried on in the name of a monarch and under the
authority of a monarch. In Democracy the affairs of the public are carried on in the name of
the head of the state; but the laws and the executive measures are the authority on which
theGovernment is carried on. The head of the state is the titular Head;he is merely a symbol.
He is a concentrated ‘Murti’. He can be worshiped but he is not allowed to carry out the
Government of the country. The Government of the country is carried out, though in his
name, by the elected representatives of the people.
● Thirdly and lastly, the Parliamentary system of the Government means that at a stated
period those who want to advise the head of the state must have the confidence of the
people in themselves renewed. In Britain, formerly, the elections to the Parliament were held
every seven years. The Chartists agitated against this. They wanted annual elections. The
motive behind this agitation was very praiseworthy, indeed. It would have been best in the
interests of the people if annual elections were held, had it been possible, ofcourse. But
Parliamentary elections are very costly affairs. So some sort of compromise was arrived at
and the five years period was supposed to be a responsible period at which the Legislators
and the Ministers were to go back to the people and obtain the fresh renewal of their
confidence.
● After analyzing the three main things inherent in the Parliamentary system of Government
given by Dr. Ambedkar one understands the important role of the people in the
Parliamentarysystem of Democratic Government.
● Dr. Ambedkar clearly points out that in the ParliamentaryGovernment people have the right
to elect their representatives.There is no place for hereditary rule in the Parliamentary
system ofGovernment. He further clarified the difference between the monarchical system
of Government and the Democratic system ofGovernment. He makes it very clear that in
Democratic system of Government the head of the Government is elected by the
representatives of the people, and cannot act as dictator. Lastly Dr.Ambedkar points out that
in the Parliamentary system ofGovernment the Government is elected by the people for a
time period. And the people have the power to change theGovernment.
● Dr. Ambedkar strongly opposed the Chaturvarna System in order to establish a society based
on humanism. For himDemocracy is a way to establish human conditions for Depressed And
Oppressed Classes. He was against hero-worship and dictatorship, he explained it as
follows:“No country can remain democratic and no people can preserve aConstitutional
government, if the generality of the people are imbued with an immoderate
hero-worship… For, in India, Bhakti or what may be called the path of devotion or
hero-worship, playsa part in its politics unequaled in magnitude by the part it plays in the
politics of any other country in the world. Bhakti in religions may be a road to the salvation
of the soul.But in politics, Bhakti or hero-worship is a sure road to degradation and
eventual dictatorship.”
Dr. Ambedkar’s economic dimensions to Democracy.
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● Dr. Ambedkar gave economic dimensions to the ParliamentaryDemocracy he delivered a

speech at the concluding session of the all India Trade Union Workers Study Camp held in
Delhi from 8th to17th September, 1943, under the auspices of the Indian Federationof
Labour. After analyzing his speech his economic dimensions toDemocracy becomes very
clear.
● Some of the important paragraph of his speech related to Labour And Parliamentary
Democracy is as follows:
● “The Government of human society has undergone some very significant changes. There
was a time when the government of human society had taken the form of autocracy by
DespoticSovereigns. This was replaced after a long and bloody struggle by a system of
government known as Parliamentary Democracy. It was felt that this was the last word in
the framework of government. It was believed to bring about the millennium in which
every human being will have the right to liberty, property and pursuit of happiness. And
there were good grounds for such high hopes. In Parliamentary Democracy there is the
Legislature to express the voice of the people; there is the Executive which is subordinate
to the Legislature and bound to obey the Legislature. Over and above the Legislature and
the Executive there is the Judiciary to control both and keep them both within prescribed
bounds. ParliamentaryDemocracy has all the marks of a popular Government, government
of the people, by the people and for the people.”
● From the above paragraph Dr. Ambedkar has put forth thatParliamentary Democracy has all
the marks of popularGovernment and it is Government of the people, by the people and for
the people. It can be safely concluded that this form ofGovernment has human principles.
On State Socialism
● In those days, two varieties of socialism were prominent. One was Marxist Socialism.
Ambedkar studied various aspects of Marxism and favoured some Marxist principles. He
generally subscribed to the material view of history and agreed to the need for a total
change for bringing about equality. He also accepted the idea of public ownership of
property. However, he did not become a Marxist. The other important variety of socialism
was Democratic Socialism.
● Ambedkar's firm belief in democracy attracted him to this ideology. He felt that socialism
must function within a democratic framework. Democracy and socialism need not be
opposed to each other. Thus, in 1947, Ambedkar propounded the idea of 'State socialism'.
Even earlier, when he established the Independent Labour Party in 1937, he had adopted a
broadly socialist programme. The name of the party itself indicates that it was to be a party
of all depressed classes. Its programme included state management of important industries
and bringing about a just economic system. The party wanted to ensure a minimum standard
of living for agricultural and industrial workers.
● In 1947, Ambedkar suggested that the Constitution of India should incorporate the principle
of State Socialism. State socialism means that the state would implement a socialist
programme by controlling the industrial and agricultural sectors. There are two major
aspects of Ambedkar's State socialism. (a) Key industries and basic industries will be owned
by the state. There will be no private ownership of such industries. This will help in rapid
industrialization and at the same time, benefits of industrialization will be distributed among
all the sections of the society by the state. Insurance will also be entirely under state control;
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(b) Agriculture will be treated as a state industry. This means that the state will initiate
collective farming.
● Farmers will be allowed to enjoy part of the agricultural produce and the state will get some
share in the form of levy. Food grains procured by way of levy will be used for distribution at
fare prices. In other words, the state will actively control both the industry and the
agriculture. This will ensure equitable distribution of wealth and protect the needy and the
poor. Rapid industrial progress and welfare of all the sections of the society will be the
responsibility of the state. However, the democratic institutions such as the parliament will
also remain intact. In the parliamentary form of government, the same party may not remain
in power permanently. Different parties with different programmes may come to power.
● Therefore, Ambedkar suggested that the programme of State Socialism should be made an
inalterable part of the constitution', so that any party which comes to power will have to
implement that programme. This idea of State Socialism shows that Ambedkar was aware of
the problems of poverty and economic inequality. He laid great emphasis on
industrialization. He believed that India needed rapid industrial growth. This will help to ease
out the burden on agriculture. But merely of wealth, the menace of capitalism had to be
avoided.
Role of Government
● This was possible only if the state functioned as a major partner in the field of industry.
Ambedkar believed that the state operating through government will be a neutral agency
looking after the interests of the entire community. Therefore, he attached much importance
to the role of the government. Government, according to him, has to perform the role of a
welfare agency. It has to ensure rapid progress and just distribution of the fruits of that
progress.
● The role of the government was not restricted to industry only. It was expected to be active
in the area of banking and insurance. Moreover, the government must also control
agriculture. By owning major industries and controlling agriculture, the government will curb
economic injustice. In other words, changes of a revolutionary nature are to be brought
about through the efforts of the government.
Ambedkar and Drafting of the Indian Constitution

● In 1947, Ambedkar became Chairman of the Drafting Committee of the Constituent
Assembly of India. His contribution in this role has become memorable. Ambedkar's legal
expertise and knowledge of constitutional laws of different countries was very helpful in
framing the Indian Constitution. His deep regard for a democratic constitution and insistence
upon constitutional morality also helped in this process. In this sense, he is rightly regarded
as the architect of the Indian Constitution. There are many administrative details in the
Indian Constitution (e.g. provisions regarding the Public Service Commission, Attorney
General, Comptroller and Auditor General, etc.) which have made the constitution a very
lengthy document.
● But Ambedkar defended the inclusion of such details. He argued that we have created a
democratic political structure in a traditional society. If all details are not incorporated,
unscrupulous rulers in the future may misuse the constitution without technically violating it.
Thus, formally the constitution may remain in operation but its real purpose may be
defeated. To avoid this, the best safeguard is to write down all necessary details and to bind
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future rulers to these details. In a society where the democratic tradition is weak, such
safeguards become essential. This shows that Ambedkar was a staunch constitutionalist. He
believed that a government must be constitutional and that constitution must be treated as
a basic and sacred document. There was no room for extra-parliamentary activity in
constitutional politics. He also attached much significance to the evolution of constitutional
norms and public practices consistent with the constitution.
● Dr. Ambedkar's most important contribution to the Indian Constitution may be seen in the
areas of fundamental rights, strong central government and protection of minorities. As a
liberal. Ambedkar believed that fundamental rights constitute the most important part of the
constitution. But mere listing of these rights is not sufficient. What makes fundamental rights
really fundamental is the guarantee of constitutional protection to these rights. Ambedkar
was proud of Article 32 of the Indian Constitution which guarantees judicial protection to
fundamental rights. Such protection makes the rights real and meaningful. There was general
agreement in the constituent assembly that India needed a strong central government.
Ambedkar shared this view. But his chief reason for advocating a strong central government
was slightly different from that of the others. He was of the opinion that India was a
caste-ridden society in which lower castes have always received unjust treatment from the
higher castes. He was afraid that castiest would be all the more powerful at local and
provincial levels. Governments at these levels would be easily subject to casteist pressures
and it would fail to protect the lower castes from higher caste oppression.
● The national government would be less influenced by these pressures. It would be more
liberal in its approach than the local governments. 'Only a strong central government,
therefore, will ensure some protection to the lower castes. This was Ambedkar's most
important reason for. Creating a strong central government. He knew that the minority
communities in India were in the most vulnerable position. In India, there was a tendency of
a communal or caste majority becoming a political majority also. Thus, a minority will be
both a caste minority and political minority. It will be subject to political as well as social
harassment. The democratic rule of 'one-man-one-vote' will not be sufficient in such a
situation. What we need in India is some guarantee of a share in power for the minorities.
Minority communities should get an opportunity to elect their representatives. The views of
these representatives must be fully respected.
● Ambedkar attempted to incorporate many safeguards for the minorities, including definite
representation in the executive. He was successful in creating provisions regarding political
reservations in legislatures and the appointment of a special officer for Scheduled Castes and
Scheduled Tribes (Commissioner) under Article 338 etc.
On Social Change
● Ambedkar made ceaseless efforts for the removal of untouchability and the material
progress of untouchables. From 1924 onwards, he led the movement of untouchables till the
end of his life. He firmly believed that the progress of the nation could not be realized
without first removing untouchability. Ambedkar held the view that the removal of
untouchability was linked to the abolition of the caste system and that it could be only by
discarding the religious notions from the basis of the caste system. Therefore, in the course
of his analysis of the caste system, he examined the Hindu religious philosophy and criticized
it. He did this boldly, often facing strong resentment from the orthodox Hindus.
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● Dr. Ambedkar adopted peaceful means of social change. He believes in the evolutionary
process of social change, which moves on constitutional lines. He preferred the evolutionary
process since it preserves the factors like law and order which are indispensable for social
life. It also strives to develop institutions that will guarantee a better ‘social order’. Ambedkar
rejected the revolutionary or radical method of bringing about social change for it disturbs
peace and tranquility and creates chaos, strife and war. Ambedkar held that a really new
society cannot be brought about through the means of ‘violence’, ‘contempt’ and ‘hatred’. A
welfare society cannot be developed on the basis of ‘violence’, ‘force’ and ‘compulsion’. To
him, a violent approach to a peaceful society is not only unscientific but also improper and
immoral.
● According to Ambedkar, the social norms founded on the principles of liberty, equality and
fraternity alone can guarantee an egalitarian society. An egalitarian society can be
established by the peaceful means of education, agitation and organization. The three
slogans of Ambedkar were purely for internal change of self. He adopted the method of
three slogans from the Buddhist trinity namely, Buddham, Dhammam and Sangham. The
three slogans are strictly based on non-violence.
Priority to Social Reform

● Social reform was always the first priority of Dr. Ambedkar. He believed that the economic
and political issues should be resolved only after achieving the goal of social justice. If
priority is given to the issue of political emancipation, it would mean transfer of power from
foreign rulers to the upper caste Hindus, who are equally distant from the lower castes. Thus,
injustice against the untouchables would still continue. Similarly, the idea that economic
progress would resolve all social problems was also ill-founded, according to Ambedkar.
Castiest is an expression of mental slavery of the Hindus. It made them insensitive.
Therefore, no real change could take place without doing away with the evil of casteism.
Social reform was the precondition of revolutionary changes in our society.
● Social reform consisted of reform of the family system and religious reform. Family reform
included abolition of practices like child-marriage etc. This was important mainly because it
involved upliftment of women. Reforms regarding marriage and divorce laws for instance,
would benefit women who were as oppressed as the untouchables. Ambedkar strongly
criticized the degradation of women in Indian society. He believed that women were entitled
to an equal status with men and that they must have the right to education. He lamented
that the Hindu religion had deprived women of the right to property. In the Hindu Code Bill
which he prepared, he took care that women should get a share of the property. While he
organised the untouchables, he always called upon women of the untouchable community
to come forward and participate in social and political movements.
● Ambedkar wanted social reformers to generate public opinion for the condemnation of the
gross inequalities in the society. He urged them to establish bureaus to deal with urgent
cases of inequality. The bureaus should persuade the powerful section of society to give a
chance to the depressed classes to work in the shop, factories, and mills of the rich and the
caste Hindus. The caste-Hindus should patronize the depressed sections by employing them
in their firms and offices in various grades and occupations suited to the capacities of the
applicants
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Attack on the Caste

● Ambedkar's main battle was against the caste system. Caste had made Hindu society
stagnant. Due to the caste system, Hindu society is unable to accommodate outsiders. This
drawback poses permanent problems for integration. Even internally, the Hindu society fails
to satisfy the test of a homogeneous society. It is only a conglomerate of different castes.
Caste is an obstacle in the growth of national spirit. Most importantly, the caste system
perpetuates injustice on the lower castes. It does not allow progress of the lower castes.
Lower castes receive nothing but contempt. This has resulted in moral degradation and
demoralisation of the lower castes.
● The untouchables, in particular, i.e. the constant object of injustice. They are denied
education, good livelihood and human dignity. The caste system has dehumanized them
thoroughly. The very idea that the mere touch of one human being pollutes another shows
the gross level of inequality and brutality to which the caste system had sunk. Therefore, the
battle for the removal of untouchability becomes the battle for human rights and justice.
● Ambedkar stood for the abolition of the rural economic structures of servitude that were
deeply embedded within the caste system. In fact, Ambedkar argued that the campaign
against untouchability would not be complete without fighting a battle against these
structures.
● In 1928, Ambedkar introduced a bill to abolish the Mahar Watan in the Bombay Legislative
Council. He proposed that the government should recognise the Mahar Watandars as public
servants and suggested the remuneration be paid by the villagers. While non-Brahmins
initially supported the bill, they increasingly became hostile towards it. They were
apprehensive as to who will do the demeaning and stigmatised labour done by the Mahars.
● Ambedkar’s close associate A.V. Chitre founded Shetkari Sangh, which stood for the
eradication of the Khoti system — a form of land revenue arrangement prevalent in the
Konkan region. The Khoti system exploited small and marginal farmers and perpetuated
forced labour by exacting four times more the amount of tax to be paid to the colonial
government. The Khots (landlords) were predominantly Chitpawan Brahmins, a few high
caste Hindu Marathas and Muslims. The tenants, on the other hand, were Marathas, Other
Backward Castes such as Kunbis, Bhandaris and Agris, and among Dalits, a few Mahars.
● The conservative nationalist B.G. Tilak staunchly opposed the colonial government’s early
attempt to abolish the Khoti system. Ambedkar organised agitations and conferences in the
early 1920s against the Khoti system. Later he introduced the Khoti abolition bill on 17
September 1937 in the Bombay Legislative Assembly. In fact, Ambedkar was the first
legislator in the provincial assemblies to introduce a bill for the abolition of serfdom of
agricultural tenants. As a Labour Member in the Viceroy’s Executive Council during the
Second World War, Ambedkar introduced several labour welfare measures, which had a
profound impact on the formulation of labour policies in the post-Independence period.
Origins of Caste and Untouchability

● The caste hierarchy and the practice of untouchability finds justification in religious
scriptures. The Hindus widely believed that persons belonging to the untouchable
community were originally from non-Aryan races, that they were of lowly origin, they had no
capabilities, etc. Ambedkar wanted to refute these misunderstandings and create
self-respect among the untouchables. For this purpose, he made extensive study of Hindu
scriptures and ancient Hindu society. In his books 'Who Were the Shudras?' and 'The
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Untouchables', he dispelled many misconceptions about untouchability. Through research

and interpretation, he made scholarly attempts to prove the origins of untouchability. He
argued that originally only three Varnas existed: Brahmins, Kshatriyas and Vaishyas. The
Shudras were a powerful tribe belonging to the Kshatriya Varna. Conflict between the
Shudras and the Brahmins resulted in the Shudras' degradation from Kshatriya status
because the Brahmins denied them the rights of Upanayana, sacrifice and kingdom. Thus,
the Shudras became the fourth Varna below the other three. He shows how the religious
and ritual power of Brahmins caused the downfall of the Shudras. This indicates the overall
supremacy of the Brahmin Varna in the ancient society.
● Untouchability was also partly a result of this Brahmin supremacy. Untouchability resulted
from the conflict between Brahmanism and Buddhism. Ambedkar denies that untouchables
were originally non-Aryans. In fact, he argues that in Indian society, we find a mixture of
various races. Therefore, the idea that the untouchables belonged to some inferior or
defeated race was untenable. He provides a sociological answer.
● Originally there existed a number of unsettled tribes. They came into conflict with other
wandering tribes. These wandering tribes were defeated and their members scattered.
These scattered people finally became attached to various settled tribes. However, their
status remained subordinate to the settled tribes. Thus, the wanderers stabilized as
outsiders. The next round of conflict between these outsiders and the settled tribes took
place on the issue of religion and subsequently beef eating.
● Ambedkar argues that to meet the challenge of Buddhism, Brahmanism adopted complete
non-violence, total renunciation of meat-eating and deification of the cow. The outsiders
who were followers of Buddhism. Traditionally, they ate meat of dead animals including
cows. Since they did not suspend the practice of beef-eating, they were excommunicated by
the settled tribes under the influence of Brahmins. This ex-communication was later justified
by incorporating in religious scriptures.
● Thus, untouchability became a permanent and sacred part of religion. The most important
task that Ambedkar's research has fulfilled is to create self-respect among the lower castes
and untouchables. He convinced them that there is nothing shameful in their past, nothing
inferior or inglorious in their heritage. He convinced them that their low status was not due
to any disability on their part, but it was a result of social mechanisms under the influence of
Brahmanism. His interpretations, above all, convinced everyone that a scrutiny of the
religious foundations of Hinduism was necessary.
Removal of Untouchability
● How can untouchability be removed? Untouchability is the indication of slavery of the entire
Hindu society. If the untouchables find themselves chained by the caste Hindus. The caste
Hindus themselves live under the slavery of religious scriptures. Therefore, emancipation of
the untouchables automatically involved emancipation of the Hindu society as a whole.
Ambedkar warns that nothing worthwhile can be created on the basis of caste. We can build
neither a nation nor morality on this basis. Therefore, a casteless society must be created.
Intercaste marriages can effectively destroy the caste but the difficulty is that people will not
be prepared to marry outside their caste so long as casteism dominates their thinking.
● Ambedkar describes such methods as inter-caste dining or marriage as 'forced feeding'. What
is required is a more drastic change: liberating people from the clutches of religious
scriptures and traditions. Every Hindu is a slave of the Vedas and Shastras. He must be told
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that these scriptures perpetrate wrong and therefore. Need to be discarded. Abolition of
castes is dependent upon destroying the glory of the scriptures. Till the scriptures dominate
the Hindus, They will not be forced to act according to their conscience. However, Ambedkar
knew that all this involved a total change in Hindu sin which would take a very long time.
● Therefore, along with this suggestion for basic change, he also insisted on many other ways
for the uplift of the untouchables. Under the influence of tradition the untouchables had
completely surrendered to the domination of the upper castes. They had lost all spirit to
fight and assert themselves. The myth of inherent pollution also considerably influenced the
minds of untouchables. Therefore, it was necessary to arouse their self-respect.
Untouchables should realize that they are the equals of caste Hindus. They must throw away
their bondage.
Education
Ambedkar believed that education would greatly contribute to the improvement of the
untouchables. He always exhorted his followers to reach excellence in the field of
knowledge. Knowledge is a liberating force. Education makes man enlightened, makes him
aware of this self-respect and also helps him to lead a better life materially. One of the
causes of the degradation of the untouchables was that they were denied the right to
education. Ambedkar criticized the British policy on education for not adequately
encouraging education among the lower castes. He felt that even under British rule
education continued mainly to be an upper caste monopoly.
● Therefore, he mobilized the lower castes and the untouchables and funded various centres
of learning. While a labour member in the executive council of the Governor-general, he was
instrumental in extending scholarships for education abroad to the untouchable students.
Ambedkar wanted the untouchables to undergo both liberal education and technical
education. He was particularly opposed to education under religious auspices. He warned
that only secular education could instill the values of liberty and equality among the
students.
Economic Progress
●
Another very important remedy which Ambedkar upheld was that the untouchables should
free themselves of the village community and its economic bondage. In the traditional set
up, the untouchables were bound to specific occupations. They were dependent upon the
caste Hindus for their sustenance. Even for meagre returns they had to submit themselves to
the domination of caste Hindus. Ambedkar was aware of the economic dimension of their
servitude. Therefore, he always insisted that the untouchables. Should stop doing their
traditional work. Instead, they should acquire new skills and start new professions. Education
would enable them to get employment. There was no point in remaining dependent upon
the village economy. With growing industrialization, there were greater opportunities in the
cities.
● Untouchables should quit villages, if necessary and find new jobs or engage themselves in
new professions. Once their dependence on caste Hindus is over, they can easily throw away
the psychological burden of being untouchables. In a realistic evaluation of the villages,
Ambedkar graphically describes them as 'a sink of localism, a den of ignorance,
narrow-mindedness and communalism'. Therefore, the earlier the untouchables become
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free of village-bondage, the better. Even if the untouchables had to live in the villages, they
should stop doing their traditional work and seeking new means of livelihood. This would
ensure their economic emancipation to a considerable extent. 'The mainstay of Ambedkar's
argument was that the oppressed classes must generate self-respect among themselves. The
best policy for their uplift was the policy of self-help. Only by working hard and casting off
mental servitude, they can attain an equal status with the remaining Hindu society. He did
not believe in social reform on the basis of humanitarianism, sympathy, philanthropy etc.
Equal status and just treatment was a matter of right and not pity. The downtrodden should
assert and win their rights through conflict.
Political Strength
As a step in this direction, Ambedkar attaches much importance to political participation of the
oppressed classes. He repeatedly emphasized that in the context of colonialism, it had become
imperative that the untouchables gain political rights by organizing themselves politically. He claimed
that by attaining political power, untouchables would be able to protect safeguards and a sizable
share in power, so that they can force certain policies on the legislature. This was so because during
the last phase of British rule, negotiations had already begun for the settlement of the question of
transfer of power. Ambedkar wanted the untouchables to assert their political rights and get an
adequate share in power. Therefore, he formed political organizations of untouchables.
Ambedkar-Gandhi Debate:
● The core of the Gandhi-Ambedkar debate is the fundamental differences between the
perspective of two leaders regarding the probable solution to the problem of untouchability
and other vices of the caste system. Both leaders addressed this issue but with different
approaches and sometimes contradicting each other. Ambedkar wanted to end the caste
system as not only this was the reason behind the plight of untouchables but also the
gradation of labour was given divine sanctions. Gandhi on the other hand wanted to reform
the caste system not only through abolition of untouchability but also giving equal status to
each occupation.
● Ambedkar was convinced that the condition of untouchables could be improved mainly
through winning political rights. Ambedkar started this quest from 1919 through
Southborough Committees in which he considered a number of options like reserved seats,
separate electorate etc. During the various Round Table Conferences and proceedings of the
Minorities Committee, he articulated the reasons for a separate electorate in order to secure
more protection for untouchables.
● Gandhi criticised the practice of untouchability and asserted that no occupation attributes a
social status to the people. Gandhi wanted to do away with untouchability without
abolishing the caste system as he considered that caste system saved Hinduism from
disintegration. So even when Gandhi supported inter caste marriages he didn't support the
eradication of the caste system. This difference saw its peak when the Communal Award
came in 1932 which gave a separate electorate to the depressed class. Gandhi began his epic
fast unto death which aroused waves of sympathy for him.
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● Ambedkar was persuaded to compromise with Gandhi who was willing to give more
reserved seats to the depressed class. This was concluded with the signing of the Poona Pact
and Gandhi broke his fast on 26th September 1932.
● Gandhi initiated a series of programmes and campaigns for the promotion of interests of
untouchables. He stated that untouchability was a crime against both humanity and God.
Gandhi faced criticism and sometimes violent resistance from orthodox upper caste Santani
Hindus.This involvement of Gandhi actually weakened the position of Ambedkar. Ambedkar
couldn't politicise the untouchables and was not able to give them a force to reck on with.
● Gandhi's basic disagreement with Ambedkar was the doing away of Chaturvarna system.
Ambedkar on the other hand was frustrated with the slow pace in Gandhi's efforts.
Ambedkar’s views on Marxism
Where Ambedkar agreed with Marxists

● The achievements of the Soviet Union exercised a powerful attraction for Ambedkar. This
lasted through much of the 1940s with Ambedkar calling for nationalization of land and basic
industries for some time calling himself a state socialist. Ambedkar, like some communists,
felt that State Socialism was necessary for the rapid industrialization of India. Private
enterprise cannot do it, and if it did it would produce those inequalities of wealth which
private capitalism has produced in Europe and which should be a warning to Indians. He
accepted that class and exploitation was a result of property, but took a far more
conservative stand on the abolition of private property.
● Ambedkar in the 1930s led the anti-landlord struggles in the Konkan and fights of textile
workers in Bombay- in both cases uniting with caste Hindus and also sharing a platform with
communists. During the same time there was for a brief period a coming together of the
socialists, communists and Dalits under the banner of the Samyukta Maharashtra Samiti.
Themes that they united on were land reforms and peasant rights. Where he broke with the
Marxists was over issues of caste and religion.
● Though Ambedkar saw Buddhism as an alternative to Marxism, he ironically posed Marxist
questions. His words echoed his interpretation of Marx’s famous saying in the Thesis of
Feuerbach, ‘Philosophers have only interpreted the world differently; the point however is
to change it.’ In his essay on ‘Buddha or Karl Marx’ Ambedkar had rephrased this as ‘The
function of philosophy is to reconstruct the world and not to waste its time in explaining
the origin of the world.’ He used Marxian ideas to formulate the problems but used Buddhist
means and methods to achieve these ends.
● Ambedkar saw the Sangha as the ideal Communist society wherein there was democratic,
communistic sharing of property, where status was in terms of seniority, not in terms of birth
or social status or of any presumed ‘merit’ of knowledge.
Ambedkar’s criticism of Marxism in Indian Context

● Ambedkar pointed out how the class system had an “open-door character”, whereas castes
were “self-enclosed units”. He gave a brilliant explanation of caste’s forced endogamy: “Some
closed the door: others found it closed against them.” The image throws up a phenomenon
opposite to the Kafkan idea of law: the (Hindu) gatekeeper of law, in Ambedkar’s
explanation, is also the lawgiver, and he allows entry by birth, but no exit. Once entry has
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been secured in Hindu society, as Ambedkar argued, everyone who is not a Brahmin is
another. Hinduism is a uniquely self-othering social system, whose (touchable) norms are
secured by declaring a brutal exception: untouchability.
● In his comparison of Buddha and Marx, Ambedkar bypasses Marx’s idea of private property
and keeps out the question of capital ownership. He also does not complicate the relation
between ‘law’ and ‘government’. These appear to be limitations of the historical conjuncture
of Dalit politics. But Ambedkar finds the materialist and non-violent character of Buddhism
to be evoking another thinkable historical version of a Marxist society.
● Some critics in the Indian Left see the Dalit movement as being merely a ‘politics of
recognition’ and having no revolutionary potential. It is a shallow view of the movement
against segregated exploitation that seeks to penetrate entrenched hegemony. The politics
against untouchability demands more than good wages and working conditions: it asks for a
reconfiguration of the socio-cultural space and the elimination of a violated and untouchable
‘bare life’.
● Ambedkar had warned that the Indian socialist would have to “take account of caste after
the revolution, if he does not take account of it before the revolution”.Ambedkar was
disillusioned by the Marxists as they had been rather unreceptive about the Poona Pact,
which was to deal with the issues of the Dalits. EMS Namboodiripad’s comment in his History
of the Indian Freedom Struggle makes this clear: ‘However this was a great blow to the
freedom movement, for this lead to the diversion of the people’s attention from the
objective of full independence to the mundane cause of the upliftment of Harijans.’
● The indifference to caste by the communists became a central lacuna at a time when
Marxism was penetrating India as a powerful ideology. This lack of attention to caste can be
seen in the following ways: as a failure to press the issue in the workers’ and peasants’
organizations within which they worked; as a failure to form any separate organization or
front to represent Dalits or take up struggles on caste issues (ironically the Gandhian and
Hindu fundamentalists did have these) and as a failure to mention programmes for
untouchability and caste issues in the political programmes of the Communist Party or other
front parties. It was not until the second congress of the CPI in 1948 that the issue was taken
up in detail.
● The communists’ fight for untouchable rights proposed a confrontation with Ambedkar,
denouncing him as ‘separatists’ ‘opportunistic’ and ‘pro-British’. It also treated caste
prejudice as ‘bourgeois divisiveness’, it made no effort to go into the specificity of caste
exploitation and asked untouchables to join the ‘democratic revolution’ (of which they were
a ‘reverse force’ not the main force).
● Also what bothered Ambedkar about the Marxists in India were their upper caste origins. He
felt that their caste-status made them unwilling to look at forms of exploitation which
questioned their male, upper-caste interests and also that they were incapable of handling
caste or other ‘non-class’ contradictions.
● Ambedkar believed that a science of historical materialism, which Marx had initiated, was
not capable of handling ‘non-class’ factors such as caste and patriarchy. ‘The class category
provided a marvellous tool for Indian Marxists to interpret what they saw around them
within one grand framework of a theory of exploitation and liberation, but at the same time
blinding them to other factors in their environment, so that instead of being inspired by the
multifaceted struggles of low caste peasants and workers to develop their own theory and
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practice, they instead sought to narrow these struggles and confine them within a ‘class’
framework.’ (Omvedt 1994:184)
● Marxism downplayed non-economic factors such as gender and caste arguing that these
could be taken care of with the socialist revolution and Ambedkar disagreed with the undue
importance that Marxists gave to the economic sector also he believed that many of Marx’s
these like the economic interpretation of history, the inevitability of revolution and the
pauperization of the proletariat were not entirely true.
● To him the effect of the Marxists on the social movements of Dalits was to pull them away
from solutions that were socio-cultural in nature. Thus Ambedkar turned upside down the
Marxian concept of base-superstructure. He believed that property was not the only source
of power, religion and social status too could generate power and felt India needed a
social-religious revolution rather than an economic one. He believed that if caste was
annihilated the economic base would automatically change. Buddhism he stressed was an
all-round alternative to Marxism, capable of solving the problems of conflict and suffering as
Marxism could not.
● Ambedkar did not agree with the Marxian concept of the ‘Withering away of the State’ as he
felt that this had not happened in any communist society and was unlikely to happen. He
also felt that the communists were unable to give a satisfactory answer to what would take
the place of the State if it did wither away. He feels the building up of the Communist State is
a useless effort. If it cannot be sustained except by force and if it results in anarchy when the
force holding it together is withdrawn what good is the Communist State? He therefore avers
that the only thing which could sustain it after force is withdrawn is Religion. He observes:
“But to the Communists, Religion is anathema. Their hatred of Religion is so deep seated that
they will not even discriminate between religions which are helpful to Communism and
religions which are not. The Communists have carried their hatred of Christianity to
Buddhism without waiting to examine the difference between the two.” [Buddha and His
Dharma]
● Also Ambedkar had problems with the idea of the dictatorship of the proletariat that the
Marxists proposed as he felt that any sort of dictatorship was violent and undemocratic. He
felt that the communists did not recognize the fact that the Buddha had established
communism within the Sangha without any force or violence.
● He agreed with Marx that there was a need to reconstruct the world so as to make it more
beneficial to the marginalized and bring about equity. But he argued that this need not be
done through force and violence which the Communist’s used, as the strikes and actions they
prompted were often to the detriment of the weakest sections of society. Ambedkar felt that
though Marxism spoke of collective ownership what occurred in practice was actually state
ownership where the dominant nationalist party replaced the class party with claims to
represent the oppressed masses.
● He believed that the world could be reconstructed effectively through non-violent means,
through the Buddhist Dhamma and Sangha.
● Marxists criticized Ambedkar as being ‘petty bourgeois’, identifying the idealism (return to
religion) and reformism presumed to be implicit in his theory with a kind of backward
‘peasantist’ consciousness; this has invariably been the response of even the most
favourable left assessments.
EVALUATION
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His propagation of separate electorates or reservations, his views on linguistic states, etc. have a
specific context. It would be wrong merely to take up the same programmes which Ambedkar had to
take up in those circumstances and try to delineate the essence of his political ideology. We have
seen that Ambedkar steadfastly held the image of society free from injustice and exploitation.
Therefore, he repeatedly announced that an ideal society will be based on liberty, equality and
fraternity. What are the forces operating against these three principles? Casteism and communalism
on the one hand, and economic exploitation on the other continue to provide strength to the
prevalent inequality in Indian society. Ambedkar fought for a society free from caste-domination and
class-exploitation. So long as these two machines of exploitation-caste and class are in existence,
Ambedkar's thought would be relevant as an inspiration in the fight against them.
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Constitutional & Statutory Institutions

Statutory bodies are established by acts which Parliament and State Legislatures can pass. These bodies are entities shaped
by an Act of Parliament or state legislatures and set up by the government to consider the data and make judgments in some
arena of activity. Basically, a statutory body is an organisation of government which is not demarcated in Constitution of
India but it gets its powers, service rules, authority by an act of parliament or state legislatures. They are generally established
to perform specific functions which a government considers effectively performed outside a traditional departmental
executive structure. They fulfil the requirement for some operational independence from the government; funding
arrangements that are not dependent on the annual appropriations processes; or to establish a separate legal body. Statutory
bodies are normally set up in countries which are ruled under parliamentary democracy form of political setup. Under law,
statutory bodies are organisations with the authority to monitor that the activities of a business and check whether these
institutions are legal and follow official rules. For example, the General Medical Council is the statutory body which
regulates doctors.
The statutory bodies may be established to permit a certain level of independence from government, the government is still
accountable to guarantee that taxpayers funds expended in the operations of statutory bodies are spent in the most, effective
and economic way. These bodies are subject to varying degrees of ministerial control which are identified in the statutory
body’s enabling legislation. Ministers are accountable to Parliament for the operation of all government boards and agencies
within their portfolios, and are necessary to table their annual reports in Parliament. The state representatives have authority
for many reasons such as transparency, accountability, effectiveness, and bipartisanship.
The meaning of a ‘statutory body’ may change depending upon the legislation. For example, a local council is not a statutory
body for the purposes of the Financial Accountability Act, but it is for the purposes of the Statutory Bodies Financial
Arrangements Act. All statutory bodies are established and operate under the provisions of their own enabling legislation,
which sets out the purpose and specific powers of the agency. The enabling legislation may also include provisions for the
levels of fees to be charged for services / products provided by the statutory body, the power of the statutory body to borrow
or invest funds, whether the board can delegate powers to officers of the statutory body and whether the body represents the
State .
The example of statuary body is The University Grants Commission, a statutory organization established by an Act of
Parliament in 1956 for the coordination, determination and maintenance of standards of university education. Apart from
providing grants to eligible universities and colleges, the Commission also recommends the Central and State Governments
on the measures which are necessary for the development of Higher Education. It functions from New Delhi as well as its
six Regional offices located in Bangalore, Bhopal, Guwahati, Hyderabad, Kolkata and Pune.
Important Statutory Bodies:
● National Human Rights Commission

● National Commission for Women
● National Commission for Minorities
● National Commission for Backward Classes
● National Law Commission
● National Green Tribunal
● National Consumer Disputes Redressal Commission
● Armed Forces Tribunal
Unacademy Code: DRPIYUSH11 Telegram: https://t.me/piyush_choubey

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Election Commission of India

The Election Commission of India, abbreviated as ECI is a constitutional body responsible for administering elections in
India according to the rules and regulations mentioned in the Constitution of India.
It was established on January 25, 1950. The major aim of election commission of India is to define and control the process
for elections conducted at various levels, Parliament, State Legislatures, and the offices of the President and Vice President
of India. It can be said that the Election Commission of India ensures smooth and successful operation of the democracy.
According to Article 324 of Indian Constitution, the Election Commission of India has superintendence, direction, and
control of the entire process for conduct of elections to Parliament and Legislature (state legislative assembly & state
legislative council) of every State and to the offices of President and Vice-President of India.
Initially, the commission had only a Chief Election Commissioner. Presently, it consists of a Chief Election Commissioner
and two Election Commissioners. For the first time, two additional Commissioners were appointed on 16th October 1989
but they had a very short term till 1st January 1990. Afterwards, on 1st October 1993 two additional Election Commissioners
were appointed. The concept of multi-member Commission has been in operation since then, with decision-making power
by majority vote.
Appointment & Tenure of Commissioners
The President has the power to select Chief Election Commissioner and Election Commissioners.
They have tenure of six years, or up to the age of 65 years, whichever is earlier.
They have the same status and receive pay and perks as available to Judges of the Supreme Court of India.
The Chief Election Commissioner can be removed from office only through accusation by Parliament.
Election commissioner or a regional commissioner shall not be removed from office except on the recommendation of the
Chief Election Commissioner.
Advisory Jurisdiction & Quasi-Judicial Functions
Under the Constitution, the Commission also has advisory jurisdiction in the matter of post-election ineligibility of sitting
members of Parliament and State Legislatures.
Additionally, the cases of persons found guilty of dishonest practices at elections which come before the Supreme Court
and High Courts are also referred to the Commission for its opinion on the question as to whether such person shall be
disqualified and, if so, for what period. The judgment of the Commission in all such matters is binding on the President or,
as the case may be, the Governor to whom such opinion is tendered.
The Commission has the power to prohibit a candidate who has failed to lodge an account of his election expenses within
the time and in the manner set by law.
The Commission has also the power to remove or reduce the period of such disqualification as also other disqualification
under the law.
Administrative Powers
● To decide the territorial areas of the electoral constituencies throughout the country on the basis of the
Delimitation Commission Act of Parliament.
● To organize and periodically amend electoral rolls and to register all qualified voters.

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● To inform the dates & schedules of election and to scrutinize the nomination papers.
● To grant recognition to political parties & allot election symbols to them.
● To act as a court for settling disputes related to granting of recognition to political parties and allotment of
election symbol to them.
ECI appoints the following:
● Chief Electoral Officer– ECI in consultation with State Government/Union Territory Administration nominates or
designates an Officer of the said State/UT as the Chief Electoral Officer to supervise the election work in the
State/UT
● District Election Officer– ECI in consultation with the State Government/ Union Territory Administration
designates an officer of the said State/UT as the District Election Officer to supervise the election work of a district
● Returning Officer– ECI in consultation with State Government/Union Territory Administration nominates or
designates an officer of the Government or a local authority as the Returning Officer for each assembly and
parliamentary constituency. Returning Officer is responsible for the conduct of elections in the parliamentary or
assembly constituency and may be assisted by one or more Assistant Returning Officers (again appointed by ECI)
in the performance of his functions
● Electoral Registration Officer– ECI appoints the officer of State or local government as Electoral Registration
Officer for the preparation of Electoral rolls for a parliamentary/ assembly constituency
Role of Election Commission of India
Election commission plays a vital role in organizing elections. The most critical challenge before the Election Commission
of India is to implement norms and the Model Code of Conduct to ensure free and fair elections in the country. Its existence
and independence are necessitated by history, which has revealed that self-governing elections are not free from disruption.
Towards this end, it has been empowered to supervise political parties and candidates and take appropriate action in case of
violations.
Functions and Powers
Key functions of the Election Commission of India are as under:
● The Election Commission of India is considered the guardian of free and reasonable elections.
● It issues the Model Code of Conduct in every election for political parties and candidates so that the decorum of
democracy is maintained.
● It regulates political parties and registers them for being eligible to contest elections.
● It publishes the allowed limits of campaign expenditure per candidate to all the political parties, and also monitors
the same.
● The political parties must submit their annual reports to the ECI for getting tax benefit on contributions.
● It guarantees that all the political parties regularly submit their audited financial reports.
Other powers handled by the Election Commission of India are as follows:
● The Commission can repress the results of opinion polls if it deems such an action fit for the cause of democracy.
● The Commission can recommend for disqualification of members after the elections if it thinks they have violated
certain guidelines.
● In case, a candidate is found guilty of dishonest practices during the elections, the Supreme Court and High
Courts consult the Commission.
● The Commission can postpone candidates who fail to submit their election expense accounts timely.

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The main duties of the Election Commission are:
● To supervise, direct, control and conduct all elections to Parliament and State Legislatures as also to the office of
the President and Vice- President of India.
● To set down general rules for election.
● To determine constituencies and to prepare electoral rolls.
● To give credit to political parties.
● To allot election symbols to different political parties and individual contestants.
● To appoint tribunals for the decision of doubts and disputes arising out of or in connection with election to
parliament and State Legislatures.
Constitutional Provisions
Art. 324: broadly speaks of the functions of EC and its composition.
Art. 325: there shall be one general electoral roll for every territorial constituency for election to either Houses of Parliament
and State legislature. It establishes equality among citizens by affirming that no person shall be ineligible for inclusion in
the electoral roll on the grounds of religion, race, caste or sex.
Art. 326: lays down adult suffrage as the basis of elections to the Lok Sabha and to the Legislative Assemblies of States.
Art. 327: confers on Parliament the power to make provisions with respect to elections to federal and State Legislatures
Art. 328: confers on State Legislature the power to make laws with respect to elections to such legislature
Art. 329: bars interference by courts in electoral matters. Notwithstanding anything said in the constitution i.e. validity of
any law relating to the delimitation of constituencies or the allotment of seats to such constituencies shall not be called in
question in any court
No election to either House of Parliament or either House of the Legislature of a State shall be called in question except by
an election petition. Any elector or candidate can file an election petition on grounds of malpractice during the election. In
respect of elections to the Parliament and State Legislatures, they can only be filed before the High Court and in respect of
elections for the offices of President and Vice President, such petitions can only be filed before the Supreme Court.
Are the commissioners and the CEC equal?
In S.S. Dhanoa vs Union of India (1991), the SC held: “The chief election commissioner does not appear to be primus inter
pares, i.e. first among equals, but he is intended to be placed in a distinctly higher position”
In T.N. Seshan vs Union of India (1995), the SC held that the CEC and ECs are equal. CEC is given the power of
recommending the removal of ECs with the intention of shielding them and not to use it against them. CEC cannot use its
suo moto as he is an equal to them.
The Chief Election Commissioner and Other Election Commissioners (Conditions of Service) Act, 1991, as amended,
provides that in case of difference of opinion on any matter, such matter shall be decided by the opinion of the majority.
Thus the CEC cannot over-ride any decision of the commission by himself. As Chairman of the Election Commission he
presides over the meetings, conducts the business of the day and ensures smooth transaction of business of the commission.

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Independence of the Election Commission
Article 324 of the Constitution has made the following provisions to safeguard and ensure the independent and impartial
functioning of the election commission:
The CEC is provided with the security of tenure. He holds office for a term of 6 years from the date he assumes office or
till he attains the age of 65 years, whichever is earlier
Art. 324(5) says that the CEC cannot be removed from his office except in like manner and on like grounds as a Judge of
the Supreme Court i.e. he can be removed by the president on the basis of a resolution passed to that effect by both the
Houses of Parliament with special majority, either on the ground of proved misbehaviour or incapacity
Any other election commissioner or a regional commissioner cannot be removed from office except on the
recommendation of the CEC
The service conditions of the CEC cannot be varied to his disadvantage after his appointment
Some flaws:
The Constitution has not prescribed the qualifications (legal, educational, administrative or judicial) of the members of the
Election Commission.
The Constitution has not debarred the retiring election commissioners from any further appointment by the government.
The administrative expenses of the EC or the salaries, allowances, and pensions of the CEC and ECs are not charged on the
Consolidated Fund of India.
Electoral Reforms
Model Code of Conduct
EC first issued a Model Code of Conduct for political parties at the time of the fifth general elections, held in 1971. Since
then, the Code has been revised from time to time and lays down guidelines as to how political parties and candidates should
conduct themselves during elections.
A provision was made under the Code that from the time the elections are announced by the Commission, Ministers and
other authorities cannot announce any financial grant, make promises of construction of roads, carry out any appointments
in government and public undertakings which may have the effect of influencing the voters in favour of the ruling party.
Despite the acceptance of the Code of Conduct by political parties, cases of its violation have been on the rise. It is a general
complaint that the party in power at the time of elections misuses the official machinery to further the electoral prospects of
its candidates.
The misuse of official machinery takes different forms, such as issue of advertisements at the cost of public exchequer,
misuse of official mass media during election period for partisan coverage of political news and publicity regarding their
achievements, misuse of government transport including aircraft/helicopter, vehicles.
Disclosure of Antecedents by Candidates
In June 2002, the EC on the direction of the Supreme Court, issued an order under Article 324 that each candidate must
submit an affidavit regarding the information of his/her criminal antecedents; assets (both movable and immovable) of self
and those of spouses and dependents as well; and qualifications at the time of filing his/her nomination papers for election
to the Lok Sabha, the Rajya Sabha and the State Legislative Assemblies.

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But political parties believed that the EC and the judiciary were overstepping their powers. At the all-party meeting, held
on July 8, 2002, representatives of 21 political parties decided that the EC’s order should not be allowed to be implemented.
The Supreme Court again came out as a guardian of the citizen’s right to information.
The Supreme Court made it clear that failing to furnish the relevant affidavit shall be considered as a violation of the
Supreme Court’s order and as such the nomination papers shall be liable to be rejected by the Returning Officer.
Furnishing of wrong or incomplete information shall result in the rejection of nomination papers, apart from inviting penal
consequences under the Indian Penal Code. The 2004 General Elections were conducted under these rules.
The above order is an effective step to make democracy healthy and unpolluted. Citizens have every right to know about
the persons whom they prefer as their representatives.
The EC has directed all Returning Officers to display the copies of nomination papers and affidavits filed by candidates to
the general public and representatives of print and electronic media, free of cost.
Registration of Political Parties
The party system is an essential feature of parliamentary democracy. However, there is no direct reference to political parties
in the Constitution of India. The statutory law relating to registration of political parties was enacted in 1989 which was
quite liberal.
As a result, a large number of non-serious parties mushroomed and got registered with the Commission. Many of them did
not contest elections at all after their registration. It led to confusion among electors as to whom to vote. To eliminate the
mushrooming of parties, the EC had to take some rigorous steps:
The Commission now registers a party which has at least 100 registered electors as its members and is also charging a
nominal processing fee of Rs 10,000 to cover the administrative expenses which it will have to incur on correspondence
with the parties after their registration.
In order to ensure that the registered political parties practice democracy in their internal functioning, the Commission
requires them to hold their organizational elections regularly in accordance with their constitutions.
The measures taken by the EC to streamline the registration of political parties have shown effective results.
Checking Criminalisation of Politics
The EC has expressed its serious concern over the entry of anti-social and criminal persons into the electoral arena. It has
set down norms and made recommendations to the government to curb the menace of criminalization of politics.
The Commission has urged all political parties to reach a consensus that no person with a criminal background will be given
the party ticket.
The candidates to an election are also obliged to submit an affidavit in a prescribed form declaring their criminal records,
including convictions, charges pending and cases initiated against them. The information so furnished by the candidates is
disseminated to the public, and to the print and electronic media.
Limits on Poll Expenses
To get rid of the growing influence and vulgar show of money during elections, the EC has fixed legal limits on the amount
of money which a candidate can spend during the election campaign. These limits are revised from time to time. The EC,
by appointing expenditure observers keeps an eye on the individual accounts of election expenditure made by a candidate
during election campaign. The contestants are also required to give details of expenditure within 30 days of the declaration
of the election results.

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Apart from this, the EC is also in favor of holding the Lok Sabha and the Assembly elections simultaneously, and to reduce
the campaign period from 21 to 14 days. This, they feel, will lead to trim down the election expenditure.
Use of Scientific and Technological Advancements
EVMs:
EC has been trying to bring improvements in election procedures by taking advantage of scientific and technological
advancements. The introduction of ‘electronic voting machines’ (EVMs) is one of the steps in that direction by reducing
malpractices and also improving the efficiency of the voting process.
On an experimental basis, the EVMs were first tried in the State of Kerala during the 1982 Legislative Assembly Elections.
In June 1999 Assembly elections, Goa became the first State to successfully use EVMs in all its Assembly constituencies.
In the 2004 Lok Sabha elections, the machines were used all over the country. It is a major initiative taken by the EC to
make the electoral process simple, quick and trouble-free. It has saved money, solved several logistical issues and also
contributed to the conservation of the environment through saving of paper. Another major advantage of these machines is
that the counting of votes becomes more fast and accurate.
IT
EC has not lagged behind in making use of Information Technology for efficient electoral management and administration.
It launched a website of its own in 1998.
This is now a good source to have accurate information about elections, election laws, manuals and handbooks published
by the Commission.
Computerization of Electoral Rolls
With a view to prevent impersonation of electors at the time of voting and to eliminate bogus and fictitious entries into
electoral rolls, EC took a bold step in 1998 to take a nationwide program for the ‘computerisation’ of electoral rolls.
The printed electoral rolls, as well as CDs containing these rolls, are available to the general public for sale national and
State parties are provided these free of cost after every revision of electoral rolls.
The entire country’s electoral rolls are available on its website. Karnataka became the first State to prepare electoral rolls
with the photographs of voters in the 2008 elections.
EPICs:
In an attempt to improve the accuracy of the electoral rolls and prevent electoral fraud, the Election Commission in August
1993 ordered the issuance of electors’ photo identity cards (EPICs) for all voters.
During the 2004 Assembly elections, it was mandatory for people possessing EPICs to furnish it at the time of voting. The
distribution of EPICs, on the part of Election Commission, was a major step to reduce electoral malpractices. Only genuine
voters were listed in the rolls with the issuance of voter identity cards.
De-criminalization of politics
For preventing persons with criminal background from becoming legislators, the Commission has made a proposal for
disqualifying (from contesting election) a person against whom charges have been framed by a Court for an offence
punishable by imprisonment of 5 years or more. There is a provision of disqualification once a person is convicted and
sentenced to imprisonment of two years or more. The Commission’s proposal is for disqualification even prior to

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conviction, provided the court has framed charges. As a precaution against foisting false cases on the eve of election, it has
been suggested that only those cases in which charges are framed six months prior to an election should be taken into
account for that election.
Political parties reforms
The political parties should be legally required to get their accounts audited annually. The audited accounts should be put
in public domain. There should be transparency in the fund raising and expenditure of political parties. Income tax
exemption for donations should be given only for those political parties which contest election and win seats in the
Parliament/State Legislature.
Misuse of religion for electoral gain
The Commission has proposed that the provision in that Bill should be considered for avoiding misuse of religion by political
parties.
Amendment of law to make `paid news’ an electoral offence
The Commission has been proposed amendment in the Representation of People Act (RoPA) , 1951, to provide therein that
publishing and abetting the publishing of `paid news’ for furthering the prospect of election of any candidate or for
prejudicially affecting the prospect of election of any candidate be made an electoral offence with punishment of a minimum
of two years imprisonment.
Negative/neutral voting
In the ballot paper and on the ballot unit, after the particulars relating to the last candidate, there should be provisions for a
column `none of the above’ to enable a voter to reject all candidates if he so desires.
Ban on transfer of election officers on the eve of election
In the case of general election, there should be a ban against transferring any election related officer without the concurrence
of the Commission for a period of six months prior to the expiry of the term of the House.
Punishment for false affidavit by candidates
RoPA, 1951 provides that furnishing false information in the affidavit filed by the candidate is an offence punishable by
imprisonment up to six months or with fine. There is no clear provision for follow-up action in the event of candidates filing
false affidavits. EC has recommended that RoPA, 1951 should be amended to provide that any complaint regarding false
statement in the affidavit filed by the candidates in connection with the nomination paper shall be filed before the Returning
Officer (RO) concerned within a period of 30 days from the date of declaration of the election and that it shall be the
responsibility of the RO to take proper follow-up action. Alternatively, complaint can lie directly to the Magistrate Court.
Critical Analysis
The EC has built itself an admirable track record of honesty and fairness, which are key to the electoral system. The Election
Commission is the custodian of the secret ballot, but if it is called into question, its weapon of choice should be transparency.
Punitive powers are most unseemly for a body which guarantees a level playing field at the bedrock of democracy. It had
responded correctly to the politics surrounding electronic voting machines, which was turned into a national issue in month
of May.
In response to charges that EVMs could be rigged, it had invited interested parties and the public to a hackathon. In fact, if
the EC had immediately invited its critics to a hacking contest, EVM politics may not have found the room to grow into a

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serious issue. Having done that, to seek punitive powers is to lower the tone somewhat. After decades in which it was seen
to be perfect, the EC faces criticism and it must address it. However, it does not really have to satisfy every politician.
The evidences so far proved that it is sufficient to satisfy the people whom politicians represent. It is they who had originally
articulated the need to act against electoral malpractice, and democracy is ultimately created by them and for them. It should
not take much for the EC to reach out to the people and explain its processes transparently to them, or to reveal its polling
data structures and technologies to specialists who can set public speculation at rest. This would be far more effective in
clarifying its image than any contempt proceedings. The EC’s mandate is to monitor elections, which are by definition areas
of contestation.
Institutional subversion has been the big story of the last five years. Whether it is educational institutions or cultural bodies,
ideological apparatchiks have been placed in strategic and influential positions, severely affecting their independence. The
judiciary is facing tremendous internal dissent and an unprecedented loss of reputation. The Election Commission, for the
most part, remains out of the public eye, but at the time of elections, it plays a central role. Now citizens are asking if it has
done its job professionally by ensuring there is a level playing field or if it has become yet another handmaiden of the ruling
party—such conjecture cannot be a good thing. People need to have faith in institutions—if that gets shaken, it will take a
long time to be restored.
Restoring its reputation and instilling confidence in the public that the EC — and other organisations — remain independent
and untainted by government control will not be an easy task. Reputations are built over years, decades’ their erosion can
happen rapidly. It will be a long term job, but it must be done. Failure to do so will harm Indian democracy and India itself.
Comptroller and Auditor General (CAG)

The Constitution of India provides for an independent office of the Comptroller and Auditor General of India (CAG). He is
the head of the Indian Audit and Accounts Department. He is the guardian of the public purse and controls the entire financial
system of the country at both the levels- the centre and state. His duty is to uphold the Constitution of India and the laws of
Parliament in the field of financial administration.
CAG helps the parliament/state legislatures hold their respective governments accountable. He is one of the bulwarks of the
democratic system of government in India; the others being the SC, the ECI and the UPSC. It is for these reasons Dr. B R
Ambedkar said that the CAG shall be the most important Officer under the Constitution of India and his duties are far more
important than the duties of even the judiciary.
Background:
The role of the CAG evolved in British India with Lord Canning initiating a major administrative drive before the Mutiny
of 1857. In May 1858, for the first time, a separate department was set up with an Accountant General, who was responsible
for accounting and auditing the financial transactions under the East India Company. After Mutiny, the British Crown took
over and passed the Government of India Act 1858.
This laid the foundation stone of Imperial Audit. Sir Edward Drummond took charge in 1860 as the first Auditor General
and the term ‘Comptroller and Auditor General of India’ was first used in 1884. Under the Montford Reforms of 1919, the
Auditor General became independent of the government. The Government of India Act 1935 strengthened the position of
the Auditor General by providing for Provincial Auditors General in a federal set-up.
Comparison with UK
In India the institution of CAG only audits the accounts after the expenditure is committed. It does not have control over
the withdrawal of money as in UK where the name Comptroller is justified since no money can be drawn from the public
exchequer without the approval of the CAG.

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Constitutional provisions
Part V of the Indian Constitution describes the role and responsibilities of this office in Chapter V. The Comptroller and
Auditor General is one of the few offices directly appointed by the President of India.
Art. 148: broadly speaks of the CAG, his appointment, oath and conditions of service
Art. 149: broadly speaks of the Duties and Powers of the CAG
Art. 150: The accounts of the Union and of the States shall be kept in such form as the President may, on the advice of the
CAG, prescribe.
Art. 151: Audit Reports: The reports of the Comptroller and Auditor-General of India relating to the accounts of the Union
shall be submitted to the president, who shall cause them to be laid before each House of Parliament.
The reports of the Comptroller and Auditor-General of India relating to the accounts of a State shall be submitted to the
Governor of the State, who shall cause them to be laid before the Legislature of the State.
Structure of CAG
The CAG discharges his responsibilities and functions through the Indian Audit and Accounts Department. The office of
the CAG directs, monitors and controls the activities of different offices of the Department and is responsible for
development of organisational objectives and policies, auditing standards and systems, laying down policies for
management of manpower and material resources of the Department and final processing and approval of the Audit Reports
to be laid before the Parliament and the State Legislatures.
Vision, mission and core values of CAG
Vision: The vision of SAI India represents what we aspire to become: We strive to be a global leader and initiator of national
and international best practices in public sector auditing and accounting and recognised for independent, credible, balanced
and timely reporting on public finance and governance.
Mission: mission of CAG enunciates our current role and describes what we are doing today: Mandated by the Constitution
of India, we promote accountability, transparency and good governance through high quality auditing and accounting and
provide independent assurance to our stakeholders, the Legislature, the Executive and the Public, that public funds are being
used efficiently and for the intended purposes.
Core values: Core values of CAG are the guiding beacons for all that we do and give us the benchmarks for assessing our
performance, Independence, Objectivity, Integrity, Reliability, Professional Excellence, Transparency, Positive Approach.
Comptroller and Auditor General observes that neither the union government nor the government of any state spends any
money from the consolidated fund without legislative appropriation. Since he is the neutral head of the audit and accounts
system of India, it is essential that he should be independent of executive control.
To maintain independence, it has been provided that though appointed by the President; he does not hold office during the
pleasure of the President like other officers of the union government. He may be removed from office through a process of
accusation. His salary and allowances cannot be varied to his disadvantage during his tenure of service. The President of
India is authorized to appoint for a tenure of 6 years. His salary is equal to that of a Supreme Court Judge. He holds the
position of a secretary to the government of India. The salary and allowances of the Comptroller and Auditor General
together with those of his staff are charged on the revenue of India and are non-votable in the Parliament.

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Powers of the Comptroller and Auditor General of India
Article 148 of the Constitution of India establishes the authority of this office. It states the following points in relation to
the establishment and powers of CAG:
● The Comptroller and Auditor General is appointed by the President of India and can be removed from office only
in the manner and on the grounds that a Judge of the Supreme Court is removed.
● The person appointed to this office should take an oath of office before the President or any other person appointed
by the office of the President.
● The salary, service conditions, leaves of absence, pension and age of retirement are determined by the Parliament
of India and specified in the Second Schedule such that the service conditions and salary will not be modified to the
disadvantage of the incumbent during their tenure.
● The CAG is not eligible for any further office after the end of their tenure either in the Government of India or any
State Government.
● The powers and functions of the CAG are subject to the provisions of the Indian Constitution and any Acts of
Parliament, along with the service conditions for the Indian Audits and Accounts Department. The rules governing
these would be prescribed by the President in consultation with the incumbent.
● The expenses on the administration of this office including all allowances, salaries and pensions would be charged
to the Consolidated Fund of India.
● The incumbent is appointed for a period of 6 years or until attaining the age of 65 years whichever is earlier.
In order to be able to discharge duties effectively, certain privileges and powers which facilitate the process of auditing have
been given to this office. The following are the major powers of the CAG of India:
● The Comptroller and Auditor General or his staff can inspect any office of the organizations which are subject to
his audit. He and his staff can scrutinize the transactions of the government and question the administration
regarding the various aspects of these transactions. After scrutinizing the transactions, the CAG may withdraw his
objections or, if he finds them serious, incorporate them in his report which is submitted to the Parliament.
● To enable the office to perform this function smoothly, he is endowed with full access to all the financial records
including books, papers, and documents. Moreover, the CAG has the freedom to ask for the relevant information
from any person or organization. His right to call for information and accounts is statutory, as was affirmed by the
order made by the Government of India in 1936 in order to enforce the Act of 1935.
The present provision of according him free access to files and information is a practice continuing from the past. A
modification, however, was introduced in 1954 in the central government according to which, if secret documents are
involved, they are sent to the CAG by name specifically and are returned as soon as the work is over.
Duties of CAG
Articles 148, 149, 150 and 151 of the Constitution of India describe the functions and powers of this office. The following
is a brief description of various areas dealt with in these Article of the Constitution:
● Article 149: Duties and Powers of the Comptroller and Auditor General: To perform such duties and exercise such
powers in relation to accounts of the Union of India and the states and of any other bodies or authority, as may be
prescribed by any law made by the Parliament.
● Article 150: Form of Accounts of the Union of India and the States: To prescribe, with the approval of the President,
the form in which the account of the Union and of the States are to be kept.
● Article 151: CAG Reports: To report to the President or to the Governors of the States on the accounts of the Union
or State. The constitution has also provided in Article 279(i) that the CAG has to ascertain and certify the

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net proceeds of any tax or duty mentioned in Chapter I of Part XII of the Constitution. Besides these constitutional
provisions and the Duties Powers and Conditions of Service Act of 1971, is necessary to mention that, before 1976,
the CAG had a two-dimensional role, that accounting and auditing. Due to the separation of accounts and audit in
1976, the CAG’s duty is the auditing of accounts. Since 1976, accounting is being done by the various departments
themselves with the help of Indian Civil Accounts Service.
Role of CAG in India
The role of this office is to uphold the provisions of the Indian Constitution and laws enacted by the Parliament in the field
of financial administration. The accountability of the executive (i.e., the council of ministers) to the Parliament in the sphere
of financial administration is secured through CAG reports. The office is responsible to and is an agent of the Parliament
and conducts audits of expenditure on its behalf.
● The CAG has ‘to ascertain whether money shown in the accounts as having been disbursed was legally available
for and applicable to the service or the purpose to which they have been applied or charged and whether the
expenditure conforms to the authority that governs it’.
● The office can perform a propriety audit, that is, it can look into the ‘wisdom, faithfulness and economy’ of
government expenditure and comment on the wastefulness of such expenditure. However, unlike the legal and
regulatory audit, which is obligatory on the part of the CAG, the propriety audit is discretionary.
● The secret service expenditure is a limitation on the auditing role of the CAG. In this regard, the CAG cannot call
for particulars of expenditure incurred by the executive agencies but has to accept a certificate from the competent
administrative authority that the expenditure has been so incurred under his authority.
The Constitution of India visualizes this office to be Comptroller as well as Auditor General. However, in practice, the
incumbent officer is fulfilling the role of an Auditor-General only and not that of a Comptroller. In other words, ‘the office
has no control over the issue of money from the consolidated fund and many departments are authorised to draw money by
issuing cheques without specific authority from the CAG, who is concerned only at the audit stage when the expenditure
has already taken place.
The powers of the CAG, regarding audits, are provided for in the Comptroller and Auditor General of India (Duties, Powers
and Conditions of Service) Act, 1971. According to this act, the CAG can audit:
● All receipts and expenditure from the Consolidated Fund of India and of the states and union territories.
● All transactions relating to the Contingency Funds and Public Accounts. • All trading, manufacturing, profit and
loss accounts and balance sheets and other subsidiary accounts kept in any department.
● All stores and stock of all government offices or departments.
● Accounts of all government companies set up under the Indian Companies Act, 1956.
● Accounts of all central government corporations whose Acts provide for audit by the CAG.
● Accounts of all authorities and bodies substantially funded from the Consolidated Fund. Accounts of any authority,
even though not substantially funded by the government, at either the request of the Governor/President or at the
CAG’s own initiative.
Functions of the CAG of India
The Constitution in Article 149 provides the legal basis for the Parliament to prescribe the duties and powers of the CAG
in relation to the accounts of the Union and of the States and of any other authority or body. The CAG Duties, Powers and
Conditions of Service (DPC) Act, was passed in the parliament in 1971. The DPC Act was amended in 1976 to separate
accounts from audit in the Government of India. The duties and functions of the CAG as laid down by the Constitution are:

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● Auditing the accounts related to all expenditure drawn from the Consolidated Fund of India, consolidated fund of
every state and consolidated fund of every union territory having a Legislative Assembly.
● Audit of all expenditure from the Contingency Fund of India and the Public Account of India as well as the
contingency funds and the public accounts of states.
● Audit of all trading, manufacturing, profit and loss accounts, balance sheets and other subsidiary accounts of any
department of the Central Government and state governments.
● Auditing the receipts and expenditure of the Government of India and each state to ensure that the rules and
procedures in that regard are designed to secure an effective check on the assessment, collection and proper
allocation of revenue.
● Auditing the receipts and expenditure of the following: All bodies and authorities substantially financed from the
Central or state revenues; Government companies; and Other corporations and bodies when so required by related
laws.
● Auditing all transactions of the Central and state governments related to debt, sinking funds, deposits, advances,
suspense accounts and remittance business. He also audits receipts, stock accounts and others, with approval of the
President, or when required by the President.
● Auditing the accounts of any other authority when requested by the President or Governor. For example, the audit
of local bodies.
● Advising the President with regard to prescription of the form in which the accounts of the Centre and the states
shall be kept (Article 150).
● Submitting audit reports relating to the accounts of the Central Government to the President, who shall, in turn,
place them before both the Houses of Parliament (Article 151).
● Submitting audit reports relating to the accounts of a state government to the Governor, who shall, in turn, place
them before the state legislature (Article 151).
● Ascertaining and certifying the net proceeds of any tax or duty (Article 279). The certificate is final. The ‘net
proceeds’ means the proceeds of a tax or a duty minus the cost of collection.
● Acting as a guide of the Public Accounts Committee of the Parliament. He compiles and maintains the accounts of
state governments. In 1976, he was relieved of the responsibilities regarding the compilation and maintenance of
accounts of the Government of India due to the separation of accounts from audit, through departmentalization of
accounts. The CAG submits three audit reports to the President:
1. Audit Report on Appropriation Accounts
2. Audit Report on Finance Accounts
3. Audit Report on Public Undertakings
The President lays these reports before both the Houses of Parliament. After this, the Public Accounts Committee examines
them and reports its findings to the Parliament.
CAG Reports
The three CAG Reports as stated above deal with different facets of public audits. The following paragraphs give a brief
overview of these audit reports:
● Audit Report on Appropriation Accounts: The appropriation accounts show the appropriation of the money granted
by the legislature to the various grants and heads of expenditure and whether the money granted for a specific
purpose has been spent for that purpose or not.
● Audit report on Finance Accounts: The Finance Accounts show the accounts of annual receipts and expenditure
during the year.

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● Audit report on Public Undertakings: This report deals with the finances and expenditures of various Public Sector
Undertakings.
The audit report, in brief, contains a narration of cases involving financial irregularities, losses, frauds, wasteful expenditure
and comments thereon, the accuracy of budgeting control of expenditure, savings etc. The CAG provides ‘audit paras”
criticizing public expenditures of the departments and the ‘paras’ are developed during post-event scrutiny by the CAG staff
and detailed discussions with the senior staff of the department concerned. The finalized ‘paras’ are then brought before the
Parliament where the concerned parliamentary committee that deals with the affairs of a particular ministry or department
disposes of each ‘para’.
The form of the audit reports is constantly under review and has undergone periodic changes. No matter what the format,
the objective, that loss of money has to be prevented remains the same. They highlight transactions which have not proved
financially viable. As the report focuses its gaze on the omissions, each department is on its toes because the report may
bring adverse and undesirable publicity in its wake.
The following procedure is followed while making and submitting an audit report by the Comptroller and Auditor General’s
office:
● To begin with, when the audit takes place, during the course of inspection of the various organizations, ‘Inspection
Reports’ of each unit/organization are prepared and copies are sent to them. About 72,000 inspection reports are
sent in a year. They are asked to take corrective action and their progress is also watched. The most important
matters in these Inspection Reports are included in the Annual Audit Reports.
● Before they are presented to the President, the audit reports are put through rigorous quality assurance procedures
and are countersigned by the CAG.
● After they are submitted to the legislature, the legislature, in turn, hands them over for examination to the concerned
parliamentary committees.
1. The reports of all the departments, including Railways, Post and Telegraph and other departmental
undertakings, are handed over to the Public Accounts Committee (PAC).
2. The reports relating to corporations and companies are given to the Committee on Public Undertakings
(COPU).
Since 1989, an Annual Activity Report of each department is brought out by the CAG to assess the overall working of the
department and to let all those interested in the functioning of the department know the details of its working. It serves a
dual purpose: it gives a complete and true picture of the existing state of affairs and also helps in planning for the future.
The functions of the Comptroller and Auditor General of India can be studied under the following headings:
Audit of Expenditure
It is the prime task of the CAG to audit all expenditure incurred from the revenue of the union and the states. It may be
mentioned at the outset that the audit by this office is not an administrative but a financial audit. Administrative audit entails
an examination of technical, personnel and organizational processes of the administrative apparatus. This audit is not within
its jurisdiction. The Comptroller and Auditor General’s office is concerned only with the financial aspects. However, when
an administrative act has serious adverse financial repercussions or implications, the CAG can see whether that particular
administrative act was in conformity with the prescribed laws and approved financial procedures and whether it has resulted
in any extravagance or loss.
Audit of expenditure consists of ensuring whether the following essential conditions have been fulfilled or not:
● that the expenditure is covered by sanction, whether special or general, accorded by a competent authority;
● that the expenditure conforms to the relevant provisions of the statutory enactments and is in accordance with the
financial rules and regulations framed by the competent authority;

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● that there is a sanction, either general or special, accorded by the competent authority;
● that it is within the ambit of the purpose for which the grant was intended; that the demand is supported by a voucher
in proper form and the person to whom the payment has been made has duly acknowledged the payment and the
fact of payment has been so recorded as to make a second claim on the government impossible;
● that the various programmes, schemes and projects in which large funds have been invested are being run
economically;
● that the various public sector undertakings are yielding the results expected of them; and
● that the expenditure has been incurred with due regard to the broad and general principles of financial propriety.
All these constitute what is called the statutory audit. In other words, these are specifically provided for by statute
or law.
Side by side, another area, which is known as discretionary audit, has emerged. The discretionary audit is based on a liberal
interpretation of the functions given by the statute and the recommendations of the Public Accounts Committee. It had
recommended that “the Public Accounts Committee should, even more than in the past, encourage the CAG to scrutinize
and criticize improper and wasteful expenditure and to indicate whether censure is in his opinion required. In practice, the
discretionary powers have become more important than the ones laid down by the statute. Much depends on the approach
and style of the incumbent. A precise area of audit cannot be prescribed in the case of a discretionary audit because no rules
regarding this have been laid down. Yet, it may be mentioned that discretionary audit lays emphasis on undertaking
investigation and reporting on any wasteful and uneconomical expenditure regarding contracts and major deals. The
statutory audit is also known as the ‘regularity audit’ in the sense that its chief purpose is to see whether rules and procedures
have been followed in accordance with the basic statutes, rules, essential requirements of audit and accounts and the general
or particular orders issued by higher authorities. It also involves “general conformity to the broad principles of orthodox
finance by the sanctioning and the spending authorities.” Former CAG, T N Chaturvedi observes that in the process of
seeing whether the expenditure conforms to the rules, regulations, statutes and enactments, the office is also interpreting the
rules, orders and statutes. This makes it a constitutional, statutory and quasi-judicial body under the Constitution of India.
Audit of Government Undertakings
The CAG also undertakes an audit of the commercial undertakings of the governments of the union and the states.
Commercial undertakings exist in three forms:
● Departmental undertakings, run on the pattern of departments.

● Statutory corporations created by specific laws of the Parliament and broadly controlled by the government.
● Government companies, set up under the Indian Companies Act, 1956, in the form of private or public limited
companies.
Audit of Appropriation
The appropriation audit ensures that the grants are spent for the purpose for which they have been provided. This audit
enables the CAG to satisfy himself that the expenditure which is being audited is within the ambit of the grants and that the
expenditure incurred has been incurred for the specific purpose for which it was voted by the legislature.
● In this process, certain cases which depict a discrepancy between the estimates and the final turnout might come
to light. A scrutiny of such cases has to be made.
● It also verifies whether there have been reappropriations from one head to another and whether such
reappropriations conform to the authority delegated.
Thus, it is a document which reveals the various aspects of the transactions of the government. The appropriation audit is
not done on a test basis, as in the case of accounting audit. It must be detailed, thorough and complete. Every payment is
checked in the books to its right head of service so as to ensure that the intentions of the legislature have been honoured.

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The main idea behind this audit is to ensure that the accounts presented by the concerns give a complete and true picture of
the various financial aspects of the concerns. The public has a large stake in the running of these undertakings as vast public
funds are involved. Hence, together with the other ministerial and parliamentary checks over these undertakings, they are
also subject to the audit control by this office. In the case of departmental undertakings, the CAG is the sole auditor.
● The Acts by which the government corporations are set up specify whether the CAG will audit their accounts, or
whether the accounts will be audited by auditors appointed by the government.
● To avoid these pitfalls, a system was devised in 1956 to provide personal contacts between the representatives of
audit and of administration. Under this, the secretary of each department could take up the objections which he
considered unjustified with the concerned Accountant General directly. If these discussions failed, the secretary
could take up the matter with the CAG himself.
Though the system had received excellent support in the initial stages, it is slowly falling into disuse. The preceding analysis
underscores that audit is essential as an instrument of parliamentary and financial control. B R Ambedkar had pointed out
in the Constituent Assembly debates that the CAG was probably the most important officer in India because it was he who
saw that the expenses voted by Parliament were well utilized. He may be criticized on the ground that the audit is too critical,
concerned with details etc., but that exactly is the intention why this office was created. The CAG protects public funds
from the reach of arbitrary power and, in that sense, is an important and most useful dignitary of the state.
Structure of CAG’S Office
The Indian Audit and Accounts Department (IAAD) is headed by the Comptroller and Auditor General of India. He is
assisted by five Deputy Comptroller and Auditors General of India. One of the Deputies is also the chairman of the Audit
Board. Below the Deputy CAG are four Additional Deputy Comptroller and Auditors General of India. The hierarchy in
this office comprises of:
● Assistant Comptroller and Auditor General of India

● Directors General
● Principal Directors
● Directors
● Deputy Directors.
One Director acts as Secretary to the incumbent CAG. At the regional level, in various states, there are a number of
Accountants General who act as agents of the CAG in performing their functional and supervisory responsibilities at the
state level
Recent Issues
Mode of Appointment
The present selection process for the CAG is entirely internal to the Government machinery; no one outside has any
knowledge of what criteria are applied, how names are shortlisted and how a final selection is made.
Thus presently there is a lack of clarity on the criterion, the definition of field of choice, the procedures for the selection of
this high constitutional functionary.

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In most of the other countries there is no scope for the head of the Supreme Audit Institution to be chosen at the discretion
of the Government. It is desirable that India adopts the international practice of appointing head of Supreme Audit Institution
to be independent of the discriminatory power of the Executive.
Another related issue is that of the appointment of IAS officers as the CAG. In the last 48 years since 1966 only one IAS
officer has been chosen while all other postings went to senior civil servants.
From the viewpoint of IAS this looks like the systematic exclusion of that service and the virtual absorption of the post of
CAG in the IAS cadre. This perception has had a demoralising effect on the IAS cadre. Whether that feeling is right or
wrong, it exists; and it is bound to have some effect on the commitment, zeal and courage with which the audit function is
performed.
The answer to it is not to exclude the IAS, nor to reserve the post exclusively for the IAS, but to ensure that the appointment
processes are such as to leave no room at all for a sense of unfairness or suspicions of impropriety; and that the selected
person, from wherever he or she be drawn, is of such unquestionable suitability as to command respect both within and
outside the audit department.
The field of choice should certainly be wide, and should include the IAS, other central accounts services (civil accounts,
railway accounts and defence accounts), the IAS, and a limited number of accounts, finance and management experts from
outside the government.
ICAI (Institute of Chartered Accountants in India) Code of Ethics states that an auditor’s independence has two aspects-
independence in fact and independence in appearance. The appointment of former secretaries as CAG may compromise the
independence of this institution because of apparent/perceived conflict of interest.
Recent Example
There are 2 PILs have been filed in the SC against the appointment of former defence secretary Shashi Kant Sharma as the
new CAG. Before being appointed the CAG, Mr. Sharma had served in key positions in the defence ministry that involved
decision making powers over purchases including the Augusta Westland Chopper deal and the Tatra trucks deal. His
appointment is thus being questioned in the context of conflict of interest and also that it goes against the code of ethics of
auditors.
Recommended Mode of Appointment
There is a need to frame a transparent selection procedure based on definite criteria and constitute a broad-based non-
partisan selection committee, which after calling for applications and nominations would recommend the most suitable
person for appointment as CAG.
There needs to be an institutionalised process of selection for the post of CAG, a selection committee as seen in the
appointment of CVC (involving PM, Leader of Opposition and Home Minister) and the Chairman of the NHRC may be
considered. The above steps could go a long way in ensuring that an outstandingly able person of great independence and
integrity is selected to this high constitutional office.
Should the CAG go into policy decision?
In the recent past CAG’s reports on 2G, Coal blocks allocation, Delhi Airport PPP have made the Government very
uncomfortable with the audit findings. In order to defend its position, some members of the ruling party have raised questions
about CAG’s jurisdiction and observed that he has exceeded his mandate. What is the veracity of such criticism? The CAG’s
role should be viewed in the context of our constitutional scheme under which the executive is accountable to Parliament.
CAG is an essential instrument for enforcing the accountability mechanism as the CAG’s reports on government’s
stewardship of public finance are required to be placed in Parliament and state legislatures under

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Article 151 of the Constitution. To enable him to discharge this responsibility, without fear or favour, he has been given an
independent status under Article 148 analogous to that of a Supreme Court judge.
The word ‘audit’ has not been defined in either the Constitution or in the CAG Act, 1971. We have so far been going by
150 years of history, tradition, existing provisions and international practice. The CAG has not formulated his own policy
in the above reports and has only gone by policy prescriptions recommended internally at various levels within the
government. It is within the mandate of CAG to comment on a policy in cases wherein-
● The financial implications of a policy were not gone into at all before the decision was made
● The assessment of financial implications was quite clearly wrong
● The numbers were correct but the reasoning behind the decision was questionable
Further, the CAG is bound by the oath of office to uphold the Constitution of India and thus is bound to comment on policy
matters that seem unconstitutional. If the government were to formulate a scheme or policy that selectively confers benefits
from public funds on an individual or a group to the exclusion of others, it is the CAG’s duty to point this out. Thus the
CAG was well within his mandate to comment on the above policy decisions.
Another criticism has been of the Notional and Presumptive loss figures as claimed in the reports. There is a genuine
dilemma here. If the reports were to make a bland statement that an alternative procedure would have yielded more revenue
to the government or would have meant less discretionary patronage, it would give no indication of the financial dimensions
of the decision or the importance of the matter.
Putting a number on it brings this home. On the other hand, when a number is mentioned, the discussion tends to focus on
it and not on the issues involved. There is no easy way out of this dilemma. All that one can say is that the ‘notional’ number
should e carefully estimated, making the assumptions and methodology clear. This is what the CAG has done. He has not
claimed that his figures are definitive.
The assumptions can be questioned, the methodology can be questioned, the resulting number can be debated; what cannot
be questioned is the procedural or substantive lapse to which the figure points
Finance Commission
Finance Commission is a constitutional body for the purpose of allocation of certain revenue resources between the Union
and the State Governments. It was established under Article 280 of the Indian Constitution by the Indian President. It was
created to define the financial relations between the Centre and the states. It was formed in 1951. Below is an article on the
details of the FC, which is an important topic in polity and current affairs for IAS exam. It is also a part of the polity section
of the UPSC syllabus.
Finance Commission India after independence:
The Finance Commission of India was established according to the drafted Acts and Rules in the year 1951. The President
of India is authorized with the selection and responsibilities of the finance commission of India. Furthermore, the President
of India assigns the term of their office of the Finance commissioner and the four other member of the commission. The
commissioner and the four members of the Finance Commission of India are accountable, directly to the President of India.
The President of India constitutes a Finance Commission within maximum of two years from the commencement of the
draft and thereafter completion of every fifth year or at earlier time.
Appointment: Formation of Finance Commission of India
As per Article 280:

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● The President shall, within two years from the commencement of this Constitution and thereafter and at the
expiration of every fifth year or at such time earlier time as the President considers necessary, by order constitute a
Finance Commission which shall consist of a Chairman and four other members to be appointed by the President.
● Parliament may by law determine the qualification which shall be requisite for appointment as members of the
Commission and the manner in which they shall be selected.
● It shall be the duty of the Commission to make recommendations to the President as to the distribution of the net
proceeds of taxes which are to be, or may be divided between them under this chapter and the allocation between
the States of the respective shares of such proceeds. It is also the duty of the Finance Commission to define the
financial relations between the Union and the State and it also caters to the purpose of devolution of non-plan
revenue resources.
Composition of Finance Commission
The Finance Commission consists of a chairman and four other members, appointed by the President himself. The
qualification of the commissioner and the four members are determined by the elected parliament and by formulating
appropriate law.
● Chairman: Heads the Commission and presides over the activities. He should have had public affairs experience.
● One Secretary and four Members.
● The Parliament determines legally the qualifications of the members of the Commission and their selection
methods.
● The 4 members should be or have been qualified as High Court judges, or be knowledgeable in finance or
experienced in financial matters and are in administration, or possess knowledge in economics.
● All the appointments are made by the President of the country.
● Grounds of disqualification of members:
● found to be of unsound mind, involved in a vile act, if there is a conflict of interest
● The tenure of the office of the Member of the Finance Commission is specified by the President of India and in
some cases the members are also re-appointed.
● The members shall give part time or whole time service to the Commission as scheduled by the President.
● The salary of the members is as per the provisions laid down by the Constitution.
Powers, Functions and Responsibilities
● The Commission decides the basis for sharing the divisible taxes by the centre and the states, and the principles
that govern the grants-in-aid to the states every five years.
● Any matter in the interest of sound finance may be referred to the Commission by the President.
● The Commission’s recommendations along with an explanatory memorandum with regard to the actions done by
the government on them are laid before the Houses of the Parliament.
● The FC evaluates the rise in the Consolidated Fund of a state in order to affix the resources of the state Panchayats
and Municipalities.
● The FC has sufficient powers to exercise its functions within its activity domain.
● As per the Code of Civil Procedure 1908, the FC has all the powers of a Civil Court. It can call witnesses, ask for
the production of a public document or record from any office or court.
Functions of Finance Commission
The Finance Commission makes recommendations to the president of India on the following issues:
● The net tax proceeds distribution to be divided between the Centre and the states, and the allocation of the same
between states.

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● The principles governing the grants-in-aid to the states by the Centre out of the consolidated fund of India.
● The steps required to extend the consolidated fund of a state to boost the resources of the panchayats and the
municipalities of the state on the basis of the recommendations made by the state Finance Commission.
● Any other matter referred to it by the president in the interests of sound finance.
Impact of the Planning Commission
The Constitution envisions the Finance Commission as the balancing wheel of fiscal federalism in India. However, its role
in the Centre-state fiscal relations has been undercut by the emergence of the Planning Commission which is a non- statutory
and non-constitutional body. Dr P V Rajamannar, the Chairman of the Fourth Finance commission, threw light on the
concurrence of functions and responsibilities between the FC and the Planning Commission in federal fiscal transfers in the
way described below.
The reference in Article 275 to grants-in-aid to the revenues of states is not confined to revenue expenditure only. There is
no legal warrant for excluding from the scope of the Finance Commission all capital grants; even the capital requirements
of a state may be properly met by grants-in-aid under Article 275, made on the recommendations of the Finance
Commission. The legal position, therefore, is that there is nothing in the Constitution to prevent the finance commission
from taking into consideration both capital and revenue requirements of the states in formulating a scheme of devolution
and in recommending grants under Article 275 of the Constitution. But the setting up of Planning Commission inevitably
has led to a duplication and overlapping of functions, to avoid which a practice has grown which has resulted in the
curtailment of the functions of the finance commission. As the entire plan, with regard to both policy and programme, comes
within the purview of the Planning Commission and as the assistance to be given by the Centre for plan projects either by
way of grants or loans is practically dependent on the recommendations of the Planning Commission, it is obvious that a
body like the Finance Commission cannot operate in the same field. The main functions of the Finance Commission now
consist in determining the revenue gap of each state and providing for filling up the gap by a scheme of devolution, partly
by a distribution of taxes and duties and partly by grants-in-aid.
Advisory Role
The recommendations made by the Finance Commission are of an advisory nature only and therfore, not binding upon the
government. It is up to the GOI to implement its recommendations on granting money to the states. To put it in other words,
‘It is nowhere laid down in the Constitution that the recommendations of the commission shall be binding upon the
Government of India or that it would amount to a legal right favouring the recipient states to receive the money
recommended to be provided to them by the Commission.
Powers of Finance Commission
● The Commission shall have all the powers of the Civil Court as per the Code of Civil Procedure, 1908.
● It can call any witness, or can ask for the production of any public record or document from any court or office.
● It can ask any person to give information or document on matters as it may feel to be useful or relevant.
● It can function as a civil court in discharging its duties.
The Constitution of India foresees the Finance commission as synchronizing fiscal federalism in India. Though, its role in
the Centre-state fiscal relations has been destabilized by the emergence of the Planning Commission, a non-constitutional
and a non-statutory body. Dr P V Rajamannar, the Chairman of the Fourth Finance commission, emphasised the overlapping
of functions and responsibilities between the Finance Commission and the Planning Commission in federal fiscal transfers
as "the reference in Article 275 to grants-in aid to the revenues of states is not confined to revenue expenditure only. There
is no legal warrant for excluding from the scope of the Finance Commission all capital grants; even the capital requirements
of a state may be properly met by grants-in-aid under Article 275, made on the recommendations of the Finance
Commission".

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The legal position is that there is no provision in the Constitution to avert the finance commission from taking into
consideration both capital and revenue requirements of the states in formulating a scheme of devolution and in
recommending grants under Article 275 of the Constitution. But the creation of Planning Commission inexorably has led to
a duplication and overlapping of functions, to avoid that a practice has grown which has resulted in the curtailment of the
functions of the finance commission.
Complete plan, with respect to both policy and programme, comes within the purview of the Planning Commission and as
the assistance to be given by the Centre to plan projects either by way of grants or loans is practically dependent on the
recommendations of the Planning Commission. It is understandable that the Finance Commission cannot operate in the
same field. The main functions of the Finance Commission consist in determining the revenue gap of each state and
providing for filling up the gap by a scheme of devolution, partly by a distribution of taxes and duties and partly by grants-
in-aid.
Significance of Finance Commission
There is immense importance of the Finance Commission in constitution of India. It is a constitutional instrument capable
of settling many complicated financial glitches that affect the relations of the Union and States. This is evident from the
recommendations of the last 14 finance Commissions appointed so far.
Report of Finance Commission in Parliament Article 281 states that President shall cause every recommendation made by
the Finance Commission under the provisions of this Constitution together with a descriptive memorandum as to the action
taken thereon to be laid before each House of Parliament.
Recommendations
Finance Commission does not communicate with the Union Government in the matters of increasing its funds. Its work is
to make recommendations on distribution between the Union and the States of the net proceeds of taxes and the principles
which should govern the grants-in-aid of the revenues of the States out of the Consolidated Fund of India and the sums to
be paid to the States which are in need of assistance by way of grants-in-aid of their revenues. With respect to States Finance
Commission, it suggests the actions needed to increase the Consolidated Fund of a State to supplement the resources of the
Panchayat and Municipalities in the State on the basis of the recommendations made by the Finance Commission of the
State.
On Panchayat and Municipalities: The role of the Finance Commission has expanded after the 73rd and 74th
Constitutional amendments to identify the rural and urban local bodies as the third tier of government. Article 280 (3) (bb)
and Article 280 (3) (c) of the Constitution command the Commission to recommend measures to increase the Consolidated
Fund of a State to supplement the resources of Panchayats and Municipalities based on the recommendations of the
respective State Finance Commissions. This also includes enhancing the resources of Panchayat and municipalities.
Union Public Service Commission (UPSC)

The Union Public Service Commission (UPSC) is the central recruiting agency in India. It is an independent constitutional
body in the sense that it has been directly created by the Constitution. Articles 315 to 323 in Part XIV of the Constitution
contain elaborate provisions regarding the composition, appointment and removal of members along with the independence,
powers and functions of the UPSC.

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Composition
The UPSC consists of a chairman and other members appointed by the president of India. The Constitution, without
specifying the strength of the Commission has left the matter to the discretion of the president, who determines its
composition. Usually, the Commission consists of nine to eleven members including the chairman. Further, no qualifications
are prescribed for the Commission’s membership except that one-half of the members of the Commission should be such
persons who have held office for at least ten years either under the Government of India or under the government of a state.
The Constitution also authorizes the president to determine the conditions of service of the chairman and other members of
the Commission.
The chairman and members of the Commission hold office for a term of six years or until they attain the age of 65 years,
whichever is earlier. However, they can relinquish their offices at any time by addressing their resignation to the President.
They can also be removed before the expiry of their term by the president in the manner as provided in the Constitution.
The member can be removed from the office by the President of India on the grounds as well as procedure given in Article
317 in the Constitution of India. The Union Public Services Commission is among one of the few institutions which executes
both autonomy and freedom along with the country’s higher judiciary and Election Commission.
Appointment
The President can appoint one of the members of the UPSC as an acting chairman in the following two circumstances:
(a) When the office of the chairman falls vacant; or
(b) When the chairman is unable to perform his functions due to absence or some other reason.
The acting chairman functions till a person appointed as chairman enters on the duties of the office or till the chairman is
able to resume his duties.
Removal
The President can remove the chairman or any other member of UPSC from the office under the following circumstances:
(a) If he is adjudged an insolvent (that is, has gone bankrupt);
(b) If he engages, during his term of office, in any paid employment outside the duties of his office; or
(c) If he is, in the opinion of the president, unfit to continue in office by reason of infirmity of mind or body.
In addition to these, the president can also remove the chairman or any other member of UPSC for misbehaviour. However,
in this case, the president has to refer the matter to the Supreme Court for an enquiry. If the Supreme Court, after the enquiry,
upholds the cause of removal and advises so, the president can remove the chairman or a member. Under the provisions of
the Constitution, the advice tendered by the Supreme Court in this regard is binding on the president. During the course of
enquiry by the Supreme Court, the president can suspend the chairman or the member of UPSC.
Defining the term ‘misbehaviour’ in this context, the Constitution states that the chairman or any other member of the UPSC
is deemed to be guilty of misbehaviour if he (a) is concerned or interested in any contract or agreement made by the
Government of India or the government of a state, or (b) participates in any way in the profit of such contract or agreement
or in any benefit there from otherwise than as a member and in common with other members of an incorporated company.

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Powers, Functions and Responsibilities
Functions
The duty of the Union Public Service Commission will be to conduct examinations for appointment to the services of the
Union. Art. 320 of the constitution of India have categorically itemized the functions of the Union Public Service
Commission
● Foremost function of Union Public Service Commission is to advocate for appointment in administrative services
the meritorious and potential young men and women after selecting them through All India competitive
examinations.
● Another function of U.P.S.C. is to assists them in framing and operating schemes of joint recruitment for any service
for which candidates possessing special qualification.
● Union Public Service Commission advises the President on “all matters relating to methods of recruitment to civil
services and for civil posts.
● Principles to be followed in making appointments to civil services and posts and in making promotions and transfers
from the service to another and on the suitability of candidates for such appointments promotions or transfer.
● Next function is to look at all disciplinary matters affecting a person serving under the Government of India or the
Government of a State in a civil capacity, including memorials or petitions relating to such matter.
Other functions of Union Public Service Commission are as follows:
● To conduct examinations for appointment to the services of the Union and conduct interviews for direct recruitment.
● To advise on any matter referred to them and on any matter which the president may refer to the appropriate
commission.
● To exercise such additional functions as may be provided for by an Act of Parliament regarding the services of the
Union and also with respect to the services of any local authority constituted by law.
● It shall be the duty of the Union Public Service Commission if requested by any two or more states, to assist those
States in framing and operating schemes of joint recruitment for any service.
● It is generally compulsory for the Government of India to consult the Union Public Service Commission in respect
of all the above matters. Nevertheless, the President has the power to make rules, specifying the matters in which,
either generally or in particular circumstances the commission may not be consulted. Under the Union Public
Service Commission (exemption from consultation) regulations framed by the President in 1958, it is not obligatory
for the President to consult the U.P.S.C. in the following cases.
● Posts in respect of which the authority of appointment, has specifically been conferred by the constitution in the
President, Chairman of members of any Board, Tribunal Commission, Committee or any other similar authority,
created under a statute or under the authority of a resolution of either Houses of the Parliament or by a resolution
of the government of India for conducting an enquiry into any matter or advising the government of specified
matters.
● Posts concerned with the administration of North-East Frontier Agency and any service or post in respect of which
the commission has agreed that it is not necessary for it to be consulted. The temporary and officiating appointments
can also be made without consulting the U.P.S.C. provided the incumbent is not likely to hold the post for more
than a year. But intimation has to be sent to the commission regarding such appointment as soon as the posts are
filled. Similarly there is no need to make any reference to the commission regarding the reservation of posts in
favour of backward classes, Scheduled Castes, Schedule Tribes.

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Powers
Main power of Union Public Service Commission is its advisory power. It can give advises to the President and the
governors of any State of the following affairs:
● On all matters related with the appointment of the civil services of the governments.
● The evaluation of the standard and efficiencies of the candidates for appointment, promotion or transfer in all civil
posts.
● On all matters regarding the discipline and punctuality of the employees of All India Services.
● Affairs associated with the demands and benefits of employees working under the All India Civil Services and
injured while on duty.
● Whether the payment or expenditure for any work of an employee of All India Civil Services will be borne by the
consolidated fund of India.
● Regarding discipline and promptness in government functions of paying compensation to a government employee
if he suffers any problem or financial loss due to the negligence on the part of the government, matters related with
the punishment measures of those employees who have violated discipline or of all matters related with the interest
of the government employees working under the central government.
The Constitution of India has made the Public Service Commission a simple advisory institution which is required to give
advises to the subject sent to it by the President of India or by the Governors of the States. But to accept or refuse advises
is the absolute discretion of the respective governments.
This is because India has adopted a responsible self-governing government where in the council of ministers cannot delegate
its responsibilities to their employees to any other organization. Though at the same time, it should not neglect advises made
by a commission consisting of experienced and expert persons.
Impartiality of Union Public Service Commission
In order to ensure the impartiality of the Union Public Service Commission, the Commission has been declared an
independent statutory body, which is responsible to the Parliament, through the Ministry for Home Affairs, for all its
activities. The appointments in the commission are made by the President and thus both in the cases of appointment and
dismissal the political government has no hand. Similarly, the members of the Service Commission will continue to hold
office for a fixed tenure, during their good behaviour. As a further measure towards securing impartiality, it has been
provided that during the tenure of their office and after retirement the members of the service commission shall not accept
any gainful employment without the prior permission of the government.
The Constitution has made the following provisions to safeguard and ensure the independent and impartial functioning of
the UPSC:
(a) The chairman or a member of the UPSC can be removed from office by the president only in the manner and on the
grounds mentioned in the Constitution. Therefore, they enjoy security of tenure.
(b) The conditions of service of the chairman or a member, though determined by the president, cannot be varied to his
disadvantage after his appointment.
(c) The entire expenses including the salaries, allowances and pensions of the chairman and members of the UPSC are
charged on the Consolidated Fund of India. Thus, they are not subject to vote of Parliament.
(d) The chairman of UPSC (on ceasing to hold office) is not eligible for further employment in the Government of India
or a state
(e) eligible for appointment as the chairman of UPSC or a State Public Service Commission (SPSC), but not for any other
employment in the Government of India or a state3.

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(f) The chairman or a member of UPSC is (after having completed his first term) not eligible for reappointment to that
office (i.e., not eligible for second term).
UPSC is a central agency which is authorized to conduct various examinations in India and the list of exams is given below.
● Civil Services Examination

● Indian Forest Service Examination
● Engineering Services Examination
● Combined Defence Services Examination
● National Defence Academy Examination
● Naval Academy Examination
● Combined Medical Services Examination
● Special Class Railway Apprentice
● Indian Economic Service/Indian Statistical Service Examination
● Combined Geoscientist and Geologist Examination
● Central Armed Police Forces (Assistant Commandant) Examination
The commission’s approval is granted by the Constitution of India as mentioned in the articles 315 to 323 of Part XIV of
the constitution titled as Services under the Union and the States for public service commission for the union and for each
state.
UPSC and Central Vigilance Commission
Since the emergence of CVC, the role of UPSC in disciplinary matters has been affected. Both are consulted by the
government while taking disciplinary action against a civil servant. Here, UPSC being an independent body has an edge
over CVC which got statutory status in 2003. Recently, in order to ensure speedy
Here, UPSC being an independent body has an edge over CVC which got statutory status in 2003. Recently, in order to
ensure speedy finalisation of disciplinary matters and to avoid possibilities of the difference of opinion between UPSC and
CVC, it has been decided as a policy to prescribe only one consultation- either with CVC or UPSC. However, in disciplinary
cases wherein UPSC is not required to be consulted, the consultation with CVC would continue to be made.
However, in disciplinary cases wherein UPSC is not required to be consulted, the consultation with CVC would continue
to be made.
Exemptions
In order to exempt some posts which for reasons of National Security or some other reasons may not be required to be
referred to the Commission for their advice, the Union Public Service Commission (Exemption from Consultations)
Regulations were issued on September 1, 1958, under Article 320(3)(a) and (b) of the Constitution. These Regulations are
amended or revised as and when the need arises. The following matters are kept outside the purview of UPSC:
● While making reservations of appointments or posts in favour of any backward class of citizens
● While taking into consideration the claims of scheduled castes and scheduled tribes in making appointments to
services and posts
● 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
● With regard to the selection for temporary appointments for not more than a year

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The President can exclude posts, services and matters from the purview of the UPSC. The President can also, in respect to
the all-India services and Central services and posts may make regulations specifying the matters in which it shall not be
necessary for UPSC to be consulted. All such regulations shall be laid before the Parliament which can amend or repeal
them.
Mechanisation – Project Sampera
The Commission has recently undertaken a project called “SAMPERA” (Screening and Mechanised Processing of
Examination and Recruitment Applications). A simplified single sheet common application form for all the examinations
has been devised which will be scanned by using OMR/ICR technology.
The implementation of this project will mainly help in high speed scanning of data from forms eliminating manual entry.
Other benefits will be accurate and faster generation of Admit Cards, Attendance lists with photo replica and signature
facsimile of each candidate, and Error-free list of doubtful cases.
The main aim of this project is to cope with the increasing volume of applications through innovations and mechanised
handling so as to reduce the processing time and send communications faster to minimized errors. The cases of
impersonation/malpractices will also be eliminated and wasteful expenditure will be reduced.
Suggestions for rejuvenating UPSC
● To serve as a think-tank on personnel issues: It should go beyond the recruitment role to answer evolving issues
relating to civil services and their role in a rapidly changing society.
● Association of Research Institutes and Universities in the functioning of UPSC: Services are often out of touch with
new developments in technology and knowledge. UPSC should liaison with such institutions to conduct regular
specially designed courses for administration
● Need of Decentralisation on the pattern of US: The increase in work of the commission has been manifold, it
currently handles more than 14 lakh applications and scrutinises and advises in regard to 650 Recruitment Rules of
different services/posts. There is a need of decentralization to effectively align with this increase in workload
● Keep in sync with changing times: UPSC so far has worked with remarkable competence, impartiality and integrity.
However a new world based on openness, accountability and delivery has emerged. UPSC needs to be in sync with these
changes.
National Commission for Scheduled Castes
National Commission for Scheduled Castes is dedicated to effectively implement the various acts such as the PCR Act,
1955 and SC and ST (POA) Act, 1989. National Commission for Scheduled Castes is an Indian constitutional body
recognized to provide protections against the mistreatment of Scheduled Castes, to promote and protect their social,
educational, economic and cultural interests. For this special provisions are made in the Constitution. The NCSC will effort
to ensure that the economic development schemes for SC population are implemented according to the guidelines and money
is efficiently spend on SCP/SCSP exclusively for the benefit of Scheduled Castes. It also attempt to ensure that reservations
implemented at every level, strictly according to government rules and regulations.
The Constitution of India offered safeguard in favour of the Scheduled Castes and the Scheduled Tribes through reservation
in elected bodies, that is, local rural/urban bodies, Legislative Assemblies and Councils in the State and to the Lok Sabha
and in appointment to services and posts. These protections are properly implemented by the State is to be monitored by the
National Commission for Scheduled Castes as provided in Article 338 of the Constitution and submit Report to the President
of India.

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Mission / Vision Statement:
Mission of the public authority National Commission for Scheduled Castes has a command to supervise the social
protections as provided in Articles 17 23 24 25(2)(b) Educational and Cultural Safeguards as provided in Article 15(4)
Service Safeguards are provided in Article 16(4)Article 16(4A) Political Safeguards as provided in Article 164(1) Article
243(D) provides for reservation in village panchayat and zila Panchayat, Article 243(T) in Municipality provides for
reservation of seats for Scheduled Castes and Scheduled Tribes. Article 330 provides reservation of seats for SCs and STs
in the Lok Sabha. Article 332 provides reservation of seats for SCs STs in State Vidhan Sabha (Legislative Assemblies).
Article 334 extends the reservation of these seats on the expiration of a period of 60 years from the commencement of the
Constitution.
History:
A multi-member (non-statutory) Commission for SC & ST was set up in August 1978 with Shri Bhola Paswan Shastri as
chairman and other four Members. In 1990, the Commission for SCs and STs was retitled as the National Commission for
Scheduled Castes and Scheduled Tribes and it was set up as a National Level Advisory Body to advise the Government on
broad policy issues and levels of development of Scheduled Castes and Scheduled Tribes. The first Commission was
constituted in 1992 with Shri S.H. Ramdhan as chairman. The second Commission was constituted in October 1995 with
Shri H. Hanumanthappa as chairman. The third Commission was constituted in December 1998 with Shri Dileep Singh
Bhuria as the chairman. The fourth Commission was constituted in March 2002 with Dr. Bizay Sonkar Shastri as the
Chairperson.
Consequent upon the Constitution (Eighty-Ninth Amendment) Act, 2003, the erstwhile National Commission for Scheduled
Castes & Scheduled Tribes has been replaced by (1) National Commission for Scheduled Castes and (2) National
Commission for Scheduled Tribes.
National Commission for Scheduled Castes:
The first National Commission for Scheduled Castes was constituted on 2004 with Suraj Bhan as the Chairperson.
The Second National Commission for Scheduled Castes in series was constituted on May 2007 with Buta Singh as the
Chairperson.
The Third National Commission for Scheduled Castes has been constituted on October 2010 with P.L.Punia as the
Chairperson.
Composition of the Commission:
The Commission shall consist of Chairman, Vice Chairman and three other members. The President of India shall appoint
the Chairman, Vice Chairman and members of the Commission.
Duties and Functions of the Commission:
Constitution of India under Article 338 has allotted some duties and functions to the Commission. Following functions are
performed by commission which have been laid down in clauses (5), (8) and (9) of the Article 338 of the Constitution:
Clause (5): It shall be the duty of the Commission:
- To investigate and monitor all matters relating to the safeguards provided for the Scheduled Castes under this Constitution
or under any other law for the time being in force or under any order of the Government and to evaluate the working of such
safeguards;
- To inquire into specific complaints with respect to the deprivation of rights and safeguards of the Scheduled Castes.

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- This is to participate and advise on the planning process of socio-economic development of the Scheduled Castes and to
evaluate the progress of their development under the Union and any State.
- To present to the President, annually and at such other times as the Commission may deem fit, reports upon the working
of those safeguards.
- To make in such reports recommendations as to the measures that should be taken by the Union or any State for the
effective implementation of those safeguards and other measures for the protection, welfare and socio-economic
development of the Scheduled Castes.
- To discharge such other functions in relation to the protection, welfare and development and advancement of the
Scheduled Castes as the President may, subject to the provisions of any law made by Parliament, by the rule specific.
Clause (8) - The Commission shall, while investigating any matter referred to in sub-clause (a) or inquiring into any
complaint referred to in sub-clause (b) of clause (5), have all the powers of a civil court trying a suit and in particular in
respect of the following matters, that is:
● Summoning and enforcing the attendance of any person from any part of India and examining him on oath.
● Requiring the discovery and production of any documents.
● Receiving evidence on affidavits.
● Requisitioning any public record or copy thereof from any court or office.
● Issuing commissions for the examination of witnesses and documents.
● Any other matter which the President may by rule, determine.
Clause (9) - The Union and every State Government shall consult the Commission on all major policy matters affecting
Scheduled Castes
Powers and Functions of the Commission:
● To investigate and monitor all matters relating to the safeguards provided for the Scheduled Castes under this
Constitution or under any other law for the time being in force or under any order of the Government and to evaluate
the working of such safeguards.
● To inquire into specific complaints with respect to the deprivation of rights and safeguards of the Scheduled Castes.
● To participate and advise on the planning process of socio-economic development of the Scheduled Castes and to
evaluate the progress of their development under the Union and any State.
● To present to the President, annually and at such other times as the Commission may deem fit, reports upon the
working of those safeguards.
● To make in such reports recommendations as to the measures that should be taken by the Union or any State for the
effective implementation of those safeguards and other measures for the protection, welfare and socio- economic
development of the Scheduled Castes.
● To discharge such other functions in relation to the protection, welfare and development and advancement of the
Scheduled Castes as the President may, subject to the provisions of any law made by Parliament, by rule specify.
● The Commission shall have power to control its own procedure.
To summarize, the Government of India established National Commission for Scheduled Castes to safeguard depressed
sections of Indian society (Scheduled Castes) against exploitation and to promote their social, economic, educational and
cultural development. For the effective implementation of the policies set by commission in the constitution, the constitution
appoint a special officer under article 338 of the constitution. He is designated as commissioner for Scheduled Castes and
is assigned the duty to investigate all matters relating to the safeguards for the Scheduled Castes and to report to the President
upon the working of these protections. In order to enable effective functioning of the office of the

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commissioner for the Scheduled Castes, 17 regional offices of the commissioner are formed in different parts of the country.
How NCSC has evolved over time?
In order to ensure that the safeguards provided to SCs and STs are properly implemented, the Constitution on its inception
provided for appointment of a special office under Article 338 of the Constitution to investigate all matters relating to the
safeguards provided for Scheduled Castes & Scheduled Tribes and report to the President about the working of these
safeguards. In pursuance of this provision a Special Officer known as the Commissioner for Scheduled Castes & Scheduled
Tribes was appointed for the first time on 18th November, 1950.
A proposal was mooted for amendment of Article 338 of the Constitution (46th Amendment) by replacing the single member
Special Officer by multi-member system. The first Commission for SC & ST came into being on August, 1978. The setup
of the Commission of 1978 underwent change in 1987 and it was named as National Commission for Scheduled Castes and
Scheduled Tribes. This Commission being a National Level Advisory body played the role of adviser on major policy and
developmental issues relating to SCs/STs
Later, through the 89th Amendment of the Constitution it was decided to have a separate National Commission for
Scheduled Castes & separate National Commission for Scheduled Tribes. This came into effect in 2004. Thus, the erstwhile
National Commission for SCs & STs was bifurcated into two different Commissions.
National Commission for

Scheduled Tribes
National Commission for Scheduled Tribes is an Indian constitutional body which was established through Constitution
(89th Amendment) Act, 2003 on 19th February' 2004 by amending article 338 of the constitution and inserting a new article
338 A.
The policy makers of the Constitution realized that some communities in the nation are backward and suffering from extreme
social, educational and economic backwardness due to ancient practice of untouchability and certain others on account of
the primeval agricultural practices, lack of infrastructure facilities and geographical separation. These downgraded group
need special consideration for protection of their interests and for their quicker socio-economic development. These
communities were reported as scheduled Tribes as per provisions contained in Clause 1 of Articles 341 and 342 of the
Constitution respectively.
In order to provide safeguards against the mistreatment of SCs & STs and to promote and protect their social, educational,
economic and cultural interests, special provisions were made in the Constitution. Due to their social disability and economic
backwardness, they were totally handicapped in getting reasonable share in elected offices, government jobs and educational
institutions and, therefore, it was considered essential to follow a policy of reservations in their favour to guarantee their
impartial participation in governance. For effective implementation of various safeguards provided in the Constitution for
the SCs & STs and various other protective legislations, the Constitution provided for appointment of a Special Officer
under Article 338 of the Constitution. The Special Officer who was designated as Commissioner for SCs & STs was assigned
the duty to investigate all matters relating to the safeguards for SCs and STs in various statutes and to report to the President
upon the working of these protections.
History:
National Commission for Scheduled Tribes was formed on the 89th Amendment of the Constitution coming into force from
19 February 2004, under Article 338A on bifurcation of former National Commission for Scheduled Castes and Scheduled
Tribes to supervise the implementation of various safeguards provided to Scheduled Tribes under the Constitution. By this
amendment, the erstwhile National Commission for Scheduled Castes and Scheduled Tribes was replaced by two separate
Commissions specifically:
I. The National Commission for Scheduled Castes (NCSC).

II. The National Commission for Scheduled Tribes (NCST).

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For effective functioning of the office of the Commissioner for SCs & STs in accordance with the needs of the time, 17
regional offices of the Commissioner were established in different parts of the country, which were regulated by Assistant
Commissioners for SCs & STs who were, in July, 1965 re-designated as Deputy Commissioners. In June, 1967, the 17
Regional Offices were re-organized into five Zonal Offices and placed under the control of a newly formed Directorate
General of Backward Classes Welfare in the Department of Social Welfare. Each Zonal Offices was headed by a Zonal
Director, Backward Classes Welfare (a newly created post) and the post of Deputy Commissioner for SCs & STs was re-
designated as Deputy Director, Backward Classes Welfare and placed under the control of a Zonal Director located at
Chandigarh (Northern Zone), Bhopal (Central Zone), Patna (Eastern Zone), Baroda (Western Zone) and Madras (Southern
Zone).
o The First commission constituted on 2004 with Kunwar singh as the chairperson.
o The second commission constituted on 2007 with Urmila Singh as the Chairperson.
o The third Commission constituted on 2010 with Rameshwar Oraon as the Chairperson.
Composition
The Commission has following composition:
A. Chairperson
B. Vice-Chairperson
C. Three full-time Members (including one lady Member)
The term of all the Members of the Commission is three years from the date of assumption of charge.
Function
The following are the functions of the commission:
o To examine and monitor all matters relating to the protections provided for the Scheduled Tribes under the
Constitution or under any other law for the time being in force or under any order of the Government and to
evaluate the working of such safeguards.
o To investigate into specific complaints with respect to the deprivation of rights and safeguards of the Scheduled
Tribes.
o To partake and advise in the planning process of socio-economic development of the Scheduled Tribes and to
evaluate the growth of their development under the Union and any State.
o To present to the President, annually and at such other times as the Commission may deem fit, reports upon the
working of those safeguards.
o To prepare in such reports, recommendations as to the measures that should be taken by the Union or any State
for effective implementation of those safeguards and other measures for the protection, welfare and socio-
economic development of the Scheduled Tribes.
o To release such other functions in relation to the protection, welfare and development and advancement of the
Scheduled Tribes as the President may, subject to the provisions of any law made by Parliament, by rule specify.
Powers
While examining the matters referred to in sub-clause (a) to inquire into any complaint referred to in sub-clause (b) of clause
5, the Commission have all the powers of a Civil Court trying a suit and in particular in respect of the following matters:
I. Summoning and applying the attendance of any person from any part of India and examining him on oath.

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II. Requiring the discovery and production of any documents.

III. Receiving evidence on affidavits.
IV. Demanding any public record or copy thereof from any court or office.
V. Issuing summons/communications for the examination of witnesses and documents.
VI. Any other matter which the President may by rule determine.
Consultation by the Union and State Governments with the Commission:

According to clause 9 of Article 338A of the Constitution, Union and every State Government shall consult the Commission
on all major policy matters affecting Scheduled Tribes.
Monitoring
While investigating matters relating to the safeguards, the Commission provide under the Constitution monitors the
implementation and working of safeguards which include:
1. - Acting upon Article 23 of the Constitution which prohibits traffic in human beings and forced labour, etc.; in
respect of STs.
2. - Ban of child labour under Article 24; in respect of STs.
3. - Educational safeguards under Article 15(4) for reservation of seats in educational institutions.
4. - Economic safeguards under Article 244 and working of Fifth and Sixth Schedules and release of grants for
raising the level of administration in tribal areas.
5. - To protect the distinct language, script or culture under Article 29(i).
6. - Working of service safeguards provided under Articles 16(4), 16(4A), 16(4B) and 335 providing for adequate
representation of Scheduled Tribes in appointments or posts.
7. - Enforcement of various laws such as:
i. The Scheduled Castes and Scheduled Tribes (Prevention of Atrocities) Act, 1989.
ii. Bonded Labour System (Abolition) Act, 1976 (in respect of Scheduled Tribes).
iii. The Child Labour (Prohibition and Regulation) Act, 1986 (in respect of Scheduled Tribes).
iv. State Acts and Regulations concerning alienation and restoration of land belonging to Scheduled Tribes.
v. Forest Conservation Act, 1980 (in respect of Scheduled Tribes).
vi. The Panchayat (Extension to the Scheduled Areas) Act, 1996.
vii. Minimum Wages Act, 1948 (in respect of Scheduled Tribes).
The functioning of the Commission:

The National Commission for Scheduled Tribes operates from its Head office at New Delhi and from the State Offices of
the Commission located in six States.
There are four Wings at Hqrs.
1. Administration & Coordination Wing

2. Service Safeguards Wing
3. Atrocities Wing
4. Economic & Social Development Wing
There are six State Offices of the National Commission for Scheduled Tribes which work efficiently with the Commission.
They closely monitor on the formulation of policy and issue of guidelines relating to the welfare of Scheduled Tribes in the
States/UTs and keep the Commission's Headquarters informed about the development periodically. Policy decisions taken
by any State Government/UT Administration affecting the interests of the Scheduled Tribes are brought to the notice of the
concerned authorities for necessary action.
To summarize, National Commission for scheduled Tribes was set up with the major aim to protect the weaker section of
society. Commissioner for STs was allocated the duty to examine all matters relating to the safeguards for STs in various
statutes and to report to the President upon the working of these protections.

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National Commission for Women

From the ancient time itself, Women play a prominent role in Indian society. In the same time, the country is notable for
not treating the women at the home as well as in the workplace. India has generally been a patriarchal society and therefore
women have always suffered from social evils to a larger extent. The problems faced by this vulnerable section has been a
matter of concern and discussed inside and outside the parliament, by common men, by organizations and societies. Many
commissions had been set up by the government to look into the welfare of women in our society. According to the reports
of these commissions, all of them state the necessity of setting up an apex body for the reviewing and address the grievance
of women in the country. The demand for setting up a body persisted for long and ultimately to keep the interest of the
people, the national commission for women Bill 1990 was introduced in the Lok Sabha on 22nd May 1990.
National Commission for Women

The National Commission for Women was set up in 1992 under the National commission Act, 1990. This body was
established to review the constitutional and legal safeguards for women. This act extends across India, except for Jammu
and Kashmir. It recommends the remedial legislative measures, facilitates redressal of grievances and advises the
government on all policy matters affecting the women. It enjoys all the powers of a civil court. The first commission was
constituted on 31st January 1992 as Jayanti Patnaik as the chairperson. Ms. Lalitha Kumaramangalam is the present
Chairperson of National Commission for Women (NCW). Alok Rawat IAS is the first male member of the National
Commission for Women (NCW). His appointment filled the 4th seat on the five-member body.
Composition of NCW
The commission shall consist of a chairperson, a member secretary, and other five members.
Chairperson: The chairperson should be nominated by the central government.
Five members: The five members are also to be nominated by the central government from amongst the person of ability,
integrity, and standing. They should possess an experience in various fields like law or legislation, trade unionism,
management of industry potential of women, women’s voluntary organization, education, administration, economic
development and social good-being.
Member secretary: Member secretary is also nominated by the central government. He/ she should be either an expert in
the field of management, organization or an officer who is a member.
Functions of NCW
● Inquiry and Investigation

The National Commission of Women enjoys the powers of a civil court. It investigates and examines the matters related to
the safeguards ensured for feminine society under the Constitution of India. It took complaints suo moto notice of matters
related to the non- implementation of laws and non- implementation of laws and non -compliance of policy decisions,
guidelines enacted and aimed at mitigating hardships ensuring the welfare and then take up issues arising out of matter with
the concerned authorities.
● Action Research
NCW members take part in the planning process of socio-economic development of women, propose measures to encourage
their representation in all spheres and review their advancement. It also reviews the safeguards provided for women in the
Constitution and other laws study their working, recommend amendments to meet any inadequacies or deficiencies, and
advocate measures for effective implementation.
● Legal Intervention
The Parivarik Mahila Lok Adalat, (PMLA) is an innovative component with its roots in the traditional Nyaya Panchayats.
It is created by NCW for the redressal and speedy disposal of cases. It has taken up 7500 cases so far. The essential feature
of PMLA is cordial mutual settlement and flexibility in implementation, aiming to empower women in the justice delivery
mechanism.
The Commission shall perform all or any of the following functions:

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1. Investigation and Examination: Investigate and examine all the matters relating to the safeguards
provided for the women under the Constitution and other laws
2. Presentation of Reports: Table reports to the Central Government, every year and at such other times as
the Commission may deem fit, reports upon the Working of those safeguards
3. Recommendations: Make in such reports and recommendations, for the effective accomplishment of those
safeguards for enhancing the conditions of the women by the Union or any State.
4. Review, every now and then, the current provisions of the Constitution and other laws distressing the
women and prescribe alterations and suggest curative legislative measures meet any break, inadequacies
and incapacity in such legislation.
5. Cases of Violation: Take up cases of infringement of the provisions of the Constitution and of other laws
relating to the women with the relevant authorities
6. Suo Motu Notice: It looks into complaints, and takes Suo Motto notice of matters relating to – deprivation
of women’s rights, Non-implementation of the laws and Non-compliance of the policy decisions
guaranteeing the welfare for women society.
7. Special Studies and Investigation: It conducts special studies or investigation on the concerning issues or
circumstance emerging out of segregation and outrages against ladies and recognizes the limitations in
order to suggest techniques for their expulsion
8. Research: Undertake the promotional and educational research so as to propose ways of ensuring due
representation of the women in all fields and identifies the factors responsible for impeding the support
services and technologies for decreasing drudgery and professional health hazards and for escalating their
efficiency.
9. Participation in all spheres particularly in Planning – take part and advice on the planning process of
socio-economic development of women
10. Evaluation – assess the progress of the development of women society under the Union and State.
11. Inspection – investigate or cause to be inspected a jail, remand home women’s establishment or other
places of guardianship where ladies are kept as detainees.
12. Funding – fund litigation, relating issues affecting a large body of women.
13. Reporting – make periodical reports on any issue pertaining to women and in particular various difficulties
under which women toil.
Drawbacks of NCW
● It has no actual legislative powers. It only has the powers to suggest amendments and submit reports which are
not obligatory on state or Union Governments.
● It does not have the power to choose its own members. The power selecting members is vested with the Union
Government and the nature of country’s volatile political scenario tends the commission to be politicized.
● It is reliant on financial assistance from the Union Government and this could compromise the independence of
the Commission.
● The jurisdiction of the commission is not operating in Jammu and Kashmir and considering the current political
unrest and human rights infringements in the region, the presence of commission is vital.
Complaints and Counseling Unit of National Commission for Women
This cell is the Core unit of the commission and processes the complaints received oral, written or suo motu under Section
10 of the NCW Act. The complaints received relate to domestic violence, harassment, dowry, torture, desertion, bigamy,
rape, and refusal to register FIR, cruelty by husband, derivation, gender discrimination and sexual harassment at work place.
The complaints are dealt with and tackled in various ways such as, Investigations by the police are expedited and monitored,
disaggregated data are made available to various state authorities to facilitate action, family disputes are resolved or
compromised through counseling.
Report of the Commission
The Commission presents an annual report to the Central Government. It can also submit a report as and when it
thinks necessary. The Central Government places all such reports before each House of Parliament, along with a
memorandum explaining the action taken on the recommendations made by the Commission. The memorandum
should also contain the reasons for the non-acceptance of any of such recommenåations. If any such report is

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related to any matter with which any state government mis concerned, the Commission forwards a copy of such
report to such state government. The state government places it before the state legislature, along with a
memorandum explaining the action taken on the recommendations of the commission.
The memorandum should also contain the reasons for the non-acceptance of any of such recommendations.
Powers of the Commission
The Commission can appoint the committees necessary for dealing with the special issues taken up by it from
time to time. It is also empowered to co-opt as members of any such committee the persons from outside the
Commission (i.e., those who are not members the Commission). The co-opted persons can attend the meetmgs of
the committee and take part in its proceedings but without the right to vote. The Commission shall regulate its
own procedure and also the, procedure of its committees. The Commission, while investigating any matter or
inquiring into any complaint, has all the powers of a Civil Court trying a suit in particular in respect of the
following matters:
• summoning and enforcing the attendance of any person from any part of India and examining him on oath,
• requiring the discovery and production of any document
• receiving evidence on affidavits
• requisitioning any public record from any court or office
• issuing summons for the examination of witnesses and documents and
• any other matter, which may be prescribed by the Central Government.
The Central Government should consult the Commission on all major policy matters affecting women.
Working of the Commission

The Commission processes the complaints received verbally or In writing. It also takes into account suo moto
notice of cases related to women. The complaints received relate to various;, categories of crimes against women
such as domestic violence, harassment, dowry, torture murder; kidnapping/abduction, complaints against NRI
marriages, desertion, bigamy, rape, police harassment; brutality, cruelty by husband, deprivation of rights, gender
discrimination, sexual harassment at workplace and so on.
The complaints are acted upon in the following manner:
1. Specific cases of police apathy are sent to the police authorities for investigation and cases are monitored.
2. Family disputes are resolved or compromises struck through counseling.
3. Disaggregated data are made available to various state authorities to facilitate action.
4. In sexual harassment complaints, the concerned organizations are urged to expedite and the disposal is
monitored.
5. For serious crimes, the Commission constitutes an Inquiry Committee to provide immediate relief and justice
to the victims of violence and atrocities.
Strategies of the Commission
In keeping with Its mandate, the Commission evolved the following strategies to Improve upon the status of
women and women's development:
● Economic empowerment through building up skills and securing access to gainful employment
● Political emp6werment through awareness, training and mobilization for equitable representation in all
forum
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● Prevention of violence and discrimination agamst women inside and outside the home through legal
reform and sensitive enforcement
● Amelioration of conditions of disadvantaged women, such as.
● Physically challenged women including those who are visually disabled or mentally affected.
● Socially challenged women including Muslim women, women from Scheduled Caste and Scheduled
Tubes, widows and prostitutes.
● Prevention of indecent representation of women in the media through legal and social sanctions.
Achievements
Some of the key achievements of NCW are as follows:
• Prepared Gender Profiles of all states and UTs except Lakshadweep
• Took up women related issues and was proactive in Parivarik Mahila Lok Adalats
• Reviewed laws such as Dowry Prohibition Act, 1961, PNDT Act 1994, Indian Penal Code 1860 and the National
Commission for Women Act, 1990 to make them more stringent and effective.
• Organized workshops/consultations etc.
Parivarik Mahila Lok Adalats

The National Commission of Women has evolved an innovative concept of ParivarikMahila LokAdalat (PMLA), which
supplements the efforts of the District Legal Service Authority (DLSA) for redressal and speedy disposal of the matters
related to marriage and family affairs pending in various courts. The Parivarik Mahila LokAdalat functions on the model of
the Lok Adalat. The Comnussion provides financial assistance to NGOs or- State Women Commissions or State Legal
Service Authority to organize the Parivarik Mahila Lok Adalat.
The objectives of Parivarik Mahila Lok Aclalat are as follows:
● To provide speedy and cost free dispensation of justice to women.
● To generate awareness among the public regarding conciliatory mode of dispute settlement.
● To gear up the process of organizing the Lok Adalats and to encourage the public to settle then disputes outside
the formal set-up.
● To empower public especially women to participate in justice delivery mechanism.
Issues around working of NCW
The Major Issues around working of the National Commission for Women are as follows:
● NCW’s functions are dependent on the grants offered by the central government. Financial assistance provided to
the Commission is very less to cater to its needs.
● NCW’s members are appointed by the government and the commission does not have power to select its own
members.
● NCW lacks concrete legislative power. It enjoys power only to recommend amendments and submit reports.
● The recommendations of the NCW are not binding on the Union or state governments.
● Often it takes action only of the issues are brought to light. Unreported cases of suppression and oppression are
generally ignored by the Commission.
● NCW’s jurisdiction is not operative in Jammu and Kashmir.
Suggestions for way forward
The Commission must be granted the power of selecting its own members. The members should be chosen without any
prejudice and should have fair knowledge of law and understands the society and human behaviour. The jurisdiction of the
commission should be extended to include the state of Jammu and Kashmir. More awareness has to be created

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especially among the rural women about the existence of the Commission. The Commission can employ a person at the
district level to bring into light the atrocities occurring at the district level. Though the NCW is doing good work for the
women in India, the commission address the above mentioned shortcomings and must increase the awareness by conducting
country wide campaigns, workshops and consultations.
National Human Rights

Commission (NHRC)
National Human Rights Commission (NHRC) is a public body constituted for benefiting the citizens of the country. It
plays vital roles since its establishment on October 12, 1993.
Human Rights means the rights relating to life, liberty, equality and dignity of the individual guaranteed by the
constitution or embodied in the International covenants and enforceable by courts in India.
This Commission was established after the thorough assessment of needs for such bodies to address the human rights
related issues and by keeping in consideration the ways and measures to apply for their protection.
The Central Government of India setup the National Human Rights Commission of India in the year 1993 under the
Protection of Human Rights Ordinance which was made effective the same year itself.
Protection of Human Rights Act, 1993 (TPHRA) gave this Commission a status of a complete statutory basis to act as a
Commission for the fruitful outcome.
National Human Rights Commission has already become an outstanding human rights institution with its national
reputation and by performing the main roles to guard rights. It is one of the important responsible groups through creating
total awareness and to promote the rights which have been given the key importance in the Act.
Composition of NHRC
National Human Rights Commission is an independent body works broadly and consists of highly knowledgeable
team to work in the areas of human rights. The composition of this Commission is:
● The head or chairperson being selected from the judiciary so any Supreme Court Chief Justice to lead the team
members.
● Two members are selected from the judiciary out of whom one should be a sitting or former Supreme Court Judge and the
other any High Court’s Chief Justice respectively.
● They are the key members besides rest two members whose appointments base on their knowledge level on both practical
and theoretical grounds who could give new direction to human rights issues.
● Ex office members of NHRC are the chairpersons of four National Commissions to complete this Commission as
a national body.
President appoints chairperson and the members of National Human Rights Commission for which a committee
nominates the names. This committee consists of chairperson, the Prime Minister and the members including Home
Minister, Leader of the Opposition in Lok Sabha, Leader of the Opposition in Rajya Sabha, Speaker and the Rajya Sabha
Deputy Chairman.
Removal of a Member of the Commission
Section 5 of the Protection of Human Rights Act describes the procedures and ground for the removal of the any member
of the Commission. . The President may remove the Chairperson or any other Member if he:

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1. Is adjudged an insolvent; or

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2. Engages during his term of office in any paid employment outside the duties of his office; or
3. Is unfit to continue in office by reason of infirmity of mind or body; or
4. Is of unsound mind and stands so declared by a competent court; or
5. Is convicted and sentenced to imprisonment for an offence, which in the opinion of the President involves moral turpitude.
Additionally, the Chairperson or any other Member of the Commission shall only be removed from his office by order of
the President on the ground of proved misbehavior or incapacity.
However, in these cases, the President has to refer the matter to the Supreme Court for an inquiry. If the Supreme Court,
after the inquiry, upholds the cause of removal and advises so, then the President can remove the Chairman or a member.
Major issues tackled by NHRC are as follows
1. Custodial Torture
2. Right to Work and Labour Rights
3. Extrajudicial Killings
4. Arbitrary Arrest and Detention
5. Excessive Powers of the Armed Forces and the Police
6. Sexual Violence
7. Conflict-Induced Internal Displacement
8. Child Labour
9. Manual Scavenging
10. Violence and discrimination against Women, Children
11. Lesbian, Gay, Bisexual, Transgender Rights
12. Problems faced by Scheduled Castes and Scheduled Tribes, Religious Minorities, Persons with Disabilities
Role of NHRC in safeguarding human rights

Since its development, the NHRC has extensively dealt with issues relating to application of human rights. NHRC has
established its reputation for independence and honesty. There is increasing number of complaints addressed to the
Commission seeking redressal of grievances. The NHRC has pursued its mandate and priorities with determination and
considerable success.
Some of the famous interventions of NHRC include campaigns against discrimination of HIV patients. It also has asked
all State Governments to report the cases of custodial deaths or rapes within 24 hours of occurrence failing which it would
be assumed that there was an attempt to suppress the incident.
An important intervention of the Commission was related to Nithari Village in Noida, UP, where children were sexually
abused and murdered. Recently, NHRC helped to bring out in open a multi crore pension scam in Haryana. It also is
looking up the sterilization tragedy of Chattisgarh.
Major functions of NHRC are as follows:
1. Proactively or reactively inquire into infringements of human rights or negligence in the prevention of such violation
by a public servant.
2. By leave of the court, to intervene in court proceeding relating to human rights.
3. To visit any jail or other institution under the control of the State Government, where persons are detained or
lodged for purposes of treatment, reformation or protection, for the study of the living conditions of the inmates and
make recommendations.
4. Review the safeguards provided by or under the Constitution or any law for the time being in force for the
protection of human rights and recommend measures for their effective implementation.
5. Review the factors, including acts of terrorism that inhibit the enjoyment of human rights and recommend
appropriate remedial measures.

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6. To study treaties and other international instruments on human rights and make recommendations for their effective
implementation.
7. Undertake and promote research in the field of human rights.
8. Engage in human rights education among various sections of society and promote awareness of the safeguards
available for the protection of these rights through publications, the media, seminars and other available means.
9. Support the efforts of NGOs and institutions working in the field of human rights.
It is revealed in reports that the international community has acknowledged the increasing importance of strengthening
national human rights institutions.
In this context, in the year 1991 an UN-sponsored meeting of representatives of national institutions held in
Paris, a detailed set of principles on the status of national institutions was developed, these are commonly known as
the Paris Principles.
These principles became the foundation for the establishment and operation of national human rights institutions.
Strengths of NHRC
1. The selection procedure of the members of NHRC is the main factor of its strength. The composition of the Selection
Committee is such that it involves members of ruling as well as opposition party and both the Houses of Parliament. Also,
the composition of NHRC is such that it involves Legislative, Executive, Judiciary, academicians and NGOs. This gives
the Commission a broad vision to deal with the issues of Human Rights.
2. Financial autonomy, though limited, has provided NHRC independence of Central Government. The Commission is free
to make its own budget and spend it according to its own planning. The draft of the proposed budget is placed before both
the Houses of Parliament and after the approval of the budget, the Government, without making any amendment, has to
provide finances to the Commission.
3. The Commission has the power to conduct suo-moto inquiry into the complaints of Human Rights violations.
4. Easy accessibility to the Commission has made it one of the most popular organizations. Anyone can approach NHRC
through telephone, letter, application, mobile phone and the Internet. All the documents, reports, newsletters, speeches,
etc. of the Commission are also available on this website. The status of the complaint too can be known through its
website. The popularity and trust on NHRC is quite evident from the fact that while it had registered only 496 complaints
in 1993-94, in 2004-05 the total number of cases were 74,4019.
5. NHRC has advised the government a number of times on the issues of Human Rights. Be it the cases of custodial
deaths or suicide by the farmers or health issues or POTA, child marriage, trafficking of women and children etc., the
government has been taking suggestions from NHRC.
6. NHRC, in a true democratic fashion, has worked immensely to create awareness among public on Human Rights issues
through seminars, workshops, lectures, literature, NGOs’ participation, universities’ collaborations, etc.
7. The Commission has extended its sphere from time to time. Support for right to information, health care issues,
disables’ rights, HIV/AIDS patients’ rights etc. are some of the issues where NHRC has worked successfully.
Weaknesses of the Commission
1. In the process of selection of the members of the Commission, the Chairman is not consulted.
2. Because of certain weakness in the Act, at times the Commission feels the need for the amendments. But the
Commission has constraints in doing so.
3. Another major weakness of the Commission is that it does not have powers to investigate armed forces, BSF or any
other paramilitary forces.
4. Finally, NHRC is only an investigative and recommendatory body. It does not have power of prosecution.
5. It is dependent on the Government for manpower and money. The Central Government shall pay to the Commission
by way of grants such sums of money as it may consider fit.
NHRC has contributed to nation building

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● NHRC has contributed to nation building by becoming the voice of the deprived and the oppressed. He said that
the protection of human rights has been an important part of our culture.
● After independence, elements such as an independent and impartial judiciary; an active media; an active civil
society, and organizations such as NHRC are in place to protect human rights.
● Human rights should not be merely a slogan, but also a part of our ethos. He said that in the last four years or so, a
lot of serious efforts have been made to improve the quality of life of the poor.
● The Government’s focus has been to ensure that all Indians have access to the basic needs of human beings.
● In this context, the achievements of schemes such as Beti Bachao, Beti Padhao, Sugamya Bharat Abhiyan, Pradhan
MantriAwaasYojana, UjjwalaYojana, and SaubhagyaYojana; and the transformation that has been brought about
in the lives of the people as a result of these schemes.
● The construction of more than 9 crore toilets, has ensured sanitation, and a life of dignity, for crores of poor people.
● The recently launched health assurance initiative – PMJAY – under Ayushman Bharat.
● The law which provides relief to Muslim women from triple talaq, is also part of this series of steps taken to
ensure basic rights for people.
● Steps taken to improve ease of access to justice, such as increasing the number of e-courts, and strengthening of
the National Judicial Data Grid.
● Aadhaar is a technology-based empowerment initiative.
● The success of these initiatives has also been because of Jan Bhagidaari – public participation.
● Along with awareness of human rights, citizens should also be aware of their duties and responsibilities.
● Those who understand their responsibilities, also know how to respect the rights of others.
● The role of NHRC is also crucial for achieving the Sustainable Development Goals.

Minorities
The National Commission for Minorities (NCM) was established by the Union Government under the National Commission
for Minorities Act, 1992. National Commission for Minorities was conceived in the determination presented by the Ministry
of Home Affairs, on the 12th of January, 1978. Major reasons for establishing the National Commission for Minorities in
India is that the Ministry of Home Affairs felt a feeling of insecurity and inequality among those belonging to the minority
community. Observing this matter, the Indian government implemented all kinds of safeguarding measures for the
Minorities in the Constitution. Central as well as State Laws were established, along with many administrative schemes and
government strategies.
Union Government included six religious communities such as Muslims, Christians, Sikhs, Buddhists, Zoroastrians (Parsis)
and Jains as minority communities.
Who are minorities?
● Constitution of India has not defined word ‘Minority’ and only refers to ‘Minorities’.
● It speaks of minorities ‘based on religion or language’ and rights of minorities have been spelt out in Constitution
in detail.
● Six religious communities, viz. Muslims, Christians, Sikhs, Buddhists, Zoroastrians (Parsis) and Jains have been
notified in Gazette of India as minority communities by Union Government all over India.
Constitution of the National Commission for Minorities:
The Central Government shall constitute a body to be known as the National Commission for Minorities to exercise the
powers conferred on, and to perform the functions assigned to, it under this Act.

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The Commission consist of a Chairperson, a Vice Chairperson and five Members to be nominated by the Central
Government from amongst persons of eminence, ability and integrity; Provided that five Members including the Chairperson
shall be from amongst the Minority communities.
Development of NCM:
The precursors of the National Commission for Minorities were the State-level Minorities Commissions established by the
State Governments in Uttar Pradesh, Bihar and Gujarat by ruling political dispensations of different philosophical types.
The first-ever Minorities Commission was formed in 1960 in Uttar Pradesh by the Congress Government under Dr.
Sampurnanand. The State Government went forward with an Executive Order to that effect despite misgivings about the
Constitutional tenability and political advisability of such a step. Ironically, Dr. Sampurnanand was a sincere Hindu, indeed
a Hindi and Sanskrit scholar who made the cow-protection law in his State, an example of how a devout Hindu need not
necessarily be a politically conscious Hindu. The one-member Minorities Commission was expanded in 1974 into a ten-
member body.
The Congress Government in Bihar established a multi-member Minorities Commission in 1971. This was re-formed by
the Janata Party Government under Karpoori Thakur in November 1977 so that the Chief Minister became Chairman. The
Karpoori Thakur Government went a step further and established district-level Minorities Standing Committees.
In November 1977, the Janata Party Government in Gujarat under Babubhai Patel formed a State Minorities High Powered
Committee. The concept of a national-level Minorities Commission was cited in the Manifesto of the Janata Party during
the 1977 General Elections. The Draft Committee of the Manifesto included L.K. Advani besides three Socialists and one
Gandhian. The Manifesto promised “to make suitable institutional arrangements for the protection of the Constitutional and
civil rights of the Minorities and other weaker sections of the society.”
After the Janata Party assumed power in 1977, a semi-government organization called the Minorities Commission was
developed in Delhi. It was directed by then Home Minister Chaudhary Charan Singh and had the permissions of Prime
Minister Morarji Desai. On 12 January 1978, the Union Home Ministry informed a Government Resolution (No. II-
160/2/2/77-NID) that said, “Despite the safeguards provided in the Constitution and the laws in force, there persists among
the Minorities a feeling of inequality and discrimination. In order to preserve secular traditions and to promote National
integration, the Government of India attaches the highest importance to the enforcement of safeguards provided for the
Minorities and is of the firm view that effective institutional arrangements are urgently required for the enforcement and
implementation of all the safeguards provided for the minorities in the Constitution in the Central and State laws and in
Government policies and administrative schemes enunciated from time to time. The Government of India has, therefore,
resolved to set up a Minorities Commission to safeguard the interests of the Minorities whether based on religion or
language”.
There is an uproar for talking constitutional status on The National Commission for Minorities. It is well recognized that
such a status had been imagined by the Morarji Government from the beginning. On 03 August 1978, the Government
presented in the Lok Sabha, the Constitution (Forty-Sixth) Amendment Bill 1978 which among other things made room for
a constitutionally sanctioned Minorities Commission to “inspire greater confidence among the Minorities.” But it was
severely criticized by several legal and constitutional experts; V.P. Bhartiya named the Commission a “Phoenix” and
condemned the Government for “engrafting this foreign organism to the equality postulate of the Constitution”. Though the
Bill failed, the Morarji Government was undeterred and introduced the Constitution (Fifty-First) Amendment Bill 1979
which again fell for lack of support. The Morarji Government made another ineffective attempt in that direction in a specially
extended Lok Sabha session. Compassionately for the Hindus, this Government had to chicken out after being hit with a
no-confidence motion.
It is notable that former Chief Justice of India, M.H. Beg, who regulated the Minorities Commission from 1981 to 1988, in
his very first report powerfully recommended that “the Minorities Commission should be replaced with or merged into a
National Integration-cum-Human Rights Commission”. Chairman Justice Beg repeated and expounded upon this

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recommendation in the next annual report of the Minorities Commission and even put forth the notion of replacing the
Minorities Commission with a National Integration-cum-Human Rights Commission at a Conference of State Minorities
Commissions and Boards held in Delhi in January 1984.
Though the Congress is professed of being remorseful of minority appeasement, successive Congress Governments under
Indira Gandhi and Rajiv Gandhi had no plans to give either constitutional or even ordinary legislative support to the
Commission or to arm it with powers exercisable under the Commissions of Inquiry Act, 1952. The Union Welfare Minister
in the two Houses of Parliament on 25 November and 02 December 1988 believed there was no explanation for such
demands. The Congress first assured to accord constitutional status to the Commission before the 1991 General Elections.
But that was to come later.
A scheme to grant statutory status to the Minorities Commission was made in the election manifesto of the National Front
led by V.P. Singh. In enactment of this promise, the V.P. Singh-led government planned to give statutory and even
constitutional status to the Minorities Commission. Though, the Constitution (Sixty-Fifth Amendment) Act 1990 did not
associate the Minorities Commission with the National Commission for Scheduled Castes and Scheduled Tribes. According
to the statement made by Ram Vilas Paswan in the Lok Sabha in 1992, this could not be done because “the men of BJP
were with us in the Government” in 1990.
After that, the National Commission for Minorities came into existence following the National Commission for Minorities
Act 1992 brought by the Narasimha Rao-led United Front Government. The Act came into force on 17 May 1992. The
discussion on this Bill was opened by L.K. Advani who delivered a lengthy speech opposing the Bill. Advani was frank to
hold himself guilty for having been party to the creation of the Minorities Commission. He said the manifesto of the Janata
Party did not commit itself to a Minorities Commission but only spoke of a Civil Rights Commission, and demanded he
was “hamstrung” while in Government. Advani also raised valid objections to the proposed Act. The official notification of
the Act and the composition of the first seven-member statutory National Commission for Minorities were proclaimed by
two separate Government notifications issued on 17 May 1993.
In its manifesto for the 1998 General Elections, the BJP vowed to wind up the National Commission for Minorities and
trust its responsibilities to the National Human Rights Commission. After the NDA government resumed power, some
opposition members asked Prime Minister Vajpayee in Parliament to state his Government’s policy about the National
Commission for Minorities. The Prime Minister assured the members that The National Commission for Minorities is not
threatening to social system. He was apparently hamstrung by the fact that winding up the NCM did not figure in the
Common Minimum Programme of the NDA.
Various State-level Minorities Commissions are formed in different States such as Andhra Pradesh, Bihar, Chhattisgarh,
Delhi, Jharkhand, Karnataka, Madhya Pradesh, Rajasthan, Tamil Nadu, Uttar Pradesh, Uttarakhand and West Bengal. The
Minorities Commissions in Maharashtra, Manipur and Punjab do not have statutory status. Assam, Gujarat and Himachal
Pradesh have non-statutory Minorities Boards.
To the credit of the BJP, during 1995-1996, the Shiv Sena-BJP Government in Maharashtra and the BJP Government in
Rajasthan had wound up the State Minorities Commissions and a similar exercise was undertaken in Uttar Pradesh in 1999.
The case related to the Maharashtra State Minorities Commission, known as the Misbah Alam Case. The State Government
stated that “it is the policy of the Government that all citizens are equal and there should not be any discrimination of
Minority-Majority”. The Supreme Court articulated incapability to issue a directive to the State Government in this regard
since there was no statute making it obligatory for the State Government to reconstitute the Commission. It is well
established that if the National Commission for Minorities were granted Constitutional status in future, it will be compulsory
for all State Governments to constitute State Minorities Commissions without the option of dissolving them.
Functions of the Commission:
The Commission perform following functions:

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● Evaluate the progress of the development of Minorities under the Union and States.
● Observe the working of the safeguards provided in the Constitution and in laws enacted by Parliament and the
State Legislatures.
● Make recommendations for the effective implementation of safeguards for the protection of the interests of
Minorities by the Central Government or the State Governments.
● Attend specific complaints regarding deprivation of rights and safeguards of the Minorities and take up such
matters with the appropriate authorities.
● Cause studies to be undertaken into problems arising out of any discrimination against Minorities and recommend
measures for their removal.
● Conduct studies, research and analysis on the issues relating to socio-economic and educational development of
Minorities.
● Recommend appropriate procedures in respect of any Minority to be undertaken by the Central Government or
the State Governments.
● Make periodical or special reports to the Central Government on any matter pertaining to Minorities and in
particular the difficulties confronted by them.
● Any other matter which may be referred to it by the Central Government.
The Central Government shall cause the recommendations referred to in clause (c) of sub-section (1) to be laid before each
House of Parliament along with a memorandum explaining the action taken or proposed to be taken on the recommendations
relating to the Union and the reasons for the non-acceptance, if any, of any of such recommendations.
Where any recommendation mentioned in clause (c) of sub-section (1) or any part thereof is such with which any State
Government is concerned, the Commission shall forward a copy of such recommendation or part to such State Government
who shall cause it to be laid before the Legislature of the State along with a memorandum explaining the action taken or
proposed to be taken on the recommendations relating to the State and the reasons for the non-acceptance, if any, of any of
such recommendation or part.
While performing any of the functions mentioned in sub-clauses (a), (b) and (d) of sub-section (1), The Commission have
all the powers of a civil court trying a suit and, in particular, in respect of the following matters, namely:
● Necessitating the discovery and production of any document.
● Receiving evidence of affidavits.
● Any other matter which may be recommended.
Powers of commission:
The Commission has the following powers:
● Requiring the discovery and production of any document.
● Receiving evidence on affidavit.
Political role of the National Commission for Minorities:

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As a statutory body, the National Commission for Minorities is thought to be a political. Yet there have been numerous
occasions when the National Commission for Minorities and State Minorities Commissions have openly taken political
positions.
In December 1998, the National Commission for Minorities wrote to the Election Commission for preventing the use of
words like “votebank”, “appeasement”, “concessions” in reference to Minorities in the forthcoming Lok Sabha elections.
In July 1999, the NCM Chairman recommended separately to the heads of all major political parties that they should ensure
passable representation of minorities in Parliament and all State Legislatures. He insisted political parties to ensure at least
100 seats for Minorities in the next Lok Sabha. In August 1999, Rev. Dr. James Massey, Member NCM, used government
transport to attend a press conference at St. Savior's High School Meeting Hall, Ahmednanagar, Maharashtra, where the
forthcoming Parliamentary and Assembly elections were debated. Dr. Massey urged the Christian community to play a
dynamic and important role in the forthcoming elections and asked the members of the church “to vote for such persons
who will fight against Fascism, Brahminism and Manuvad and protect the poor, the dalits and marginalised from such
‘isms’.”
These statements were made at the said press conference and pamphlets asking Christian voters to cease from voting for
BJP and to vote for Congress-1 and the Nationalist Congress Party were dispersed. In Tamil Nadu, the Chairman of the
State Minorities Commission who was a Christian missionary, actively campaigned for the local ruling party in the 1999
General Elections.
Demands and compliance:
The National Commission for Minorities has been loyally resounding the demands of powerful fundamentalist Islamic and
Christian missionary lobbies. These demands are placed as “recommendations” to the Central and State governments.
Find below the list of some of the recommendations (compliance indicated in brackets):
● Establishment of a Central Development and Finance Corporation for the Minorities - 1991. (National Minorities
Development & Finance Corporation formed in 1994).
● In 2003-2004, The National Commission for Minorities recommended that school textbooks should be analysed to
comprehend if they contained any material that creates hatred among the minorities. (The New National Curriculum
Framework 2005 addressed these concerns and textbooks are being reviewed accordingly for several classes. The
NCERT/CBSE has already introduced revised text books for Classes 1, III, VI, IX and XI. NCERT sends the
proposed new books in advance to NCM so its Members can go through the portions pertaining to different
religions).
● There should be balanced representation of minorities in the Armed Forces and Police. Officers who belong to
minority communities should be given so-called ‘sensitive’ assignments so that they can play a more useful role
and provide a remedy. (Central Para-Military Forces have been asked to ensure sufficient representation to
minorities through making minority community candidates aware of the employment opportunities and the
incentives/prospects available in the Forces. Recruitment Boards have been directed to send special information to
minority community run institutions/organizations with a request to encourage candidates from these communities
to apply for recruitment in Central Para-military forces. Additionally, the State Governments/UT Administrations
have been advised that State police forces should represent the social structure in their respective States so that the
forces retain their secular character).
● Appropriate steps should be taken to increase share of minority communities in public/private employment. (All
public sector undertakings have been recommended that wherever a Selection Committee/Board is constituted for
making recruitment to 10 or more vacancies in Group ‘C’ and Group ‘D’ posts/services, it shall be mandatory to
have one member belonging to a minority community in such committees/boards. Administrative Ministers have
been requested to direct the officials in all public sector undertakings to ensure the interests of minorities are taken
care of. The Ministry of Railways, Govt. of India has already issued necessary instructions to all Indian Railways/
PUs to ensure representation of Minorities in Selection Committees/Boards).

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● Satisfactory flow of credit to minority communities for nationalized banks for trade and business may be
safeguarded. (All commercial banks, both in the public and private sector, have already been instructed by the
Reserve Bank of India to ensure smooth flow of credit to minority communities so that these communities can
secure benefits flowing from various Government sponsored schemes. The RBI has also issued directions to banks
precisely to promote financial inclusion. Additionally, Reserve Bank also monitors the credit flow to minorities).
● The procedures regarding preservation and management of Enemy Properties in India devolved in the Custodian of
Enemy Property of India issued by CEP has no legal basis and should be immediately withdrawn. The Custodian
of Enemy Property should ensure that no property notified as Wakf Property under the relevant statute is ever
declared as Enemy Property. Action should be initiated to ensure that Wakf Property is kept outside the purviews
of the Enemy Property Act 1968. The Administration/CEP should not recover/demand any rent arrear of rent for a
Property alleged to be an Enemy Property till such time as it is notified so under Section 12 of the Enemy Property
Act, 1968. (The Enemy Property (Amendment and Validation) Bill is to be introduced in the winter session of
Parliament).
● On 27 October 2000, The National Commission for Minorities suggested to the Ministry of Law that while
appointing Government Counsels, effort should be made to ensure that Members of the minority communities are
adequately represented.
● The National Commission for Minorities made a statutory recommendation to UGC and M/o Human Resources
Development for grant of exemption to candidates belonging to minority communities from the requirement of
clearing UGC’s NET for 15 years for their appointment against teaching posts in all Colleges and Universities.
● Draft bill of the Equal Opportunities Commission prepared by the National Commission for Minorities (Bill under
process of inter-ministerial consultation; some Ministers want the EOC to be limited for Minorities only).
● Reservation for Dalit Christians and Muslims at par with SCs /STs should be considered by the Government in all
seriousness and all facilities extended.
To summarize, the National Commission for Minorities protects the constitutional and legal rights of minorities in the
nation. The minorities are one of the communities on whom the constitution of India has made special safeguards so that
they could preserve their religion, language, script and culture, and this has been done by carving out an exception to the
principle of equality and secularism.

Backward Classes
India's National Commission for Backward Classes is a constitutional body (123rd constitutional amendment bill 2018 and
102nd amendment in constitution to make it constitutional body) (Article 338B of the Indian Constitution) under India's
Ministry of Social Justice and Empowerment established on 14 August 1993. It was constituted pursuant to the provisions
of the National Commission for Backward Classes Act, 1993.
Composition of National Commission for Backward Classes:
The commission includes five members:
o A Chairperson who is or has been a judge of the Supreme Court or of a High Court.
o A social scientist.
o Two persons, who have special knowledge in matters relating to backward classes.
o A Member-Secretary, who is or has been an officer of the Central Government in the rank of a Secretary to the
Government of India. Their term is of Three years.
Appointment of National Commission for Backward Classes:

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Members and other executives of the National Commission for Backward Classes are appointed on following basis:
1. The President of India may by order appoint a Commission consisting of such persons as he thinks suitable to
investigate the conditions of the socially and educationally backward classes within the region of India and the
difficulties under which they labour and to make recommendations as to the steps that should be taken by the Union
or any State to remove such difficulties and to improve their condition and as to the grants that should be made for
the purpose by the Union or any State and the conditions subject to which such grants should be made, and the order
appointing such Commission shall define the procedure to be followed by the Commission.
2. A Commission, so appointed, shall examine the matters referred to them and present to the President a report stating
the facts as found by them and make appropriate recommendations.
3. The President shall cause a copy of the report so presented together with a memorandum explaining the action taken
thereon to be laid before each house of Parliament.
For the National Commission for Backward Classes, India follows a specific organizational structure. This structure includes
8 departments under the Chairman of the Commission. These departments are listed below:
1. The Administrative Division

2. The Research Division
3. The Directorate
4. The Research Officers
5. The Under Secretary
6. The Section Officer
7. The Research Wing.
Functions and power of National Commission for Backward Classes:
The commission considers inclusions in and exclusions from the lists of communities notified as backward for the purpose
of job reservations and tenders the needful advice to the Central Government as per Section 9(1) of the NCBC Act, 1993.
Similarly, the states have also established commissions for BC's. As of 24 July 2014 over two thousand groups have been
listed as OBCs. Both the National Commission for Backward Classes and National Commission for Scheduled Castes have
the same powers as a Civil Court. National Commission for Backward Classes has not yet been authorized to look into the
grievances of persons of Other Backward Classes. Under Article 338(5) read with Article 338(10) of the Constitution,
National Commission for Scheduled Castes is the competent authority to look into all the grievances, rights and safeguards
relating to Backward Classes.
Major Functions of the National Commission for Backward Classes are as under:
o Under Section 9(1) of the National Commission for Backward Classes Act, 1993, the Commission shall
examine requests for inclusion of any class of citizens as a backward class in the Central List of Backward
Classes and hear complaints of over-inclusion or under-inclusion of any backward class in the lists and tender
such advice to the Union Government as it deems appropriate.
o Under Section 9(2) of the Act, The advice of the Commission shall ordinarily be binding upon the Central
Government.
o Under Section 11(1) of the Act, the Central Government may at any time, and shall, at the expiration of 10 years
from the coming into force of this Act and every succeeding period of ten years thereafter, undertake revision of
the lists with a view to excluding from such lists those classes who have ceased to be backward classes or for
including in such lists new backward classes.
o Under Section 11(2) of the Act, the Central Government shall, while undertaking any revision referred to in sub-
section (1) consult the Commission.
What is the significance of the Constitutional status?

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● This would help the backward classes people fight atrocities against them and ensure quick justice to them.
● The duties of the NCBC include investigating and monitoring how safeguards provided to the backward classes under
the Constitution and other laws are being implemented and probe specific complaints regarding violation of rights.
Under this measure, the NCBC will have the powers of a civil court while probing any complaint.
Some concerns:
● The Constitution (123rd Amendment) Bill neither describes the expertise Commission members should possess nor
provides a fixed tenure for them. Nor does it spell out explicitly whether the Commission will vet complaints of
exclusion from and requests for inclusion in the list of classes granted 27% reservation.
● Not giving the role of deciding the inclusion and exclusion to the proposed Constitutional Commission, which the
earlier Commission had, will be a breach of the direction of the Supreme Court in Indra Sawhney
The Government of India has also advanced the principles for exclusion of certain socially advanced persons and sections
‘called the Creamy Layer’ from the benefits of reservation available to OBCs in civil posts and services under the
Government of India.
Commission has the authority to make important decisions for which commission had been constituted and meet the
members of the commission at the specified time and place as chairperson (head of the commission) thinks fit as provided
under Section 8. Commission has specified objective as it functions as provided under Section 9, commission on requests
examine for inclusion of any class of citizens as a backward class in the list and hear grievances as complaints for any over-
inclusion and under-inclusion. Commission shall have the authority to tender any advice to the Central Government
regarding inclusion of class of citizens in backward class list and advice of the commission be binding on the Central
Government as it deem fit. Apart from functions commission has some powers as specified under Section 10 of the Act,
Commission while performing its functions under Section 9 (1) have all powers of civil court trying a suit and matters
leading to summoning and examining the oath receiving evidence of affidavits and matters connected thereto.
Central Government is authorized to make periodic review after the expiration of ten years from the force of the Act and
every subsequent period of ten years review the list to check the classes which exclude from lists which has to be included
and inclusion of classes from lists which has to be excluded. Central Government while making any amendment, it has to
consult the commission under Section 11(1) for the changes and alterations which has to be made in the form of revision.
Central Government by notification in the official gazette has great powers to devise rules and remove problems as provided
in Section 17 and 18 of the Act, which includes the power to make rules regarding the salaries and other allowance given to
members of commission as dealt in Section 4 and 5 of the Act.
As Act and Commission established under Act declares about Backward Classes and request for inclusion in list of
Backward Classes. There are some factors and guidelines needs to be followed for inclusion and complaints to be made
under inclusion in the backward classes as specified in the Act. Commission founded under the Act after studying the report
framed by Mandal Commission and other materials formulated the guidelines for requests for inclusion in the list of Other
Backward Classes. The main factors involved for request of inclusion list of backward classes are Social, Educational, and
Economic. Basically, The Mandal Commission was constituted in India in 1979 by the Janata Party government under Prime
Minister Morarji Desai with a directive to "identify the socially or educationally backward." It was supervised by Indian
parliamentarian B.P. Mandal to consider the question of seat reservations and quotas for people to redress caste
discrimination, and used eleven social, economic, and educational indicators to determine backwardness. In 1980, the
commission's report avowed the affirmative action practice under Indian law whereby members of lower castes (known as
Other Backward Classes (OBC), Scheduled Castes (SC) and Scheduled Tribes (ST)) were given exclusive access to a certain
portion of government Jobs and slots in public universities, and recommended changes to these quotas, increasing them by
27% to 50%. Mobilization on caste lines had followed the political empowerment of ordinary citizens by the constitution of
free India that allowed common people to politically declare themselves through the right to vote. The Mandal Commission
implemented different tactics to collect the indispensable data and evidence. In order to identify who qualified as an "other
backward class," the commission adopted eleven criteria which could be grouped under three major headings: social,
educational and economic. 11 criteria were developed to identify OBCs.
Social factor involves the caste and community which generally considered as socially backward which has to be included
in list of backward classes, term castes specified in the social backward classes categorized as Criminal Tribes under
Criminal Tribes Act, 1924 and repealed by the Criminal Tribes (Repeal) Act, 1952. Educational qualification not only has

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its role in social and economic but also has its existence for request of inclusion in the list of backward classes, request of
castes and communities whose literary rate is at least 8% less than state or district average be included in the backward
classes. Besides social and education economic criteria, social factor also cover way for the inclusion of list in backward
class by nature of population.
In general, the commission constituted under National Commission for Backward Classes Act, 1993 deals with the matter
for inclusions in and exclusions from the lists of communities notified as backward classes and notified by the Central
Government mainly for the purpose of job reservations and tenders. As not everyone from the upper-class are rich and lower
classes are poor, government while dividing people not to be interfered with political advantage, as reservation policy creates
a turbulence in the Indian society. Citizens been scrum bled based on the reservation policies formulated by the government
as it has effect only to the jobs and tenders and not for improving the primary and secondary education. Government should
take suitable measures keeping all the necessary factors including primary education which has its higher role in social and
economic development of nation.
To summarize, National Commission for Backward Classes Act, 1993 was enacted to shield backward section of society in
India. The commission considers inclusions and exclusions from the lists of communities notified as backward for the
purpose of job reservations and tenders, the needful advice to the Central Government as per Section 9(1) of the NCBC Act,
1993.

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M.N. Roy
M. N. Roy was a twentieth century Indian philosopher. He began his career as a militant political activist
and left India in 1915 in search of arms for organizing an insurrection against British rule in India.
However, Roy’s attempts to secure arms ended in failure, and finally in June 1916, he landed in San
Francisco, California. It was there that Roy, who was then known as Narendra Nath Bhattacharya,
changed his name to Manbendra Nath Roy. Roy developed friendships with several American radicals,
and frequented the New York Public Library. He began a systematic study of socialism, originally with the
intention of combating it, but he soon discovered that he had himself become a socialist! Roy met Lenin
in Moscow in 1920, and went on to become an international ranking communist leader. Nevertheless, in
September 1929 he was expelled from the Communist International for various reasons. He returned to
India in December 1930 and was sentenced to six years imprisonment for his role in the Kanpur
Communist Conspiracy Case.
Roy’s real philosophical quest began during his prison years which he decided to use for writing a
systematic study of ‘the philosophical consequences of modern science’, which would be a
re-examination and re-formulation of Marxism to which he subscribed since 1919. The reflections, which
Roy wrote in jail over a period of five years, grew into nine rigorous volumes. The ‘Prison Manuscripts’
have not yet been published in their totality, and are currently preserved in the Nehru Memorial
Museum and Library Archives in New Delhi. However, selected portions from the manuscript were
published as separate books in the 1930s and the 1940s.
In his philosophical works, Roy has made a clear distinction between philosophy and religion. According
to Roy, no philosophical advancement is possible unless we get rid of orthodox religious ideas and
theological dogmas. On the other hand, Roy has envisaged a very close relationship between philosophy
and science. Moreover, Roy has given a central place to intellectual and philosophical revolution in his
philosophy. Roy maintained that a philosophical revolution must precede a social revolution. Besides,
Roy has, in the tradition of eighteenth century French materialist Holbach, revised and restated
materialism in the light of twentieth century scientific developments. In the context of Indian philosophy,
Roy could be placed in the tradition of ancient Indian materialism—both Lokayata and Carvaka.
Ideational journey of M N Roy
Militant Nationalist Phase: In Search of Arms

● Roy began his political career as a militant nationalist at the age of 14, when he was still a
student. He joined an underground organization called Anushilan Samiti, and when it was
banned, he helped in organizing Jugantar Group under the leadership of Jatin Mukherji. In 1915,
after the beginning of the First World War, Roy left India for Java in search of arms for organizing
an insurrection to overthrow the British rule in India. From then on, he moved from country to
country, using fake passports and different names in his attempt to secure German arms. Finally,
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after wandering through Malay, Indonesia, Indo-China, Philippines, Japan, Korea and China, in
June 1916, he landed at San Francisco in the United States of America. Roy’s attempts to secure
arms ended in a failure. The Police repression had shattered the underground organization that
Roy had left behind. He had also come to know about the death of his leader, Jatin Mukherji, in
an encounter with police.
Towards Communism
● The news of Roy’s arrival at San Francisco was somehow published in a local daily, forcing Roy to
flee south to Palo Alto, California near Stanford University. It was here that Roy, until then known
as Narendra Nath Bhattacharya or Naren, changed his name to Manbendra Nath Roy. This
change of name on the campus of Stanford University enabled Roy to turn his back on a futile
past and look forward to a new life of adventures and achievements.
● Roy’s host at Palo Alto introduced him to Evelyn Trent, a graduate student at Stanford University.
Evelyn Trent, who later married Roy, became his political collaborator. She accompanied him to
Mexico and Russia and was of great help to him in his political and literary work. The
collaboration continued until they separated in 1929.
● At New York, where he went from Palo Alto, Roy met Lala Lajpat Rai, the well-known nationalist
leader of India. He developed friendships with several American radicals, and frequented the
New York Public Library. Roy also went to public meetings with Lajpat Rai. Questions asked by
the working class audience in these meetings made Roy wonder whether exploitation and
poverty would cease in India with the attainment of independence. Roy began a systematic
study of socialism, originally with the intention of combating it, but he soon discovered that he
had himself become a socialist! In the beginning, nurtured as he was on Bankimchandra,
Vivekanand and orthodox Hindu philosophy, Roy accepted socialism except its materialist
philosophy.
● Later in Mexico in 1919, Roy met Michael Borodin, an emissary of the Communist International.
Roy and Borodin quickly became friends, and it was because of long discussions with Borodin
that Roy accepted the materialist philosophy and became a full-fledged communist.
● In 1920, Roy was invited to Moscow to attend the second conference of the Communist
International. Roy had several meetings with Lenin before the Conference. He differed with
Lenin on the role of the local bourgeoisie in nationalist movements. On Lenin’s recommendation,
the supplementary thesis on the subject prepared by Roy was adopted along with Lenin’s thesis
by the second conference of the Communist International. The following years witnessed Roy’s
rapid rise in the international communist hierarchy. By the end of 1926, Roy was elected as a
member of all the four official policy making bodies of the Comintern – the presidium, the
political secretariat, the executive committee and the world congress.
● In 1927, Roy was sent to China as a representative of the Communist International. However,
Roy’s mission in China ended in a failure. On his return to Moscow from China, Roy found himself
in official disfavor. In September 1929, he was expelled from the Communist International for
“contributing to the Brandler press and supporting the Brandler organizations.” Roy felt that he
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was expelled from the Comintern mainly because of his “claim to the right of independent
thinking.” (Ray 1987)
M.N. Roy’s differences with the Comintern over the Colonial Question
● The national and colonial question was an enduring one for the Soviet Communist Party and the
Comintern. The latter were never able to deal with this question satisfactorily. The question was
essentially of the strategy and tactics to be adopted by communists in their own country. While
being directed by the Comintern. Now the strategy and tactic to be followed differed from
country to country according to the Prevailing objective conditions and the relations of forces.
But the objective conditions were often perceived differently by the communist parties and the
Comintern. The problem was that the communist parties in various countries like India and China
analyzed their societies with the help of concepts already present in Marxist theory. The domain
of facts in their own societies were however different and so were the questions raised.
● For instance in India the communists had to tackle questions outside the parameters of classical
Marxism owing to the existence of a backward capitalist economy. Classes corresponding to the
capitalist mode of production were different in many ways and class conflict also assumed very
different forms from those encountered in western capitalist societies. Colonialism and external
capital domination had given rise to a distorted economy. But in the absence of a specific
analysis of their own societies the communists depended on the Comintern for broad policy
guidelines. The result was often unfortunate since the Comintern did not have adequate
information. Gradually political movements in colonial societies questioned the Eurocentric
philosophy of history upheld by the Comintern and attempted an independent course of action.
● In Marxism there is a model of classic bourgeois revolutions in which the bourgeoisie leads a
revolution to its successful conclusion. A second way model in which a bourgeoisie lacks
hegemony over the revolutionary coalition is also present. The debate amongst the Indian
communists revolved around the second way model i.e. whether the bourgeoisie lacked
hegemony or not.
● In the second Congress at Moscow; Lenin developed a different theoretical framework for the
colonial societies. He argued that first, the colonial bourgeoisie was historically capable of
leading the revolution in India. A backward colonial capitalism, according to Lenin, did not imply
that the bourgeoisie was as reactionary as in backward European states like Germany. So the
Comintern must enter into a temporary alliance with bourgeoisie democracy in the colonial and
backward countries. But should not merge with it. Secondly, He anticipated the crucial role of
the peasantry in colonial societies in the anti-colonial struggle.
● M.N. Roy’s argument was different. He proposed that the Comintern and the communist parties
should not support the national liberation struggles but should concentrate on building of
communist parties and developing workers and peasant’s organizations. Contrary to Lenin’s
thesis he argued that a backward capitalism in India produced a weak bourgeoisie and a
correspondingly stronger proletariat which was more powerful. In this manner Roy exaggerated
the role of the working class in the anti-colonial struggle. He eliminated the national bourgeoisie
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as a vital ally in the national movement and was skeptical of the revolutionary force of the
peasantry.
● Eventually this implied that the working class in India was to achieve freedom from alien rule on
its own. After an intense debate the supplementary thesis of M.N. Roy was adopted by the
Congress.
Critique of Marxism
● After dissolving the Radical Democratic Party Roy re-examined his ideas and attempted a
clarification of some concepts he had used. This examination led him to launch an attack on
Marxism on several grounds. Developments during and after the war convinced Roy that
Communism had ’degenerated into nationalism in the Soviet Union.Under Stalin the communist
party had become authoritarian. It suppressed all forms of dissent. The actions of Soviet leaders in
foreign affairs such as setting up of communist dictatorships in East Europe. Opposition to the
Marshall Plan and so on, led him to believe that they were aspiring to be a super power.
● M. N. Roy also criticized the economic interpretation of history given by Marx. He argued that by
viewing the individual as only a part of the collectivity, Marxism rejected the autonomy of the
individual. According to Roy. The existence of social organization presupposes the prior existence of
the individual. He further contended that neither socialism nor communism but freedom should be
the ideal of a Civilized Society. Describing Radical Humanism in this context he said, “We place man
in the center of the scheme of things: others would sacrifice him on the altar of the collective
ego'.”
● He now viewed the Marxist model of revolution as an outdated one. Revolution through
insurrection was impossible owing to the military power of modern states. He put forward the idea
of a revolution by consent guided by a philosophy with universal appeal .In the last years of his life
1947-54, Roy became an exponent of Radical Humanism. Like Western philosophers. Turgot and
Condorcet, he felt that the progress of science had liberated man’s creative energies. He explained
the need to coin a new word because the existing philosophies were inadequate to deal with the
problems of Indian society. He argued that his political philosophy makes room for the individual
and moral values; and he judged the merit of any social order by the freedom it gives to its
individual members.
● Also politics around him had-become opportunistic and the way could’ be cleared only by
introducing the human element in public affairs. He believed that the right to participate in politics
had been reduced to mere voting in elections. This must be re-examined in order to establish
complete democracy.
Return to India: Prison Years

● Roy returned to India in December 1930. He was arrested in July 1931 and tried for his role in
the Kanpur Communist Conspiracy Case. He was sentenced to six years imprisonment.When Roy
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returned to India, he was still a full-fledged communist, though he had broken from the
Comintern. The forced confinement in jail gave him more time than before for systematic study
and reflection.
● His friends in Germany, especially his future wife, Ellen Gottschalk, kept providing him books,
which he wanted to read. Roy had planned to use his prison years for writing a systematic study
of ‘the philosophical consequences of modern science’, which would be in a way a
re-examination and re-formulation of Marxism to which he had been committed since 1919. The
reflections, which Roy wrote down in jail, grew over a period of five years into nine thick
volumes (approximately over 3000 lined foolscap-size pages).
● The ‘Prison Manuscripts’ have not so far been published in their totality, and are currently
preserved in the Nehru Memorial Museum and Library Archives in New Delhi. However, selected
portions from the manuscript were published as separate books in the 1930s and the 1940s.
These writings show that Roy was not satisfied with a primarily economic explanation of
historical processes. He studied and tried to assess the role of cultural and ideational factors in
traditional and contemporary India, in the rise and expansion of Islam, and in the phenomenon
of fascism. He was particularly severe on the obscurantist professions and practices of neo-Hindu
nationalism. Roy tried to reformulate materialism in the light of latest developments in the
physical and biological sciences. He was convinced that without the growth and development of
a materialist and rationalist outlook in India, neither a renaissance nor a democratic revolution
would be possible. In a way, seeds of the philosophy of new humanism, which was later
developed fully by Roy, were already evident in his jail writings.
M N Roy is called a ‘remarkable failure’ by Sudipto Kaviraj. He was one of the most learned personalities
during the freedom struggle. However he proved complete failure in politics. His biggest contribution is
his philosophy known as ‘radical humanism’.
Beyond Communism: Towards New Humanism

● Immediately after his release from jail on 20 November 1936, Roy joined Indian National
Congress along with his followers. He organized his followers into a body called League of Radical
Congressmen. However, in December 1940, Roy and his followers left Congress owing to
differences with the Congress leadership on the role of India in the Second World War.
Thereafter, Roy formed the Radical Democratic Party of his own. This signaled the beginning of
the last phase of Roy’s life in which he developed his philosophy of new humanism.
● Roy prepared a draft of basic principles of “radical democracy” before the India conference of
the Radical Democratic Party held in Bombay in December 1946. The draft, in which his basic
ideas were put in the form of theses, was circulated among a small number of selected friends
and associates of Roy. The “22 Theses” or “Principles of Radical Democracy”, which emerged as
a result of intense discussions between Roy and his circle of friends, were adopted at the
Bombay Conference of the Radical Democratic Party. Roy’s speeches at the conference in
connection with the 22 Theses were published later under the title Beyond Communism.
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● In 1947, Roy published New Humanism – A Manifesto, which offered an elaboration of the 22
Theses. The ideas expressed in the manifesto were, according to Roy, “developed over a period
of a number of years by a group of critical Marxists and former Communists.”
● Further discussions on the 22 Theses and the manifesto led Roy to the conclusion that
party-politics was inconsistent with his ideal of organized democracy. This resulted in the
dissolution of the Radical Democratic Party in December 1948 and launching of a movement
called the Radical Humanist Movement. At the Calcutta Conference, itself where the party was
dissolved, these 19 and 20 were amended to delete all references to the party. The last three
paragraphs of the manifesto were also modified accordingly. Thus, the revised versions of the 22
Theses and the manifesto constitute the essence of Roy’s New Humanism.
Radical Humanism: Humanist Model of Politics

● Roy’s theory of a new model of politics aims at the rejection of spiritualism. Nationalism,
communism and stands for the acceptance of materialism. According to M.N. Roy the latter is
the only possible philosophy since it represents the knowledge of nature as it really exists.
● The basic elements of New Humanism are three: rationality. Morality and freedom. Roy argued
that human beings are subject to their environment but the rational nature of man compels him
to offer better explanations of the events’ of nature. As a rational creature man is involved in a
struggle for material existence. This struggle takes two forms -- at the savage plane it signifies
the satisfaction of his mundane wants and at the higher plane. It signifies his struggle for
freedom. Freedom is a process and not a complete idea. In the quest for freedom, argues Roy.
Man as a rational being is driven to bring nature under his control and freedom “signifies the
progressive disappearance of all restrictions on the unfolding of the potentialities of
individuals as human beings
● "Freedom of the individual” is one of the central themes of Roy’s scientific politics. He
challenges all ideologies which deny the sovereignty of man. As an alternative to the existing
ideologies. Roy desired to set up a new social order based on the sovereignty of the individual.
Components of Radical Humanism

Radical humanism is about cosmopolitan union of the truly liberated person.The three components of
Radical humanism:
● Freedom- According to M.N.Roy freedom means freedom from all sorts of fear and insecurities.
● Reason- As per M.N.Roy,every person is rational,though a man appears irrational.It is the
presence of reason in man which can become the basis for human solidarity. According to
him,reason is not spiritualistic or metaphysical. Reason is materialistic in origin.
● Reason developed as a result of Man’s struggle for survival .Man;s struggle for existence is still
continuing and can be the basis of rationality.
● Ethics- According to Roy ,the origin of ethics is not in scriptures.Origin of ethics is in reason of
man.During man’s struggle for survival whateverman found is rational,desirable, it became the
basis of ethics or social norms.
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Radical humanism suggests rejecting outdated customs and tradition.It suggests rationalizing the
principles governing our life. It is materialistic.Radical Humanism can be considered as
existentialism.M.N.Roy is a source of inspiration for rationalists.
Humanist Interpretation of History

In his humanist interpretation of history,Roy gives an important place to human will as a determining
factor in history, and emphasizes the role of ideas in the process of social evolution. Formation of ideas
is, according to Roy, a physiological process but once formed, ideas exist by themselves and are governed
by their own laws. The dynamics of ideas run parallel to the process of social evolution and both of them
influence each other. Cultural patterns and ethical values are not mere super structures of established
economic relations. They have a history and logic of their own.
Inadequacies of Communism
● Roy’s criticism of communism is based mainly on the experience of the former Soviet Union,
particularly the “discrepancy between the ideal and the reality of the socialist order.”
According to Roy, freedom does not necessarily follow from the capture of political power in the
name of the oppressed and the exploited classes and abolition of private property in the means
of production. For creating a new world of freedom, revolution must go beyond an economic
reorganization of society. A political system and an economic experiment which subordinates the
man of flesh and blood to an imaginary collective ego, be it the nation or class, cannot possibly
be, in Roy’s view, the suitable means for the attainment of the goal of freedom.
● The Marxian doctrine of state, according to which the state is an instrument of exploitation of
one class by another, is clearly rejected by Roy. According to Roy, the state is “the political
organization of society” and “its withering away under communism is a utopia which has been
exploded by experience”.
● Similarly, Roy rejects the communist doctrine of the dictatorship of the proletariat. “Dictatorship
of any form, however plausible may be the pretext for it, is,” asserts Roy, “excluded by the
Radical-Humanist perspective of social revolution”.
Party less Democracy

● Given his experience of party politics. Roy attacked the goal of power as the only incentive for
political action. He argued that “politics is as old as organized social life...It should therefore be
realized that politics and parties are not invariably related to each other. Nor have they always
been together.” Hence there was a possibility of political activity without the existence of
political parties.
● The party system is an inadequate medium to represent the people in the eyes of Roy It denies
the individuals any significant opportunity for effective political action. The right to vote does not
ensure political participation. Moreover party rule signifies the rule of a minority of citizens who
claim to represent the aspirations of the people.
● Representative government largely represents only the party which controls it and membership
of even the largest size is but a small fraction of the people. Finally Roy claims that the party
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system leads to dishonesty and corruption in public life since such a system works for the leaders
and not for the people.
● Roy formulated the notion of organized democracy and participant citizenship to overcome the
grave defects of parliamentary democracy. Concomitant to this political framework is the need
to-introduce a new economic order. According to Roy. Decentralized order in which functions of
the state are performed by free and voluntary associations of enlightened people will provide a
partial solution to the problem. Testate will become an advisory and administrative machinery to
coordinate and supervise policies framed by the people. The people will participate in local
committees which will make them conscious of their sovereign rights. The economic activity of
the new social order has three characteristics:
a) Cooperative economy
b) Centralized planning
c) Science and Technology
● Since Roy was critical of capitalism and its doctrine of laissez faire and of state socialism he
advanced the view of an economy based on widespread decentralization and a practice of
co-operation. Economic activity should be conducted at the district, regional and national level
by multipurpose co-operative societies. Similarly planning should be initiated at the grassroots
level. Science and technology should be used to reconcile the problem of economic
development with the human urge for freedom.
● M.N. Roy started his career with a commitment to Marxism but became disillusioned with it over
the years. What remained with him however was the conviction that revolutions are ‘heralded
by iconoclastic ideas conceived by gifted individuals. Primacy lies with the existence of
revolutionary ideas’, a revolution must be preceded according to him by a philosophical
revolution. Revolutions have no relations with violence or the struggle for power amongst
individuals but are meant to change the outlook of the people by bringing about a philosophical
regeneration.
Radical Democracy
● Roy’s ideal of radical democracy consists of a highly decentralized democracy based on a network of
people’s committee’s through which citizens wield a standing democratic control over the state.
● Roy has not ignored the economic aspect of his ideal of radical democracy. He argued that
progressive satisfaction of the material necessities is the precondition for the individual members
of society unfolding their intellectual and other finer human potentialities. According to him, an
economic reorganization, which will guarantee a progressively rising standard of living, is the
foundation of the Radical Democratic State. “Economic liberation of the masses'', says Roy, “is an
essential condition for their advancing towards the goal of freedom.”
● The ideal of radical democracy will be attained, according to Roy, through the collective efforts of
mentally free men united and determined for creating a world of freedom. They will function as the
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guides, friends and philosophers of the people rather than as their would-be rulers. Consistent with
the goal of freedom, their political practice will be rational and, therefore, ethical.
● Roy categorically asserts that a social renaissance can come only through determined and
widespread endeavor to educate the people as regards the principles of freedom and rational
cooperative living. Social revolution, according to Roy, requires a rapidly increasing number of men
of the new renaissance, and a rapidly expanding system of people’s committees and an organic
combination of both. The program of revolution will similarly be based on the principles of
freedom, reason and social harmony.
● As pointed out by Roy himself in his preface to the second edition of the New Humanism: A
Manifesto, though new humanism has been presented in the twenty-two theses and the Manifesto
as a political philosophy, it is meant to be a complete system. Because of being based on the
ever-expanding totality of scientific knowledge, new humanism cannot be a closed system. “It will
not be”, says Roy, “a dogmatic system claiming finality and infallibility.”
M.N Roy was influenced by Materialism of Hobbes,Secularism of Locke and Ethics of Spinoza.
Relation existed between M.N Roy and Gandhi

● Roy had enormous respect for Gandhi – as a person. But , differed with Gandhi on many issues.
While Roy was in Congress, he could not get on well with Gandhi. The dislike was mutual. He
had maintained that Gandhi was religious revivalist; and he was bound to be a reactionary,
however revolutionary he might appear politically. In contrast, Lenin regarded Gandhi as an
inspirer ; a leader of the mass movement ; and, as a revolutionary. The role and place of Gandhi
in anti-imperialism was crucial to the difference between Roy and Lenin.
● Gandhi’s stand on untouchability,according to Roy, was also suspect (this was also the view of Dr.
Ambedkar). Roy remarked that sermons might have some propaganda value; but beyond that
they hardly were of any use. Roy pointed out that Gandhi’s programs of similar nature were,
basically, verbal, couched in sentiments rather than effective programs involving masses and
appealing to their immediate interests. As regards untouchability, what was required, he said,
was ‘constant campaign coupled with modes and changes in personal relationships by
challenging unhealthy prejudices’.
● He was also against Gandhi’s insistence of compulsory Chakra (home-spun) movement. Roy
pointed out that ‘sentiments can keep a movement going for a certain limited length of time, but
it cannot last longer unless fed with more substantial factors’. Gandhi’s Charkha movement, Roy
observed, was based on hollow economic logic; it was not economically viable; and therefore
Charka’s fate was sealed.
● Roy reminded how during the Ahmadabad Session of the Congress (December 1921), Pandit
Motilal Nehru and Deshbandhu C. R. Das had also rejected Gandhi’s resolution for compulsory
spinning; and how Motilal Nehru had thundered: ‘We decline to make a fetish of the spinning
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wheel or to subscribe to the doctrine that only through that wheel can we obtain
‘swaraj…Discipline is desirable, but it is not discipline for the majority to expel the minority. We
are unable to forget our manhood and our self-respect and to say that we are willing to submit
to Gandhi’s orders. The Congress is as much ours as our opponents.’
● Roy also did not agree with Gandhi’s theory of ‘Trusteeship’; he said it was neither realistic nor
practical. Capitalism, he said, will not collapse because of the sentiments; but will fall because of
its own contradictions.
● However, Roy’s main critique of Gandhi , as a leader of Congress , was that he and his inner circle
imposed their tactics from above on the rank and file; and that they had turned Congress
Working Committee of Gandhi’s handpicked followers into an “authoritarian dictatorial”
High-Command. He found it akin to the inner working coterie of the Comintern. Roy kept asking:
Why is it that Gandhi did not like to consult people outside his circle, even when intellectuals
including his friends advised him to do so? Why did Gandhi summarily reject such advice?
● Later, when Roy said: “When political power is concentrated in the hands of a small community,
you may have a façade of parliamentary democracy, but for all political purposes it will be a
dictatorship, even if it may be paternal and benevolent”, he perhaps also had Gandhi in his mind.
● Roy wanted the Congress not to be completely swayed away by the influence of Gandhi and of
the bourgeois .The Congress, according to him , was a mass nationalist movement , a symbol of a
united national front. . It was not the party of any particular class or group.
Conclusion
● Roy is never considered as an important figure in the history of the international communist
movement as he was expelled later from the Comintern. He is also not taken seriously for his
contribution to the thinking on Imperialism. Because of his international career and long
absence from the Indian national arena, Roy is never given due credit in the history of Indian
national movement as well. He remains on the periphery of all three above mentioned areas
partly because of his failures in all of his endeavors. He failed to overthrow the British through
radical methods, failed to spread revolution based on Marxist principles in colonies and also
couldn’t build support for his positions on Indian politics.
● Roy, with his active participation in national and international struggles, forms ideal subject
matter for inquiry in the academic field of global intellectual history. His interesting life story
includes the formation of two communist parties, one of which in Mexico, so far away from India
then, and an active role in Chinese civil war and politics in India. He traveled and worked in
distant lands like Mexico, Russia and China in the days before the advent of travel enabled due to
globalization. This is in itself remarkable. Very few Indians other than Tagore, Gandhi and Nehru
had that type of exposure to the world. He also got a chance so rare in his contemporaries to
work with the stalwarts of the 20th century like Lenin, Mao, Gandhi and Nehru. He argued with
them, differed with their ideological positions and also was courageous enough to make public
his pronouncements.
● Roy has been forgotten so much from the intellectual-political setting that he doesn’t even find a
place in Ramachandra Guha’s book on ‘Makers of Modern India’ which lists 19 outstanding
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individuals who had contributed in shaping modern India. This speaks volumes about Roy’s place
in contemporary times and also the need to restore such thinkers into our mainstream
intellectual surroundings.
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ELEMENTS OF NATIONALIST STRATEGY DURING FREEDOM STRUGGLE-GENERAL ANALYSIS

AND SALIENT FEATURES.
Large elements of the nationalist strategy were evolved during the Moderate and the
Extremist phases of the movement; it was structured and came to fruition during the
Gandhian phase of the movement and in Gandhiji’s political practice.
● The nationalist strategy was based on the specific nature and character of British rule
and the colonial state. While fully grasping the exploitative and dominational character
of colonial rule, Indian leaders also realized that the colonial state was semi-hegemonic,
and semi-authoritarian in character.
● The colonial state was established by force and force remained its ultimate sanction.
Naked force was often used to suppress peaceful movements. But it was not based just
on force
● It was also based on the creation of certain civil institutions, such as elected assemblies,
local government institutions, courts, and schools and colleges, and, above all, on the
rule of law. It provided a certain amount of civil liberties in non-movement periods.
Moreover, often, even while suppressing popular opposition, it observed certain rules of
law and codes of administration. In other words it was semi-democratic,
semi-authoritarian.
● The semi-hegemonic character of the colonial state arose from the fact that it relied very
heavily for the consent of the Indian people in their rule on two notions carefully
inculcated over a long period of time.
● One was the notion that the foreign rulers were benevolent and just, that they were the
Mai-Baap of the people, that they were economically and socially and culturally
developing or ‘modernizing’ India.
● The second notion was that the colonial rulers were invincible, that it was futile to
oppose them, that the Indian people were too weak and disunited to oppose them
successfully, that they would crush all opposition except to the extent they themselves
permitted it, that all opposition had, therefore, to proceed along constitutional lines.
● The colonial rulers also offered constitutional, economic and other concessions to
popular movements and did not rely on their repression alone; they followed a policy of
the carrot and the stick.It was in the context of and in opposition to this
semi-hegemonic, semi-authoritarian colonial state that the national movement gradually
evolved its strategy and tactics.
● The effectiveness and validity of the nationalist strategy lay in the active participation of
the masses in the movement. The masses had, therefore, to be politicized and activated.
The political passivity of the masses, especially in the villages, consciously inculcated and
nurtured by the colonial authorities, was a basic factor in the stability of colonial rule. A
major objective of the movements of the Gandhian era was to bring the masses into
active politics and political action
● The second objective of the nationalist strategy was to erode the hegemony or
ideological influence of the colonial rulers inch by inch and in every area of life. Since
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the British did not rule primarily by force but by a carefully organized belief system or
ideology, it was necessary to undermine and overthrow this belief system. The battle
then had to be one of ideas. The objective was to have more and more people adopt
nationalist ideas and ideology.
● A major objective of the hegemonic colonial ideology was to hide the face of the real
enemy — colonialism — that is, to hide the primary contradiction between the
interests of the Indian people and colonialism. The basic task of the counter
hegemonic nationalist movement was to expose the face of the colonial enemy and
the primary contradiction to the light of day. Hence the most important element of
nationalist strategy was its ideological-political work.
● A third objective of the Congress strategy was to undermine the hold of the colonial
state on the members of its own state apparatuses — members of the civil services, the
police and the armed forces — and to win them over to the nationalist cause or at least
to weaken their loyalty and obedience to the colonial regime. The nationalist movement
was, in fact, quite successful in this task. Gradually, the behaviour of the police and jail
officials underwent a qualitative change. A large number of officials of all types actively
helped the 1942 movement at great personal risk.
● This as well as efforts to win the support of non-Congress leaders and public opinion
within India also aided the achievement of a fourth objective of the nationalist strategy:
to constantly expand the semi-democratic political space, and to prevent the colonial
authorities from limiting the existing space, within which legal activities and peaceful
mass struggles could be organized.
● The second major aspect of nationalist strategy was the long-drawn out character of the
hegemonic struggle. Under this strategy, which may be described as
Struggle-Truce-Struggle or S-T-S’, a phase of vigorous extra-legal mass movement and
open confrontation with colonial authority was followed by a phase during which direct
confrontation was withdrawn, and political concessions, if any, wrested from the colonial
regime were worked and shown to be inadequate.
● During this latter, more ‘passive,’ phase, intense political and ideological work was
carried on among the masses within the existing legal and constitutional framework, and
forces were gathered for another mass movement at a higher level. The culmination of
this strategy of S-T-S’ came with a call for ‘Quit India’ and the achievement of
independence. Both phases of the movement were utilized, each in its own way, to
undermine colonial hegemony, to recruit and train nationalist workers and to build up
the people’s capacity to struggle.
● The entire political process of S-T-S’ was an upward spiralling one. This strategy also
assumed advance through stages. Each stage represented an advance over the previous
one. At the same time, it was realized that the task of national liberation was incomplete
till state power was transferred. Even an advanced stage of constitutional reforms did
not mean that freedom had been partially transferred. Freedom was a whole; till it was
fully won, it was not won at all.
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● Any other view would tend to make Indians ‘partners’ of colonialism during the ‘reform’
phases of the movement, and the national movement would tend to be co-opted by the
colonial state. The Indian nationalists avoided this trap by treating the non-mass
movement phases also as phases of political, anti-colonial struggle. The working of the
reforms was not equated with the working of the colonial system.
● A basic feature of the nationalist strategy was to move from stage to stage without
getting co-opted by the colonial regime which was opposed and struggled against at
each stage. Only the form of struggle changed. In the extra-legal mass movement
phases, laws were broken and civil disobedience was practised; in the non-mass
movement or ‘passive’ phases, there was mass agitation, intense ideological work,
including extensive tours by leaders, organization of public meetings on an extensive
scale, and the organization of workers, peasants and students and youth and their
struggles, mostly by the left-wing, during the late 1920s and the 1930s.
● Thus, both types of phases were seen as political phases of the anti-imperialist struggle,
equally rich in anti-imperialist content, and parts of the same anti-imperialist strategy. So
the political struggle was perpetual, only its forms underwent change.
● The strategic perspective that there should be two types of phases of the national
movement was also based on the perception that though a mass movement needed a
‘standing army’ or ‘steel frame’ of whole time political workers, it could not be based
only on them. Its real striking power could come only from the masses. The national
movement produced thousands of these whole time workers who devoted their entire
lives to the freedom struggle. They spent their entire lives in jails, or Ashrams, or Khadi
bhandars, or trade union and Kisan Sabha offices.
● But while they played a crucial role in organizing and mobilizing the masses, the
movement had to be based on the masses. Consequently, recourse to a mass movement
that confronted the colonial state and then its shift to a phase of non-confrontation were
an inherent part of a strategy of political struggle that was based on the masses. The
Gandhian strategy was thus based on a specific understanding of the limits to which
both the people and the Government could go.
DOCTRINE OF CONSTITUIONALISM
Constitutionalism
● A Political strategy based on the philosophy of Liberalism

● It intends to achieve political aims through rational dialogue
● There is no need for violence for achieving political aims.
● Constitutional methods are also called institutional methods.
● States can provide different institutions like legislature, local government for
representation of people’s grievances.
● There is involvement of people in administration.
● Free and Fair judicial system for redressal of grievances.
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Constitutionalism in India
● An idea imported from Britain.

● It was born as a result of new ideas and reforms and institutions introduced by Britishers
like Rule of Law, Modern Judicial system, Civil services, Assemblies
● Britishers did not rule India only by use of Coercive methods.
● They tried to build hegemony by doing certain good actions for Indians to gain legitimacy
of British rule.
● They incorporated Indians into assemblies and later into the Indian civil Service.
● Early nationalist employed constitutional methods like bringing resolutions in
assemblies, Sending prayers, memorandums and petitions, appeals for justice to the
state and finally protests.
Rationale behind Early leaders adopting Constitutional Methods
● Most of the early leaders had received Western Education and they were impressed by
the value of Liberalism.
● They believed that British rule is blessing in disguise and placed great faith in British
sense of justice.
● M.G Ranade thanked British for introducing Rule of Law, expressed that British rule in
India is Divine intervention to eradicate events of misrule in past.
● He also argued that British rule is source of inspiration, hope and confidence. Indians
are fortunate that they are being ruled by British.
● Surendranath Banerjee appealed to British to introduce the institutions which are truly
British in character so that Indians can rejoice in permanent union with the British.
● Dadabhai Naorji held that British are justice loving people. Indians have to
communicate their demand to the British in a reasonable manner.
● Gokhale argued that Constitutional methods were adopted as per circumstances.
Direct action required immense preparation and Indians were not ready for such
action.
● C.Y. Chintamani says, ‘ before introducing Direct action we have to address internal
divisions and disunity’.
Critique of Constitutional Methods
● Tilak : Constitutional methods in front of Alien bureaucracy is a political suicide.

● Sri Aurobindo: Constitutional methods reflect “Intellectual bankruptcy” of the leaders.
He believed that Indians will have to strike at the roots of Colonialism i.e. Boycotting
foreign goods and adopting Swadeshi.
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● Nehru: Constitutional methods will not work as India does not have constitutional
government.
Analysis by Bipin Chandra
● Direct action is possible only when masses are organized, unified & have common
consciousness of common end. The exploitative conditions of colonial rule were bringing
Indians together. But the Subjective consciousness of common ends was missing.
● Moderates were leaders as well as learners. There was no readymade critique of
Imperialism available for them to understand. The first analysis of
Imperialism/Colonialism came with publication of Book, ‘ Imperialism: The highest stage
of Capitalism’ by Lenin.
● At the same time, British did introduce some good practices. All the features of evil
empires were not on surface.
● Though moderates did not carry on the mass struggle but they carried out Struggle at
ideological level. They laid the foundation of the most spectacular mass movement.
● As per Ranade: “ The memorials are not addressed to the British, they are addressed to
Indians”.
● As per Gokhale: “ We are at such stage that our achievements are bound to be less and
our failures too frequent. We must content or satisfy ourselves by serving our country by
our failures. It is through these failures that struggle will emerge.
MODERATE PERESPECTIVE OF FREEDOM STRUGGLE ( CONTINUATION OF

CONSTITUIONALISM )
● The national leaders like Dadabhai Naoroji, Pherozshah Mehta, D.E. Wacha, W.C.
Bonnerjea, and S.N. Banerjea who dominated the Congress policies during this period
were staunch believers in ‘liberalism’ and ‘moderate’ politics and came to be labelled as
Moderates to distinguish them from the neo-nationalists of the early twentieth century
who were referred to as the Extremists.
● The moderate political activity involved constitutional agitation within the confines of
law and showed a slow but orderly political progress. The Moderates believed that the
British basically wanted to be just to the Indians but were not aware of the real
conditions.
● Therefore, if public opinion could be created in the country and public demands be
presented to the Government through resolutions, petitions, meetings, etc., the
authorities would concede these demands gradually.
● To achieve these ends, they worked on a two-pronged methodology one, create a strong
public opinion to arouse consciousness and national spirit and then educate and unite
people on common political questions; and two, persuade the British Government and
British public opinion to introduce reforms in India on the lines laid out by the
nationalists.
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● For this purpose, a British committee of the Indian National Congress was established in
London in 1899 which had India as its organ. Dadabhai Naoroji spent a substantial
portion of his life and income campaigning for India’s case abroad. In 1890, it was
decided to hold a session of the Indian National Congress in London in 1892, but owing
to the British elections of 1891 the proposal was postponed and never revived later.
● The Moderate leaders believed that political connections with Britain were in India’s
interest at that stage of history and that the time was not ripe for a direct challenge to
the British rule. Therefore, it was considered to be appropriate to try and transform the
colonial rule to approximate to a national rule.
Contributions of Moderate Nationalists:
1. Economic Critique of British Imperialism:

● The early nationalists, led by Dadabhai Naoroji, R.C. Dutt, Dinshaw Wacha and others,
carefully analysed the political economy of British rule in India, and put forward the
“drain theory” to explain British exploitation of India.
● They opposed the transformation of a basically self-sufficient Indian economy into a
colonial economy (i.e., a supplier of raw materials and food stuff, an importer of finished
goods and a field of investment for British capital). Thus, the Moderates were able to
create an all-India public opinion that British rule in India was the major cause of India’s
poverty and economic backwardness.
● To mitigate the deprivation characterising Indian life, the early nationalists demanded
severance of India’s economic subservience to Britain and development of an
independent economy through involvement of Indian capital and enterprise.
● The early nationalists demanded reduction in land revenue, abolition of salt tax,
improvement in working conditions of plantation labour, reduction in military
expenditure, and encouragement to modern industry through tariff protection and direct
government aid.
2. Constitutional Reforms and Propaganda in Legislature:
● Legislative councils in India had no real official power till 1920. Yet, work done in them by
the nationalists helped the growth of the national movement. The Imperial Legislative
Council constituted by the Indian Councils Act (1861) was an impotent body designed to
disguise official measures as having been passed by a representative body.
● Indian members were few in number—thirty years from 1862 to 1892 only forty-five
Indians were nominated to it, most of them “being wealthy, landed and with loyalist
interests. Only a handful of political figures and independent intellectuals such as Syed
Ahmed Khan, Kristodas Pal, V.N. Mandlik, K.L. Nulkar and Rashbehari Ghosh were
nominated.
● From 1885 to 1892, the nationalist demands for constitutional reforms were centred
around: 1. Expansion of councils—i.e., greater participation of Indians in councils, 2.
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Reform of councils—i.e., more powers to councils, especially greater control over

finances.
● The early nationalists worked with the long-term objective of a democratic
self-government. Their demands for constitutional reforms were conceded in 1892 in the
form of the Indian Councils Act.
● These reforms were severely criticised at Congress sessions, where the nationalists made
no secret of their dissatisfaction with them. Now, they demanded
(i) a majority of elected Indians, and
(ii) control over the budget i.e., the power to vote upon and amend the budget.
● They gave the slogan—”No taxation without representation”. Gradually, the scope of
constitutional demands was widened and Dadabhai Naoroji (1904), Gopal Krishna
Gokhale (1905) and Lokmanya Tilak (1906) demanded self-government like the
self-governing colonies of Canada and Australia. Also, leaders like Pherozshah Mehta and
Gokhale put government policies and proposals to severe criticism.
● The British had intended to use the councils to incorporate the more vocal among Indian
leaders, so as to allow them to let off their “political steam”, while the impotent councils
could afford to remain deaf to their criticism. But the nationalists were able to transform
these councils into forums for ventilating popular grievances, for exposing the defects of
an indifferent bureaucracy, for criticising government policies/proposals, raising basic
economic issues, especially regarding public finance.
● The nationalists were, thus, able to enhance their political stature and build a national
movement while undermining the political and moral influence of imperialist rule. This
helped in generating anti-imperialist sentiments among the public.
● But, at the same time, the nationalists failed to widen the democratic base of the
movement by not including the masses, especially women, and not demanding the right
to vote for all.
3. Campaign for General Administrative Reforms:

● Indianisation of government service on the economic grounds that British civil servants
expected very high emolu merits while inclusion of Indians would be more economical;
on political grounds that, since salaries of British bureaucrats were remitted back home
and pensions paid in England, this amounted to economic drain; and on moral grounds
that Indians were being discriminated against by being kept away from positions of trust
and responsibility.
● Separation of judicial from executive functions.
● Criticism of an oppressive and tyrannical bureaucracy and an expensive and
time-consuming judicial system.
● Criticism of an aggressive foreign policy which resulted in annexation of Burma, attack on
Afghanistan and suppression of tribals in the North-West.
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● Increase in expenditure on welfare (i.e., health, sanitation), education—especially

elementary and technical— irrigation works and improvement of agriculture, agricultural
banks for cultivators, etc.
● Better treatment for Indian labour abroad in other British colonies, who faced
oppression and racial discrimination there.
4. Defence of Civil Rights:

● These rights included the right to speech, thought, association and a free press. Through
an incessant campaign, the nationalists were able to spread modern democratic ideas,
and soon the defence of civil rights became an integral part of the freedom struggle.
● It was due to the increased consciousness that there was a great public outrage at the
arrest of Tilak and several other leaders and journalists in 1897 and at the arrest and
deportation of the Natu brothers without a trial.
AN EVALUATION OF THE MODERATES:
● They represented the most progressive forces of the time.

● They were able to create a wide national awakening of all Indians having common
interests and the need to rally around a common programme against a common
enemy, and above all, the feeling of belonging to one nation.
● They trained people in political work and popularised modern ideas.
● They exposed the basically exploitative character of colonial rule, thus undermining
its moral foundations.
● Their political work was based on hard realities, and not on shallow sentiments,
religion, etc.
● They were able to establish the basic political truth that India should be ruled in the
interest of Indians.
● They created a solid base for a more vigorous, militant, mass-based national
movement in the following years.However, they failed to widen their democratic
base and the scope of their demands.
EXTREMIST STRATEGY OF FREEDOM STRUGGLE
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Though from the last few years of the 19th century, extremists came into existence, it was
only after the partition of Bengal that they gained popularity.
Causes of Extremism:
● Leadership of moderates had failed to deliver any fruit to India and so young nationalist
leaders started to acquire dominant position gradually.
● Act of 1892 dissatisfied the congress leaders and so they choose to resort to legal and
nationalist policies for their demands.
● Now they recognised the true nature of the British rule which moderates failed to and
had belief in its being just.
● Education gave them a new vision and they got inspiration from India history. Western
thinkers also influenced them.
● Increasing westernisation of India by British led them to think that they will destroy
Indian traditions, customs and culture and so they grew against British.
● Lord Curzon’s reactionary policy was also responsible for the growth of extremism. He
spoke derogatorily of Indian character in general which hurt pride of India.
● Much more was the dissatisfaction with achievements of moderates which pave a way to
extremists in Indian politics.
Nature of Extremism:
● Extremists had wide social base of political agitations, they involved lower middle class
and middle class public apart from educated class of people.
● They did not believe in British rule and believed crown’s claim unworthy.
● They got their inspiration from Indian history, tradition, culture and heritage and had
faith in masses capacity to participate and sacrifice.
● They also adopted extra constitutional methods of boycott, etc.
● Their demand was Swaraj, as their birthright.
GENERAL ANALYSIS/ SUPPLEMENTARY READING
● Tilak, Lala Lajpat Rai, Bipin Chandra Pal and Aurobindo Ghose defined the creed of
extrimism articulating its aspirations and operations. Tilak gave the slogan to his
followers “Swaraj is my birth right and I shall have it”. Aurobindo Ghose described
Swaraj as the fulfillment of the ancient life of India under modern conditions, the
return of the ‘Satyayugh’ of national greatness, self-liberation of the people for final
fulfilment of the Vedantic ideal in politics”, which to him was the true ‘Swaraj’.
● Lajpat Rai said “Swaraj was the first requisite for a nation and reform or good
government could be no substitute for it”. Thus Swaraj was a demand for complete
freedom from foreign govt. The new leadership sought to create a passionate love for
liberty accompanied by a spirit of sacrifice and the readiness to suffer for the cause of
the country.
● Bengal partition gave the extremists a wider stage to attract millions to play their role.
They utilized the Vande Mataram movement as the beginning of the beginning. The
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extremists advocated Boycott of Foreign goods, use of Swadeshi goods, national

education and passive resistance. Economic boycott of British made goods and the use
of homemade or Swadeshi goods aimed at providing opportunities for work and
employment. Lalaji explained that the original idea behind boycott movement was to
cause pecuniary loss to the nation of shopkeepers.
● It proved a most effective weapon against economic exploitation by the foreigners and
for injuring British interests in India. He summed up “We desire to turn our faces away
from Government House and turn then to huts of the people. This is the psychology,
this is the ethics, and this is the spiritual significance of the boycott movement.”
● The extremists emphasized the national scheme of education boycotting the
Government controlled universities and colleges all over the country. Government
threatened to take stern action against such boycotts. The extremists advocated for the
establishment of National Universities independent of Government control. The Bengal
National College was established by the Bengal Council of National Education.
● The leader of the extremists Lokamanya Tilak preached non-cooperation with the
Government in all sectors. In 1902 at Poona he said “You must realise that you are a
great factor in the power with which the administration of India is controlled. You are
yourself the great lubricants which enabled the gignantine machinery to work so
smoothly. Though down trodden and neglected you must be conscious of your power
of moving the administration impossible if you but choose to make it”. This statement
of Tilak created a long lasting effect on the minds of the people irrespective of any caste,
creed and religion.
● The extremists also encouraged co-operative organisations. Voluntary associations were
set up for rural sanitation, preventive police duties, regulation of pilgrim gathering, for
providing relief during famines and other national calamities. Arbitration committees
were established to take up civil and non-cognizable disputes in villages and small towns
so as to expose the imperialistic and inhuman behaviour of the British administration.
● Bipin Chandra Pal was entrusted with the work of co-operative movements in India. The
extremists thus emphasized on the process of putting an end to the economic
exploitation by the Britishers and on getting larger share for Indians in the administration
of their own country.
● Even the propaganda by the Moderates did not reach the masses. No all-India campaigns
of the scale of Swadeshi and Boycott Movement had been organised earlier by the
Moderates and, in this campaign, they discovered that they were not its leaders, which
was rather natural.
● The Extremist ideology and its functioning also lacked consistency. Its advocates ranged
from open members and secret sympathisers to those opposed to any kind of political
violence. Its leaders Aurobindo, Tilak, B.C. Pal and Lala Lajpat Rai—had different
perceptions of their goal. For Tilak, swaraj meant some sort of self-government, while for
Aurobindo it meant complete independence from foreign rule.
● But at the politico-ideological level, their emphasis on mass participation and on the
need to broaden the social base of the movement was a progressive improvement upon
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the Moderate politics. They raised patriotism from a level of ‘academic pastime’ to one
of ‘service and sacrifice for the country’. But the politically progressive Extremists proved
to be social reactionaries.
● They had revivalist and obscurantist undertones attached to their thoughts. Tilak’s
opposition to the Age of Consent Bill (which would have raised the marriageable age for
girls from 10 years to 12 years, though his objection was mainly that such reforms must
come from people governing themselves and not under an alien rule), his organising of
Ganapati and Shivaji festivals as national festivals, his support to anti-cow killing
campaigns, etc. portrayed him as a Hindu nationalist. Similarly B.C. Pal and Aurobindo
spoke of a Hindu nation and Hindu interests.
● Though the seemingly revivalist and obscurantist tactics of the Extremists were directed
against the foreign rulers, they had the effect of promoting a very unhealthy relationship
between politics and religion, the bitter harvests of which the Indians had to reap in later
years.
DIFFERENCES BETWEEN MODERATE AND EXTREMIST STRATEGY
Moderates:
● Social base zamindars and upper middle classes in towns.

● Ideological inspiration western liberal thought and European history.
● Believed in England’s providential mission in India.
● Believed political connections with Britain to be in India’s social, political and cultural
interests.
● Professed loyalty to the British Crown.
● Believed that the movement should be limited to middle class intelligentsia; masses not
yet ready for participation in political work.
● Demanded constitutional reforms and share for Indians in services.
● Insisted on the use of constitutional methods only.
● They were patriots and did not play the role of a comprador class.
Extremists:
● Social base educated middle and lower middle classes in towns.

● Ideological inspiration Indian history, cultural heritage and Hindu traditional symbols.
● Rejected ‘providential mission theory’ as an illusion.
● Believed that political connections with Britain would perpetuate British exploitation of
India
● Believed that the British Crown was unworthy of claiming Indian loyalty.
● Had immense faith in the capacity of masses to participate and to make sacrifices.
● Demanded swaraj as the panacea for Indian ills.
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● Did not hesitate to use extra- constitutional methods like boycott and passive resistance
to achieve their objectives.
● They were patriots who made sacrifices for the sake of the country.
GANDHIAN STRATEGY
● He led one of the biggest mass movements in the world.

● Mass Movements can be of many times. There are uncontrolled mass movements
which are spontaneous in nature such as the French Revolution.
● Then there are controlled and guided mass movement such as the Russian and
Chinese Revolutions and the Gandhian movement in India. Such movements are
more or less planned and controlled by an well accepted and capable leader or
leadership.
● In terms of Strategy also, the mass movements can be classified into 1.
Marxist-Leftist movements & 2. Gramscian/Gandhian movements.
● Marxist movements are sudden in nature, comprehensive in their coverage i.e. they
have an impact on every aspect of life and they aim or achieve complete overhaul or
overthrow of the system.
● Gramscian/Gandhian movements are a form of ‘Two stage’ movement especially in
case of hegemonic or opaque states where the exploitative nature of the state is not
openly evident. Hence the movement has to adopt a protracted or long drawn
format.
● The War of position has to be completed before the war of manoeuvre or direct
attack on the colonial apparatus can take place.
● As per Bipin Chandra, “ The Gandhian movement had active phase with Mass
agitations and Passive phases with Constructive programmes”. He called the
Gandhian strategy as Struggle-Truce-Struggle strategy.
● Gandhi had a firm grip on Mass psychology and understood that masses have a
limited capacity of participate.
● Gandhi was a master strategist and he knew when to start and when to call off the
movement.
● His approach was ‘Pro-active’ rather than reactive in relation with the steps being
taken by the Colonial state to maintain its hegemony.
● Gandhi initiated the movements at the time, place and issue of choosing and called
them off in the same manner. He never allowed the British to capture the initiative
and instead consistently forced them to respond to his tactics instead. He was always
on the offensive and never on defensive.
● Ambedkar describes him as the grammarian of Anarchy.
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A BRIEF ANALYSIS OF GANDHIAN MOVEMENTS

(Since this section completely overlaps with Modern History and Modern Indian
Political Thought-Gandhi, it has been kept very concise)
NON-COOPERATION MOVEMENT
● First freedom struggle movement which can be described as ‘truly Gandhian’.
● The ‘Indian Experiment’ of ‘The Non-cooperation Movement’ of 1920-22 was
undertaken by the Indian National Congress under the leadership and direction of
Gandhi.
● When every segment of the Indian society was seething with discontentment and
itching for action due to various reasons – Rowlett Act, the Jallianwalla Bagh
massacre, martial law in Punjab, the neglect of the Khilafat Committee aspirations,
high prices of commodities, drought and epidemics.
● The non-cooperation movement was launched formally on 1 August, 1920, the day
on which Lokamanya Tilak breathed his last.
● The Congress gave a call to the people to:
a. Surrender all titles and honorary offices and resign from nominated seats in local
bodies,
b. Refuse to attend government of semi-government functions,
c. Withdraw slowly step by step children from schools and colleges, aided or
controlled by the government
d. Boycott of British courts by lawyers and litigants,
e. Refusal for recruitment for military and other services in Mesopotamia,
f. Boycott the elections to be held for councils as per the reforms of 1919, and
g. Boycott of foreign goods.
● Besides the above-mentioned measures of non-cooperation with the government, it

was decided to establish native educational institutions and native arbitration
centres all over India and also to establish harmonious relations between the Hindus
and the Muslims. In 1921-22, the movement continued with unabated zeal by the
participation of masses. National institutions like Gujarat Vidyapith, Bihar Vidyapith,
Tilak Maharashtra Vidyapith, Kasi Vidyapith, the Bengal National University, and the
Jamia Milia of Delhi were established.
● The Swadeshi concept became a household word. Khadi became a symbol of
freedom. In order to finance the non-cooperation movement, Tilak Swaraj Fund was
started to which money poured and within six months, nearly a crore of rupees was
subscribed. When Prince of Wales visited India in 1921, a successful hartal was
organized against his visit.
● On 5 February 1922, police station of Chaura, near Gorakhpur in UP was attacked by
a mob of peasants. The mob burnt the police station and in those nearly 22
policemen died. This violent event disturbed the soul of Gandhi and he ordered for
the immediate suspension of the programme.
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● Though many leaders were very unhappy with the decision of Gandhi, they accepted
the decision in good faith. The non-cooperation movement definitely awakened
tremendous national awareness for freedom and successfully erased the fear
psychosis from the minds of the Indians and the movement thus inspired the people
to be ready for further sacrifices and future struggles with confidence and hope.
Discussing the impact and significance of the non-cooperation movement.
● Anil Seal concludes, “The non-cooperation movement of 1921-22 was in many
respects a debacle”.
● Bipan Chandra et al. are of the view “the battle was over, but the war would
continue”.
● Sumit Sarkar writes “An adequate understanding of the non-cooperation upsurge
of 1921-22 requires an analysis at three levels – the phases of the all-India
movement as sought to be determined by the Gandhian Congress leadership, the
role of district social groups and classes, and most interesting and important of all
perhaps, the regional and local variations”.
● A.R. Desai is of the view, “with the section of workers and peasants participating in
it, the national movement which was restricted to the upper and middle classes till
1917 got a mass basis for the first time”.
● Griffith concludes, “Gandhi taught India new self-respect which could be content
with nothing less than self-government. He inspired his countrymen with a
tradition to suffer in the case of their country. Gandhi, who had himself learnt from
Britain the meaning of justice and freedom, imparted these ideas to his fellow
countrymen with such success that Indian nationality and Indian nationalism a
unanimous expression of the feeling of the Indians”.
● Gandhi in an article published in Young India on February 23, 1922 declared, “it is
high time that the British people were made to realize that the fight that was
commenced in 1920 is a fight to the finish, whether it lasts one month or one year
or many months or many years and whether the representatives of Britain re-enact
all the indescribable orgies of the Mutiny days with redoubled force or whether
they do not”.
● The abrupt suspension of non-cooperation movement led to a great divide among
the Congress as pro-changers and no changers. The visit of Simon in 1927 was
boycotted and was greeted with black flags. In 1929, the then Viceroy Lord Irvin
declared that dominion status would be accorded to India in stages as its ultimate
goal.
● As this proposal was not acceptable to the Congress, in its Lahore session of 1929,
the Indian National Congress demanded Purna swaraj or complete independence as
its ultimate goal. As the British government adopted adamant attitude towards the
aspirations of the people, the Indian National Congress under the direction of Gandhi
started civil disobedience movement.
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BIPIN CHANDRA’S ANALYSIS
● The real reason behind Gandhi calling off the movement was that he wanted a
‘graceful exit’.
● By this time, masses were getting exhausted. There were violent incidents in some
areas. Mappila revolt in Malabar had taken a communal angle.
● Gandhi realised that on the basis of chauri-chaura, government will have the excuse
to use massive force. As a result , people will get scared and it will become very
difficult to rebuild the movement.
● The Movement was a failure in terms of stated objectives and promises by INC and
Gandhi.
● However, NCM was successful in the sense that Gandhi got all that he wanted.
● He wanted to test the capacity of masses for struggle. He wanted to convert the
national movement into mass movement.
● He wanted to establish INC as a party of masses and not only representing
“Microscopic Minority”.
● He wanted the movement to be multi-class rather than just middle class.
CIVIL DISOBEDIENCE MOVEMENT
● “The civil disobedience movement of 1930-31, then marked a critically important stage
in the progress of the anti-imperialist struggle”-Bipan Chandra.
● Gandhi addressed an ultimatum to Viceroy Lord Irwin on 31 January, asking him to
remove the evils of the British rule and also informed of his decision to undertake Dandi
Satyagraha wherein the laws of the government would be violated.
● The list of demands consisted the following:
(a) Prohibit intoxicants,
(b) Change the ratio between the rupee and the sterling,
(c) Reduce the rate of land revenue,
(d) Abolition of salt tax,
(e) Reduce the military expenditure,
(f) Reduce expenditure on civil administration,
(g) Impose custom duty on foreign cloth,
(h) Accept the Postal Reservation Bill,
(i) Abolish the CID department,
(j) Release all political prisoners, and
(k) Issue licenses of arms to citizens for self-protection.
● Gandhi made it clear that if the 11 points are ignored, the only way out was civil
disobedience. Breaking the salt laws of the government non-violently was the basic
activity of civil disobedience. Along with this activity, activities like no tax campaign, no
revenue and no rent (land tax) campaign became very popular in different parts of India.
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● After deciding to start the Dandi Salt Satyagraha, Gandhi addressed a letter to Lord Irwin
on 2 March, 1930 intimating, “on the 11th day of this month, I shall proceed with such
co-workers of the Ashram as I can take, to disregard the provisions of the salt laws. It
is, I know, open to you to frustrate my design by arresting me, I hope that there will be
tens of thousands ready, in a disciplined manner, to take up the work after me, and in
the act of disobeying the Salt Act to lay themselves upon to the penalties of a law that
should never have disfigured the statute book”.
● Bipan Chandra et al. correctly point out “the deceptively innocuous move was to prove
devastatingly effective”, as later day events successfully proved.
● Gandhi started his march, staff in hand with a band of dedicated peaceful Satyagrahis
and reached Dandi on 6 April, 1930 and inaugurated the civil disobedience movement, a
movement that was to remain unsurpassed in the history of the Indian national
movement for the country-wide mass participation it unleashed. Nearly 90,000 people
belonging to all social groups spread over the whole of India participated wholeheartedly
in this movement.
● Significantly, for Indian women, the movement was the most liberating experience to
date and the can be said to have marked their entry into public space.
● The British government resorted to cruel repression in spite of the total non-violent
conduct of the movement by issuing more than a dozen ordinances.
● The Indian National Congress was declared an illegal body and Gandhi was arrested on 5
May, 1930. The arrest of Gandhi infuriated the masses and they voluntarily expressed
their solidarity with the movement.
● The national flag, the symbol of the new spirit, now became a common sight even in
remote villages. While the civil disobedience was going on, the British government
convened the Round Table Conferences. Gandhi did not attend the first one held in 1930.
● Gandhi agreed to attend the Second Round Table Conference of 1931 and in this
background only Gandhi-Irwin pact was concluded, which was variously described as a
‘truce’ and a ‘provisional settlement’.
● By this agreement it was agreed upon:
(a) To withdraw all ordinances and pending prosecutions,
(b) To release all political prisoners except those who were guilty of violence,
(c) To restore the confiscated property of the Satyagrahas,
(d) To permit peaceful picketing of liquor, opium and foreign cloth shops, and
(e) To permit the collection or manufacture of salt, free of duty, by persons residing
within a specific distance of the sea shore,
(f) The Congress agreed not to press for investigation into police excess,
(g) To suspend the civil disobedience movement, and
(h) To stop boycott and to participate in the Second Round Table Conference.
● In 1931 certain events – coming to power of conservatives, replacement of the
Viceroy, and execution of Bhagat Singh – created an atmosphere of dejection in
Gandhi and other younger Indian leaders. The Congress decided to restart the
movement in January 1932.
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● As usual, the British government took stem steps to suppress the movement and in
the meanwhile the British Prime Minister announced communal award in 1932. The
civil disobedience movement continued up to 1934 and it was suspended in that
year.
● Bipan Chandra et al. observe: “The civil disobedience movement of 1930-31, then
marked a critically important stage in the progress of the anti-imperialist struggle”.
● But Anil Seal, the Cambridge historian observes “Civil disobedience, the salt march
to Dandi (an astute move by Gandhi to play for time and to test opinion), his
programme tailored to achieve the widest appeal (whether temperance, Khadi,
enlisting women or social uplift, especially of Harijans) and the 60,000 or more who
went to jails notwithstanding, failed to mobilize India’s millions. Except here and
there in Gujarat and the Godavari deltas and as a part of Midnapore, civil
disobedience was not a mass movement. They had merely scratched a surface of
Indian society. They had not shaken the British Raj and by 1933 they had in reality
been defeated”.
● This statement of Anil Seal has been disproved by Bipan Chandra and Sumit Sarkar.
NON-COOPERATION VS. CIVIL DISOBEDIENCE
● NCM can be comparatively called Mild w.r.t. CDM which was more provocative.
● CDM was direct challenge to authority of British whereas NCM just targeted the
economic base of colonialism.
● NCM was just not cooperating with State, CDM was wilful disobedience of authority.
It was akin to questioning the authority of the state.
● CDM was more offensive than NCM.
● Gandhi at this stage wanted the British to use force. It could have falsified the myth
of ‘Benevolent Despotism”.
● In the case state didn’t use force, it meant collapse of State. In case state uses force,
it meant collapse of Hegemony of State.
● Since the strategy of CDM put the colonial state in a state of dilemma as expressed
by Viceroy, “Damned if you do, Damned if you don’t.”
● The state delayed in deciding to arrest Gandhi and the latter was able to complete
the march.
● Once he completed his march, it became impossible for state to not arrest Gandhi.
● But his arrest led to even more rigorous protest. Ultimately British had to release
Gandhi, which portrayed his victory.
● The movement strengthened the credibility of Congress and elevated it to equal
footing with Government.
● CDM is also an instance of Gandhi’s pro-active approach.
QUIT-INDIA MOVEMENT
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● The Quit India movement or the Revolt of 1942 or ‘August Revolution’ of 1942 was
the most popular and powerful mass movement in the series of agitations led by
Gandhi in the course of freedom struggle.
● By the time this mass movement was planned, the Second World War was going on,
the shadows of the Japanese invasion on India were making the sky dark and cloudy.
● The efforts of Cripps mission bore no fruit and the prices of essential commodities
were soaring high and the day does not appear to be far off for the deliverance from
the British imperialism.
● Sumit Sarkar writes “The summer of 1942 found Gandhi in a strange and uniquely
militant mood, ‘Leave India to God or to anarchy” he repeatedly urged the British –
this orderly disciplined anarchy should go, and if as a result there is complete
lawlessness, I would risk it”.
● These statements made, in May 1942 are indicative of the restlessness of the leader,
who ‘promised’ Swaraj within one year and who is eager and anxious to see that his
mission of gaining freedom for India is realized soon.
● Sumit Sarkar aptly observes “though the need for non-violence was always
reiterated, Gandhi’s mantra of Do or Die represents the militant mood of Gandhi”.
● In the working committee meeting held at Wardha on 14 July, 1942 the Congress first
accepted the idea of a struggle. The All India Congress Committee that met in
Bombay in August ratified this decision to go in for struggle.
● In his speech Gandhi made it very clear “I am not going to be satisfied with anything
short of complete freedom. May be, he (the Viceroy) will propose the abolition of
salt tax, the drink evil. But I will say nothing less than freedom”.
● Gandhi then followed up with the now famous exhortation Do or Die. “Here is a
Mantra, a short one that I give you. You may imprint it on your hearts and let every
breath of yours give expression to it. The mantra is Do or Die. We shall either free
India or die in the attempt; we shall not live to see the perpetuation of slavery”.
● Gandhi also gave a call to all sections of the people, the princes, the Jagirdars, the
Zamindars, the propertied and moneyed classes, who derive their wealth and
property from the workers in the fields and factories and elsewhere, to whom
eventually power and authority belong.
● In the view of Sumit Sarkar, the above statement of Gandhi indicates his social
radicalism and shift in the philosophy of the Congress, by now people with the
goals of socialism and communism have become a part of the broad-based
Congress organization; On the other hand, the British too were equally determined
to crush any movement of the Congress.
● The then Viceroy Linlithgow in a letter dated 8 August, 1946 categorically made his
mind very clear “I feel very strongly that the only possible answer to a declaration of
war by any section of Congress in the present circumstances must be a declared
determination to crush the organization as a whole”.
● Thus, the two sides were ready to act and even before the formal launching of the
movement, the government in a single sweep arrested all the top leaders of the
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Congress in the early hours of August 9, 1942. This led to spontaneous outburst of
mass anger against the arrest of leaders. There was mass upsurge all over the
country for six or seven weeks after the unexpected event of August 9, 1942.
● Bipan Chandra writes, “People devised a variety of ways of expressing their anger
in some places, huge crowds attacked police stations, post offices, courts, railway
stations and other symbols of government authority. National flags were forcibly
hoisted on public buildings in defiance of the police”.
● Cities, towns and villages witnessed the people’s wrath. Peasants, workers and
students actively participated in showing their resentment against the government.
By following tactics of brutality, the government suppressed the movement. Gandhi
who was arrested in the early hours of 9 August, started fast on 10 February by
declaring that the fast would last for 21 days.
● One more feature to be noticed in this connection was the refusal of Gandhi to
condemn the violence of the masses and held the government responsible for this
violence. All over the country people responded positively and actively towards the
fast of Gandhi. Gandhi was released on 6 May, 1944 on medical grounds.
● It is to be noted that the Quit India movement was the spontaneous participation of
the masses compared to the earlier non-cooperation and civil disobedience
movements.
● Bipan Chandra was of the view: “the great significance of this historic movement
was that it placed the demand for independence on the immediate agenda of the
national movement. After ‘Quit India’ there could be no retreat. Independence was
no longer a matter of bargain. And this became amply clear after the war”.
● The spirit unleashed was carried further by Indian National Army of Subhas Chandra
Bose. An understanding of the process of the struggle for independence of India
reveals its long drawn dynamics of the strategy adopted by the leaders of this
movement.
● While the pre-Gandhian phase was one of creating conscious awareness of the evils
of the colonial and imperialist among the masses, the Gandhian phase of
‘struggle-truce-struggle’ was one of sustaining the tempo of the movement through
the stages of non-cooperation followed by civil disobedience, followed by the Quit
India movement.
● Besides Gandhi’s ideology of non-violence and technique of Satyagraha, it was the
strategy of struggle-truce-struggle that accelerated and sustained the urge for
freedom and enabled India to achieve freedom in 1947.
● We find a gradual and slow transition from mini-scale minority of freedom seekers to
mass organization of freedom seekers during the time of Gandhi, and his most
outstanding contribution was the successful strategy of struggle-truce-struggle in
stages to sustain the tempo of the movement.
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● Undoubtedly, Gandhi was a great strategist of the 20th century mass political
mobilization process motivated by self-reliant rule of the masses through more of
non-violent means.
Role Played by Gandhi and Nature of the Movement
● The most Un-Gandhian movement.

● Least controlled and most militant.
● Gandhi allowed the use of force for self-defence. He believed that the use of force is
justified against the stronger and well-equipped aggressor.
● He held that “Nation survives when people are ready to die for nation.”
● “Any delay in freedom would be injurious & humiliating”.
● He refused to condemn the violence by people, justified in the light of bigger
violence by state.
● He knew that any mass movement can’t be completely free from violence. “There
can be no birth without blood”.
● As per Francis Hutchins, “Gandhi was after all a politician. He was a strategist.
Once he could bring masses into movement, non-violence was no more needed.”
● QIM is ‘Ungandhian’ in the sense that till this stage, Gandhi was telling to hate evil &
not evil doer. But now Gandhi made objective to throw Britishers out.
● QIM was most spontaneous. Once top leadership was arrested, Grass root leadership
arose on its own.
● QIM represented the much needed conversion of “ Class in itself to Class for itself”.
● Gandhi declared QIM as the “Last struggle of his life”.
● Ambedkar : “Mad venture of Gandhi”.
● M.N Roy : “ Gandhi will strengthen the Fascist bases”.
● Hindu Maha Sabha: “ injurious to Hindu cause.”
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REVOLUTIONARY STRATEGY OF FREEDOM STRUGGLE: ANALYSIS

● Extremism or militant nationalism became a predominant philosophy of Indian
nationalism or Indian national movement from 1905 to 1917.Many factors
contributed to the rise of extremism or militant nationalism.
● One such factor was the opposition of certain early nationalists in the strategy and
technique adopted by the moderates’ expression of faith in the fairness of the
British, mendicancy and appealing to the British government.
● Another factor was the exclusion of educated Indians from the public services also
which led to the dissatisfaction for the moderate methods and the view of Lord
Curzon, the Viceroy of India, “the highest ranks of civil employment must be a
general rule, as held by Englishmen” made the blood of the Indians boil and think of
resorting to violent means to redeem their honour.
● Lord Curzon’s high-handed mission, commission and omissions – the Calcutta
Corporation Act of 1899, and Calcutta University Act of 1904, along with the partition
of Bengal in 1905 accelerated the extremist movement.
● Bal Gangadhar Tilak, the trail blazer of extremism rightly pointed “political rights
will have to be fought for. The moderates think that these can be won by
persuasion. We think that they can be only be obtained by strong pressure”. The
bases of extremists were Maharashtra, Punjab and Bengal.
● Tilak preached “protests are of no avail. Mere protests not backed by self-reliance
will not help the people. Days of protests and prayers have gone”. He further
advised “prepare your forces, organize your power and then go to work so that
they cannot refuse you what you demand”.
● In the backdrop of the repressive measures of the government and the failure of the
moderate and the extremist tactics, the revolutionary youth decided to copy the
methods of the Irish nationalists and Russian nihilists and populists”.
● The revolutionary theorists targeted to assassinate unpopular British officials and
thereby kindle patriotic spirit and sustain the pace of the nationalist movement.
● Sumit Sarkar writes: “Elite revolution did make substantial contributions to the
national struggle. The British were often badly frightened, rare examples were set
of death-defying heroism in the cause of complete independence and worldwide
contacts were sought in quests for shelter and arms, leading to important
ideological consequences”.
● It is no exaggeration to note that terrorist heroism evoked great admiration from
very wide circles of educated Indians and sometimes from ordinary people.
● In spite of its selfless sacrifice, the elite revolutionary Hindu religious zeal acted as a
check for others to join the movement and it postponed efforts to draw the masses
into active political struggle. Yet, the importance and significance of this
revolutionary terrorist phase cannot be minimized.
● One unique feature of Indian national movement was the simultaneous participation
of Moderates, the extremists, the revolutionary terrorists side by side pursuing their
definite paths making the people conscious the need of unity and creating a sense of
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apprehension in the minds of the British that time is nearing to leave India, from
1909 onwards till we achieved independence in 1947.
● They filled the vacuum whenever mainstream movement went into the passive
phase.
● They displayed remarkable heroism, inspired youth to make sacrifice for motherland.
● They gave back the lost pride to Indians. But they lacked resources and mass support
base.
● They could only inspire people by their individual acts.
● Their own sources of inspiration were: B.C Chatterjee’s “Anand Math”,
Sachindranath Sanyal’s “Bandi Jeevan”, Bhagwati Charan Vohra’s “ The philosophy
of Bomb”, Irish nationalists, Russian Nihilists.
PRE-INDEPENDENCE PEASANT MOVEMENTS IN INDIA
● Peasants were one of the worst victims of British land settlement policy.
● The peasant struggle against the state preceded the general narrative of freedom
struggle in India itself.
● Scholars like Ranajit Guha, Gyanendra Pandey, Prof. Irfaan Habib, Sumit Sarkar
have commented on the role played by peasantry in freedom struggle.
● Sub-altern Historians have repeatedly questioned the nationalist narrative that it was
Gandhi who organized the peasants.
● Gyanendra Pandey: Peasant insurrection in India was autonomous of intervention
of outside of leaders. The way mainstream leaders dealt with concerns of peasants
was just marginal. INC never made the problems of peasantry as the core issue.
● Ranjit Guha: Freedom struggle led by Gandhi was primarily elitist. Gandhi wanted
peasantry to make compromises with oppressors in the name of HARMONY
BETWEEN CLASSES.
● Till 1920, the INC did not push the peasant cause seriously. Gandhi after his arrival in
India inculcated the peasant issues in Congress agenda but his approach was
conciliatory.
● After 1930s, with the rise of Socialist trend in INC, it started organizing the farmers.
By this time, Kisan Sabhas and peasant centred parties began to emerge because of
the growing leftist movement in India.
● In 1936, All India Kisan Sabha was formed under the leadership of Sahajanand
Sarawati. Its main area of demand was Land reforms and Regulation of revenue
rates.
● There were autonomous peasant movements like peasant revolt in Telangana and
Tebhaga movement in Bengal. These movements were majorly inspired by
Communist ideology and were localised and autonomous in nature.
● Peasant movement in India could not attain the status as it had in USSR or China. No
such leaders as Mao emerged in India.
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● The Peasant class itself was deeply divided on the lines of caste and religion.
● There was no all Indian movement on a sustained basis and peasant movement was
ultimately hijacked by pressure groups and political parties after Independence.
PRE-INDEPENDENCE TRADE UNION/WORKER MOVEMENT
● Trade Union movement was weak in India from its inception, even weaker than the
peasant movement.
● Trade unions have relegated themselves to being junior partners of political parties
as they lacked autonomous character.
● Worker class in India remains deeply divided on matters of caste and religion even
more than peasantry.
● With the advent of Railways, Postal services and Telegraph in India, the working class
was also born in 19th Century.
● Organized labour movement was started by Philanthropists such as S.S. Bengalee and
Sasipada Banerjee.
● Lokhandey formed the first Trade Union known as ‘Bombay Mill Hands Association”.
● After the Russian Revolution, there was a rapid growth of the Socialist thought in
India and leaders like Lala Lajpat Rai took the lead in organizing workers.
● Gandhi too led the workers in the Ahmedabad Textile Mill Agitation.
● In 1920 All India Trade Union Congress was formed with Lala Lajpat Rai as first
president. AITUC was eventually dominated by Communists.
● Communists later formed their own organization known as All India Red Trade Union
Congress in 1931.
● They later again joined the AITUC and left again, only to join it again years later.
● INC also eventually left AITUC and formed its own labour wing called Indian National
Trade Union Congress in 1947.
● Bipan Chandra observes, “the modern worker makes his appearance in India in the
second half of the 19th century with the slow beginning of modern industry and
the growth of the utilities like the railways, and the post and telegraph network”.
● He further observes “the process of the desperate groups of workers in various
parts of country emerging as an organized self-conscious, all India class is
inextricably linked with the growth of the Indian national movement through the
process of the Indian nation in the making because the notion of the Indian
working class could not exist before the notion of the Indian people had begun to
take root”.
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ROLE OF WOMEN IN FREEDOM STRUGGLE (READ SELECTIVELY FOR POLITICAL SCIENCE

AND COMPREHENSIVELY FOR GENERAL STUDIES)
● The entire history of the freedom movement is replete with the saga of bravery, sacrifice
and political sagacity of hundreds and thousands of women of our country. Their
participation in the struggle began as early as 1817 when Bhima Bai Holkar fought
against the British Colonel Malcolm and defeated him in guerrilla warfare.
● At a very critical time for our mother land when the British East India Company was fast
expanding its empire in India, when Tipu Sultan had been eliminated (1799), the proud
Marathas had been humbled (1815), Chennamma the widowed queen of Raja Malla
Sarja frustrated the machinations of British to annex her kingdom Kittore, a tiny
principality in the present Belgaum District of Karnataka. She fought against the mighty
British army and scored initial success.
● No other woman warrior in the history of India has made such a powerful impact on the
minds of the Indian people as the Rani of Jhansi, Lakshmi Bai. She was the second wife
of the ruler of Jhansi Raja Gangadhar Rao who protested against the ‘Doctrine of Lapse’.
She refused to surrender Jhansi and fought bravely attired as a male during the Revolt of
1857 and died in the battle field fighting the British forces. Her courage inspired many
Indians to rise against the alien rule.
● Another woman whom we remember in this context was Hazrat Mahal Begum. She was
the wife of the deposed ruler of Lucknow who actively took part in the revolt of 1857
against the Doctrine of Lapse under which Dalhousie wanted her to surrender Lucknow.
She gave stiff resistance. But after the fall of Lucknow she escaped to Kathmandu.
● Kasturba, the wife of Mahatma Gandhi, was one of the foremost supporters of the
Gandhi’s programmes. One of the first women to be imprisoned in Transvaal, she took
part in the Quit India Movement (1942) and was arrested. She died while imprisoned in
Poona.
● Many women of Nehru family joined the freedom movement. The mother of Jawaharlal
Nehru, Swarup Rani Nehru cheerfully gave her husband and children to the country’s
cause and she herself, old and frail, entered the fray at its thickest.
● Kamala Nehru, married to Jawaharlal Nehru in 1916, participated in various
movements, led the Civil Disobedience Movement. She played a prominent part in
organizing the No Tax Campaign in the United Provinces (Now Uttar Pradesh).
● Jawaharlal Nehru’s sister Vijay Laxmi Pandit entered the Non- Cooperation Movement.
She was imprisoned thrice in connection with the Civil Disobedience Movement in 1932,
1941 and 1942. In 1937 she was elected to the provincial legislature of the United
Provinces and was designated minister of local self government and public health. She
played an important role as India’s representative in San Francisco during the first
meeting of the UN where she challenged the might of the British. She was the first
woman to become the President of the United Nations General Assembly.
● When she was just 13 years old, Indira Gandhi organized a ‘Monkey Army’ (Vanar Sena)
comprising of young teenagers which proved her intention to fight for the independence
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of her country. She joined Congress in 1938 and was imprisoned for 13 months in 1942
by the British. She was India’s first and only female prime minister. Four generations of
dedication to public causes by the Nehru family stands out as unique in the annals of
history.
● Sarojini Naidu holds pride of place among women freedom fighters of India. She was
responsible for awakening the women of India. She was first woman President of the
Indian National Congress in 1925 at the Kanpur Session. In 1928, she came to the USA
with the message of the nonviolence movement from Gandhiji. When in 1930, Gandhi
was arrested for a protest, Sarojini took the helms of his movement. In 1931, she
participated in the Round Table Summit, along with Gandhiji and Pundit Malavyaji. She
was also the acting President of the Congress in 1932. In 1942, she was arrested during
the ‘Quit India’ protest and stayed in jail for 21 months. She was a gifted poet of the
English language and was popularly known as the Nightingale of India. After
independence, she became the first ever woman Governor of an Indian State (Uttar
Pradesh).
● Aruna Asaf Ali played a leading role during the Quit Indian Movement. Her moment of
reckoning came in 1942 during the Quit India Movement and she rose to occasion. She
unfurled the National Flag at the Gowalia Tank maidan in Bombay to signify the
commencement of the Quit India Movement and became a legend for thousands of
youth that rose to emulate her. She became a full time activist in the Quit India
Movement and went underground to evade arrest. She edited ‘Inquilab’ a monthly
journal of the Indian National Congress. She was awarded India’s highest civilian award,
the Bharat Ratna.
● Madam Bhikaji Cama was influenced by Dadabhai Naoroji and was a source of
inspiration for Indian youth in the UK. She unfurled the first National Flag at the
International Socialist Conference in Stuttgart (Germany) in 1907, organized Free India
Society and began the journal ‘Bande Mataram’ to spread her revolutionary thought. She
travelled a lot and spoke to people about Indians Struggling for Independence. She could
aptly be called “Mother India’s first cultural representative of USA”.
● Kalpana Dutta was another prominent woman revolutionary leader who was influenced
by the revolutionary idea of Surya Sen. She joined the Chittagong armoury raids. Later
she joined the Communist Party of India.
● Rani Gaidineliu was a prominent Naga nationalist woman leader from Manipur who
took over the movement of Naga nationalists against the British. Her movement was
active during the Civil Disobedience Movement to oust the foreigners from Manipur. For
her remarkable patriotism, she received praise from the nationalist leaders. She was
arrested in 1932 and released after Indian Independence. “Rani of the Nagas” the
popular title was bestowed upon her by Jawaharlal Nehru for her influence and work for
the Nagas.
● Sarojini Naidu’s daughter Padmaja Naidu devoted herself to the cause of the nation like
her mother. At the age of 21, she entered the national scene and became the joint
founder of the Indian National Congress of Hyderabad. She spread the message of Khadi
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and inspired people to boycott foreign goods. She was jailed for taking part in the “Quit
India” movement in 1942. After Independence, Padmaja became the Governor of West
Bengal. During her public life spanning over half a century, she was associated with the
Red Cross. Her service to the nation and especially her humanitarian approach to solve
problems, will long be remembered.
● Sucheta Kriplani was an ardent nationalist with socialistic orientation. She was a close
associate of Jai Prakash Narayany who actively participated in Quit India Movement. This
St Stephen’s educated politician sang Vande Mataram in the independence session of
the Constituent Assembly on August 15, 1947.She was a member of Constituent
Assembly in 1946. She was general secretary of Indian National Congress from 1958 to
1960, and Chief Minister of Uttar Pradesh from 1963 to 1967.
● Raj Kumari Amrit Kaur was a close follower of Gandhiji from 1919 onwards. A Congress
member, she actively participated in the 1930 Salt Satyagraha and the Quit India
Movement. She became the first Health Minister in Post Independent India. She was the
founder – President of Indian Council of Child Welfare and the founder-member of All
India Women’s Conference.
● Smt Kamaladevi Chattopadhyay was elected President of the Youth Congress in
December 1929 and appealed to the National Congress leaders to declare Poorna Swaraj
as their goal. On January 26, 1930, Kamaladevi captured the imagination of the entire
nation when in a scuffle, she clung to the Tricolor in order to protect it. Blows rained on
her as she stood like a rock to protect the flag, bleeding profusely. She galvanized the All
India Women’s Conference into a dynamic movement. Beside the hundreds and
thousands of Indian women who dedicated their lives for India’s freedom, there were
many foreign women who saw in India a hope for the redemption of the world.
● A famous disciple of Swami Vivekananda, Sister Nivedita was an Irish lady named Miss
Margaret Nobel who arrived in India in January, 1898 in search of truth. She propagated
for the cause of India throughout America and Europe. She attended the Benares
Congress Session in 1905 and supported the Swadeshi Movement.
● Annie Besant, Irish by birth was a staunch supporter of India’s struggle for freedom. She
founded the Home Rule League in Madras in 1916. She also founded the Theosophical
Society of India. She was the President (First Woman President) of Indian National
Congress for one term at Calcutta in 1917. She also edited ‘New India’ and
‘Commonwealth’. She had done ample work to formulate favorable opinion about the
Indian question in outside world. Even today, India remembers with gratefulness Annie
Besant’s immeasurable work for the freedom struggle, educational advancement and
social reforms.
● Mira Alphonse, universally known as the ‘Mother’ was born in Paris in 1878. She came
to India in 1914 and met Shri Aurobindo. She was the inspirer of Auroville, the
international town near Pandicherry. She played an important role in motivating women
like Annie Besant and Nellie Sen Gupta. The Mother had also contributed to enrich
India’s age-old heritage and culture.
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● Meera Behn and Sarla Behn Mahatma Gandhi’s two English daughters helped for the
cause of freedom. Born as Madeliene Slade in England, she was named Mira Behn by
Mahatma Gandhi. She was a close disciple and associate of Gandhiji. She accompanied
Gandhiji to Round Table Conference. She did pioneering work for social reforms in rural
areas. Born as Katherine Mary Heilaman, she was named Sarla Behn by Mahatma
Gandhi. She was a great social worker. She set up an Ashram at Kausali in the Kumaon
Hills of Uttarakhand. She went from village to village helping the families of political
prisoners. She authored a book entitled ‘Reviving Our Dying Planet’.
Sumit Sarkar’s Analysis
● Though women movement in India was started by men, women had been active
participants in INC, yet the leaders were not Full blooded liberals.
● Women issues were never the core issues.
● Gandhi’s movement was using mostly women as resource for mass movements rather
than upliftment of women as such.
● Similar to issues of peasantry and workers, women issues were also pushed to the
periphery.
● We can see the patriarchal approach of mainstream leaders on women issues in the
form of strong protest against Ambedkar’s Hindu Code Bill, even by leaders like Dr.
Rajendra Prasad.
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Sri Aurobindo Ghosh
Born in Calcutta on 15th August 1872, Sri Aurobindo lived an eventful life and contributed
immensely to the fields of philosophy and politics. Aurobindo's upbringing was completely
western. For fourteen years from 1879 to 1893-he studied in England. During this period, he
showed extraordinary intellectual abilities. He learned various classical and modern European
languages. During his Cambridge University days, he began to take an interest in Indian politics
and came in contact with some young revolutionaries from India. He was also deeply influenced
by Irish nationalists and their efforts for achieving independence for Ireland. He returned to
India in 1893 at the age of 21 with the fire of nationalism burning in him and a strong and
resolute hill to work for it.
Preparatory Phase
● On arriving in India he joined government service in the princely state of Baroda. At

Baroda, he undertook a serious study of Indian history, philosophical texts and Bengali
literature. He was impressed by the spiritualism underlying Indian philosophy and
literature and this added a new dimension to his political thinking.
● During this period, Aurobindo wrote extensively on the then situation in the country and
elaborated his ideas about nation, nationalism etc. He also remained in touch with the
freedom movement generally and particularly with revolutionary activities in Bengal. His
interest in revolutionary politics, however, did not keep him away from his spiritual
quest.
The phase of Political Activism
● In 1905 Bengal was partitioned. This event evoked strong resentment throughout the
country. Aurobindo resigned from his job in Baroda (1906) and plunged into ' active
politics which marked the beginning of the third phase of his life. This phase of political
activism was very brief (1906-1910).
● During this period, he participated actively in politics and supported the radical group
led by Tikal. He participated in the Surat session of the Congress. He also wrote
extensively on various topics of national importance in this period.
● In 1908, he was implicated and arrested in the Maniktola Bomb Case. He was
honourably acquitted in 1909. After his release, he remained involved in politics for a
short while. In 1910, he withdrew from active politics and went to Chandra Nagar and
later on moved to Pondicherry. His sudden withdrawal was a result of his desire for
spiritual development.
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Later Phase: 1910 Onwards
● During this period, Aurobindo wrote mainly in the wider context of humanity and its
spiritual future. He elaborated his ideas and ideals in the context of human development
and its ultimate goal of human unity. His important works like the Life Divine, Essays on
Geeta, The Synthesis of Yoga and the epic poem 'Savitri' were written during this
period.
PHILOSOPHICAL INSPIRATION-
● The great European philosophers from Homer to Goethe influenced him the maximum
during his formative period and the study of Geeta, Upanishads and Vedanta had a deep
impact on his political thinking. As Romain Rolland said, Sri Aurobindo was "the highest
synthesis of the genius of Asia and the genius of Europe.
● He tried to integrate the materialist trend in western philosophy with the idealist
tradition in Indian philosophy. Vedantic philosophy as propounded by Ramakrishna and
Vivekananda also influenced Aurobindo's thinking.
● He was also inspired by the remarkable vitality and diversity of the Indian intellectual
tradition. He believed that the writings of the Vedantic sages and the Buddha reflect the
genius of the Indian mind. Aurobindo wanted to combine the best elements of the
Indian and western philosophical traditions.
● He explained the origin, nature and destiny of this world in his theory of evolution.
According to his theory of creation, matter passes through various stages of
development; from the plant and animal stages to that of the mind and the supermind.
(this concept of supermind has been explained in the concept of freedom )
POLITICAL THOUGHT: EARLY PHASE
Scrutiny of Aurobindo's writings shows that he wrote extensively on problems of current

political importance in the early phase of his political activity. His political thought at that time
consisted of:
● His views on the Indian National Congress and the British rule in India.
● The Concept of Nation and the Theory of Spiritual Nationalism.
● His programme of action - Theory of Passive Resistance
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When Aurobindo returned from England, he observed the political scene and expressed his
views through his writings in journals like 'Bande Mataram'. He was critical of the Congress
organization and its leadership at that time. He criticised Congress on four counts-viz.
Difference between his and congress's idea of India as a nation
● The idea of India as a nation has remained contested. Colonial administrations and
historians have always challenged the legitimacy of the Indian National Movement as
they believed that India is nothing but a geographical expression.
● The response of early nationalists to the British challenge was too mild. They accepted
that India is not a nation but as Surendra Nath Banerji held ' India is a nation in
making'.But he said that India is not a nation in making. India was always a nation.
On the nature of British rule
● The purpose of Aurobindo's criticism of British rule was twofold. In the first instance, he
wanted to strengthen the anti-British sentiments in the country and secondly, to break
the myth of British superiority.
● He expressed the view that the British political system was in no way the best as was
widely believed by Indian intelligentsia. He was also critical of the absence of social
freedom and equality.
● Hence, he believed that copying the British model was not in the interest of our country.
Regarding the nature of the British rule in India, he expressed the view that "It is
mercantile in foundation and exploitative in character".
● It must be, therefore, weakened from its base itself, to achieve freedom and
independence of the country. He, however, did not object to learning from the
experience of the British, though he was against the thoughtless adapting of European
ideas and ideals. He objected to the growing tendency among Indians to ignore the past
and of having no clear vision for the future.
● He criticised moderates as they believed that India under the influence of modernisation
India will emerge as a nation and believed that Britishers are a source of modernisation.
● They looked at Britishers as a blessing in disguise. They adopted mild constitutional
methods like prayers, petitions and protests. They believed that the task of the Indian
national congress was to develop awareness and that is why congress sessions were
organized at different places.
It was through the efforts of moderates that there was a growth of nationalist consciousness in
the country. Aurobindo Ghosh entered Indian politics when the foundations of nationalism were
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already laid. Aurobindo realized that the national movement requires a bold theory of
nationalism. He could understand the pulse of the nation and be convinced that freedom can
not be achieved without making the Indian national movement a mass movement. To achieve
this we have to speak what youth wants to hear.
He criticised congress on following basis
1) Its aims and objectives-
● He thought that Congress did not have a clear cut goal of national freedom. The leaders
of the Congress were wasting time on trifles like certain administrative reforms, which
were inadequate to meet the need of the time. Their demands, he delivered, were
'shamefully modest.'Ghosh criticized the moderate approach towards nationalism and
the methods of the approach. It was Ghosh who for the first time talked about complete
freedom.
● He was the first person to define swarajya as complete independence. Tilak interpreted
swaraj as suraaj or good governance. According to tilak suraaj requires rule by natives.
● He has criticised moderates' view of Indian nationalism. Moderates have failed to see
the spirit of India. Moderates think that nationalism will emerge from congress pandals.
Indian nationalism is not dependent on congress sessions.
● India is not a nation in making. India was always a nation. The nation is not a
geographical expression. The nation is not a political programme. The nation is a
religion.
● The nation is a spirit, the nation is divine since the nation is divine no one can suppress
the spirit of the nation. Nationalism can never be oppressed. It will emerge on its own.
Nationalism is not a political programme. The nation is a religion.
● He was inspired by Vivekananda who held that nationalism should be the supreme goal
of youth in India. Vivekanand appealed to arise, awake and don't stop till the goal is
achieved. Ghosh also held that nationalism should be the religion of youth in India.
● He believed that the type of commitment we have towards religion is the same as is
required for nationalism. Ghosh was against the constitutional methods, he called it
mendicancy(beggary).
2) Its composition-
● He thought that Congress was a middle-class organization and therefore, did not
represent the Indian masses. The newly educated middle-class leadership was only
interested in gaining power and a place in the Indian polity. He emphasised the need for
converting the national movement into a mass movement by including in it the vast
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numbers of the proletariat. He believed that the emergence of the Indian 'proletariat' on
the horizon of the national movement would be an important key to the solution of the
problem of transforming the Congress into a truly national and popular body.
3) The motives of the leaders-
● The motives of the Congress leaders, his observation was that they were not sincere
leaders. They were timid and afraid of displeasing their rulers. He believed that these
defects in the organization had adversely affected the national movement in the country.
● Although it does not mean that he was basically against the national Congress. He
stressed the need for a broad-based organization that could channel the entire power of
the country to free it from foreign rule.
4)Methods of congress
● Constitutional methods have no relevance because British rule is not responsible

towards Indians. Instead of prayers, we require resistance. Either resistance or
revolution, he was not against the use of violence.
● However, methods were suggested according to circumstances. He had links with
revolutionary societies like yugantar. He held that we need those methods which strike
at the roots of the colonial state.
● So long as Britishers will be able to maintain benefits from India, they will not leave it.
He argued moderates to stop calling the British raj a blessing in disguise. Foreign rule is
never a blessing rather is only a form of exploitation.
● Calling it a blessing would demoralise people fighting against it. He suggested adopting
direct methods like boycotting the British administration, the judicial system and the
education system. Boycotting to show that Indians can live without British machinery
and Indians can manage their affairs.
● He was against British schools as he believed that British schools only teach how to
become loyalists. British school kills nationalist sentiments hence, he called for national
education.
On the nature of British rule
● The purpose of Aurobindo's criticism of British rule was twofold. In the first instance, he
wanted to strengthen the anti-British sentiments in the country and secondly, to break
the myth of British superiority. He expressed the view that the British political system
was in no way the best as was widely believed by Indian intelligentsia.
● He was also critical of the absence of social freedom and equality. Hence, he believed
that copying the British model was not in the interest of our country. Regarding the
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nature of the British rule in India, he expressed the view that "It is mercantile in
foundation and exploitative in character".
● It must be, therefore, weakened from its base itself, to achieve freedom and
independence of the country. He, however, did not object to learning from the
experience of the British, though he was against the thoughtless aping of European
ideas and ideals. He objected to the growing tendency among Indians to ignore the past
and of having no clear vision for the future.
Concept of Nation and Theory of Spiritual Nationalism
● Ghosh has based his theory of Indian nationalism also on the ideals of neo Vedantism.
(Sanatan Dharm)neo Vedantism was propounded by Vivekanand. Vivekanand attacked
Brahmanism and the caste system.
● Because according to him Brahmanism is a reason for the lack of unity in India.
Vivekanand held that amongst the diversity there exists a fundamental unity in India,
this fundamental unity is the basis of Indian nationalism.
● The fundamental unity is derived from the Sanatan dharma about the unity of mankind.
It says -we all are the children of one good, we all are part of the universal spirit.
Aurobindo Ghosh has also built the theory of nationalism and patriotism based on the
idea of mother India given by bankimchandra Chatterji.
● In Aurobindo's understanding, the 'nation' is a mighty 'Shakti' composed of all the
Shaktis of all the millions of units that make up the nation. So we are children of one
motherland. He appealed for patriotism, he appealed to the youth to free mother India
from the bondages and chains of slavery. he presented mother India in the Bengali
tradition of goddess shakti.
● It is thus a living entity. He expressed his deep feelings of love and dedication to the
motherland in numerous articles and poems. Such patriotism he believed could work
miracles.
● Thus, Aurobindo's definition-of nationalism had a spiritual dimension, unlike the
ordinary patriotic understanding of the terms nationalism.
● Nationalism in his opinion is not merely a political movement. It is neither a political
programme nor an intellectual pastime. In his opinion, nationalism is akin to religion. It
is a faith and a creed that one has to live.
● It is a religion that has come from God. Hence, it cannot be crushed. Even if attempts are
made by external forces to suppress it, it re-emerges and survives due to the strength of
God in it. The nationalist movement sparked off by the partition of Bengal was in the
opinion of Aurobindo a divinely inspired and guided movement.
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● In his opinion, this movement was not guided by any political self-interest, but it was a
religious mission that the people were trying to fulfill. Thus for him, "nationalism is a
religion by which people try to realise God in their nation, and their fellow countrymen".
● He projected Indian nationalism as a divine mission. According to him, God has given a
special mission to India. The mission is to protect humanity.
● Humanity can be protected only through india.No other culture or civilisation has such
values which can protect humanity. India can not accomplish its mission without political
freedom. The rise of India as a nation is inevitable. It is so because it should be divined
means the rise of India should not be for Indians alone, rather for the benefits of
humanity. hence all should support the rise of India. Hence nobody should stop.
Final Goal – Swaraj
India's liberation from foreign domination was the final goal for Aurobindo. 'Swaraj', i.e.,
self-rule by Indians was not merely of economic and political nature. It was necessary for India
to perform its spiritual mission dedicated to the upliftment of humanity. He advocated
independence for India for the following reasons:
● Liberty is the first indispensable condition of rational development, intellectual, moral,

individual and political-is in itself a necessity of national life. Hence it was worth striving
for its own sake.
● Secondly, in the process of development of human beings, spiritual and moral advance is
more important than material advance. Aurobindo was of the opinion that Indians with
her spiritual development were destined to take the lead for the progress of the world
and for this reason too Indian must be free.
● India must have Swaraj to live well and happily. For this Indians should not live as slaves
but as free people to work for the spiritual a d intellectual benefit of the human race.
Concept of freedom (swaraj)

● Swaraj is the Indian version of freedom. swaraj has been the goal of the freedom
struggle. The meaning and content of swaraj kept on evolving.
● Initially, swaraj was good governance or suraaj and dominion. It was Aurobindo Ghosh
who talked about complete independence. Aurobindo Ghosh has not just discussed the
idea of freedom with respect to the independence of a nation.
● He also talked about freedom at the level of the individual. Aurobindo Ghosh tried to
find the answer to the question of how we can achieve freedom in a manner that is not
against the wider interest of society. He was against the capitalist idea of freedom.
● He found it too mechanical. According to him, liberty became a device to satisfy our
natural impulses without taking into consideration the natural impulses of others.
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● It will result in chaos. He also does not support the socialist concept of freedom as it will
result in an oppressive state system. According to his idea of freedom, there should be
harmony between individuals, nations and humanity. The gospel of humanity is based
on the triangle of liberty, equality and fraternity.
● According to Aurobindo Ghosh, the longing for freedom is lodged so deep into the
human heart that thousands of arguments are powerless to uproot it. According to him,
the goal of human life is to attain freedom. Freedom consists of understanding reality.
● Freedom is freedom from ignorance. Freedom means the realisation of the universal
spirit. He gives the concept of Sat+Chit+Ananda. The real freedom lies in the
understanding of God. It is possible when we achieve the state of supermind.
● Supermind is possible through integral yoga. Integral yoga combines dharma yoga, raj
yoga, hatha yoga, Gyan yoga, bhakti yoga, karma yoga.
● He explained the origin, nature and destiny of this world in his theory of evolution.
According to his theory of creation, matter passes through various stages of
development; from the plant and animal stages to that of the mind and the supermind.
● In this process of evolution, in the transformation from the mind to the supermind, the
technique of 'yoga' helps human beings to hasten the process. (Ananda). The.
Attainment of Ananda helps in self-realization and assists in the service of humanity.
● According to him, since 'matter' is not different from 'spirit' 'gradual evolution of matter
will convert it into pure spirit. Despite the obstacles in the way which may slow down
the process, the advancement of humanity in the direction of spiritual perfection will
continue.
● In this process, a few developed souls will work as pathfinders and will struggle hard to
find the path for others. Aurobindo believed that India's tradition of spiritual thought
and practice was very advanced and the whole of humanity could benefit from this in its
spiritual journey.
● He wanted India to take the lead and for this reason, thought that India ought to be free,
to play her true role in the spiritual regeneration of the world.
Positive Programme of Political Action
According to Aurobindo, this limitless reservoir of inner strength and power of the people could
be channelized through different kinds of political actions; viz.
● I) firstly through secret revolutionary propaganda by setting up revolutionary

organizations. The object of this action was to prepare for an armed insurrection.
● 2) Secondly, continuous propaganda against foreign rule through writings, speeches,
public contacts etc. This was regarded by many at that time as an impossible scheme
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because in their opinion the British Empire was too strong to be destabilised through
such techniques
● 3) Thirdly, mobilising the masses through various organizations to carry an open and
total opposition to foreign rule through methods of non-cooperation and passive
resistance. His advocacy of the method of passive resistance was the result of his
disillusionment over the constitutional methods of moderate leaders. He was opposed
to methods like passing resolutions, sending petitions, and entering into negotiations
with British rulers. Instead, he advocated methods like 'boycott' of foreign goods
'non-cooperation' with the rulers etc. These were, according to him, the methods most
suitable at the time since Indians were faced with rulers who were oppressive and
insensitive to the demands of the people.
Thus, the measures he advocated were not moral or spiritual but very practical political
measures. He did not reject the use of force in the application of these methods. Violence was
not taboo for Aurobindo. The use of force and violence was justified if circumstances demanded
them. Herein lies the difference between Gandhi’s method of civil resistance and Aurobindo's
method of passive resistance.
Programme of Action
The boycott was The boycott word in the programme of action proposed to resist high
handedness and oppressive measures employed by the British rulers. 'Boycott' in this context
means an act of organised refusal to do anything which shall help or assist the British
officialdom in administrative matters.
● The main target of the 'boycott' was British goods since economic exploitation by the
British rulers was to be stopped forthwith
● Boycott of the British system of education. This programme included a boycott of
government-run schools and colleges and sought to establish national education
institutions and a system directed towards creating awareness about the problems of
the country, love for the nation and mental preparedness among the youth of the
country to fight against the dominance of alien power.
● Boycott of the British judicial system. The system was regarded as partial, costly,
frequently subordinated to the political objects of the rulers and ruinous as far as the
people of this country were concerned. The administration of justice was criticized for
being bureaucratic in nature.
● His programme included a boycott of the administration. The executive/ administrative
machinery was regarded as ruthless, repressive, arbitrary, meddling and inquisitorial in
characterizing the boycott as reducing the administrative machinery to a mere skeleton
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so that it would be useless for the rulers in their efforts to exploit and harass the
helpless masses of this country.
THE SECOND STAGE: FROM 1910 ONWARDS

Aurobindo dramatically withdrew from politics in 1910 and moved to Pondicherry, following the
persistent calls from his inner self through mystic experiences. His writings during this phase are
mainly philosophical in nature.
Evolution of Human Society

● Aurobindo argues that, in the course of its development. Human society has to pass
through three stages: The first is the stage of spontaneity.
● At this stage the forms and activities of community formation. Its traditions and customs
and institutional setup are the results of organic growth. Instincts and environmental
needs play an important part in its formation.
● The people believe in certain symbols which are imaginative and instinctive in nature.
The people belonging to the same race or kinship follow identical symbols which
become a religion for them. Thus, in this stage of development, natural instincts and
religious symbols go together.
● The second stage is the stage of consciousness in which people become intellectually
self-conscious and start thinking about this life and its problems with the help of
intelligence and creative power. This stage is predominantly psychological and ethical in
nature. In this stage intellectuals get importance and come forward as the initiators of
the age of reason and revolt or progress and freedom.
● The third stage is the stage that represents both the triumph and failure of reason. In
this stage. human beings collectively begin to live more deeply in life purposefully.
● The life of human beings at this stage will be governed by a sense of unity, sympathy,
spontaneous liberty and the spirit of individual and communal existence. From here
humankind has to advance towards the realization of spiritualised society.
● In this spiritual society, 'nation' as a regulating mechanism will have no place. There
would be unity within the nations as a group but there would also be ultimate unity and
oneness of humankind. The primary responsibility of achieving this unity was entrusted
by Aurobindo to India.
The ideal of human unity

● Indian thought has always been cosmopolitan. Though Ghosh is a prophet of Indian
nationalism yet neither his nationalism nor his patriotism is against humanity. According
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to Ghosh ‘aggregation is the law of the universe. We can not solve our problems if we
will not come together.
● The basis of human unity is the universal spirit. According to him either we learn to
cooperate or nature will destroy us. Even Indians' rise as a nation is not for its interest
rather the promotion of such values which are necessary for the protection of life on this
earth.
● It will not be a mechanical unity established under the iron law of the state or any
organization because such a kind of mechanical unity will negate the diversity of various
groups, individuals.
● There would be no suppression of individual life or the life of a smaller community. All
individuals and communities will get the fullest opportunity for the full development of
their potentialities and the full expression of their multifaceted diversity.
● The future society will be a society of complex oneness, a world society in which present
nations will be intrinsic parts of the whole. The national societies would continue to
function as cultural units but their physical boundaries would have no relevance as they
would look beyond them to realise the vision of the unity of mankind.
CRITICAL EVALUATION
● In the context of his theory of 'spiritual nationalism', it is argued that though it is called
spiritual nationalism, in reality, it was religious, as we have known it, and therefore
reactionary in character.
● It was an attempt to mobilize the masses on an emotional basis and detracting their
attention from real issues like poverty, economic exploitation, inequality which are
inimical to the progress of the individual as well as the community. It was an appeal to
Hindu religious sentiments in the garb of the cultural heritage of the land.
● Further, it is argued that to regard nationalism as an instrument of spiritual perfection is
too idealistic and visionary for the common person. To associate religion with politics,
though in the name of spirituality, will be a dangerous proposition in a multirole, pious,
multicultural plural society like India.
● It is argued that in the ultimate analysis, this exercise has resulted in increasing the
Hindus between the Hindus and the Muslims-two major religious communities in India,
which finally resulted in the partition of the country.
● Critics point out that Aurobindo paid less attention to the issues of social reform, which
were perhaps more important and urgent. The defence of the radicals in this regard was
that it was a matter of giving preference in the light of circumstances existing at that
time.
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● To them, the problem of social reform was not in any way unimportant in comparison
with the issue of national independence, but the latter was considered as a matter of
primary importance.
● Because of his advocacy of force or violent means in the fight against foreign rule,
Aurobindo is criticised as an anarchist as well as a terrorist in his approach and action.
He was certainly not an anarchist. Neither was he a did not though he did not
disapprove of the use of violence on moral and spiritual grounds.
● But he did not approve of blind terrorism against individuals in the manner of a violent
anarchist. In his vision of a future society, he accepted the existence of nations as
cultural units in
the broader scheme of human unity at the spiritual level. Hence, the charge of being
'anarchist' in the case of Aurobindo is without a basis.
● As far as his advocacy of violent means and association with the revolutionary groups is
concerned, it can be said that it was a reaction against the increasingly intolerant and
uncivilised way of the British rulers. It was a reaction to British policy and the partition of
Bengal. It was the reaction of an emotional patriot to the brutal exploitation of his
motherland and tyrannical government at the hands of the alien rulers.
● To him, ends were important, by whatever means they were achieved. However, within a
short period, the limitations of this strategy became very clear. Aurbindo himself has
pointed this out. Aurobindo also pointed out that moral standards are only relative and
cannot be held to be universal. According to Aurobindo, violence was best avoided and
ally avoided or prohibited.
Conclusion
● His theory of spiritual nationalism is a unique contribution to modern thought. His
writings inspired the educated youth of his time to take up the cause of national
freedom. By interpreting the concept of nationalism in spiritual terms he gave a new
dimension to the national movement and lifted it above the economic and political
context and a new kind of spiritual idealism was set before the nationalists in the
country.
● Secondly, by advocating comp freedom from the foreign domination as the final. The
goal of the freedom struggle brought a change in the texture of our national movement.
It was quite a bold stand taken by him when the moderates were spearheading the
national movement.
● Thirdly, it may be pointed out that Aurobindo was the first political thinker who
recognised the need of giving a broad base to the national movement. He emphasised
the need for mass mobilization and participation of all sections of society in the national
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movement way back in 1893. In this sense, he was a true democrat relying on joint
action by the many rather than the intellectual initiative of a few.
● His advocacy of passive resistance created a sense of renewed confidence among the
masses and exposed the contradiction between the myth and reality of the British raj.
With his advocacy of radical methods to attain the goal of full freedom for the Indian
nation, he created a favourable atmosphere for revolutionary spirit among the political
activists and by participating in it as their leader he set an example of being both, a
theoretician as well as practitioner and a good organizer which is a rare combination of
the qualities of the prophet and the leader.
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Indian Parliament: Issues and Trends

Constituent Assembly had considered multiple options for the form of government to be adopted in India. Gandhians
were proposing party-less democracy. Gandhi was critic of Political Parties because they pursue unethical politics and
they promote party interest in the name of national interest. Political parties result into concentration of Power.
However Modernists like Nehru and Ambedkar rejected the idea of direct democracy. They also rejected the proposal
for presidential system and preferred representative democracy and Parliamentary form of government.
Merits of Parliamentary System/ Why it was chosen for India? :

• Considered to be more representative and democractic.
• It is supposed to be more democratic. It ensures the accountability of the Government, on day to day basis.
• Experience in the parliamentary system during the British era.
• Diversity of country required representation of different sections of society.
• Though Parliamentary system is seen as unstable, it was preferred over Presidential System because except USA,
there is no other major country in the world where presidential System has continued to retain its democratic
character. In third world countries, it has become dictatorial.
Western scholars were apprehensive about the possibility of success of parliamentary democracy in India from the
very beginning because the type of social and economic conditions required for its success were absent in India.
Morris Jones in his book Parliament in India has given the following reasons for his apprehension against the
working of parliamentary democray:
• Western in Origin
• Lack of enough experience
• Scale of Diversity
• Social cleavages which automatically result into adversarial democracy rather than consensual democracy..
• In traditional society like India, power becomes very important for survival so there will be extreme competition
in politics.
Evolution of Parliamentary Democracy In India

Phase 1: Uptil 1960’s-Nehruvian Phase
Morris Jones has highlighted the following weaknesses of the working of Parliamentary Democracy during the time
of Nehru :
• Lack of opposition in the country.
• Lack of Independent thinking among the backbenchers (lesser known parliamentarians).
• Close relationship between government and Congress party.
• Concealed dictatorship of Nehru ( He influenced and dominated most of the decision making).
• Social environment of the country.
Phase 2: From 1960’s to 1990’s : Beginning of the decline and disillusionment with Parliamentary Democracy.
• Death of Nehru.
• Breakdown of Congress System.
• The beginning of defections.
• Indira Gandhi started concentrating powers in her hands.
• Decline of the Cabinet System.
• Rise of regional parties.
• Growth of corruption and nepotism.
• By this time idealism of National Movement was over.
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• Failures of govt. on the economic front.

There was rise of social movements in 70s, Anti-price agitation, chipko movement. Jai Prakash Narayan called for
“Total Revolution”. Govt imposed emergency even on internal grounds and it appeared as if the experiment of
democracy is finally over in India. Emergency was the trial period for parliamentary democracy. Fortunately
democracy survived. However extremely adversarial politics started. There was a growth of Regionalism in the
country. Breakdown of Law & Order situation in North East, Punjab & J&K.
Phase 3: From 1990’s -Greatest amount of Decline

• In the words of Hamid Ansari , “ Parliament has become “Federation of Anarchy”. Debates are rare, informed
debates are rarer. Criminalization of Politics has made Indian Parliament a self-serving Institution.
• Shankar and Rodrigues in their book on Indian Parliament give the following reasons for decline of
✓ Plebianisation of Indian democracy.
✓ Coalition Politics.
✓ Lack of Responsible opposition.
✓ Lack of Electoral Reforms.
✓ Presence of Criminals in Parliament.
✓ Problem of Defection.
✓ Increasing amount of Corruption.
✓ Globalization has taken away the scope for policy making.
✓ Lack of training and capacity building among parliamentarians.
✓ Poor functioning of Committee system.
✓ Disruptions in Parliament.
✓ Increase in number of ordinances.
The Decline of Parliament:
It denotes decline in the respect of the parliament among the people. The decline also indicates the relative rise of
other institutions. Initially, decline was due to the overreach of Executive & later on because of Judicial activism.
What are the indicators of Decline?

• The rise of Civil Society Activism.
• Social Movements.
These indicate that people are not satisfied with functioning of parliamentary democracy. There have been
suggestions that India should think about shifting to direct democracy considering the decline of representative
institutions.
Reasons for Decline

• Criminalization of Politics : Unfortunately Law Breakers are the Law makes in India. Many Parliamentarians are
accused of heinous crimes and there is need to take urgent steps against this tendency.
• Destructive Role of Opposition: Opposition is vital for functioning of parliamentary democracy. Hence
opposition enjoys a lot of rights like right to ask questions and bring resolutions. In India, initially, opposition was
irrelevant because of the dominance of the Congress System. Later it has gained relevance but the role has been
mostly destructive. After 1990’s , because of Globalization, parties do not have differences over policies. Hence,
they try to escape from debates on policy matters.
• The focus of opposition in India is more on investigating scams rather than focussing on legislative business.
• India doesn’t have a strong committee system. Ideally, the rule of parliamentary system is “Opposition should
have its say, Govt. should have its way”. It goes against the convention of the parliamentary system if opposition
doesn’t allow the government to work or hijacks govt’s initiative and insists on bringing its own agenda.
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• Globalization has made law making an extremely complicated process : There is lack of training and adequate
capacity building among parliamentarians.
• Globalization has also weakened the nation states and their rule making powers: It has indirectly reduced the
scope for autonomous policy making by national parliaments.
• Executive Overreach and Bulldozing of Opposition views on the floor of the house.
• Rise of Coalition politics.
• Defections and Horse Trading.
• Politicization of the post of Speaker.
Should India shift to a Presidential System?

• The reasons which led to adoption of Parliamentary System at that time are still relevant today.
• Except USA, there is hardly any example where Presidential System has continued with democracy.
• As per Ambedkar, “ Howsoever a Constitution is good, it will not work if we as people do not want it to work”.
He kept on insisting on the need for Constitutional Morality. There is no guarantee that if Presidential System
comes the problems are going to be resolved. Hence, change in attitude rather than change in institution is
needed.
• Necessary steps like Capacity Building of parliamentarians and Depoliticization of the post of Speaker should be
taken.
• Parliamentary System is also a part of Basic structure of Constitution and to change it, we will have to rewrite
the entire constitution.
It is to be noted that despite all unfavourable situations, Parliamentary democracy has survived in the country.
Massive participation of people in the elections shows that there is trust of people in the institution of democracy in
the country. Indian democracy is maturing. However to make India realize its potential, it is necessary that
institutional reforms are implemented.
Role of Opposition
• Opposition is an integral component of the Parliamentary form of Government.
• In Parliamentary system, opposition enjoys certain rights and privileges like to right to ask questions and bringing
motions. Opposition acts as check & balances.
• Recognizing the importance of opposition, it is called His Majesty’s opposition in Britain.
• In India also there is a statutory recognition to the Leader of Opposition in both the Houses. He enjoys the status
of the Minister of Cabinet Rank. Leader of opposition is included in the screening committee in the appointment
of Important Posts.
• The role of opposition has not been satisfactory. Initially opposition lacked strength. In the Congress system
opposition was acting outside the margins.
• With the breakdown of Congress system, strength of opposition started increasing in numbers. However
opposition could not play effective side because of lack of solidarity.
• Since the beginning of minority governance and coalition politics, there is a considerable growth in the power of
opposition. However opposition has not played a satisfactory role. It has become a major factor for decline of
Parliament and Ordinance Raj in India.
• Opposition does not follow Parliamentary ethics which is “Opposition should have its say but Government
should have its way”. Opposition in India often sabotages the functioning of the government.
• Because of extremely adversarial politics, opposition even does not support the right policies of the govt. Since
political parties do not differ with respect to policies, they prefer not to debate and rather walk out of the
Parliament.
• Opposition does not take interest in the Standing Committees of Parliaments and is more interested in acting as
investigating agency.
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Suggested Reforms
• Electoral Reforms to check the entry of criminals and influence of money power.
• Reform the institution of Speaker and adopt the British system of once a speaker is always a speaker.
• Reform Anti-Defection law and make a balance between interest of a political party and privilege of Freedom of
Speech and Expression for Parliamentarians.
• Codification of Privileges for Parliamentarians to define the limit and check Judicial Intervention in Parliament.
• Training & Capacity building of Parliamentarians
• Ensure the minimum working hours/days of Parliament.
• Make committee system more effective.
• Media should also portray the positive role of Parliament.
Depoliticization of the post of Speaker

• In Britain, the Speaker once chosen always remains a Speaker. He formally resigns from his party and continues
to be elected unopposed as long as he wishes to continue on the post.
• In USA, the speaker is a party person. He openly supports his party. His decisions are not fixed. Entire house
decides an issue in case of people not agreeing with the Speaker.
• India shows mix of both the above models. In theory, the Speaker is neutral but in practice, he/she at times acts
as a party person. The ultimate power to disqualify members on grounds of defection makes the position of
speaker prone to more bias.
• The position of Speaker is a position of dignity. It is the pivot of Parliamentary democracy.
• Nehru : Speaker represents dignity of the House, Freedom of the House; he represents the Nation; he is the
symbol of nation’s liberty & dignity. This position should be occupied by men of outstanding ability & impartialty.
Critical Evaluation of the post of Speaker

• Since India neither modelled the institution on purely British nor US System, there emerged a big gap in theory
and practice inviting controversies.
• Page Committee (UK) : Even when Speaker is a neutral post in UK, yet committee acknowledged that there is a
possibility of Speaker going Partisan. Committee mentions that if Speaker fails to maintain the neutrality, it
sounds “Death Knell” of parliamentary democracy. Hence it recommended that Speaker should be made the
member of House of Lords after retirement.
• G. S. Dhillon served as LS speaker for 2 terms. In 1975, he was asked to resign and afterwards he was made
Union Minister for Shipping as a reward for his partisanship. Louis Barboza, Speaker of Goa Assembly, resigned
and formed his own party and became CM by manipulating multiple defections. Nabam Rebia, Arunachal
Pradesh Assembly Speaker, disqualified 16 members of ruling party even when they had not left the party nor
defied any of the party directives. Govind Singh Kuntwal, Uttarakhand Assembly Speaker, disqualified 9 ruling
MLAs on ground that they were demanding voting of Budget even when rules of Assembly permits voting.
Anti Defection Law and associated issues (Read Static content on the law beforehand)
• Defection is a problem in the parliamentary system. It creates a problem of Political Instability.
• If members of a ruling party defect, the party may end up losing majority on the floor of the house.
• Defections also lead to corruption as ruling party can push members of other parties to defect in return of
ministerial posts.
• Defections are a breach of trust with people.
• Problem of defections has becomes so serious that “Aaya Ram Gaya Ram” has become the tradition of Indian
politics.
Important Cases associated with the Anti Defection Law

Ravi Nayak Vs UoI , 1994
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• If a person has not formally resigned but his actions are such that it can be ascertained that he has resigned.
• Judiciary will not question the rules made by Speaker or procedure, but judiciary will question on the grounds of
malafide intentions.
G.Vishwanathan vs Speaker (Tamil Nadu),1996

• It protects the MP and gives protection to Freedom of Speech and Expression which is also the privilege of
parliamentarians.
• Even when party expels, Court can decide whether member has voluntarily resigned or not. In case court does
not find defection but party has expelled, such person will be treated as “Unattached member of Party”.
• He will continue to be governed by the provisions meant for a member of the party.
Case of Speaker, Deputy Speaker and Deputy Chairman of Rajya Sabha

• They can resign after being elected to the post.
• In case they are removed or have resigned from the post, they can join only their original party or remain
independent, they are not allowed to join any other party as it would result into defection.
• Speaker is the final deciding authority in matter of defection. As per 52nd Act, 1985 it could not be challenged in
courts.
• But in Kihoto Holohan Cas, SC held that decision comes under the scope of judicial review. As per Article 122,
Courts can intervene in legislative proceedings. But in above case Speaker’s action is not legislative. Speaker acts
as a quasi-tribunal. Hence it comes under the scope of Judicial Review.
S.P. Maurya Case, 2007

Speaker’s action is subjected to Judicial Review if :
• If he fails to act on complaints;
• If he acts on complaints without finding facts.
When proceedings against speaker on grounds of defection are taking place, Speaker can’t disqualify members.
Arunachal Pradesh Case

• Nabam Rebia disqualified 16 members even when proceedings against him was taking place.
• SC opined that Speaker has been given powers to strengthen democracy and not to stifle democracy.
Suggestions
• Instead of making Speaker authority, it is better to make Election Commission powerful to decide like in cases of
disqualifications on other grounds of MPs and MLAs in other cases.
• Anti-Defection law contradicts Freedom of Speech and Expression of Parliamentarians.
• Law Commission has suggested to restrict the use only in cases of Motion of Thanks, No-Confidence Motion and
Adjournment Motion.
Issues related to Parliamentary Privileges : Whether they should be codified?

• Privileges are special rights available to a few. Parliamentary Privileges are given to parliamentarians/legislators
in all democracies so that they can perform their responsibilities efficiently without fear.
• Privileges represent the dignity of the House. Hence, House is given power to punish the person in case of
Breach of Privilege. It is treated as a contempt of the House.
• One of the most universally available privileges is Freedom of Speech and Expression. No case of defamation is
possible against members for what they have said in the house. There is exemption from liability w.r.t anything
said/any proceedings/any vote given in the parliament. Similarly no one would be punished for publishing any
report under the authority of the house.
• Art 122 prohibits the judiciary from intervention in proceedings of parliament.
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• Constitution does not give list of privileges but leaves it to parliament to define its own privileges which are
available to the members, Houses and its Committees.
• The issue of codification was debated in the Constituent Assembly. Dr. Rajendra Prasad emphasized on need to
codify as he was sceptical that they will never be codified.
• L. Cairns once remarked that “ The most important privilege of parliamentarians is not to codify the
privileges”.
• Lack of codification creates a huge uncertainty w.r.t. to exercise of Freedom of Speech and Expression of
ordinary persons but specifically over the Freedom of Press.
• On a number of occasions, journalists have been punished for the breach of privilege in an arbitrary manner just
for criticising the functioning of the legislatures. It is absolutely essential that Freedom of Press exists to protect
Democracy.
• Since privileges are not codified, thus there is no clarity over what journalists can write or cannot. It also results
into involvement of Judiciary now and then in the decisions of the house because the power is exercised in an
arbitrary manner. It is a big challenge for Judiciary because, on one hand it is the protector of Fundamental
Rights and on the other hand it has to give recognition to the provisions of the Constitution.
• Right now, whenever there is a contradiction between Fundamental Rights and Privileges, Judiciary opts for
“Harmonious Construction”.
• Searchlight Case :SC had upheld the superiority of Privileges over Fundamental Rights.
• Keshav Singh Case : Verdict in Searchlight case is not a general norm. Primacy can be given to Fundamental
Rights. However all rights will not have primacy over Privileges. Art 21 can be superior but not Art 19.
• Raja Rampal Vs. LS Speaker, 2007 : Art 20 and Art 21 will have primacy over privileges but not Art 19.
It would be in interest of democracy if privileges are codified because:

• It will achieve balance between Fundamental Rights and privileges.
• It will restore dignity of the House as judiciary will no longer have any scope for interference.
• Privileges in India without codification is like following the British principle of Sovereignty whereas in India
Constitution is Supreme.
• MPs are representative of people and can’t claim power from people from themselves.
• In USA, privileges are not codified but there is no system of punishment for Breach of privileges whereas in India,
Journalists have been imprisoned for years.
• Australia recently codified privileges.
• In case of Britain, privilege were introduced with a purpose of lessening the tussle between the King and the
parliament. Hence parliament asserted Privilege of Parliamentarians to speak against the King. It became a
privilege that no person will be arrested from house premise without speaker’s permission.
• At present, in Britain, even uttering defamatory statements against house is not treated as Breach of Privilege.
Issues related to Committee System in India

• In USA, it is said that Congress in session is Congress at Display whereas Congress in Committee is Congress at
work.
• The real legislative business takes place in the Committee.
• Since parliament meets for limited time but Committee continues to work throughout the year.
• Committee takes the specialist view on a particular issue.
• Political parties will not cooperate on the floor of the House because of political reasons but they can cooperate
in committee because it doesn’t work under the glare of media.
• Committees can involve the experts, stakeholders for wider consultations.
• The strongest committee system is practised in USA. Bills can go directly to committee even before the
introduction in house. Life of Bill can end in committee itself, there is no need to send bill back to the house.
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• In India, Committee system does exist but it does not work efficiently. Here, it is not necessary to refer bill to
committee.
• The number of bills being referred to committee have come down considerably. According to report of PRS
Legislative Research :
✓ In 14th LS, 60 % bills referred.
✓ In 15th LS, 70% bills referred.
✓ In 16th LS, 27 % bills referred.
• Another paradox is that the recommendations are either not tabled nor discussed. Even when discussed they are
not implemented.
• There is also a considerable decline in the attendance of members.
P.B. Mehta and Devesh Kapoor on Committee System
• They suffer all the general weaknesses of the Indian Parliamentary System.
• Lack of Capacity.
• Members are not traditionally given any remuneration, so they have no motivation.
• Lack of qualitative research support.
• Recommendations are neither discussed nor implemented.
• Ministers are not part of Committee and so neither involve nor support the committees.
The evolving profile of Legislators in Indian Parliament
• In the period between 1952 to 1971 the parliament was ‘elitist’ in its character, dominated mainly by urban, middle
class, educated, elite. The Lok Sabhas of the period, particularly till that of 1967 were characterized primarily by
the presence of two categories of members: the modernizing elite consisting of the urban, educated and successful
professional classes and members of the traditional elite (including capitalists and landed gentry), with the former
dominating. More than half of the members of the Lok Sabha belonged to the classes that had had the benefit of
higher and even professional education. Lawyers constituted a third of the Lok Sabha membership. In addition,
military, police and civil service personnel, journalist and writers, were also a part of the Lok Sabhas of the period.
Each of these occupational groups formed a part of the urban, professional class
• Apart from the urban middle class, those with agricultural interests constituted a substantial segment of the Lok
Sabha membership. A large number of MPs were full time social activists drawing their sustenance in all
probability, from agricultural property. Traders and industrialists constituted nearly one tenth of the total
membership of the Lok Sabha during the entire period. The entry of workers, peasants, landless labourers and
others appeared almost impossible, given the fact that a western model of democracy, with which common
Indians were unfamiliar, was adopted.
• Between 1971-1989, the socio- economic profile of the members underwent some changes. This period witnessed
the emergence of regional elite at the national level. Generally, the members were older, more educated, with
agricultural interest and experience at the state level. The Lok Sabha continued to remain, a body consisting of
members with a reasonably high level of education. Occupationally, however, there was change in the composition
of the Lok Sabha. Agriculturists began to dominate the Lok Sabha membership. Their presence in the Lok Sabha
was continuously on the rise till 1989. Urban middle class professionals continued to have a sizeable presence in
the Lok Sabha, though there was a decline in the presence of Lawyer members Workers and trade unionists were
still conspicuous by their absence.
• The post 1989 period has witnessed significant changes in the composition of the Lok Sabha MPs in terms of their
social profile, though economically they still belong to the affluent sections of the society. The educational
qualification of the MPs was better than their earlier counterpart. Interestingly, many of the postgraduates were
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from state parties like the BSP, the AIADMK, the DMK, etc. The SC, ST, and OBC members appeared to be as
educated as general category members were.
• In terms of occupation, majority of MPs were either agriculturist or full time social and political workers. This
change made the legislature more representatives in its character. Urban professional classes too had not
altogether lost interest in the political process. When taken together, lawyers, businesspersons, educationists, and
other urban professionals still constituted nearly 40 per cent of the Lok Sabha membership.
• These small but significant changes in the socio-economic composition of the Lok Sabha indicate the emergence
to a new leadership. A large number of these members of the new political elite had made gradual progress from
grass root level to national politics through the democratic process. An increasing number of them belong to state
parties, or have considerable legislative experience at state level. It may therefore be assumed reasonably that
there was a gradual transition of state elite to national politics. They appear to have brought the influence of state
politics to national level. Their view of politics and political institutions is fundamentally different from their
predecessors, who were imbued with political idealism inspired by the west and nationalist spirit.
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PANCHAYATI RAJ : CORE ISSUES AND ROLE OF WOMEN REPRESENTATIVES
Salient Features of the Constitution 73rd and 74th Amendments
▪ These amendments added two new parts to the Constitution, namely, added Part IX
titled “The Panchayats” (added by 73rd Amendment) and Part IXA titled “The
Municipalities” (added by 74th Amendment).
▪ Basic units of democratic system-Gram Sabhas (villages) and Ward Committees
(Municipalities) comprising all the adult members registered as voters.
▪ Three-tier system of panchayats at village, intermediate block/taluk/mandal and district
levels except in States with population is below 20 lakhs (Article 243B).
▪ Seats at all levels to be filled by direct elections Article 243C (2).
▪ Seats reserved for Scheduled Castes (SCs) and Scheduled Tribes (STs) and the chairpersons
of the Panchayats at all levels also shall be reserved for SCs and STs in proportion to their
population.
▪ One-third of the total number of seats to be reserved for women.
▪ One third of the seats reserved for SCs and STs also reserved for women.
▪ One-third offices of chairpersons at all levels reserved for women (Article 243D).
▪ Uniform five year term and elections to constitute new bodies to be completed before
the expiry of the term.
▪ In the event of dissolution, elections compulsorily within six months (Article 243E).
▪ Independent Election Commission in each State for superintendence, direction and
control of the electoral rolls (Article 243K).
▪ Panchayats to prepare plans for economic development and social justice in respect of
subjects as devolved by law to the various levels of Panchayats including the subjects as
illustrated in Eleventh Schedule (Article 243G).
▪ 74th Amendment provides for a District Planning Committee to consolidate the plans
prepared by Panchayats and Municipalities (Article 243ZD).
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▪ Budgetary allocation from State Governments, share of revenue of certain taxes,

collection and retention of the revenue it raises, Central Government programmes and
grants, Union Finance Commission grants (Article 243H).
▪ Establish a Finance Commission in each State to determine the principles on the basis of
which adequate financial resources would be ensured for panchayats and municipalities
(Article 243I).
▪ The Eleventh Scheduled of the Constitution places as many as 29 functions within the
purview of the Panchayati Raj bodies.
▪ The following areas have been exempted from the operation of the Act because of the
socio-cultural and administrative considerations:
o Scheduled areas listed under the V Schedule in the states of Andhra Pradesh,
Bihar, Gujarat, Himachal Pradesh, Madhya Pradesh, Maharashtra, Orissa and
Rajasthan.
o The states of Nagaland, Meghalaya and Mizoram.
o The hill areas of district of Darjeeling in the state of West Bengal for which
Darjeeling Gorkha Hill Council exists.
▪ In conformity with provisions in the Constitution Amendment Act, an Act called the
Provisions of Panchayats (Extension to the Scheduled Areas) Act, 1996 passed by the
Government of India.
The term Panchayati Raj in India signifies the system of rural local self-government along with
development. It has been established in all the states of India by the Acts of the state
legislatures to build democracy at the grass-root level. It was constitutionalized through the
73rd Constitutional Amendment Act of 1992. Rajasthan was the first state to establish
Panchayati Raj in 1959 and was followed by Andhra Pradesh, which also adopted the system
in 1959.
Significance of Panchayati Raj Institution
• Promote Democratic Representation: The Panchayati Raj Institution system increases

cooperation among people, democratic participation, and decentralization through the
three levels such as Gram Panchayat at the village level, Block Panchayat, or Panchayat
Samiti at the intermediate level, and Zilla Panchayat at the district level.
• Effective and Efficient Planning The Gram Panchayats (GPs) in India have been entrusted
to provide basic services in the villages and plan for local economic development. The
Gram Panchayat Development Plan (GPDP) which is being developed by the Gram Sabhas
improves the efficiency of public services.
• Ensures Good Governance: Good Governance has two important pillars such as
‘Consensus-oriented’ and ‘Participation’. The Panchayati Raj Institutions help in ensuring
both the pillars of Good Governance.
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Evaluating the Panchayati Raj Institutions
▪ PRIs has witnessed simultaneously a remarkable success and a staggering failure in the
journey of 26 years depending on the goalposts against which they are evaluated.
▪ While the PRI has succeeded in creating another layer of government and political
representation at the grass-roots level, it has failed to provide better governance.
▪ There are about 250,000 PRIs and urban local bodies, and over three million elected local
government representatives.
▪ The 73rd and 74th Amendments required that no less than one-third of the total seats in
local bodies should be reserved for women. At 1.4 million, India has the most women in
elected positions. Seats and sarpanch/pradhan positions were also reserved for SC/ST
candidates.
▪ Research using PRIs has shown that having female political representation in local
governments makes women more likely to come forward and report crimes.
▪ In districts with female sarpanchs, significantly greater investments are made in drinking
water, public goods.
▪ Moreover, the states have also provided the statutory safeguards for many devolution
provisions, which have considerably empowered local governments.
▪ Successive (central) Finance Commissions have, so substantially, increased fund
allocations for local bodies and also the grants have been increased.
▪ 15th Finance Commission is also considering to further increase the allocations for local
governments to match the international standards.
Challenges faced By Panchayati Raj Institutions
Even after conferring constitutional status and protection through the 73rd Amendment Act
(1992), the performance of the Panchayati Raj Institutions has not been satisfactory and not
up to the expected level. The various reasons for this sub-optimal performance are as follows:
Issues Related To Functionaries : Concerns related to Human Resource at Gram Panchayat

level:
• Non-accountability- Even though the personnel at the Gram Panchayat level deliver
crucial services like education, health, and livelihood generation, they are, in most cases,
not accountable to the Gram Panchayat and the Gram Sabha.
• Lack of horizontal and vertical convergence of action at the Gram Panchayat level is a
problem of prime concern. Vertical integration is also not ensured because of different
departments and schemes under which they are appointed with specific mandates.
• Poor Oversight- There is poor oversight to check if the existing rules are being violated.
Dependence on employees is high if elected functionaries in Panchayats lack
administrative experience and it can lead to exploitation of the situation by the staff or
collusion between elected functionaries and officials.
• Variation across states- Wide variation across States in terms of engagement -
qualification and mode of recruitment, duration, remuneration, travel allowances, and
other conditions for similar cadres.
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• Variation in Remuneration: There are variations in remuneration under different

schemes functioning at the rural level which leads to the migration of employees from
one State to another; sometimes from one scheme to another. For example, the daily
payment under MGNREGA in Haryana is Rs. 309 whereas, in Madhya Pradesh and
Chattisgarh, it is less than Rs. 200.
• No Standard Minimum Qualification for elected and non-elected members.
Issues Related To Finances
• Low local revenue generation: As the Economic Survey, 2017-18 highlighted, there is a
Low Equilibrium Trap which means the local bodies appear to be not collecting revenues
from taxes to the extent they can. This is largely because most of the state governments
have not devolved enough taxation powers to Panchayats. Even if the states have given
the taxation powers, its collection is low due to their reluctance to pay taxes by the locals.
Thus, they remain dependent on fund devolution.
• Unwillingness to borrow from Financial Institutions: Despite being empowered to access
loans for public infrastructure and service delivery, most Gram Panchayats have not
borrowed, making them unable to plan effectively for the long term.
• Non-implementation of recommendations of State Finance Commission: Since the
recommendations of State Finance Commissions are non-binding on state government,
they are not implemented in letter and spirit.
Issues Related to Functions
• Unscientific distribution of functions between different tiers: The roles and

responsibilities of local governments remain ill-defined due to the very little actual
devolution of functions and authorities by the States to Panchayati Raj Institutions in
several States.
• Creation of Parallel Bodies: Often, Parallel Bodies are created for supposedly speedy
implementation and greater accountability. However, there is little evidence to show that
such parallel bodies have avoided the evils including that of partisan politics, sharing of
spoils, corruption, and elite capture. Parallel bodies usurp the legitimate space of
Panchayati Raj Institutions and demoralize them by virtue of their superior resource
endowments. For example, Khap Panchayats acts as a parallel body in different parts of
the country and it usually encroaches into the functions of Panchayati Raj Institutions.
• The politicization of Panchayati Raj Institutions: Even though the Panchayati Raj
Institutions are deemed to be Government Institutions, the political parties ruling at the
state are reluctant to give autonomy to them, making them as their organizational arms
resulting in frequent interventions in their day-to-day functioning and politicization of
appointments.
• Weak and inefficient District Planning Committees: The committees are too weak to
guide Panchayati Raj Institutions due to political interferences.
• Poor Infrastructure: A large number of Gram Panchayats in the country do not have even
a full-time Secretary. Around 25 percent of the Gram Panchayats do not have basic office
buildings. Also, a large number of elected representatives are semi literate and know little
about their roles and responsibilities.
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Suggested Reforms
• The 6th report of the 2nd Administrative Reform Commission (ARC) can be implemented
for better and effective functioning of the Panchayati Raj Institutions.
• The 2nd ARC had recommended that there should be a clear-cut demarcation of
functions of each tier of the government. And it has also recommended that State
Governments should encourage local bodies to outsource specific functions to public or
private agencies, as may be appropriate, through enabling guidelines and support.
• Fiscal autonomy accompanied by fiscal accountability (Genuine Fiscal Federalism) can
provide a long-term solution.
• Also, the Members of Parliament Local Area Development Schemes (MPLADS) fund can
be utilized in an effective manner.
• Training should be imparted to the Members of Panchayats which requires expertise and
resources from various subject matter-specific training institutes. It can be achieved by
networking of institutions concerned with various subjects such as financial management,
rural development, disaster management and general management.
• State Governments may constitute Audit committees at the district level to exercise
oversight of the integrity of financial information, adequacy of internal controls,
compliance with the applicable laws, etc.
• Setting reasonable tax and fee rates, improving collection efficiencies, and expanding
financing mechanisms to ensure buoyancy of revenues over time.
• Also, access to debt capital markets can be a viable solution for sources of financing,
providing them the scope for planned infrastructure development. Local bodies need to
substantially improve their overall administrative and technical capacities to access debt,
particularly long-term bonds.
• Genuine fiscal federalism i.e. fiscal autonomy accompanied by fiscal responsibility can
provide a long term solution without this PRIs will only be an expensive failure.
• 6th report of 2nd ARC, ‘Local Governance- An inspiring journey into the future’’, had
recommended that there should be a clear-cut demarcation of functions of each tier of
the government.
• States should adopt the concept of ‘activity mapping’, wherein each state clearly
delineates the responsibilities and roles for the different tiers of the government in
respect to the subjects listed in the Schedule XI.
• The subjects should divided and assigned to the different tiers on the basis of
accountability to the public.
• States like Karnataka and Kerala have taken some steps in this direction but overall
progress has been highly uneven.
• There is need for bottom up planning especially at the district level, based on grassroots
inputs received from Gram Sabha.
• Karnataka has created a separate bureaucratic cadre for Panchayats to get away from
the practice of deputation of officials who often overpowered the elected
representatives.
• Such practices needs to be replicated in other states for strengthening the true character
of local self governance.
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• The center also needs to financially incentivize states to encourage effective devolution
to the panchayats in functions, finances, and functionaries.
• Training should be provided to local representatives to develop expertise so that they
contribute more in planning and implementation of policies and programmes.
• To solve the problem of proxy representation social empowerment must precede the
political empowerment.
• Recently states like Rajasthan and Haryana have set certain minimum qualification
standards for Panchayat elections. Such necessary eligibility can help in improving
effectiveness of governance mechanism.
• These standards should apply for MLAs and MPs also and in this direction government
should speeden up efforts for universal education.
• There should be clear mechanisms to ensure that States comply with the constitutional
provisions, particularly in the appointment and implementation of the recommendations
of the State Finance Commissions (SFCs).
WOMEN REPRESENTATION AND PANCHAYATI RAJ

Participation of women, in general, in politics and public life in India has been abysmally low.
There is a huge gap between men and women in political activities beyond voting.
Participation of women at the higher level is lower in comparison to their participation at the
lower level of governance structure. In the domestic arena leadership and managerial skills
of women are silently recognized however, they are not given space in the public arena. While
other marginalized communities such as Scheduled Castes and Scheduled Tribes got
reservations in the Parliament and State Legislative Assemblies, no reservation for women
was given in the Constitution of India in the beginning which restricted their political
empowerment.
Constitutional Provisions:
• Article 15 (3) to the Constitution of India empowers State to make special provisions for
women. This constitutional mandate is recognition of the fact that women in India need
to be empowered socially and economically so as to ensure their full participation in
social, economic and political activities of the country.
• However, to make use of potential of women and also to empower them, 73 rd
Amendment Act 1992 (73rd CAA) for the first time provided one-third reservations for
women in Panchayati Raj Institutions (PRIs) and thus ushered a new era of women’s
participation in the local governance in India.
• Article 243D of the Constitution of India introduced through above-mentioned 73rd CAA
provides that one-third of the total number of seats and offices of the Chairpersons in
PRIs at each level shall be reserved for women to be allotted by rotation to different
constituencies in a Panchayat.
• Such reservations of seats and offices of the chairpersons for women are also within the
reservations for SCs and STs in all three tiers of PRIs. That mean not less than one-third of
all seats and offices reserved for SCs and STs.
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• Although 73rd CAA provides for only 1/3rd reservation for women in PRIs, as many as 19
States (Andhra Pradesh, Chhattisgarh, Gujarat, Himachal Pradesh, Jharkhand, Karnataka,
Kerala, Maharashtra, Odisha, Rajasthan, Sikkim, Tripura, Uttarakhand, West Bengal,
Madhya Pradesh, Assam, Bihar, Tamil Nadu, and Telangana) have raised reservation of
seats and offices of chairpersons to women to 50%.4 Efforts are on to increase the
reservation from 1/3rd to 1/2 all over India.
• There are approximately 13.45 lakh Elected Women Representatives (EWRs) in PRIs which
constitute 46.14% of total Elected Representatives (ERs).
Achievements of Women in PRIs:
• Due to patriarchy and perceived threat of male losing their domination of the political
system, potential and achievements of elected women in PRIs was not recognized in the
beginning.
• They were dismissed as proxies of their husbands and other male members of their
families and at times as proxies of elites in the village.
• Their capacity to understand the process of governance and to lead the affairs of
panchayats was questioned.
• However, many women elected representatives have made their mark in bringing positive
changes in their areas.
Notable Examples
• For example, woman Sarpanch of Chandsamand GP in Karnal district of Haryana has
developed a three pond system under MGNREGA with the purpose to treat the grey water
and further use the same for gardening, kitchen gardening and irrigation purposes. For
the beautification of the ponds, a green belt has been developed around the pond.
• Dhauj, another woman headed GP in Haryana has taken several initiatives towards
empowerment of women. Among these are skill development of women and girls, bridging
the digital divide through mobile computer training institute, motivating and orienting
school girls on their rights, campaign against Purdha/Ghunghat (veil) system etc.
• An MBA graduate who quit her corporate career with one of the country’s biggest telecom
firms to become the sarpanch of Soda GP in Rajasthan has been working ever since to
ensure clean water, solar power, paved roads, toilets and a bank to the village.
• Woman Sarpanch of Dhani Miyan Khan GP in Haryana built a training centre for women
and ensured that every village child went to school. Under her guidance, her village won
many awards for its good sanitary conditions, zero dropout rate and the best sex ratio
among all villages in Haryana.
• Former investment banker, woman Sarpanch of Dhunkapara GP in Odisha launched a
campaign to revive traditional folk art in her village and ensured that the benefits of the
various government schemes reach the needy and deserving people. She has introduced
the benefits of Public Distribution System to her village, which wasn’t known to most
people. Now they avail wheat, kerosene and other items at subsidised prices. She also
started a major literacy campaign for women in the panchayat where only signatures
would be recorded for official applications, instead of thumb impressions. Her work was
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recognized internationally when she was selected to be a part of International Visitors

Leadership Program by the US Consulate to speak on the importance transparency and
accountability in the government.
• Woman Sarpanch of Abdullah Badkheda returned from United States and is now working
towards making her GP a model GP by ensuring most effective implementation of
government schemes. Under the leadership of it’s woman Sarpanch, Khetri GP in Assam
has achieved 100% institutional delivery, 100% immunization, near 100% drinking water
coverage, sanitation coverage and 80% all weather road connectivity in the GP. Apart from
that, organises regular health camps, organised legal literacy camps for women and
provided shelters to victims of domestic violence and destitute women.
• Woman Gram Pradhan of Namkhana GP in West Bengal has ensured functional standing
committees on women and children in her GP. She has emphasized on SHG formation,
joyful learning and nutritious food for the children. Her GP maintains records and contact
details of women out-migrating for work.
• Pattanaik (2010) studied functioning of EWRs in many panchayats and found “it is clear
that women’s leadership in panchayats is transforming India. These elected women-now
role models to the other women in their communities- are altering the development
agenda to address issues critical to village life. The success stories number in millions.
Women throughout India- from Orissa to Assam to Uttar Pradesh to Bihar- are ensuring
that roads are repaired, electricity is brought to their villages, schools are built, latrines
installed, medical services are available, water sources are made safe, local savings groups
are formed, and the list goes on and on.”
• IndiaSpend study 2017 in six districts of Tamil Nadu has found that 60% women elected
representative of PRIs are functioning independently of their male family members or
colleagues.
• All that elected women representatives of PRIs have been able to achieve does not mean
that all the hurdles have vanished.
Challenges before EWRs:

EWRs continue to face many challenges. Important among these challenges are:
(i) Patriarchy: Except a few tribal societies, particularly in north-east, Indian society in
general continues to suffer from patriarchy. Many EWRs continue to work as a rubber
stamp for their family members and also at times as proxies of rural elites. Their male co-
workers show insensitivity and refuse to cooperate. Burden of household responsibilities,
purdah (veil) system and domestic violence negatively affect their functioning.
(ii) Caste System: Hierarchical caste system in rural India makes it difficult for women from
SC and ST communities to function independently and effectively. Community or Khap
pachayats functions parallel to panchayats and pressurizes EWRs to act in a particular
way.
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(iii) Lack of Cooperation from Line/Sectoral Departments: EWRs, particularly the first timers
find it very difficult to deal with officials of block/district administration and of line/
sectoral departments. Bureaucratic apathy and corruption is rampant which makes these
EWRs demotivated and disenchanted from the panchayati raj. People’s expectation to
deliver coupled with non-cooperation of administration frustrate these EWRs so much so
that many a times they are unwilling to contest for the next term.
(iv) Inadequate Capacities: Majority of EWRs enter into public life for the first time and do
not have enough knowledge and skills to handle affairs of panchayats. Training
programmes conducted by government training agencies are unable to cover all elected
representatives in time. A large number of ward members do not get an opportunity to
attend any training in their entire term. At times they are also not allowed by their family
members to travel and stay alone during the residential trainings. Lack of education also
puts constraints on EWRs. However, educational criteria introduced by a few States such
as Rajasthan and Haryana have brought educated women and girls to Panchayats who
are learning fast and are able to function effectively.
(v) Rotation of Terms: Policy of reservation for only one term and rotation of reserved seats
and posts of chairperson also hinders consolidation of leadership qualities among EWRs
as it takes time for them to learn the skills of handling and negotiating various conflicting
interests within the panchayat. By the time they learn these skill and start functioning
effectively, their term is over. Main reason behind their not being elected to PRIs cited by
EWRs is dereservation of seats and offices of chairpersons. So far only five States namely
Chattisgarh, Kerala, Himachal Pradesh, Odisha and Karnataka have already made
provisions for two term reservation of seats and offices of chairpersons.
(vi) Encroachment and Non-Payment of Taxes/ Fees: Elected representative in general and
specially EWRs face resistance from community if they want to remove encroachment
from panchayat land/properties. Many a times they are subjected to violence from
powerful elements of the society. Many rural households do not want to pay taxes and
fees on time while expect panchayats to deliver public services and good in time.
Insistence by EWRs are resisted at times by violent protests.
(vii) Two Child Norm: A few States are still continuing with the two child norm for contesting
panchayat elections. In rural areas women hardly have any say in the number of children
in the family and such laws restrict their entry into panchayats.
(viii) Inadequate Women Panchayat Functionaries: EWRs are more comfortable with
women functionaries. However, there are very few women panchayat functionaries.
Patriarchal mindsets make it difficult for EWRs to freely interact with male functionaries
at times when it is required.
To help EWRs overcome these challenges to be able to contribute effectively in bringing
positive changes in rural areas, the Government of India along with State Governments has
undertaken several initiatives.
Initiatives of Government:
• The Ministry of Panchayati Raj (MoPR), commissioned a Study on elected women
representatives in Gram Panchayats. The Study was based on a nationwide survey and
its report was released on 24th April, 2008. This Study helped analyse various issues
related to EWRs and it also investigated their socio-economic profile, tracked their
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political careers and examined the quality of their post-election participation in terms
of performance of their roles and responsibilities.
• In order to bring about 50% reservation for women in Panchayats in all States, a
Constitution Amendment Bill namely the Constitution (One Hundred and Tenth
Amendment) Bill, 2009 was introduced in the Lok Sabha on 26.11.2009. However, the
matter was not taken up presumably because of other important businesses in the
House. Present government has also tried to revive this proposal.
• For capacity building of ERs of PRIs, the Ministry of Panchayati Raj (MoPR) has been
making continuous efforts by launching and implementing various schemes like
Rashtriya Gram Swaraj Yojana (RGSY); Panchayat Mahila Evam Yuva Shakti Abhiyan
(PMEYSA); capacity building component of Backward Region Grants Fund (BRGF),
Rajiv Gandhi Panchayat Sashaktikaran Abhiyan (RGPSA) and recently launched
Rashtriya Gram Swaraj Abhiyan (RGSA).
• These schemes also have strong component of capacity building of EWRs. For
example, objectives of PMEYSA were to enable women Panchayat leaders to come
together to
(a) articulate their problems as women Panchayat leaders,
(b) discuss issues regarding the institutional mechanisms for their empowerment,
(c) come up with a charter of issues to be mainstreamed into policy and advocacy support
so that their concerns are addressed by the process of development adopted by the
State and the three-tier PRI system, and
(d) form an association of the EWRs with elected office bearers and with cascading
representation of EWRs from the district level and divisional level EWRs organizations.
• For the capacity building of EWRs in PRIs, National Capability Building Framework
(NCBF) of the MoPR has recommended customized training programmes based on
training needs assessment.
• The Ministry of Women and Child Development (MoWCD) in collaboration with the
MoPR has undertaken a countrywide program of training the EWRs in various areas
like engineering (building of roads, drains, latrines etc.), finance, social development,
education, health, and environment among others.
• States have also been taking steps to build capacities of EWRs in PRIs. For example,
State Institute of Rural Development (SIRD) Jharkhand has created a special Women’s
Resource Centre for capacity building of EWRs.
• Kerala Institute of Local Administration (KILA) has conducted training of Elected
Women Standing Committee Chairpersons on leadership.
• Government of Madhya Pradesh under its Umaria pilot made a short and intensive
field-based intervention of four months duration aimed to enhance leadership skills of
women GP Sarpanches in the tribal majority district of Umaria.
• Government of Maharashtra organised non-residential training programme at the
doorstep of EWRs in the villages of their residence under it’s Kranti Jyoti project.
• For effective utilization of Fourteenth Finance Commission (FFC) grants, MoPR has
developed model guidelines and manual for preparation of holistic participatory Gram
Panchayat Development Plans (GPDP).
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• Subsequently all States have also developed their state specific guidelines with
provisions for active participation of EWRs in planning process.
• To ensure women’s participation in decision making, States have been provided
financial and technical assistance by MoPR for capacity building of EWRs and SHGs on
preparation of GPDP.
• Self-Help Groups (SHGs) have emerged as an important support institution for EWRs
of PRIs. In Kerala where Kudumbashree has promoted active SHG movement, a very
high proportion of elected representatives are from SHGs background. Learning from
this, National Rural Livelihoods Mission (NRLM) has successfully facilitated PRI-
SHG/CBO convergence project in several states including Assam, Jharkhand,
Maharashtra and Rajasthan.
• Project envisages developing a strong community cadre and local institutions to
improve the reach and quality of public service delivery.
• MoPR has issued an advisory to all State Governments in 2016 to ensure PRI-SHG/CBO
convergence.
• Among other things, this advisory suggests to deveop an institutionalised framework
for Gram Panchayat- SHGs interface, inclusion of SHGs/ federations in community
based monitoring of schemes and projects of GPs.
• Sumit Bose Committee on Performance Based Payments for Better Outcomes in
Rural Development Programmes has observed that SHGs being active organisations
of women can hope to link up with elected women representatives in a mutually
beneficial partnership.
• Ministry of Rural Development, Government of India too has issued a comprehensive
advisory and guidelines in May 2018 on panchayat – SHG convergence at GP level.
• Among other things, the advisory expects SHGs to help GPs conduct gender status
study and ensure the gender needs of the community and reflect these in local
plan/GPDP; enroll EWRs as members of SHGs and groom them as community resource
persons.9
• MoPR has organized special events like orientation of women Sarpanches at national
level. One such event was organized at Vijaywada in 2016 for woman Sarpanchs from
Fifth Schedule Areas. Such events not only serve as opportunity for capacity
enhancement but also networking with EWRs of other States and regions.
• MoPR has also issued various advisories to States with regard to EWRs. All the States
governments and UT administrations were advised to impress upon PRIs to ensure the
safety of EWRs and female Sarpanchs, particularly those belonging to the weaker
sections. They should not be physically harmed, assaulted or humiliated in any
manner. Discrimination of any kind against them should not be allowed to remain
unheeded and be resolved expeditiously.
• To put a curb on the cases of proxy attendance by relatives of women EWRs, States
have been advised to issue order that the officers, in whose presence such meetings
are held, should be proceeded against departmentally.
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• MoPR has also issued advisories to States to instruct GPs to celebrate international
women’s day on 8th March and to involve SHG women and women Swachhata Doots
actively in these celebrations.
To further strengthen women leadership in PRIs, consistent efforts need to be made by
governmental and non-governmental agencies in this direction.
Way Forward:
• Government of India may revive the proposal to amend Article 243D of Part IX of the
Constitution to increase reservation for women in Panchayats from existing one-third
to 50% across States.
• This proposal may also contain a provision to provide for rotation of reserved seats in
Panchayats for a minimum of two terms instead of one at present.
• If any seat reserved for women becomes vacant, it should be filled by a woman
candidate only.
• In some of the standing committees/subcommittees such as those looking after subjects
such as women and child development, drinking water and sanitation, education, health
etc., EWRs may be more effective.
• State governments may make it mandatory to have an EWR as chairperson of these
committees.
• In addition, it may be made mandatory in every meeting of GP and also standing/
functional committees at least half of the members must be EWRs.
• Similarly committees to be formed under various central and state schemes on these
subjects such as Village Health Sanitation and Nutrition Committee (VHSNC) under
National Rural Health Mission, School Management Committee (SMC) under Sarva
Shiksha Abhiyan (SSA)/ Right to Education (RTE) may have EWRs of Panchayats as
members.
• Like Maharashtra, other States may also make it mandatory to organize Mahila Sabha
(Women Gram Sabha) immediately before the meeting of Gram Sabha. Mahila Sabha
will not only help identify and articulate issues and concerns of women in the Gram
Sabha but will also increase participation of women which in turn will be a great moral
support for EWRs. It may also be made mandatory by States to have at least 50%
attendance of women in the quorum for Gram Sabha meetings.
• Recruitment of women as panchayat secretaries at all the three levels of PRIs will also
create a comfortable working environment for EWRs. To enable this, free of cost
residential quarters and protection may be provided to women secretaries to encourage
them to stay at panchayat headquarters.
• Governments may also provide additional honorarium to EWRs particularly from
marginalized communities. Because they have to work for their livelihoods in addition to
carrying out daily household chores, they find it difficult to devote necessary time to
manage affairs of panchayats.
• Government of India in collaboration with State governments and State Election
Commissions must also prepare a socio-economic profile data base of all EWRs in PRIs.
Such data base may have details of their age, marital status, education, primary
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occupation, economic category, term as EWR etc. of EWRs in addition to their names,
contact details and date of election. Such details will not only provide information on their
current profile but will also help plan interventions for their capacity building and
empowerment.
• Imparting functional literacy to illiterate EWRs within a couple of months of their
elections, ensuring that each EWRs receive induction training within six months and then
undergoes thematic/ refresher trainings at least once every year will enhance their
capacity and boost their confidence.
• Exposure visits of model panchayats headed by women and fully women run Panchayats
can be organised to directly learn from the achiever herself.
• In addition to training and exposure visits, arrangements should be made to have few
woman mentors at cluster of GP or block level for regular handholding EWRs particularly
of Ward Members and Sarpanch of GPs. These mentors may be sourced from trained SHG
leaders, women ex-Sarpanchs and social activists.
• In capacity building of EWRs governments must also invite and involve civil society
organizations, women’s groups, academic institutions (particularly centers for women’s/
gender studies), corporate social responsibility foundations and also international
organizations like UNWomen. A multi-stakeholder’s, collaborative, multi-pronged,
systematic efforts to enhance capacities of EWRs are required.
• Male elected representative and functionaries of PRIs and husbands of EWRs must
undergo gender sensitization programme. During the training programmes it is observed
that husbands or any other male relatives accompany EWRs. Rather than seeing as a
burden, these people may be oriented on panchayati raj and also sensitized on gender
issues. They may also be exposed to achievements of EWRs and made to interact with
proud family members of achiever EWRs, particularly those who have received national
panchayat awards.
• SHGs convergence with PRIs particularly with village level Panchayats must be pursued
vigorously. Advisories issued by the MoPR and MoRD in this regard must be fully complied
with by States.As advised by the MoPR, all State governments must make institutional
arrangements for SHGs regular interface with the GPs. Such interface will not only support
EWRs in carrying out their functions effectively but will also prepare a cadre of SHG
members ready to take up leadership roles in PRIs.
• Network of EWRs may be created at block and district levels. Their regular meetings will
facilitate exchange of experiences in overcoming challenges. Such networks will also help
EWRs raise and register their specific demands with authorities. Network of EWRs may
also work as a support group to EWRs whenever they are in trouble.
• Finally as recommended by Aiyer Committee regular surveys of the status of EWRs and
their performance and contribution in different parts of the country may be conducted by
the government in collaboration with academic institutions. Such surveys will also help
identify issues and concerns of EWRs to be addressed by government.
Conclusion:
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To sum up, reservation for women in PRIs provided by 73 rd CAA and subsequent increase in
the quota by States have brought an unprecedented huge number of women in governance
arena in India. Women’s political empowerment of such magnitude is among the best in the
world. A quarter century has passed since the abovementioned Act came into force and in
most of the States fourth or fifth generation of Panchayats are in place. Women leadership in
Panchayats which started with a shaky beginning has definite signals of getting well
established and recognised. However, EWRs have still not been able to realise their full
potential as they face many challenges including patriarchy, inadequate capacities and self-
confidence, rotation of terms etc. Government of India and State governments are making
sincere efforts to strengthen EWRs through various initiatives of capacity building, promoting
network of EWRs, SHGs-PRI convergence etc. Much more is desired to be done to further
strengthen the hands of EWRs in future. Among these are nationwide 50% reservations,
rotation of terms only after minimum two terms, timely induction and refresher trainings,
exposure visits, mentoring and handholding of EWRs in PRIs. With various governmental and
non-governmental initiatives, it is for sure that EWRs in PRIs would contribute their best in
achieving national goals of Samriddha Bharat (prosperous India) and Sashakta Bharat
(empowered India) and the seventeen global Sustainable Development Goals (SDGs) to which
India is committed.
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FEDERALISM IN INDIA
• By definition, a unitary government is one in which all the powers are vested in the national
government and the regional governments, if at all exist, derive their authority from the
national government.
• A federal government, on the other hand, is one in which powers are divided between the
national government and the regional governments by the Constitution itself and both
operate in their respective jurisdictions independently.
• Britain, France, Japan, China, Italy, Belgium, Norway, Sweden, Spain and so on have the
unitary model of government while the US, Switzerland, Australia, Canada, Russia, Brazil,
Argentina and so on have the federal model of government.
• In a federal model, the national government is known as the Federal government or the
Central government or the Union government and the regional government is known as the
state government or the provincial government.
• A federation is a new state (political system) which is formed through a treaty or an
agreement between the various units. The units of a federation are known by various names
like states (as in US) or cantons (as in Switzerland) or provinces (as in Canada) or republics (as
in Russia).
Federal Government Unitary Government

Dual government Single Government
Written Consititution Constitution may be written as in France or
unwritten as in Britain
Division of Powers between the No division of powers. All powers are vested
national and regional government in the national government.
Supremacy of the Constitution Constitution may be supreme like in Japan or
may not be supreme as in Britain
Rigid Constitution Constitution may be rigid as in France or
flexible as in Britain
Independent Judiciary Judiciary may be independent or may not be
independent
Bicameral legislature Legislature may be bicameral as in Britain or
unicameral as in Canada
• A federation can be formed in two ways, that is, by way of integration or by way of
disintegration.
• In the first case, a number of militarily weak or economically backward state (independent)
come together to form a big and a strong union, as for example, the US.
• In the second case, a big unitary state is converted into a federation by granting autonomy
to the provinces to promote regional interest (for example, Canada).
• The US is the first and the oldest federation in the world. It was formed in 1787 following the
American Revolution (1775–83).
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• The Constitution of India provides for a federal system of government in the country. The
framers adopted the federal system due to two main reasons–the large size of the country
and its socio cultural diversity.
• They realised that the federal system not only ensures the efficient governance of the country
but also reconciles national unity with regional autonomy.
• However, the term ‘federation’ has no where been used in the Constitution. Instead, Article
1 of the Constitution describes India As a ‘Union of States’.
The major reasons behind formation of federal govts are as follows:
• Security: Small units may unite themselves to defend their interests better.
• Economic: Federalism provides with a big common market, seamless flow of goods, capital,
services and persons.
• According to Dicey: Federalism is a political contrivance (arrangement) among those who

desire unity, without uniformity.
• Since Federalism is a government by contract, the essential features of federalism are as
follows:
• Constitution: Set of written rues or contract document.
• Independent Judiciary: as an arbitrar to resolve conflicts among the contracting parties.
• Division of Power: clear division as to which level of Government will have powers to make
laws on which subject.
• According to Dr. B.R. Ambedkar, the phrase ‘Union of States’ has been preferred to
‘Federation of States’ to indicate two things: (i) the Indian federation is not the result of an
agreement among the states like the American federation; and (ii) the states have no right to
secede from the federation.
• The federation is union because it is indestructible.
• The Indian federal system is based on the ‘Canadian model’ and not on the ‘American model’.
The ‘Canadian model’ differs fundamentally from the ‘American model’ in so far as it
establishes a very strong centre. The Indian federation resembles the Candian federation
(i) in its formation (i.e., by way of disintegration);
(ii) in its preference to the term ‘Union’ (the Canadian federation is also called a ‘Union’); and
(iii) in its centralising tendency (i.e., vesting more powers in the centre vis-a-vis the states).
• Though USA is the first model, yet there are many other models of federation. It would be
wrong if we take USA as the ideal type.
• As per Granville Austin: Each model of federalism can have its own specific features
depending on the circumstances and the requirements. For e.g. USA potrays dual federalism
while Canada beings forth the idea of cooperative federalism. Our model of federalism is much
closer to the Canadian idea rather than the US version.
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What exactly is the difference between Unitary, Confederation and Federal governments?
• Sub-national govts can exists even in a unitary form of government, but in this case they can
enjoy and exercise delegated or devolved powers. For e.g. in UK, the powers enjoyed by
provincial govts. Are based on the act of Parliament.
• In Federation, the sub-national govts draw their power directly from the Constitution itself.
Here instead of delegation or devolution, decentralization of powers is taking place.
• While in Unitary system, the sub-national govts are subordinate to the national govt, in case
of federal structure, the sub-national govts are NOT subordinate.
• Confederation stands in reverse to the idea of unitary form of government. In unitary form,
the powers of units (sub-national govts.) is derived from the Centre/National govt. But in
confederation like SAARC, EU, ASEAN, the central body gets its power from the units. The real
power in a confederation resides with the units.
• A Confederation is destructible but a federation is indestructible.
• In federal structure, the units do not possess any external sovereignty on a permanent basis.
They have neither the right to secede from the union and nor the right to pursue an
independent foreign policy. If the units attempt any of the acts, then the Union can force
them to behave by use of force. Former USSR was a confederation where units had the power
to secede and power to pursue their own foreign policy.
FEDERAL FEATURES OF THE CONSTITUTION
The federal features of the Constitution of India are explained below:
1. Dual Polity
The Constitution establishes a dual polity consisting the Union at the Centre and the states at
the periphery. Each is endowed with sovereign powers to be exercised in the field assigned
to them respectively by the Constitution. The Union government deals with the matters of
national importance like defence, foreign affairs, currency, communication and so on. The
state governments, on the other hand, look after the matters of regional and local importance
like public order, agriculture, health, local government and so on.
2. Written Constitution
The Constitution is not only a written document but also the lengthiest Constitution of the
world. Originally, it contained a Preamble, 395 Articles (divided into 22 Parts) and 8
Schedules.2 At present (2019), it consists of a Preamble, about 470 Articles (divided into 25
Parts) and 12 Schedules. It specifies the structure, organisation, powers and functions of both
the Central and state governments and prescribes the limits within which they must operate.
Thus, it avoids the misunderstandings and disagreements between the two.
3. Division of Powers
The Constitution divided the powers between the Centre and the states in terms of the Union
List, State List and Concurrent List in the Seventh Schedule. The Union List consists of 98
subjects
(originally 97), the State List 59 subjects (originally 66) and the Concurrent List 52 subjects
(originally 47). Both the Centre and the states can make laws on the subjects of the concurrent
list, but in case of a conflict, the Central law prevails. The residuary subjects (ie, which are not
mentioned in any of the three lists) are given to the Centre.
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4. Supremacy of the Constitution

The Constitution is the supreme (or the highest) law of the land. The laws enacted by the
Centre and the states must conform to its provisions. Otherwise, they can be declared invalid
by the Supreme Court or the high courts through their power of judicial review. Thus, the
organs of the government (legislative, executive and judicial) at both the levels must operate
within the jurisdiction prescribed by the Constitution.
5. Rigid Constitution
The division of powers established by the Constitution as well as the supremacy of the
Constitution can be maintained only if the method of its amendment is rigid. Hence, the
Constitution is rigid to the extent that those provisions which are concerned with the federal
structure (i.e., Centre-state relations and judicial organisation) can be amended only by the
joint action of the Central and state governments. Such provisions require for their
amendment a special majority of the Parliament and also an approval of half of the state
legislatures.
6. Independent Judiciary
The Constitution establishes an independent judiciary headed by the Supreme Court for two
purposes: one, to protect the supremacy of the Constitution by exercising the power of
judicial review; and two, to settle the disputes between the Centre and the states or between
the states. The Constitution contains various measures like security of tenure to judges, fixed
service conditions and so on to make the judiciary independent of the government.
7. Bicameralism
The Constitution provides for a bicameral legislature consisting of an Upper House (Rajya
Sabha) and a Lower House (Lok Sabha). The Rajya Sabha represents the states of Indian
Federation, while
the Lok Sabha represents the people of India as a whole. The Rajya Sabha (even though a less
powerful chamber) is required to maintain the federal equilibrium by protecting the interests
of the states against the undue interference of the Centre.
UNITARY FEATURES OF THE CONSTITUTION

Besides the above federal features, the Indian Constitution also possesses the following
unitary or non-federal features:
1. Strong Centre
The division of powers is in favour of the Centre and highly inequitable from the federal angle.
Firstly, the Union List contains more subjects than the State List. Secondly, the more
important subjects have been included in the Union List. Thirdly, the Centre has overriding
authority over the Concurrent List. Finally, the residuary powers have also been left with the
Centre, while in the US, they are vested in the states. Thus, the Constitution has made the
Centre very strong.
2. States Not Indestructible

Unlike in other federations, the states in India have no right to territorial integrity. The
Parliament can by unilateral action change the area, boundaries or name of any state.
Moreover, it require only a simple majority and not a special majority. Hence, the Indian
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Federation is “an indestructible Union of destructible states”. The American Federation, on

the other hand, is described as “an indestructible Union of indestructible states”.
3. Single Constitution (States don’t have their own constitution)

Usually, in a federation, the states have the right to frame their own Constitution separate
from that of the Centre. In India, on the contrary, no such power is given to the states. The
Constitution of India embodies not only the Constitution of the Centre but also those of the
states. Both the Centre and the states must operate within this single-frame. The only
exception in this regard was the case of Jammu and Kashmir which had its own (state)
Constitution.
4. Flexibility of the Constitution

The process of constitutional amendment is less rigid than what is found in other federations.
The bulk of the Constitution can be amended by the unilateral action of the Parliament, either
by simple majority or by special majority. Further, the power to initiate an amendment to the
Constitution lies only with the Centre. In US, the states can also propose an amendment to
the Constitution.
5. No Equality of State Representation

The states are given representation in the Rajya Sabha on the basis of population. Hence, the
membership varies from 1 to 31. In US, on the other hand, the principle of equality of
representation of states in the Upper House is fully recognised. Thus, the American Senate
has 100 members, two from each state. This principle is regarded as a safeguard for smaller
states.
6. Emergency Provisions
The Constitution stipulates three types of emergencies–national, state and financial. During
an emergency, the Central government becomes all powerful and the states go into the total
control of the Centre. It converts the federal structure into a unitary one without a formal
amendment of the Constitution. This kind of transformation is not found in any other
federation.
7. Single Citizenship
In spite of a dual polity, the Constitution of India, like that of Canada, adopted the system of
single citizenship. There is only Indian Citizenship and no separate state citizenship. All citizens
irrespective of the state in which they are born or reside enjoy the same rights all over the
country. The other federal states like US, Switzerland and Australia have dual citizenship, that
is, national citizenship as well as state citizenship.
8. Integrated Judiciary
The Indian Constitution has established an integrated judicial system with the Supreme Court
at the top and the state high courts below it. This single system of courts enforces both the
Central laws as well as the state laws. In US, on the other hand, there is a double system of
courts whereby the federal laws are enforced by the federal judiciary and the state laws by
the state judiciary.
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9. All-India Services
In US, the Federal government and the state governments have their separate public services.
In India also, the Centre and the states have their separate public services. But, in addition,
there are
all-India services (IAS, IPS, and IFS) which are common to both the Centre and the states. The
members of these services are recruited and trained by the Centre which also possess
ultimate control over them. Thus, these services violate the principle of federalism under the
Constitution.
10. Integrated Audit Machinery

The Comptroller and Auditor-General of India audits the accounts of not only the Central
government but also those of the states. But, his appointment and removal is done by the
president without consulting the states. Hence, this office restricts the financial autonomy of
the states. The American Comptroller-General, on the contrary, has no role with respect to
the accounts of the states.
11. Parliament’s Authority Over State List
Even in the limited sphere of authority allotted to them, the states do not have exclusive
control. The Parliament is empowered to legislate on any subject of the State List if Rajya
Sabha passes a resolution to that effect in the national interest. This means that the legislative
competence of the Parliament can be extended without amending the Constitution. Notably,
this can be done when there is no emergency of any kind.
12. Appointment of Governor

The governor, who is the head of the state, is appointed by the President. He holds office
during the pleasure of the President. He also acts as an agent of the Centre. Through him, the
Centre exercises control over the states. The American Constitution, on the contrary,
provided for elected head in the states. In this respect, India adopted the Canadian system.
13. Integrated Election Machinery

The Election Commission conducts elections not only to the Central legislature but also to the
state legislatures. But, this body is constituted by the President and the states have no say in
this matter. The position is same with regard to the removal of its members as well. On the
other hand, US has separate machineries for the conduct of elections at the federal and state
levels.
14. Veto Over State Bills

The governor is empowered to reserve certain types of bills passed by the state legislature
for the consideration of the President. The President can withhold his assent to such bills not
only in the first instance but also in the second instance. Thus, the President enjoys absolute
veto (and not suspensive veto) over state bills. But in US and Australia, the states are
autonomous within their fields and there is no provision for any such reservation.
CRITICAL EVALUATION OF THE FEDERAL SYSTEM

• As per K.C. Wheare, Indian is quasi-federal. India is Federal in form but unitary in spirit. Indian
constitution has subsidiary federal features, whereas prominent federal features.
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• But Wheare’s approach at best is legal, constitutional and static. He ignores the dynamic
aspect of federalism and does not take into account the actual developments which have
happened in the Indian political system.
• Wheare assumes the US federalism as the Model federalism and since Indian federalism is
not based on the US model, therefore he wrongly concludes India as quasi federal.
• Granville Austin: Each federation is unique, sui-generis. Indian federalism is the product of
unique circumstances which India faced. Whichever country will face secessionist trends is
bound to have a model where the centre is strong, be it India or Canada. Indian model is an
example of ‘ Cooperative Federalism”.
• M.P Singh: Federalism is a dynamic concept and Indian federalism needs to be understood in
its socio-cultural context.
• India opted for the Centre dominated model and a highly centralised administration due to
the political exigencies before independence. The centralized system of governance of the
colonial era was transformed into a federal setup in order to preserve the territorial integrity
of the nation and prevent the states from seceding from it. The federal structure was
expected to accommodate the regional variations and aspirations.
• The concept of Cooperation Federalism entered into the Lexicon of theory of Federation from
1930s, when USA introduced Welfare State. The time at which Indian constitution was
written, by that time cooperative federalism was a well established concept.
• Paul Brass: Indian constitution was written in an atmosphere of fear.Fear of partition,
communal violence and casteism. Therefore it incorporated lot of emergency provisions and
features which tilted towards a strong centre.
• Balveer Arora: The bargaining power of state govts. Has increased to such an extent that India
is moving from Quasi-federal to Quasi-Confederal.
• Suhas Palashikar : Due to the ruling part gaining absolute majority and emergence of one
party dominant system since 2014, a BJP system is emerging along with centralizing trends.
• According to K Santhanam, the two factors have been responsible for increasing the unitary
bias (tendency of centralisation) of the Constitution. These are: (i) the dominance of the
Centre in the financial sphere and the dependence of the states upon the Central grants; and
(ii) the emergence of a powerful erstwhile planning commission which controlled the
developmental process in the states.
• He observed: “India has practically functioned as a unitary state though the Union and the
states have tried to function formally and legally as a federation.”
• However, there are other political scientists who do not agree with the above descriptions.
Thus, Paul Appleby characterises the Indian system as “extremely federal”. Morris Jones
termed it as a “bargaining federalism”. Ivor Jennings has described it as a “federation with a
strong centralizing tendency”. He observed that “the Indian Constitution is mainly federal with
unique safeguards for enforcing national unity and growth”. Alexandrowicz stated that “India
is a case sui generis (i.e., unique in character).
• Granville Austin called the Indian federalism as a “cooperative federalism”. He said that
though the Constitution of India has created a strong Central government, it has not made
the state governments weak and has not reduced them to the level of administrative agencies
for the execution of policies of the Central government. He described the Indian federation
as “a new kind of federation to meet India’s peculiar needs”.
• On the nature of Indian Constitution, Dr. B.R. Ambedkar made the following observation in
the Constituent Assembly: “The Constitution is a Federal Constitution in as much as it
establishes dual polity. The Union is not a league of states, united in a loose relationship, nor
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are the states the agencies of the Union, deriving powers from it. Both the Union and the
states are created by the
Constitution, both derive their respective authority from the Constitution.”
• He further observed: “Yet the Constitution avoids the tight mould of federalism and could be
both unitary as well as federal according to the requirements of time and circumstances”.
• While replying to the criticism of over-centralisation in the Constitution, he stated: “A serious
complaint is made on the ground that there is too much centralisation and the states have
been reduced to municipalities. It is clear that this view is not only an exaggeration but is also
founded on a misunderstanding of what exactly the Constitution contrives to do. As to the
relations between the Centre and the states, it is necessary to bear in mind the fundamental
principle on which it rests. The basic principle of federalism is that the legislative and
executive authority is partitioned between the Centre and the states not by any law to be
made by the Centre but by the Constitution itself. This is what the Constitution does. The
states are in no way dependent upon the Centre for their legislative or executive authority.
The states and the Centre are coequal in this matter. It is difficult to see how such a
Constitution can be called centralism. It is, therefore, wrong to say that the states have been
placed under the Centre. The Centre cannot by its own will alter the boundary of this partition.
Nor can the judiciary”.
• In Bommai case (1994), the Supreme Court laid down that the Constitution is federal and
characterised federalism as its ‘basic feature’. It observed: “The fact that under the scheme
of our Constitution, greater power is conferred upon the Centre vis-à-vis the states does not
mean that the states are mere appendages of the Centre. The states have an independent
constitutional existence. They are not satellites or agents of the Centre. Within the sphere
allotted to them, the states are supreme. The fact that during emergency and in certain other
eventualities their powers are overridden or invaded by the Centre is not destructive of the
essential federal feature of the Constitution. They are exceptions and the exceptions are not
a rule. Let it be said that the federalism in the Indian Constitution is not a matter of
administrative convenience, but one of principle–the outcome of our own process and a
recognition of the ground realities”.
• In fact, the federalism in India represents a compromise between the following two
conflicting considerations :
(i) normal division of powers under which states enjoy autonomy within their own spheres; and
(ii) need for national integrity and a strong Union government under exceptional circumstances.
• The following trends in the working of Indian political system reflects its federal spirit: (i)
Territorial disputes between states, for example, between Maharashtra and Karnataka over
Belgaum; (ii) Disputes between states over sharing of river water, for example, between
Karnataka and Tamil Nadu over Cauvery Water; (iii) The emergence of regional parties and
their coming to power in states like Andhra Pradesh, Tamil Nadu, etc.; (iv) The creation of new
states to fulfil the regional aspirations, for example, Mizoram or Jharkhand; (v) Demand of
the states for more financial grants from the Centre to meet their developmental needs; (vi)
Assertion of autonomy by the states and their resistance to the interference from the Centre;
(vii) Supreme Court’s imposition of several procedural limitations on the use of Article 356
(President’s Rule in the States) by the Centre.
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Cooperative Vs. Bargaining Vs. Competitive Federalism
• Cooperative Federalism denotes the existence of Trust between the two levels of govt. It
represents the consultation, cooperation, mutual trust. Here Centre acts a fried, Philosopher
and Guide.
• Bargaining Federalism represents a situation where the centre acts as a Big Bullying
Brother/Patriarch. Since Bargaining power of centre is more, this federalism shows the
disadvantaged position of state.
• However, the Regionalisation of party system has enhanced the bargaining power of state
government.
• Competitive Federalism is a Neo-liberal idea based on “Minimum Govt, Maximum
Governance”. It denotes the rolling back od state when the developmental functions of state
are rolled back, the vacuum is filled by Private Sector. State govt’s policies are formulated in
such a way to attract maximum private investment.
• Prof. Balbir Arora: Competitive Federalism in Indian scenario may not be adequate because
situation of different states may vary. It will create unfair competition and will lead to lack of
balanced development.
• Union has abolished the status of special category states, a formula based approach given by
Planning Commission. It has enhance the discretionary powers of Union Government to make
bargains with states.
• M.P Singh: Present govt has introduced spoils system where supporters are benefitted.
• Apart from above, there are more differences between the federalism of USA and India.
• USA has symmetrical federalism where all states have equal and uniform status and India has
Asymmetrical federalism where there is clear difference in status of states.
• Unlike USA, all states in India do not have equal representation in Rajya Sabha. There are
special provisions with regard to different states. Some states are under 5 th schedule and
others under 6th schedule.
• Alfred Stepan : India’s asymmetrical model as demos enabling whereas USA’s symmetrical
model as demos constraining. Indian model is more democratic as representation in RS is
given on the basis of population
• Hence the idea is No citizen suffers from disadvantage either because of living in a larger or
smaller state. As per him, Indian model is better one for developing countries to follow rather
than US model.
• US model is called as Coming together whereas Indian model is called as Holding together.
• US is called Centrifugal and Indian is called Centripetal.
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CENTRE-STATE RELATIONS
LEGISLATIVE RELATIONS
• Articles 245 to 255 in Part XI of the Constitution deal with the legislative relations between
the Centre and the states.
• Like any other Federal Constitution, the Indian Constitution also divides the legislative powers
between the Centre and the states with respect to both the territory and the subjects of
legislation.
• Further, the Constitution provides for the parliamentary legislation in the state field under
five extraordinary situations as well as the centre’s control over state legislation in certain
cases.
Territorial Extent of Central and State Legislation
The Constitution defines the territorial limits of the legislative powers vested in the Centre
and the states in the following way:
(i) The Parliament can make laws for the whole or any part of the territory of India. The territory
of India includes the states, the union territories, and any other area for the time being
included in the territory of India.
(ii) A state legislature can make laws for the whole or any part of the state. The laws made by a
state legislature are not applicable outside the state, except when there is a sufficient nexus
between the state and the object.
(iii) The Parliament alone can make ‘extraterritorial legislation’. Thus, the laws of the Parliament
are also applicable to the Indian citizens and their property in any part of the world.
(iv) However, the Constitution places certain restrictions on the plenary territorial jurisdiction of
the Parliament. In other words, the laws of Parliament are not applicable in the following
areas:
• The President can make regulations for the peace, progress and good government of the
Union Territories– the Andaman and Nicobar Islands, Lakshadweep, Dadra and Nagar Haveli,
Daman and Diu and Ladakh ( Now Kashmir and Ladakh as well). A regulation so made has the
same force and effect as an act of Parliament. It may also repeal or amend any act of
Parliament in relation to these union territories.
• The governor is empowered to direct that an act of Parliament does not apply to a scheduled
area in the state or apply with specified modifications and exceptions.
• The Governor of Assam may likewise direct that an act of Parliament does not apply to a tribal
area (autonomous district) in the state or apply with specified modifications and exceptions.
The President enjoys the same power with respect to tribal areas
(autonomous districts) in Meghalaya, Tripura and Mizoram.
Distribution of Legislative Subjects

The Constitution provides for a three-fold distribution of legislative subjects between the
Centre and the states, viz., List-I (the Union List), List-II (the State List) and List-III (the
Concurrent List) in the Seventh Schedule:
(i) The Parliament has exclusive powers to make laws with respect to any of the matters
enumerated in the Union List. This list has at present 98 subjects (originally 97 subjects) like
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defence, banking, foreign affairs, currency, atomic energy, insurance, communication, inter-
state trade and commerce, census, audit and so on.
(ii) The state legislature has “in normal circumstances” exclusive powers to make laws with
respect to any of the matters enumerated in the State List. This has at present 59 subjects
(originally 62 subjects) like public order, police, public health and
sanitation, agriculture, prisons, local government, fisheries, markets, theaters, gambling and
so on.
(iii) Both, the Parliament and state legislature can make laws with respect to any of the matters
enumerated in the Concurrent List. This list has at present 52 subjects (originally 47 subjects)
like criminal law and procedure, civil procedure, marriage and divorce, population control and
family planning, electricity, labour welfare, economic and social planning, drugs, newspapers,
books and printing press, and others.
(iv) The 42nd Amendment Act of 1976 transferred five subjects to Concurrent List from State List,
that is, (a) education, (b) forests, (c) weights and measures, (d) protection of wild animals and
birds, and (e) administration of justice; constitution and organisation of all courts except the
Supreme Court and the high courts.
(v) Parliament has power to make laws with respect to any matter for any part of the territory of
India not included in a state even though that matter is one which is enumerated in the State
List.This provision has reference to the Union Territories or the Acquired Territories (if any).
(vi) The 101st Amendment Act of 2016 has made a special provision with respect to goods and
services tax. Accordingly, the Parliament and the state legislature have power to make laws
with respect to goods and services tax imposed by the Union or by the State. Further, the
parliament has exclusive power to make laws with respect to goods and services tax where
the supply of goods or services or both takes place in the course of inter-state trade or
commerce.
(vii) The power to make laws with respect to residuary subjects (i.e., the matters which are not
enumerated in any of the three lists) is vested in the Parliament. This residuary power of
legislation includes the power to levy residuary taxes.
• From the above scheme, it is clear that the matters of national importance and the matters
which require uniformity of legislation nationwide are included in the Union List. The matters
of regional and local importance and the matters which permit diversity of interest are
specified in the State List. The matters on which uniformity of legislation throughout the
country is desirable but not essential are enumerated in the concurrent list. Thus, it permits
diversity along with uniformity.
• In US, only the powers of the Federal Government are enumerated in the Constitution and
the residuary powers are left to the states. The Australian Constitution followed the American
pattern of single enumeration of powers.
• In Canada, on the other hand, there is a double enumeration– Federal and Provincial, and
the residuary powers are vested in the Centre.
• The Government of India Act of 1935 provided for a three-fold enumeration, viz., federal,
provincial and concurrent. The present Constitution follows the scheme of this act but with
one difference, that is, under this act, the residuary powers were given neither to the federal
legislature nor to the provincial legislature but to the governor general of India.
• In this respect, India follows the Canadian precedent. The Constitution expressly secures the
predominance of the Union List over the State List and the Concurrent List and that of the
Concurrent List over the State List. Thus, in case of overlapping
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between the Union List and the State List, the former should prevail. In case of overlapping
between the Union List and the Concurrent List, it is again the former which should prevail.
Where there is a conflict between the Concurrent List and the State List, it is the former that
should prevail.
• In case of a conflict between the Central law and the state law on a subject enumerated in
the Concurrent List, the Central law prevails over the state law. But, there is an exception. If
the state law has been reserved for the consideration of the president and has received his
assent, then the state law prevails in that state. But, it would still be competent for the
Parliament to override such a law by subsequently
making a law on the same matter.
Parliamentary Legislation in the State Field

The above scheme of distribution of legislative powers between the Centre and the states is
to be maintained in normal times. But, in abnormal times, the scheme of distribution is either
modified or suspended. In other words, the Constitution empowers the Parliament to make
laws on any matter enumerated in the State List under the following five extraordinary
circumstances:
When Rajya Sabha Passes a Resolution

• If the Rajya Sabha declares that it is necessary in the national interest that Parliament should
make laws with respect to goods and services tax or a matter in the State List, then the
Parliament becomes competent to make laws on that matter. Such a resolution must be
supported by two-thirds of the members present and voting. The resolution remains in force
for one year; it can be renewed any number of times but not exceeding one year at a time.
The laws cease to have effect on the expiration of six months after the resolution has ceased
to be in force.
• This provision does not restrict the power of a state legislature to make laws on the same
matter. But, in case of inconsistency between a state law and a parliamentary law, the latter
is to prevail.
During a National Emergency

• The Parliament acquires the power to legislate with respect to goods and services tax or
matters in the State List, while a proclamation of national emergency is in operation. The laws
become inoperative on the expiration of six months after the emergency has ceased to
operate.
• Here also, the power of a state legislature to make laws on the same matter is not restricted.
But, in case of repugnancy between a state law and a parliamentary law, the latter is to
prevail.
When States Make a Request

• When the legislatures of two or more states pass resolutions requesting the Parliament to
enact laws on a matter in the State List, then the Parliament can make laws for regulating that
matter. A law so enacted applies only to those states which have passed the resolutions.
• However, any other state may adopt it afterwards by passing a resolution to that effect in its
legislature. Such a law can be amended or repealed only by the Parliament and not by the
legislatures of the concerned states. The effect of passing a resolution under the above
provision is that the Parliament becomes entitled to legislate with respect to a matter for
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which it has no power to make a law. On the other hand, the state legislature ceases to have
the power to make a law with respect to that matter. The resolution operates as abdication
or surrender of the power of the state legislature with respect to that matter and it is placed
entirely in the hands of Parliament which alone can then legislate with respect to it. Some
examples of laws passed under the above provision are Prize Competition Act, 1955; Wild Life
(Protection) Act, 1972; Water (Prevention and Control of Pollution) Act, 1974; Urban Land
(Ceiling and Regulation) Act, 1976; and Transplantation of Human Organs Act,
1994.\
To Implement International Agreements

• The Parliament can make laws on any matter in the State List for implementing the
international treaties, agreements or conventions. This provision enables the Central
government to fulfil its international obligations and commitments.
• Some examples of laws enacted under the above provision are United Nations (Privileges and
Immunities) Act, 1947; Geneva Convention Act, 1960; Anti-Hijacking Act, 1982 and legislations
relating to environment and TRIPS.
During President’s Rule

When the President’s rule is imposed in a state, the Parliament becomes empowered to make
laws with respect to any matter in the State List in relation to that state. A law made so by
the Parliament continues to be operative even after the president’s rule. This means that the
period for which such a law remains in force is not coterminous with the duration of the
President’s rule. But, such a law can be repealed or altered or re-enacted by the state
legislature.
Centre’s Control Over State Legislation

Besides the Parliament’s power to legislate directly on the state subjects under the
exceptional situations, the Constitution empowers the Centre to exercise control over the
state’s legislative matters in the following ways:
i. The governor can reserve certain types of bills passed by the state legislature for the
consideration of the President. The president enjoys absolute veto over them.
ii. Bills on certain matters enumerated in the State List can be introduced in the state legislature
only with the previous sanction of the president. (For example, the bills imposing restrictions
on the freedom of trade and commerce).
iii. The Centre can direct the states to reserve money bills and other financial bills passed by the
state legislature for the President’s consideration during a financial emergency.
• From the above, it is clear that the Constitution has assigned a position of superiority to the
Centre in the legislative sphere. In this context, the Sarkaria Commission on Centre-State
Relations (1983– 88) observed: “The rule of federal supremacy is a technique to avoid
absurdity, resolve conflict and ensure harmony between the Union and state laws. If this
principle of union supremacy is excluded, it is not difficult to imagine its deleterious results.
There will be every possibility of our two-tier political system being stultified by interference,
strife, legal chaos and confusion caused by a host of conflicting laws, much to the
bewilderment of the common citizen. Integrated legislative policy and uniformity on basic
issues of common Union-state concern will be stymied. The federal principle of unity in
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diversity will be very much a casualty. This rule of federal supremacy, therefore, is
indispensable for the successful functioning of the federal system”.
LPG AND CHANGING TRENDS IN FEDERALISM

• The New Economic Policy has affected state politics in India in such a big way that it has
virtually necessitated a fresh understanding of state politics. The policy of globalization and
liberalization has, in a way, created a situation in which the state governments have emerged
as the real focus of power and decision - making.
• State governments have been engaged in an unbridled competition to attract foreign capital.
The foreign investors have to deal with the state governments for establishing their projects.
The decade of 1990s has also been described as political refederalization of India without
changing the constitution.
• Granville Austin has observed that the Nehruvian years institutionalized centralization as well
as dedication to democracy and social revolution. Opposition parties and even many scholars
have alleged that the Congress Party’s dominance during its forty years of rule led to on
centralization and the state governments were treated as glorified municipalities.
• The critics of the centralist character of the Indian federation fail to understand that a
powerful Centre was supposed to keep a diverse society together. The political power of the
central government to arbitrate in the inter-state disputes has got eroded in the era of
coalitions.
• A centralized political system has been an essential part of the Indian economic planning in
which the state governments were led by the central government. Economic reforms demand
an effective role from the state governments.
• The process of liberalization and globalization is throwing up new challenges to the Indian
federalism and it appears to be restructuring power relations between the Centre and the
states.
• Some illustrations can substantiate these points in a better way. While every investor is
looking for smooth relationship among states to ensure smooth movement of capital and
commodities, every state government is evolving its own agenda of dealing with foreign
investors. During the phase of license-permit raj the state governments had created high tariff
walls to restrict the movement of goods, commodities and even transport.
• It can be said that India is struggling to create an all-India national market. The idea of
globalization is premised on a common global market but we are not a common market even
as a country.
• Rudolph, L.H., and Rudolph, S.H., believe that in the 1990s, India moved from a command
economy to a federal market economy. They have also observed that in the 1990s the Chief
Ministers became market players in India’s federal market economy.
• The striking difference about the 1990s is that the state governments emerged as important
players in the economic fields. This was a complete contrast to the centralized phase of
planning during which the central government could get policies implemented by state
governments because it controlled funds.
• In the 1990s not only the investors started contacting the state governments but also there
started a competition among state governments to attract the investors. Even the Left Front
state government of West Bengal did not want to be left behind in this race.
• The old system of Centre-State relations had evolved a system of centrally sponsored schemes
implemented by state governments but funded by the central government.
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• In the new trend the central government seems to be unburdening itself and passing on the
responsibilities of economic development of states to state governments. In the new scenario
state governments have emerged as important economic actors in place of the central
governments.
• But the retreat of the central government from the management of the national economy is
likely to aggravate inter –state or inter-regional disparities. India, at the time of
independence, had inherited all kinds of regional imbalances.
• From the beginning one of the major goals of planning in India has been balanced
development. It seems that with the launch of the New Economic Policy the commitment to
the balanced development of India came to an end.
• The 1990s has witnessed state governments struggling to fight their own battle. If a state can
offer an attractive package to the foreign investor that state is considered as forward looking,
reformist and progressive.
• In a World Bank survey, Maharashtra and Gujarat have been cited as hottest investment
destination. States have done exceptionally well, several others show a strong performance,
while some are doing very poorly. Some experts apprehend a threat to the central authority
in the growing inter-state and regional disparities.
• Centralization, under the license-permit raj, created a rift between those who could
effectively lobby the central government, and others whose political and business influence
was restricted to a state or a region within that state.
• Unlike the merchant capitalist and largely metropolitan origins of the national big business
groups, the new generation of regional business group have agrarian origin and rural roots.
• The regional business looked at licensing system of the national government as inequitable
benefiting big business. Thus termination of the licensing system as part of the New Economic
Policy has benefited the regional business.
• Regional business houses have set up most of the fast track private power projects.
In states like Punjab, Haryana, Gujarat, Maharashtra, Tamil Nadu, Andhra Pradesh and
Karnataka, a dynamic first-generation business class has emerged over the period of last two
decades.
• This class remains distinct from the traditional national business class in a variety of ways.
The failure of national political parties and the central government to address the needs of
emergent regional business groups encouraged them to seek political and material support
from regional parties and the state governments. The link between the emergence of regional
capitalism and regional parties is too stark to be ignored.
DISCUSS EVOLUTION OF STATE AUTONOMY MOVEMENT IN INDIA; DISCUSS

POLITICAL AND ECONOMIC FACTORS THAT SHAPE THE FEDERAL NATURE OF
INDIAN STATE.
• Manifestation of the fight back on the part of the states against Centre’s dominance has taken
the shape of the movements talked off as the state autonomy movements. It is more than
the fight for financial resources, which has been a constant refrain on the part of the states.
This is so because the division of powers between the centre and states is such that balance
of powers tends to be against the states.
• Apart from the struggle for financial resources, the state autonomy movements have a
political dimension, which gives them a distinct character. This dimension involves issues such
as the question of the exercise of powers by the centre under Art.356, to dismiss the state
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government, appoint and remove governors, standing of the states within the federal
structure, and such other questions. In all of these the centre exercises discretionary powers
and the states are quite at the mercy of the centre. The movements for state autonomy have
been centered on these issues.
• In India in particular, the process of political centralization was facilitated by the more or less
uninterrupted rule of the Congress party for the first 30 years both at the centre and in most
of the states and was necessitated by the challenges to the hegemony of the Congress rule.
• The political dominance of the Congress and its hegemony over state power not only helped
it to contain by repression or manipulations the recurrent political crises but also aggravated,
by the very logic of the situation, the tendency towards the centralization and concentration
of political power.
• Given the nature of divisions among the ruling class parties in India, the Congress had no
difficulty in converting this centralized power into authoritarian rule in the shape of the
emergency. The consequence, as we have all experienced in a gruesome form, was not just
the erosion of federal principles and the negation of state rights and powers but also a
complete negation of the democratic rights and civil liberties of the people, including sections
of the ruling classes.
• It is in the context of these developments of the recent past and the possibility of their
recurrence in a possible future that the struggle around the demand for state autonomy
assumes importance and reveals its link with the struggle for
democratic rights of the people.
• There are great similarities between the periods 1967-1969 and 1977-1979 with respect to
the fortunes of the political parties as well as to the heightened articulation of the demand
for state autonomy. In both the situations, apart from one or two states, the regional or
regionally-based parties that gained at the cost of the Congress party were the ruling class
regional parties.
• Similarly, the parties which formed governments in different states on both these occasions
were providing opposition to the Congress party both at the centre and in the states within a
framework of similar policy preferences, e.g., Akalis in Punjab, the Bharatiya Kranti Dal in
Uttar Pradesh, the Dravida Munnetra Kazhagam in Tamil Nadu, etc.
• It is possible to argue here that the growth and consolidation of the regional ruling class
parties have been generally conditioned by the interests of the locally placed ruling class
groups like the landlords and kulaks in Punjab, Haryana, western U. P., etc. or the non-big
bourgeoisie in Tamil Nadu.
• It seems to plausible to argue that differentiation in landed interests between different States
is due to differential distribution of investments and concessions by the centre on top of the
historically inherited consequences of land tenures, land development and productivity of
land, crop specialization, etc.
• In situations of economic crisis the inability of the state to dole out
concessions to the dominant landed interests uniformly all over leads to discrimination and
consequent dissatisfaction. This is likely to lead to conflicts of interest within the same class
across the regions.
• Under circumstances like these, the locally placed ruling class groups seek greater power for
themselves through the regional parties in power or opposition so that these can be used to
further their own interests when these are perceived as not being best served by the all-India
ruling class parties. Under circumstances like these, these ruling class groups avail of the
popular discontent due to the deepening of economic crisis in order to build up oppositional
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politics in favour of the respective states. Such a configuration provides one objective ground
on which regional movements thrive and seek greater” autonomy for” the states.
• After Nehru, particularly after the 1967 general elections when the Congress party lost in as
many as nine States to other parties, the ruling party at the Centre, the Congress, tried to
bypass, ignore or underestimate the gravity of the problem of Centre-State relations. The only
thing that the government had set up was the National Development Council. D. Jha
observed: “The division of functions and resources in the Indian Federal structure should be
considered from the point of view of the best devolution of functions and most effective
utilisation of the scarce resources of the country. The issue of State rights versus Central rights
should not be raised as there were no State rights prior to the creation of the Federal
structure.”
• The Chief Ministers of various States, including the Congress-ruled ones, gave their different
views on the various aspects of Centre-State relations. In the year 1969, the Chief Ministers
of three States, namely, Andhra Pradesh, Orissa and Kerala, were dissatisfied over the issue
of Centre-State relations. The three leaders gave differing analyses of the political trend.
• All three were critical of the Centre on one score or another. The Orissa Chief Minister said
that the federal system had worked fairly well, but there was need for some changes to
ensure more harmonious relations between the Centre and States. The Chief Minister of
Andhra Pradesh said that the present set-up was more Unitary than Federal and there should
be modifications to ensure real federalism. The Kerala Chief Minister called for a fresh
approach to the federal system enshrined in the Constitution.
• Several other Chief Ministers also assailed the manner and method in which the Centre and
Planning Commission had made the Plan outlays. They also criticized the Centre for giving
special assistance to certain States for meeting their non-Plan commitments.
• In the year 1970, the Maharashtra Chief Minister had challenged the very competence of the
Planning Commission to set the norms for giving such special assistance. Other Chief Ministers
had questioned the propriety of giving this assistance to only a few selected States.
• A survey of the actual working of our Constitution for nearly 60 years would hardly justify the
conclusion that, even though the unitary bonds have in some respects been further tightened,
the federal features have altogether withered away.
• Some scholars in India have urged that the unitary bias of our Constitution has been
accentuated in its actual working by two factors—(a) the overwhelming financial power of
the Union and the utter dependence of the States upon Union grants for discharging their
functions, and (b) the comprehensive sweep of the now defunct Union Planning Commission,
set up under the concurrent power over planning. Santhanam observes: “India has practically
functioned as a Unitary State though the Union and the States have tried to function formally
and legally as a Federation.”
• The role of the President, Governors, Chief Ministers, Inter-State Council, National
Development Council etc. were highly crucial in the evolution of Centre-State relations. It is,
therefore, imperative to examine the roles of these authorities in the context of Centre-State
relations and in illustrating the nature of Indian State.
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DEMAND FOR ABOLISHING THE CONCURRENT LIST
• The CM of Telangana has pitched for more autonomy to the states, suggesting that the
concurrent list be done away with.
Centralization of power Vis a Vis Concurrent list

• Since 1950, the Seventh Schedule of the Constitution has seen a number of amendments. The
Union List and Concurrent List have grown while subjects under the State List have gradually
reduced.
• The 42nd Amendment Act was implemented in 1976, restructured the Seventh Schedule
ensuring that State List subjects like education, forest, protection of wild animals and birds,
administration of justice, and weights and measurements were transferred to the Concurrent
List.
• The Tamil Nadu government constituted the PV Rajamannar Committee to look into Centre-
State relations. It spurred other states to voice their opposition to this new power relation
born due to 42nd amendment act and Centre’s encroachment on subjects that were
historically under the state list.
• The Sarkaria Commission was set up to look into Centre-State relations after opposition
shown by states. However, the recommendations of the Sarkaria Commission were not
implemented by successive central governments.
Issues with Concurrent list

• Limited capacity of states: Some laws enacted by Parliament in the concurrent list might
require state governments to allocate funds for their implementation. But due to federal
supremacy while the states are mandated to comply with these laws they might not have
enough financial resources to do so.
• Balance between flexibility and uniformity: Some laws leave little flexibility for states to
sync the laws according to their needs for achieving uniformity. A higher degree of detail in
law ensures uniformity across the country and provides the same level of protection and
rights however, it reduces the flexibility for states to tailor the law for their different local
conditions.
• Infringement in the domain of states: Some Bills may directly infringe upon the rights of
states i.e. relates to central laws on subjects that are in the domain of state legislatures. E.g.
anti-terrorist laws, Lokpal bill, issues with GST and Aadhar etc. where states’ power are taken
away in a cloaked manner.
• This asymmetry highlights the need for a detailed public debate on federalism and treatment
of items in the concurrent list.
What can be done?

• Strengthening of Inter-State Council: Over the year committees starting from Rajamannar,
Sarkaria and Punchi have recommended strengthening of Interstate Council where the
concurrent list subjects can be debated and discussed, balancing Centre state powers. There
is far less institutional space to settle inter-state frictions therefore a constitutional institution
like ISC can be a way forward.
• Autonomy to states: Centre should form model laws with enough space for states to
maneuver. Centre should give enough budgetary support to states so as to avoid budgetary
burden. There should be least interference in the state subjects.
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Sarkaria Commission Recommendation on Concurrent List

• The residuary powers of taxation should continue to remain with the Parliament, while the
other residuary powers should be placed in the Concurrent List.
• The Centre should consult the states before making a law on a subject of the Concurrent List.
• Ordinarily, the Union should occupy only that much field of a concurrent subject on which
uniformity of policy and action is essential in the larger interest of the nation, leaving the rest
and details for state action.
ADMINISTRATIVE RELATIONS
Articles 256 to 263 in Part XI of the Constitution deal with the administrative relations
between the Centre and the states. In addition, there are various other articles pertaining to
the same matter.
Distribution of Executive Powers
• The executive power has been divided between the Centre and the states on the lines of the
distribution of legislative powers, except in few cases. Thus, the executive power of the
Centre extends to the whole of India: (i) to the matters on which the Parliament has exclusive
power of legislation (i.e., the subjects enumerated in the Union List); and (ii) to the exercise
of rights, authority and jurisdiction conferred on it by any treaty or agreement.
• Similarly, the executive power of a state extends to its territory in respect of matters on which
the state legislature has exclusive power of legislation (i.e., the subjects enumerated in the
State List).
• In respect of matters on which both the Parliament and the state legislatures have power of
legislation (i.e., the subjects enumerated in the Concurrent List), the executive power rests
with the states except when a Constitutional provision or a parliamentary law specifically
confers it on the Centre.
• Therefore, a law on a concurrent subject, though enacted by the Parliament, is to be
executed by the states except when the Constitution or the Parliament has directed
otherwise.
Obligation of States and the Centre

• The Constitution has placed two restrictions on the executive power of the states in order to
give ample scope to the Centre for exercising its executive power in an unrestricted manner.
Thus, the executive power of every state is to be exercised in such a way (a) as to ensure
compliance with the laws made by the Parliament and any existing law which apply in the
state; and (b) as not to impede or prejudice the exercise of executive power of the Centre in
the state. While the former lays down a general obligation upon the state, the latter imposes
a specific obligation on the state not to hamper the executive power of the Centre.
• In both the cases, the executive power of the Centre extends to giving of such directions to
the state as are necessary for the purpose. The sanction behind these directions of the Centre
is coercive in nature.
• Thus, Article 365 says that where any state has failed to comply with (or to give effect to) any
directions given by the Centre, it will be lawful for the President to hold that a situation has
arisen in which the government of the state cannot be carried on in accordance with the
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provisions of the Constitution. It means that, in such a situation, the President’s rule can be
imposed in the state under Article 356.
Centre’s Directions to the States

In addition to the above two cases, the Centre is empowered to give directions to the states
with regard to the exercise of their executive power in the following matters:
i. the construction and maintenance of means of communication (declared to be of national or
military importance) by the state;
ii. the measures to be taken for the protection of the railways within the state;
iii. the provision of adequate facilities for instruction in the mother tongue at the primary stage
of education to children belonging to linguistic minority groups in the state; and
iv. the drawing up and execution of the specified schemes for the welfare of the Scheduled Tribes
in the state. The coercive sanction behind the Central directions under Article 365 (mentioned
above) is also applicable in these cases.
Mutual Delegation of Functions

• The distribution of legislative powers between the Centre and the states is rigid.
Consequently, the Centre cannot delegate its legislative powers to the states and a single
state cannot request the Parliament to make a law on a state subject. The distribution of
executive power in general follows the distribution of legislative powers.
• But, such a rigid division in the executive sphere may lead to occasional conflicts between the
two. Hence, the Constitution provides for intergovernment delegation of executive functions
in order to mitigate rigidity and avoid a situation of deadlock.
• Accordingly, the President may, with the consent of the state government, entrust to that
government any of the executive functions of the Centre.
• Conversely, the governor of a state may, with the consent of the Central government, entrust
to that government any of the executive functions of the state.
• This mutual delegation of administrative functions may be conditional or unconditional. The
Constitution also makes a provision for the entrustment of the executive functions of the
Centre to a state without the consent of that state.
• But, in this case, the delegation is by the Parliament and not by the president. Thus, a law
made by the Parliament on a subject of the Union List can confer powers and impose duties
on a state, or authorise the conferring of powers and imposition of duties by the Centre upon
a state (irrespective of the consent of the state concerned). Notably, the same thing cannot
be done by the state legislature.
• From the above, it is clear that the mutual delegation of functions between the Centre and
the state can take place either under an agreement or by a legislation. While the Centre can
use both the methods, a state can use only the first method.
Cooperation Between the Centre and States

The Constitution contains the following provisions to secure cooperation and coordination
between the Centre and the states:
• The Parliament can provide for the adjudication of any dispute or complaint with respect to
the use, distribution and control of waters of any inter-state river and river valley.
• The President can establish (under Article 263) an Inter-State Council to investigate and
discuss subject of common interest between the Centre and the states. Such a council was
set up in 1990.7
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• Full faith and credit is to be given throughout the territory of India to public acts, records and
judicial proceedings of the Centre and every state.
• The Parliament can appoint an appropriate authority to carry out the purposes of the
constitutional provisions relating to the interstate freedom of trade, commerce and
intercourse. But, no such authority has been appointed so far.
All-India Services
• Like in any other federation, the Centre and the states also have their separate public services
called as the Central Services and the State Services respectively.
• In addition, there are all-India services–IAS, IPS and IFS. The members of these services
occupy top positions (or key posts) under both the Centre and the states and serve them by
turns.
• But, they are recruited and trained by the Centre. These services are controlled jointly by the
Centre and the states. The ultimate control lies with the Central government while the
immediate control vests with the state governments.
• Article 312 of the Constitution authorises the Parliament to create new All-India Services on
the basis of a Rajya Sabha resolution to that effect. Each of these three all-India services,
irrespective of their division among different states, form a single service with common rights
and status and uniform scales of pay throughout the country.
• Though the all-India services violate the principle of federalism under the Constitution by
restricting the autonomy and patronage of the states, they are supported on the ground that
i. they help in maintaining high standard of administration in the Centre as well as in the states;
ii. they help to ensure uniformity of the administrative system throughout the country; and
iii. they facilitate liaison, cooperation, coordination and joint action on the issues of common
interest between the Centre and the states.
• While justifying the institution of all-India services in the ConstituentAssembly, Dr. B.R.
Ambedkar observed that: “The dual polity which is inherent in a federal system is followed in
all federations by a dual service. In all federations, there is a Federal Civil Service and a State
Civil Service. The Indian federation, though a dual polity, will have a dual service, but with one
exception. It is recognised that in every country there are certain posts in its administrative
set up which might be called strategic from the point of view of maintaining the standard of
administration. There can be no doubt that the standard of administration depends upon the
calibre of the civil servants who are appointed to the strategic posts. The Constitution
provides that without depriving the states of their rights to form their own civil services, there
shall be an all-India service, recruited on an allIndia basis with common qualifications, with
uniform scale of pay and members of which alone could be appointed to those strategic posts
throughout the Union”.
Public Service Commissions

In the field of public service commissions, the Centre-state relations are as follows:
i. The Chairman and members of a state public service commission, though appointed by the
governor of the state, can be removed only by the President.
ii. The Parliament can establish a Joint State Public Service Commission (JSPSC) for two or more
states on the request of the state legislatures concerned. The chairman and members of the
JSPSC are appointed by the president.
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iii. The Union Public Service Commission (UPSC) can serve the needs of a state on the request of
the state governor and with the approval of the President.
iv. The UPSC assists the states (when requested by two or more states) in framing and operating
schemes of joint recruitment for any services for which candidates possessing special
qualifications are required.
Integrated Judicial System

• Though India has a dual polity, there is no dual system of administration of justice. The
Constitution, on the other hand, established an integrated judicial system with the Supreme
Court at the top and the state high courts below it. This single system of courts enforces both
the Central laws as well as the state laws. This is done to eliminate diversities in the remedial
procedure.
• The judges of a state high court are appointed by the president in consultation with the Chief
Justice of India and the governor of the state. They can also be transferred and removed by
the president. The Parliament can establish a common high court for two or more states. For
example, Maharashtra and Goa or Punjab and Haryana have a common high court.
Relations During Emergencies

• During the operation of a national emergency (under Article 352), the Centre becomes
entitled to give executive directions to a state on ‘any’ matter. Thus, the state governments
are brought under the complete control of the Centre, though they are not suspended.
• When the President’s Rule is imposed in a state (under Article 356), the President can assume
to himself the functions of the state government and powers vested in the Governor or any
other executive authority in the state.
• During the operation of a financial emergency (under Article 360), the Centre can direct the
states to observe canons of financial propriety and can give other necessary directions
including the reduction of salaries of persons serving in the state.
Other Provisions
The Constitution contains the following other provisions which enable the Centre to exercise
control over the state administration:
• Article 355 imposes two duties on the Centre: (a) to protect every state against external
aggression and internal disturbance; and (b) to ensure that the government of every state is
carried on in accordance with the provisions of the Constitution.
• The governor of a state is appointed by the president. He holds office during the pleasure of
the President. In addition to the Constitutional head of the state, the governor acts as an
agent of the Centre in the state. He submits periodical reports to the Centre about the
administrative affairs of the state.
• The state election commissioner, though appointed by the governor of the state, can be
removed only by the President.
Extra-Constitutional Devices
• In addition to the above-mentioned constitutional devices, there are extra-constitutional
devices to promote cooperation and coordination between the Centre and the states. These
include a number of advisory bodies and conferences held at the Central level.
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• The non-constitutional advisory bodies include the NITI Ayog (which succeeded the planning
commission), the National Integration Council, the Central Council of Health and Family
Welfare, the Central Council of Local Government, the Zonal Councils,the NorthEastern
Council, the Central Council of Indian Medicine, the Central Council of Homoeopathy, the
Transport Development Council, the University Grants Commission and so on.
• The important conferences held either annually or otherwise to facilitate Centre-state
consultation on a wide range of matters are as follows: (i) The governors’ conference
(presided over by the President). (ii) The chief ministers’ conference (presided over by the
prime minister). (iii) The chief secretaries’ conference (presided over by the cabinet
secretary). (iv) The conference of inspector-general of police. (v) The chief justices’
conference (presided over by the chief justice of India). (vi) The conference of vice
chancellors. (vii) The home ministers’ conference (presided over by the Central home
minister). (viii) The law ministers’ conference (presided over by the Central law minister).
Role of the President and Central Government

• Article 354 empowers the President to order suspension of the provisions of Articles 268 to
279 relating to distribution of revenues between the Union and States, while a Proclamation
Of Emergency is in operation. In other words, the Union can, in an emergency, actual or
apprehended, withdraw all powers from the States and also the financial support it gives and
functions as a Unitary State.
• In the US and Australian Constitutions, even the declaration of war does not impinge on the
distribution of power between the Federation and the States, nor does it empower the
Federal Legislature to legislate on any subject exclusively in the State List.
• There are certain other provisions relating to the authority of the President in the matter of
State Legislation and administration which could be used to interfere with and even suppress
the State’s autonomy. The Governor may reserve a Bill passed by the State Legislature for the
consideration of the President (Article 200).
• It is nowhere enjoined that the Governor, in making such reference, should act on the advice
of the Council of Ministers. Though constitutional experts are of the opinion that the
Governor has no authority to act on his own, this interpretation is not implicit in the express
provisions of the Constitution. Nor is any remedy provided if the Governor was to act on his
own responsibility in making such a reference.
• The use of Presidential vote for political purposes is not merely a theoretical possibility. In
fact, when Kerala came to be controlled by the Communist Party led by E.M.S. Namboodripad,
a certain legislation undertaken by the State interfered with the control and management of
educational institutions administered by the influential Roman Catholic Church. The Bill was
reserved for the President’s consideration. Meanwhile political unrest had been whipped up
in the State and the administration of law and order became increasingly difficult. The
President then issued a Proclamation on the report of the Governor that there was a failure
of the constitutional machinery in the State.
• Nobody knows what will happen if there is a serious conflict between the ruling party at the
Centre and an Opposition party with a majority in a State Legislature and if the dominant
party in Parliament is bent upon frustrating the State’s effort to pass genuinely progressive
laws.
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• According to H.N. Pandit, “The Union Cabinet in that event might advise the President not to
give his assent to the Bill passed by the State Legislature.” Now a question arises: can the
President exercise his independent judgment to safeguard the autonomy of the State and
refuse to withhold his assent to the Bill? If the Presidency had been an independent organ of
the State in these matters, the federating States could have looked up to it to defend their
autonomy.
• It has been stated earlier that when the then President of India, Neelam Sanjiva Reddy,
strongly favored for greater autonomy for the States, his authority was questioned. Even the
Prime Minister, Jawaharlal Nehru, expressed his view that the power really vested in the
Ministry and in the Legislature and not in the President as such. This view about the position
of the President vis-a-vis the Council of Ministers was also shared by the Supreme Court.
Imposition of President’s Rule in States

• The unitary character of our Constitution is exemplified in Article 365 which says: “Where any
State has failed to comply with, or to give effect to any direction given in the exercise of the
executive power of the Union under any of the provision of the Constitution, it shall be lawful
for the President to hold that a situation has arisen in which the Government of the State
cannot be carried on in accordance with the provision of the Constitution.”
• This Article gives a sweeping and draconian power to the Centre. The Rajmannar Committee
observed: “Article 365 highlights the subordinate position of the States. ... Even at the time of
framing the Constitution, Article 365 was denounced by several members of the Constituent
Assembly.”
• The purpose of Article 356 is, however, to provide for the administration of a State when no
political party can command a majority in the House to form a stable government either by it
or by forming a coalition with another party. For a variety of reasons, the effect of this exercise
is also not uniform. In some cases the Assembly has been dissolved, but in some other cases
it has been kept in suspended animation. From 1950 to 2005, that is, within a period of 55
years, the country has had the taste of President’s Rule in different States on more than 126
occasions.
Chief Ministers’ Role in Election of the President of India
• A conflict generally crops up in regard to the election of the President when the Centre and
States are run by different parties. This was the situation after the 1977 election. The Centre
and the States were run by different parties. The landslide victory of the Janata Party and its
allies in the Lok Sabha poll in March 1977 resulted in a critical atmosphere in the States. Most
of the States were run by the Congress party. This created a problem for the Centre to elect
a favourite President. The election was delayed until the dissolution of the Assemblies
dominated by Congress party and fresh elections in 10 States in June 1977. After the election
in these States and coming into power of the Janata Party in seven States, election for the
President ship was held and the Janata Party Chief Ministers played a decisive role in electing
N. Sanjiva Reddy as the President of India.
• The Union and the States are inter-dependent in numerous ways. The unity thus brought
about has to have the force of consent, not of law. This calls for cooperation and co-ordination
on the basis of policies arrived at after due consultations in which the nation as a whole,
through the Central and State governments, participates. Co-ordination can be effective only
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if it is based on commonly acceptable policies for which consultation with the States is
necessary.
• The Rajya Sabha, although consisting of persons elected by the State Legislatures, is not an
appropriate forum for furnishing the point of view of the State governments and Centre-State
consultation really means consultation between the Centre and State governments. Besides,
it cannot be one of the functions of a legislative body to hammer out administrative policies
lying within the domain of the Executive. With this end in view, the Administrative Reforms
Committee had suggested the establishment of an Inter-State Council consisting of all the
Chief Ministers. The Study Team on Centre-State Relationship had recommended that if it
was decided not to establish such a Council, the forum of the Chief Ministers’ Conference
could be used.26 the second alternative, that is, the Chief Ministers’ Conference, has been
thought to be more advisable and effective. The Chief Ministers’ Conference is called by the
Prime Minister from time to time to discuss the problem.
• After the 1967 elections, the political complexion of India changed. Different State
governments run by parties with different ideologies came into being. The result of these new
developments was that the relations between the States and the Centre became tricky.
• E.M.S. Nambroodripad, the then Chief Minister of Kerala, stated in March 1967 that in the
prevailing situation in India, it was essential that the Congress Government at the Centre and
the non-Congress governments in the States should function in ‘a spirit of co-existence’.
• Indira Gandhi called a Chief Ministers’ Conference and said at the Conference: “The Centre
and the States were partners and no new problem had arisen merely because of the existence
of Governments of different political persuasion at the Centre and in the States.”
• The first confrontation between the two power structures was at the Chief Ministers’
Conference called by Morarji Desai, the then Finance Minister, in April 1967. The Chief
Ministers were critical of New Delhi’s decision to curtail the over-drafts given by the Reserve
Bank of India to the States and of the reluctance of the Centre to provide more assistance to
the States for development plans and payment of Dearness Allowance to their employees.
C.N. Annadurai, the Chief Minister of Madras, wanted the residuary powers left by the
Constitution of India with the Centre to be given to the States.
Centre’s Power to appoint Commission of Inquiry
• The Centre has the power to appoint a Commission under the Commission of Inquiries Act,
1952 to enquire into any offence committed or misuse of power or position by the Chief
Minister. This power has been utilized by the Centre on some occasions.
• In September 1963, the Supreme Court had passed strictures on an appeal heard by it on the
conduct of the Chief Minister of Punjab, Pratap Singh Kairon. The Opposition demanded the
dismissal of the Chief Minister and the imposition of President’s Rule in the State. It was
argued—“If a Chief Minister ignores the rule of law, he is violating the Constitution and in
terms of Article 355, it is the duty of the Union to intervene to ensure that the administration
of the State is being carried on in accordance with the Constitution.” Ashok Chandra argued
thus: “The lapse of the Chief Minister of a State can hardly be held to constitute a failure of
the constitutional machinery in the State justifying President’s intervention. Other remedies
are available to deal with such a situation.”
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GOVERNOR’S ROLE IN DISSOLUTION OF STATE ASSEMBLIES
Constitutional provisions
• Article 172 says that every Legislative Assembly of every State, unless sooner dissolved, shall
continue for five years.
• Article 174 (2) (b) of the Indian Constitution merely states that the Governor may, from time
to time, dissolve the Legislative Assembly.
• Article 356 (“President’s rule”): In case of failure of constitutional machinery in State the
President, on receipt of report from the Governor of the State or otherwise,
✓ may assume to himself the functions of the Government of the State
✓ declare that the powers of the Legislature of the State shall be exercisable by or under the
authority of Parliament
Issues
• Lack of Objective Criteria for untimely dissolution: While Article 174 gives powers to the
governor to dissolve the assembly, but the Constitution is silent on as to when and under
what circumstances can the House can be dissolved.
• Moreover, describing an alliance as opportunistic is fine as far as it is political opinion but it
cannot be the basis for constitutional action.
Missing Political Neutrality in Governor’s Office:

• The post has been reduced to becoming a retirement package for politicians for being
politically faithful to the government of the day. Consequently, the office has been used by
various governments at the centre as a political tool to destabilise elected state governments.
• For e.g. Bihar State Assembly was dissolved by the governor in 2005 on apprehensions of
“horse trading.Later the Supreme Court called the decision to be illegal and mala fide.
Suggestions
Sarkaria Commission
• The state assembly should not be dissolved unless the proclamation is approved by the
parliament.
• Sparing use of article 356 of the constitution should be made.
• All possibilities of formation of an alternative government must be explored before imposing
presidential rule in the state.
M M Punchhi Commission
• The governor should follow “constitutional conventions” in a case of a hung Assembly.
• It suggested a provision of ‘Localized Emergency’ by which the centre government can tackle
issue at town/district level without dissolving the state legislative assembly
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Supreme Court Judgements:
Bommai case of 1994:

• The court accorded primacy to a floor test as a check of majority
• The court also said that the power under Article 356 is extraordinary and must be used wisely
and not for political gain.
Rameshwar Prasad case (2006)

• Bihar Governor’s recommendation for dissolving the Assembly the previous year was held to
be illegal and mala fide
• A Governor cannot shut out post-poll alliances altogether as one of the ways in which a
popular government may be formed.
• The court had also said unsubstantiated claims of horse-trading or corruption in efforts at
government formation cannot be cited as reasons to dissolve the Assembly
FINANCIAL RELATIONS
Articles 268 to 293 in Part XII of the Constitution deal with Centre-state financial relations.
Allocation of Taxing Powers

The Constitution divides the taxing powers between the Centre and the states in the following
way:
• The Parliament has exclusive power to levy taxes on subjects enumerated in the Union List
(which are 13 in number).
• The state legislature has exclusive power to levy taxes on subjects enumerated in the State
List (which are 18 in number).
• There are no tax entries in the Concurrent List. In other words, the concurrent jurisdiction is
not available with respect to tax legislation. But, the 101st Amendment Act of 2016 has made
an exception by making a special provision with respect to goods and services tax. This
Amendment has conferred concurrent power upon Parliament and State Legislatures to make
laws governing goods and services tax.
• The residuary power of taxation (that is, the power to impose taxes not enumerated in any of
the three lists) is vested in the Parliament. Under this provision, the Parliament has imposed
gift tax, wealth tax and expenditure tax.
• The Constitution also draws a distinction between the power to levy and collect a tax and the
power to appropriate the proceeds of the tax so levied and collected. For example, the
income-tax is levied and collected by the Centre but its proceeds are distributed between the
Centre and the states.
• Further, the Constitution has placed the following restrictions on the taxing powers of the
states:
i. A state legislature can impose taxes on professions, trades, callings and employments. But,
the total amount of such taxes payable by any person should not exceed ₹2,500 per annum.
ii. A state legislature is prohibited from imposing a tax on the supply of goods or services or both
in the following two cases : (a) where such supply takes place outside the state; and (b) where
such supply takes place in the course of import or export.
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iii. Further, the Parliament is empowered to formulate the principles for determining when a
supply of goods or services or both takes place outside the state, or in the course of import
or export.
iv. A state legislature can impose tax on the consumption or sale of electricity. But, no tax can
be imposed on the consumption or sale of electricity which is (a) consumed by the Centre or
sold to the Centre; or (b) consumed in the construction, maintenance or operation of any
railway by the Centre or by the concerned railway company or sold to the Centre or the
railway company for the same purpose.
v. A state legislature can impose a tax in respect of any water or electricity stored, generated,
consumed, distributed or sold by any authority established by Parliament for regulating or
developing any inter-state river or river valley. But, such a law, to be effective, should be
reserved for the president’s consideration and receive his assent.
Distribution of Tax Revenues

• The 80th Amendment Act of 2000 and the 101st Amendment Act of 2016 have introduced
major changes in the scheme of the distribution of tax revenues between the centre and the
states.
• The 80th Amendment was enacted to give effect to the recommendations of the 10th Finance
Commission. The Commission recommended that out of the total income obtained from
certain central taxes and duties, 29% should go to the states. This is known as the ‘Alternative
Scheme of Devolution’ and came into effect retrospectively from April 1, 1996. This
amendment has brought several central taxes and duties like Corporation Tax and Customs
Duties at par with Income Tax (taxes on income other than agricultural income) as far as their
constitutionally mandated sharing with the states is concerned.
• The 101st Amendment has paved the way for the introduction of a new tax regime (i.e., goods
and services tax - GST) in the country. Accordingly, the Amendment conferred concurrent
taxing powers upon the Parliament and the State Legislatures to make laws for levying GST
on every transaction of supply of goods or services or both. The GST replaced a number of
indirect taxes levied by the Union and the State Governments and is intended to remove
cascading effect of
taxes and provide for a common national market for goods and services.
• The Amendment provided for subsuming of various central indirect taxes and levies such as
(i) Central Excise Duty,
(ii) Additional Excise Duties,
(iii) Excise Duty levied under the Medicinal and Toilet Preparations (Excise Duties) Act, 1955,
(iv) Service Tax,
(v) Additional Customs Duty commonly known as Countervailing Duty,
(vi) Special Additional Duty of Customs, and
(vii) Central Surcharges and Cesses
(viii) State Value Added Tax / Sales Tax,
(ix) Entertainment Tax (other than the tax levied by the local bodies),
(x) Central Sales Tax (levied by the Centre and collected by the States),
(xi) Octroi and Entry Tax,
(xii) Purchase Tax,
(xiii) Luxury Tax,
(xiv) Taxes on lottery, betting and gambling, and
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(xv) State Surcharges and Cesses in so far as they related to the supply of
goods and services.
• Further, the Amendment deleted Article 268-A as well as Entry 92-C in the Union List, both
were dealing with service tax. They were added earlier by the 88th Amendment Act of 2003.
The service tax was levied by the Centre but collected and appropriated by both the Centre
and the States.
• After the above two amendments (i.e., 80th Amendment and 101st Amendment), the present
position with respect to the distribution of tax revenues between the centre and the states is
as follows:
• Taxes Levied by the Centre but Collected and Appropriated by the States (Article 268): This
category includes the stamp duties on bills of exchange, cheques, promissory notes, policies
of insurance, transfer of shares and others. The proceeds of these duties levied within any
state do not form a part of the Consolidated Fund of India, but are assigned to that state.
• Taxes Levied and Collected by the Centre but Assigned to the States (Article 269): The
following taxes fall under this category:
(i) Taxes on the sale or purchase of goods (other than newspapers) in the course of inter-state
trade or commerce.
(ii) Taxes on the consignment of goods in the course of inter-state trade or commerce.
(iii) The net proceeds of these taxes do not form a part of the Consolidated Fund of India. They
are assigned to the concerned states in accordance with the principles laid down by the
Parliament.
• Levy and Collection of Goods and Services Tax in Course of Inter-State Trade or Commerce
(Article 269-A): The Goods and Services Tax (GST) on supplies in the course of inter-state
trade or commerce are levied and collected by the Centre. But, this tax is divided between
the Centre and the States in the manner provided by Parliament on the recommendations of
the GST Council.
• Further, the Parliament is also authorized to formulate the principles for determining the
place of supply, and when a supply of goods or services or both takes place in the course of
inter-state trade or commerce.
• Taxes Levied and Collected by the Centre but Distributed between the Centre and the States
(Article 270): This category includes all taxes and duties referred to in the Union List except
the following:
(i) Duties and taxes referred to in Articles 268, 269 and 269-A (mentioned above);
(ii) Surcharge on taxes and duties referred to in Article 271
(mentioned below); and
(iii) Any cess levied for specific purposes. The manner of distribution of the net proceeds of these
taxes and duties is prescribed by the President on the recommendation of the Finance
Commission.
• E. Surcharge on Certain Taxes and Duties for Purposes of the Centre (Article 271): The
Parliament can at any time levy the surcharges on taxes and duties referred to in Articles 269
and 270 (mentioned above). The proceeds of such surcharges go to the Centre exclusively. In
other words, the states have no share in these surcharges.
• However, the Goods and Services Tax (GST) is exempted from this surcharge. In other words,
this surcharge can not be imposed on the GST.
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• Taxes Levied and Collected and Retained by the States: These are the taxes belonging to the
states exclusively. They are enumerated in the state list and are 18 in number. These are :
(i) land revenue;
(ii) taxes on agricultural income;
(iii) duties in respect of succession to agricultural land;
(iv) estate duty in respect of agricultural land;
(v) taxes on lands and buildings;
(vi) taxes on mineral rights;
(vii) Duties of excise on alcoholic liquors for human consumption; opium, Indian hemp and other
narcotic drugs and narcotics, but not including medicinal and toilet preparations containing
alcohol or narcotics;
(viii) taxes on the consumption or sale or electricity;
(ix) taxes on the sale of petroleum crude, high speed diesel, motor spirit (commonly known as
petrol), natural gas, aviation turbine fuel and alcoholic liquor for human consumption, but not
including sale in the course of inter-state trade or commerce or sale in the course of
international trade or commerce of such goods;
(x) taxes on goods and passengers carried by road or inland waterways;
(xi) taxes on vehicles;
(xii) taxes on animals and boats;
(xiii) tolls;
(xiv) taxes on professions, trades, callings and employments;
(xv) capitation taxes;
(xvi) taxes on entertainments and amusements to the extent levied and collected by a Panchayat
or a Municipality or a Regional Council or a District Council;
(xvii) stamp duty on documents (except those specified in the Union List); and
(xviii) fees on the matters enumerated in the State List (except court fees).
Distribution of Non-tax Revenues
• The Centre: The receipts from the following form the major sources of non-tax revenues of
the Centre: (i) posts and telegraphs; (ii) railways; (iii) banking; (iv) broadcasting (v) coinage
and currency; (vi) central public sector enterprises; (vii) escheat and lapse;and (viii) others.
• The States The receipts from the following form the major sources of non-tax revenues of the
states: (i) irrigation; (ii) forests; (iii) fisheries; (iv) state public sector enterprises; (v) escheat
and lapse;20 and (vi) others.
Grants-in-Aid to the States

Besides sharing of taxes between the Centre and the states, the Constitution provides for
grants-in-aid to the states from the Central resources. There are two types of grants-in-aid,
viz, statutory grants and discretionary grants:
• Statutory Grants : Article 275 empowers the Parliament to make grants to the states which
are in need of financial assistance and not to every state. Also, different sums may be fixed
for different states. These sums are charged on the Consolidated Fund of India every year.
• Apart from this general provision, the Constitution also provides for specific grants for
promoting the welfare of the scheduled tribes in a state or for raising the level of
administration of the scheduled areas in a state including the State of Assam.
• The statutory grants under Article 275 (both general and specific) are given to the states on
the recommendation of the Finance Commission.
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Discretionary Grants
• Article 282 empowers both the Centre and the states to make any grants for any public
purpose, even if it is not within their respective legislative competence. Under this provision,
the Centre makes grants to the states. “These grants are also known as discretionary grants,
the reason being that the Centre is under no obligation to give these grants and the matter
lies within its discretion. These grants have a two-fold purpose: to help the state financially
to fulfil plan targets; and to give some leverage to the Centre to influence and coordinate
state action to effectuate the national plan.”
Other Grants
• The Constitution also provided for a third type of grants-in-aid, but for a temporary period.
Thus, a provision was made for grants in lieu of export duties on jute and jute products to the
States of Assam, Bihar, Orissa and West Bengal. These grants were to be given for a period of
ten years from the commencement of the Constitution. These sums were charged on the
Consolidated Fund of India and were made to the states on the recommendation of the
Finance Commission.
Goods and Services Tax Council

• The smooth and efficient administration of the goods and services tax (GST) requires a co-
operation and co-ordination between the Centre and the States. In order to facilitate this
consultation process, the 101st Amendment Act of 2016 provided for the establishment of a
Goods and Services Tax Council or the GST Council.
• Article 279-A empowered the President to constitute a GST Council by an order. The Council
is a joint forum of the Centre and the States. It is required to make recommendations to the
Centre and the States on the following matters:
(a) The taxes, cesses and surcharges levied by the Centre, the States and the local bodies that
would get merged in GST.
(b) The goods and services that may be subjected to GST or exempted from GST.
(c) Model GST Laws, principles of levy, apportionment of GST levied on supplies in the course of
inter-state trade or commerce and the principles that govern the place of supply.
(d) The threshold limit of turnover below which goods and services may be exempted from GST.
(e) The rates including floor rates with bands of GST.
(f) Any special rate or rates for a specified period to raise additional resources during any natural
calamity or disaster.
Finance Commission
• Article 280 provides for a Finance Commission as a quasi-judicial body. It is constituted by the
President every fifth year or even earlier. It is required to make recommendations to the
President on the following matters:
• The distribution of the net proceeds of taxes to be shared between the Centre and the states,
and the allocation between the states, the respective shares of such proceeds.
• The principles which should govern the grants-in-aid to the states by the Centre (i.e., out of
the Consolidated Fund of India).
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• The measures needed to augment the Consolidated fund of a state to supplement the
resources of the panchayats and the municipalities in the state on the basis of the
recommendations made by the State Finance Commission.
• Any other matter referred to it by the President in the interests of sound finance.
• Till 1960, the Commission also suggested the amounts paid to the States of Assam, Bihar,
Orissa and West Bengal in lieu of assignment of any share of the net proceeds in each year of
export duty on jute and jute products.
• The Constitution envisages the Finance Commission as the balancing wheel of fiscal
federalism in India.
Protection of the States’ Interest

To protect the interest of states in the financial matters, the Constitution lays down that the
following bills can be introduced in the Parliament only on the recommendation of the
President:
• A bill which imposes or varies any tax or duty in which states are interested;
• A bill which varies the meaning of the expression ‘agricultural income’ as defined for the
purposes of the enactments relating to Indian income tax;
• A bill which affects the principles on which moneys are or may be distributable to states; and
• A bill which imposes any surcharge on any specified tax or duty for the purpose of the Centre.
The expression “tax or duty in which states are interested” means:

(a) a tax or duty the whole or part of the net proceeds whereof are assigned to any state; or
(b) a tax or duty by reference to the net proceeds whereof sums are for the time being
payable, out of the Consolidated Fund of India to any state.
The phrase ‘net proceeds’ means the proceeds of a tax or a duty minus the cost of collection.
The net proceeds of a tax or a duty in any area is to be ascertained and certified by the
Comptroller and Auditor General of India. His certificate is final.
Borrowing by the Centre and the States

The Constitution makes the following provisions with regard to the borrowing powers of the
Centre and the states:
• The Central government can borrow either within India or outside upon the security of the
Consolidated Fund of India or can give guarantees, but both within the limits fixed by the
Parliament. So far, no such law has been enacted by the Parliament.
• Similarly, a state government can borrow within India (and not abroad) upon the security of
the Consolidated Fund of the State or can give guarantees, but both within the limits fixed by
the legislature of that state.
• The Central government can make loans to any state or give guarantees in respect of loans
raised by any state. Any sums required for the purpose of making such loans are to be charged
on the Consolidated Fund of India.
• A state cannot raise any loan without the consent of the Centre, if there is still outstanding
any part of a loan made to the state by the Centre or in respect of which a guarantee has been
given by the Centre.
Inter-Governmental Tax Immunities

Like any other federal Constitution, the Indian Constitution also contain the rule of ‘immunity
from mutual taxation’ and makes the following provisions in this regard:
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Exemption of Central Property from State Taxation

The property of Centre is exempted from all taxes imposed by a state or any authority within
a state like municipalities, district boards, panchayats and so on. But, the Parliament is
empowered to remove this ban. The word ‘property’ includes lands, buildings, chattels,
shares, debts, everything that has a money value, and every kind of property–movable or
immovable and tangible or intangible. Further, the property may be used for sovereign (like
armed forces) or commercial purposes.
The corporations or the companies created by the Central government are not immune from
state taxation or local taxation. The reason is that a corporation or a company is a separate
legal entity.
Exemption of State Property or Income from Central Taxation

The property and income of a state is exempted from Central taxation. Such income may be
derived from sovereign functions or commercial functions. But the Centre can tax the
commercial operations of a state if Parliament so provides. However, the Parliament can
declare any particular trade or business as incidental to the ordinary functions of the
government and it would then not be taxable.
Notably, the property and income of local authorities situated within a state are not
exempted from the Central taxation. Similarly, the property or income of corporations and
companies owned by a state can be taxed by the Centre.
The Supreme Court, in an advisory opinion (1963), held that the immunity granted to a state
in respect of Central taxation does not extend to the duties of customs or duties of excise. In
other words, the Centre can impose customs duty on goods imported or exported by a state,
or an excise duty on goods produced or manufactured by a state.
TENSION AREAS IN UNION-STATE RELATIONS: SPECIAL REFERENCE TO

FINANCIAL RELATIONS
• It has been noticed that the Union-state conflicts relate mainly to division of financial
resources between them, the role of the Governor, particularly in giving assent to legislations
by the state legislatures, appointment and dismissal of the Council of Ministers and
recommendations of President’s rule on the ground of ‘constitutional breakdown.’ Most of
these are political questions and, for long, the Supreme Court declined to intervene in such
disputes.
• In 1993, however, in the case of S.R. Bommai and Others vs. the Union of India, the Supreme
Court decided that the relevance of material contained in the report of the Governor
recommending the President’s rule in a state is subject to judicial scrutiny. In any case, the
state legislature cannot be dissolved until after the Parliament debates and approves of the
declaration of constitutional breakdown.
• In 1998, in the case of Uttar Pradesh the Supreme Court ordered a floor test of the strength
of the parties claiming the right to be appointed to the Government.
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Politics of Special Category Status

• For a long time the states have complained about their meagre financial resources that made
them rely heavily upon the grants-in-aid by the Union as well as loans sanctioned by it. The
80th amendment to the Constitution effected in the year 2000 sought to remove part of the
imbalance by making more fund available from the Union coffers to the states. But the
principles by which the Finance Commission divides the state allocations have not satisfied
the states. The rich states complain that they are deprived of their legitimate share of the
Central transfers; the poor states complain that they are not getting enough.
• The states still do not have an unlimited power to borrow from the market. A state without
the consent of the Government of India may not raise any loan if there is still outstanding any
part of the loan which has been made to the state by the government of India or by its
predecessor government, or in respect of which a guarantee has been given by the
government of India or its predecessor Government {Article 293(4)}. The states dependence
on the Union Government is heavy. The small states of north-east India depend on the Union
Government for even the non-plan expenditure to the extent of 90% and more.
• A number of States have staked their claim for the ‘Special Category’ status in recent years.
The issue has again taken centre stage following the then Union Planning Minister Rao Inderjit
Singh’s reply to a pointer in the Lok Sabha on July 31, 2015 that the question of granting such
status to any State does not arise. The reason given by the Minister was that the Fourteenth
Finance Commission (FFC) had increased the tax devolution to States from 32 per cent to 42
per cent of the divisible pool of central taxes obviating the need for specific categorizing.
Given the emotive discourse around the demand, understanding the issues involved in it will
facilitate a dispassionate stand on the subject both by the Union government and the States.
• Under the ‘D.R. Gadgil formula’ for the distribution of central plan assistance, which became
operational during the fourth Five Year Plan, the requirements of Assam, Jammu and Kashmir
and Nagaland were to be met first and the balance of central assistance distributed to the
remaining States based on certain criteria.
• At the time of the formulation of the fifth Five Year Plan, it was decided to include Himachal
Pradesh, other Northeastern States and Sikkim in the above category. For the first time, these
10 States were categorized as ‘Special Category States’ to distinguish them from others. Later
on, Uttara hand was accorded the ‘Special Category’.
• ‘Special Category’ status had been granted in the past by the Union government to States
having certain characteristics based on the recommendations of the National Development
Council. These included i) hilly terrain; ii) low population density and/or sizeable share of tribal
population; iii) strategic location along borders with neighboring countries; iv) economic and
infrastructure backwardness; and v) non-viable nature of State finances.
• Under the revised Gadgil-Mukherjee formula, which was in operation till 2014-15, 30 per cent
of the normal central assistance was earmarked for ‘Special Category States’ and the
remaining 70 per cent to General Category States. ‘Special Category States’ were entitled to
get such assistance in the grant-loan ratio of 90:10 as compared with 30:70 ratios for other
States.
• In addition to their earmarked share in normal central assistance, special plan assistance for
projects (90 per cent grant) and untied special central assistance (100 per cent grant) were
being given only to ‘Special Category States’. Other benefits to ‘Special Category States’
include assistance for externally-aided projects in the grant-loan ratio of 90:10, whereas such
assistance to other States is on back-to-back basis.
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• Under the Accelerated Irrigation Benefit Programme (AIBP), ‘Special Category States’ get 90
per cent of the project cost as grant as compared with 25 per cent grant for others. The
matching contribution in respect of Centrally Sponsored Schemes (CSS) is usually lower for
‘Special Category States’, more particularly, for those in the North-eastern region.
• Though all the ‘Special Category States’ are provided with central incentives for the
promotion of industries, there is no explicit linkage between the incentives and the special
status. The package of incentives is different for the States of Jammu and Kashmir, Himachal
Pradesh, Uttrakhand and the States located in the North-eastern region. These packages have
more to do with their backwardness than the status.
• Several changes over the years, more particularly those introduced in the Union Budget 2015-
16, have resulted in considerable dilution of benefits to the ‘Special Category States’. The loan
component of normal plan assistance was dispensed with in 2005-06 and since then such
assistance is being given only in the form of grants to all States, including those in the general
category. Following this, the share of ‘Special Category States’ in total normal central
assistance has been around 56 per cent from 2005-06 onwards. But the share of normal
central assistance in total plan assistance, which was the predominant channel of central plan
assistance to States, had come down to about 15 per cent with the proliferation of Centrally
Sponsored Schemes (CSS), with resultant dilution of the benefit of untied grants to States.
Following the increase in tax devolution to States from 32 to 42 per cent of divisible pool of
central taxes, the Centre has dispensed with normal plan assistance, special central assistance
and special plan assistance from 2015-16 onwards.
• There are very few externally aided projects in the ‘Special Category States’. The Union Budget
2015-16 has drastically reduced the allocations under AIBP from Rs.8, 992 crore in 2014-15 to
just Rs.1, 000 crore. AIBP is now included in the list of schemes to be run with higher matching
contribution by States.
• The ‘Special Category’ status is not so special anymore following the above changes. The only
attraction that remains is the benefit of assistance for externally aided projects (90 per cent
grant). But even this will be of limited benefit if any new state is accorded special category for
a limited period of five years or so as disbursal of external assistance cannot be substantial in
such a limited period. The benefit of lower matching contribution for ‘Special Category States’
for CSS is unlikely to be substantial with the reduction of assistance to State plans by over 40
per cent to Rs.1,96,743 crore in 2015-16.
• Following the demand for Special Status by Bihar, a committee was appointed under Dr.
Raghu ram Rajan in 2013. This committee suggested that States classified as ‘Special Category
States’ and those seeking inclusion in that category, would find that their need for funds and
special attention more than adequately met by a basic allocation to each State and the
categorization of some as ‘least developed’.
• Furthermore, it is not politically feasible to consider special status to any new State as any
such decision will result in demands from other States and dilute the benefits further. It is
also not economically beneficial for States to seek special status as the benefits under the
current dispensation are minimal. States facing special problems will be better off seeking a
special package.
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FISCAL FEDERALISM
• Fiscal federalism entails the division of responsibilities in respect of taxation and public
expenditure among the different layers of the government, namely the Center, the states and
the local bodies. For the successful operation of the federal form of government, financial
independence and adequacy form the backbone.
• It helps governmental organization to realize cost efficiency by economies of scale in
providing public services, which correspond most closely to the preference of the people.
• It also creates a unified common market, which promotes greater economic activity.
• The Finance Commission is envisaged in the Constitution (Article- 280) as the key institution
responsible for dealing with fiscal imbalances between the center and states, as well as
among the states.
Finance Commission & Federalism in India

• The Constitution envisages the FC as the balancing wheel of the Fiscal federalism in India.
• Every successive FC has to do a political balancing act by giving more resources to the states
given the growing importance of subnational governments in the Indian political economy.
• It also needs to ensure that centre is not fiscally constrained given its role in key national
public goods such as defence.
• Successive finance commissions have increased the proportion of tax revenue that goes to
the states—a necessary change given the growing importance of direct taxes as well as the
need for higher spending by state governments in local public goods.
• The First Finance Commission headed by K.C. Neogy had recommended that the states get a
tenth of total taxes collected centrally. That share has steadily increased. The 14 th Finance
Commission headed by Y. V. Reddy recommended that the share of the states should be 42%.
• Federalism can flourish only when it is accompanied by a strong central agency that credibly
enforces the rules for a new political economy equilibrium.
Issues with Fiscal Federalism in India

In India, States are not vested with adequate financial powers (limited tax bases with
maximum expenditure responsibility) to meet their expenditure responsibilities leading to
• Vertical Fiscal Imbalance: Persistence disparities in different components of revenue and
expenditure of centre and states, where state’s share of own revenue capacity is estimated
to be 37.5% (average) as against 55.6% (average) of revenue expenditure or basic
requirement.
• Horizontal Fiscal Imbalance: Fiscal health of states has been deteriorated over time with
considerable level of inequality among states in meeting their revenue requirement from
37.6% (Bihar) to 82.6% (Haryana) of their respective capacity.
• Imbalances after Liberalization: Market-based reform generates more inequality due to
unequal capacity among states for infrastructure development. The major challenge faced by
poorer states in the post reform period is to chase competitive infrastructure investment in
order to attract foreign capital investment
• The institutions contemplated in the Constitution to safeguard the fiscal autonomy of the
States have not helped to correct the vertical imbalance.
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• The unitary elements already embedded in the Indian Constitution have gained further
strength over the years with concentration of fiscal powers in the Centre and growing
dependence of the States on transfers from the Centre.
• The terms of reference of Finance Commission is decided unilaterally by
central government which leads to raising of various issues by state governments.
• The Centre has to discharge its coordinating, corrective and lead functions in a truly federal
set-up.
• The States should have their due share in responsibilities as well as rights.
• A continuing system of communication and clearing should be available.
• 14th Finance Commission suggested that the transfers from the Union to the States outside
the recommendations of the Finance Commission should be through a new institutional
arrangement that should involve Union, States and domain expertise, ideally under the aegis
of inter-state Council
• The enforcement of the FRBM parameters should be made more rigorous
• The TOR can be made a joint exercise rather than a top-down exercise by union.
Effects of Emergencies
The Centre-state financial relations in normal times (described above) undergo changes
during emergencies. These are as follows:
National Emergency
While the proclamation of national emergency (under Article 352) is in operation, the
president can modify the constitutional distribution of revenues between the Centre and the
states. This means that the president can either reduce or cancel the transfer of finances (both
tax sharing and grants-in-aid) from the Centre to the states. Such modification continues till
the end of the financial year in which the emergency ceases to operate.
Financial Emergency
While the proclamation of financial emergency (under Article 360) is in operation, the Centre
can give directions to the states:
(i) to observe the specified canons of financial propriety;
(ii) to reduce the salaries and allowances of all class of persons serving in the state; and
(iii) to reserve all money bills and other financial bills for the consideration of the President
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TRENDS IN CENTRE-STATE RELATIONS

• Till 1967, the centre-state relations by and large were smooth due to one-party rule at the
Centre and in most of the states. In 1967 elections, the Congress party was defeated in nine
states and its position at the Centre became weak. This changed political scenario heralded a
new era in the Centre-state relations.
• The non-Congress Governments in the states opposed the increasing centralisation and
intervention of the Central government. They raised the issue of state autonomy and
demanded more powers and financial resources to the states. This caused tensions and
conflicts in Centre-state relations.
Tension Areas in Centre-State Relations
The issues which created tensions and conflicts between the Centre and states are:
❖ Mode of appointment and dismissal of governor;
❖ Discriminatory and partisan role of governors;
❖ Imposition of President’s Rule for partisan interests;
❖ Deployment of Central forces in the states to maintain law and order;
❖ Reservation of state bills for the consideration of the President;
❖ Discrimination in financial allocations to the states;
❖ Role of Planning Commission in approving state projects;
❖ Management of All-India Services (IAS, IPS, and IFS);
❖ Use of electronic media for political purposes;
❖ Appointment of enquiry commissions against the chief ministers;
❖ Sharing of finances (between Centre and states); and
❖ Encroachment by the Centre on the State List.
The issues in Centre-State relations have been under consideration since the mid 1960s. In
this direction, the following developments have taken place:
Administrative Reforms Commission

The important recommendations are:
• Establishment of an Inter-State Council under Article 263 of the
Constitution.
• Appointment of persons having long experience in public life and administration and non-
partisan attitude as governors.
• Delegation of powers to the maximum extent to the states.
• Transferring of more financial resources to the states to reduce their dependency upon the
Centre.
• Deployment of Central armed forces in the states either on their request or otherwise.
No action was taken by the Central government on the recommendations of the ARC.
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Rajamannar Committee
• In 1969, the Tamil Nadu Government (DMK) appointed a three member committee under the
chairmanship of Dr. P.V. Rajamannar to examine the entire question of Centre-state relations
and to suggest amendments to the Constitution so as to secure utmost autonomy to the
states.
• The committee submitted its report to the Tamil Nadu Government in 1971.
• The Committee identified the reasons for the prevailing unitary trends (tendencies of
centralisation) in the country. They include
➢ certain provisions in the Constitution which confer special powers on the Centre;
➢ one-party rule both at the Centre and in the states;
➢ inadequacy of states’ fiscal resources and consequent dependence on the Centre for financial
assistance; and
➢ the institution of Central planning and the role of the Planning Commission.
The important recommendations of the committee are as follows:

• An Inter-State Council should be set up immediately;
• Finance Commission should be made a permanent body;
• Planning Commission should be disbanded and its place should be taken by a statutory body;
• Articles 356, 357 and 365 (dealing with President’s Rule) should be totally omitted;
• The provision that the state ministry holds office during the pleasure of the governor should
be omitted;
• Certain subjects of the Union List and the Concurrent List should be transferred to the State
List;
• the residuary powers should be allocated to the states; and
• All-India services (IAS, IPS and IFS) should be abolished.
The Central government completely ignored the recommendations of the Rajamannar

Committee.
Anandpur Sahib Resolution

In 1973, the Akali Dal adopted a resolution containing both political and religious demands in
a meeting held at Anandpur Sahib in Punjab. The resolution, generally known as Anandpur
Sahib Resolution, demanded that the Centre’s jurisdiction should be restricted only to
defence, foreign affairs, communications, and currency and the entire residuary powers
should be vested in the states. It stated that the Constitution should be made federal in the
real sense and should ensure equal authority and representation to all the states at the
Centre.
West Bengal Memorandum

In 1977, the West Bengal Government (led by the Communists) published a memorandum on
Centre-state relations and sent to the Central government. The memorandum inter alia
suggested the following:
• The word ‘union’ in the Constitution should be replaced by the word ‘federal’;
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• The jurisdiction of the Centre should be confined to defence, foreign affairs, currency,
communications and economic co-ordination;
• All other subjects including the residuary should be vested in the states;
• Articles 356 and 357 (President’s Rule) and 360 (financial emergency) should be repealed;
• State’s consent should be made obligatory for formation of new states or reorganisation of
existing states;
• Of the total revenue raised by the Centre from all sources, 75 per cent should be allocated to
the states;
• Rajya Sabha should have equal powers with that of the Lok Sabha; and
• There should be only Central and state services and the all India services should be abolished.
The Central government did not accept the demands made in the memorandum.
Sarkaria Commission
In 1983, the Central government appointed a three-member Commission on Centre state
relations under the chairmanship of R.S. Sarkaria, a retired judge of the Supreme Court. The
commission was asked to examine and review the working of existing arrangements between
the Centre and states in all spheres and recommend appropriate changes and measures.
The Commission did not favour structural changes and regarded the existing constitutional
arrangements and principles relating to the institutions basically sound. But, it emphasised
on the need for changes in the functional or operational aspects.
It observed that federalism is more a functional arrangement for co-operative action than a
static institutional concept. It outrightly rejected the demand for curtailing the powers of the
Centre and stated that a strong Centre is essential to safeguard the national unity and
integrity which is being threatened by the fissiparious tendencies in the body politic.
However, it did not equate strong Centre with centralisation of powers. It observed that over-
centralisation leads to blood pressure at the centre and anaemia at the periphery.
The Commission made 247 recommendations to improve Centrestate relations. The
important recommendations are mentioned below:
1. A permanent Inter-State Council called the Inter-Governmental Council should be set up
under Article 263.
2. Article 356 (President’s Rule) should be used very sparingly, in extreme cases as a last resort
when all the available alternatives fail.
3. The institution of All-India Services should be further strengthened and some more such
services should be created.
4. The residuary powers of taxation should continue to remain with the Parliament, while the
other residuary powers should be placed in the Concurrent List.
5. When the president withholds his assent to the state bills, the reasons should be
communicated to the state government.
6. The National Development Council (NDC) should be renamed and reconstituted as the
National Economic and Development Council (NEDC).
7. The zonal councils should be constituted afresh and reactivated to promote the spirit of
federalism.
8. The Centre should have powers to deploy its armed forces, even without the consent of
states. However, it is desirable that the states should be consulted.
9. The Centre should consult the states before making a law on a subject of the Concurrent List.
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10. The procedure of consulting the chief minister in the appointment of the state governor
should be prescribed in the Constitution itself.
11. The net proceeds of the corporation tax may be made permissibly shareable with the states.
12. The governor cannot dismiss the council of ministers so long as it commands a majority in the
assembly.
13. The governor’s term of five years in a state should not be disturbed except for some extremely
compelling reasons.
14. No commission of enquiry should be set up against a state minister unless a demand is made
by the Parliament.
15. The surcharge on income tax should not be levied by the Centre except for a specific purpose
and for a strictly limited period.
16. Steps should be taken to uniformly implement the three language formula in its true spirit.
17. No change in the role of Rajya Sabha and Centre’s power to reorganise the states.
18. The commissioner for linguistic minorities should be activated.
The Central government has implemented 180 (out of 247) recommendations of the Sarkaria
Commission. The most important is the establishment of the Inter-State Council in 1990.
Punchhi Commission
• The Second commission on Centre-State Relations was set-up by the Government of India in
April 2007 under the Chairmanship of Madan Mohan Punchhi, former Chief Justice of India.
• After examining at length the issues raised in its Terms of Reference and the related aspects
in all their hues and shades, the Commission came to the conclusion that ‘cooperative
federalism’ will be the key for sustaining India’s unity, integrity and social and economic
development in future. The principles of cooperative federalism thus may have to act as a
practical guide for Indian polity
and governance. The important recommendations are mentioned below:
1. To facilitate effective implementation of the laws on List III subjects, it is necessary that some
broad agreement is reached between the Union and states before introducing legislation in
Parliament on matters in the Concurrent List.
2. The Union should be extremely restrained in asserting Parliamentary supremacy in matters
assigned to the states. Greater flexibility to states in relation to subjects in the State List and
“transferred items” in the Concurrent List is the key for better Centre-state relations.
3. The Union should occupy only that many of subjects in concurrent or overlapping jurisdiction
which are absolutely necessary to achieve uniformity of policy in demonstrable national
interest.
4. There should be a continuing auditing role for the Inter-state Council in the management of
matters in concurrent or overlapping jurisdiction.
5. The period of six months prescribed in Article 201 for State Legislature to act when the bill is
returned by the President can be made applicable for the President also to decide on
assenting or withholding assent to a state bill reserved for consideration of the President.
6. Parliament should make a law on the subject of Entry 14 of List I (treaty making and
implementing it through Parliamentary legislation) to streamline the procedures involved.
The exercise of the power obviously cannot be absolute or unchartered in view of the federal
structure of legislative and executive powers.
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7. Financial obligations and its implications on state finances arising out of treaties and
agreements should be a permanent term of reference to the Finance Commissions
constituted from time to time.
8. While selecting Governors, the Central Government should adopt the following strict
guidelines as recommended in the Sarkaria Commission report and follow its mandate in
letter and spirit :
(i) He should be eminent in some walk of life
(ii) He should be a person from outside the state
(iii) He should be a detached figure and not too intimately connected
with the local politics of the state
(iv) He should be a person who has not taken too great a part politics generally and particularly
in the recent past
9. Governors should be given a fixed tenure of five years and their removal should not be at the
sweet will of the Government at the Centre.
10. The procedure laid down for impeachment of President, mutatis mutandis can be made
applicable for impeachment of Governors as well.
11. Article 163 does not give the Governor a general discretionary power to act against or without
the advice of his Council of Ministers. In fact, the area for the exercise of discretion is limited
and even in this limited area, his choice of action should not be arbitrary or fanciful. It must
be a choice dictated by reason, activated by good faith and tempered by caution.
12. In respect of bills passed by the Legislative Assembly of a state, the Governor should take the
decision within six months whether to grant assent or to reserve it for consideration of the
President.
13. On the question of Governor’s role in appointment of Chief Minister in the case of an hung
assembly, it is necessary to lay down certain clear guidelines to be followed as Constitutional
conventions. These guidelines may be as follows:
i. The party or combination of parties which commands the widest support in the Legislative
Assembly should be called upon to form the Government.
ii. If there is a pre-poll alliance or coalition, it should be treated one political party and if such
coalition obtains a majority, leader of such coalition shall be called by the Governor to form
the Government.
iii. In case no party or pre-poll coalition has a clear majority, Governor should select the Chief
Minister in the order preference indicated here.
(a) The group of parties which had pre-poll alliance commanding the largest number
(b) The largest single party staking a claim to form the government with the support of others
(c) A post-electoral coalition with all partners joining the government
(d) A post-electoral alliance with some parties joining the government and the remaining
including independents supporting the government from outside
14. On the question of dismissal of a Chief Minister, the Governor should invariably insist on the
Chief Minister proving his majority on the floor of the House for which he should prescribe a
time limit.
15. The Governor should have the right to sanction for prosecution of a state minister against the
advice of the Council of Ministers, if the Cabinet decision appears to the Governor to be
motivated by bias in the face of overwhelming material.
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16. The convention of Governors acting as Chancellors of Universities and holding other statutory
positions should be done away with. His role should be confined to the Constitutional
provisions only.
17. When an external aggression or internal disturbance paralyses the state administration
creating a situation of a potential break down of the Constitutional machinery of the state, all
alternative courses available to the Union for discharging its paramount responsibility under
Article 355 should be exhausted to contain the situation and the exercise of the power under
Article 356 should be limited strictly to rectifying a “failure of the Constitutional machinery in
the state”.
18. On the question of invoking Article 356 in case of failure of Constitutional machinery in states,
suitable amendments are required to incorporate the guidelines set forth in the landmark
judgement of the Supreme Court in S.R. Bommai V. Union of India (1994). This would remove
possible misgivings in this
regard on the part of states and help in smoothening Centre state relations.
19. Given the strict parameters now set for invoking the emergency provisions under Articles 352
and 356 to be used only as a measure of “last resort”, and the duty of the Union to protect
states under Article 355, it is necessary to provide a Constitutional or legal framework to deal
with situations which require Central intervention but do not warrant invoking the extreme
steps under Articles 352 and 356. Providing the framework for “localised emergency” would
ensure that the state government can continue to function and the Assembly would not have
to be dissolved while providing a mechanism to let the Central Government respond to the
issue specifically and locally. The imposition of local emergency is fully justified under the
mandate of Article 355 read with Entry 2A of List I and Entry 1 of List II of the Seventh
Schedule.
20. Suitable amendments to Article 263 are required to make the Inter-State Council a credible,
powerful and fair mechanism for management of interstate and Centre-state differences.
21. The Zonal Councils should meet at least twice a year with an agenda proposed by states
concerned to maximise co-ordination and promote harmonisation of policies and action
having interstate ramification. The Secretariat of a strengthened Inter-State Council can
function as the Secretariat of the Zonal Councils as well.
22. The Empowered Committee of Finance Ministers of States proved to be a successful
experiment in inter-state coordination on fiscal matters. There is need to institutionalise
similar models in other sectors as well. A forum of Chief Ministers, Chaired by one of the Chief
Minister by rotation can be similarly thought about particularly to co-ordinate policies of
sectors like energy, food, education, environment and health.
23. New all-India services in sectors like health, education, engineering and judiciary should be
created.
24. Factors inhibiting the composition and functioning of the Second Chamber as a representative
forum of states should be removed or modified even if it requires amendment of the
Constitutional provisions. In fact, Rajya Sabha offers immense potential to negotiate
acceptable solutions to the friction points which emerge between Centre and states in fiscal,
legislative and administrative relations.
25. A balance of power between states inter se is desirable and this is possible by equality of
representation in the Rajya Sabha. This requires amendment of the relevant provisions to give
equality of seats to states in the Rajya Sabha, irrespective of their population size.
26. The scope of devolution of powers to local bodies to act as institutions of self-government
should be constitutionally defined through appropriate amendments.
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27. All future Central legislations involving states’ involvement should provide for cost sharing as
in the case of the RTE Act. Existing Central legislations where the states are entrusted with
the responsibility of implementation should be suitably amended providing for sharing of
costs by the Central Government.
28. The royalty rates on major minerals should be revised at least every three years without any
delay. States should be properly compensated for any delay in the revision of royalty beyond
three years.
29. The current ceiling on profession tax should be completely done away with by a Constitutional
amendment.
30. Considerations specified in the Terms of Reference (ToR) of the Finance Commission should
be even handed as between the Centre and the states. There should be an effective
mechanism to involve the states in the finalisation of the ToR of the Finance Commissions.
THE INTER-STATE RIVER WATER DISPUTES (AMENDMENT) BILL, 2019
• Article 262(1) provides that 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.
• Article 262(2) empowers Parliament with the power to provide by law that neither the
Supreme Court nor any other court shall exercise jurisdiction in respect of any such dispute
or complaint.
Under Article 262, two acts were enacted

• River Boards Act 1956: It was enacted with a declaration that centre should take control of
regulation and development of Inter-state rivers and river valleys in public interest. However,
not a single river board has been constituted so far.
• The Interstate River Water Disputes Act, 1956 (IRWD Act) confers a power upon union
government to constitute tribunals to resolve such disputes. It also excludes jurisdiction of
Supreme Court over such disputes.
• Despite Article 262, the Supreme Court does have jurisdiction to adjudicate water disputes,
provided that the parties first go to water tribunal and then if they feel that the order is not
satisfactory only then they can approach supreme Court under article 136.
• This article gives discretion to allow leave to appeal against order, decree, judgment passed
by any Court or tribunal in India.
Issues with the present Inter State River Water Dispute Act, 1956:
• A separate Tribunal has to be established for each Inter State River Water Dispute.
• Inordinate delay in securing settlement of such disputes. Tribunals like Cauvery and Ravi Beas
have been in existence for over 26 and 30 years respectively without any award.
• There is no time limit for adjudication. In fact, delay happens at the stage of constitution of
tribunals as well.
• No provision for an adequate machinery to enforce the award of the Tribunal.
• Lack of uniform standards- which could be applied in resolving such disputes.
• Lack of adequate resources- both physical and human, to objectively assess the facts of the
case.
• Lack of retirement or term- mentioned for the chairman of the tribunals.
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• Issue of finality- In the event the Tribunal holding against any Party, that Party is quick to seek
redressal in the Supreme Court. Only three out of eight Tribunals have given awards accepted
by the States.
• Recently, the Lok Sabha cleared the Inter-State River Water Disputes (Amendment) Bill, 2019,
which proposes to streamline the adjudication of inter-state river water disputes and make
the present legal and institutional architecture robust.
• India has seen protracted river water sharing disputes in recent years. Depleting
groundwater, drying rivers and increasing demand for water have led to long legal
contentions between warring states.
• Under the Interstate River Water Disputes Act, a state government may request the central
government to refer an inter-state river dispute to a Tribunal for adjudication.
• If the central government is of the opinion that the dispute cannot be settled through
negotiations, it is required to set up a Water Disputes Tribunal for adjudication of the dispute,
within a year of receiving such a complaint.
• Over the years, there have been many Water Dispute Tribunals hearing the cases between
states on river water sharing. But they have not been able to effectively resolve the disputes.
• Dispute Resolution Committee (DRC)- to be established by the Central Government before
referring dispute to the tribunal, to resolve the dispute amicably by negotiations within one
year (extendable by six months), and submit its report to the central government.If a dispute
cannot be settled by the DRC, the central government will refer it to the Inter State River
Water Disputes Tribunal.
• Establishment of a Single Inter-State River Water Disputes Tribunal- by the Central
Government, which can have multiple benches.All existing Tribunals will be dissolved, and the
water disputes pending adjudication before such existing Tribunals will be transferred to the
new Tribunal.
• Composition of Tribunal- will include a Chairperson, Vice-Chairperson, three judicial
members, and three expert members.They will be appointed by the central government on
the recommendation of a Selection Committee.
• The term of office of the Chairperson and Vice-Chairperson shall be five years or till they attain
the age of seventy years, whichever is earlier.
• The central government may also appoint two experts serving in the Central Water
Engineering Service as assessors to advise the Bench in its proceedings.
• The assessor should not be from the state, which is a party to the dispute
• Timeline: the proposed Tribunal must give its decision on the dispute within two years, which
may be extended by another year.
• Finality - The decision of the Tribunal shall be final and binding. The bill also removes the
requirement of publication of decision in the official gazette in the original Act. It also makes
mandatory for the Central Government to make a scheme to give effect to the decision of the
Tribunal.
• Data Collection and maintenance of a databank- at national level for each river basin by an
agency to be appointed and authorized by central government.
Benefits of the Amendment

• Speed up the Process- as there will be less work on appointment of judges, assessors and
other experts, which used to delay the process at setting up the tribunal itself earlier. Further,
with concrete timelines, resolution will be complete.
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• Continuous evaluation- of the river basins could be possible owing to the maintenance of
databank. It can not only provide insights on the rivers associated with a particular dispute,
rather they can be used in all other basins.
Issues in the Amendment

• Fear of Centralisation- Some states like Tamil Nadu and Odisha, have raised serious concerns
about the appropriation of more powers by the central government to decide water disputes
between states.
• Instead of the Chief Justice of India nominating persons for appointments, it would now be
the central government making such appointments through a selection committee.
• Benches of Permanent Tribunals are proposed to be created as and when need arise. Thus it
is not clear how these temporary benches will be different from present system.
• Decision still not final- as the Supreme Court had said that it can hear appeals against water
tribunal set up under ISWDA.
• Institutional mechanism to implement tribunal’s award is still mired in ambiguities.
Suggestions
• Inter-State Council (ISC) can play a useful role in facilitating dialogue and discussion towards
resolving conflicts.
• Bringing water into concurrent list: as recommended by Mihir shah report where central
water authority can be constituted to manage rivers. It was also supported by a Parliamentary
Standing Committee on Water Resources.
• Declaration of Rivers as National Property: which may reduce the tendency of states, which
consider controlling of river waters as their right. Water disputes need to be depoliticized and
not be made into emotional issues linked with regional pride. Further, there is a need for
scientific management of crop patterns by bringing out policy measures that promote water
efficient crops and varieties.
• Interlinking of rivers- can help in adequate distribution of river water in the basin areas.
PUBLIC ACTS, RECORDS AND JUDICIAL PROCEEDINGS

Under the Constitution, the jurisdiction of each state is confined to its own territory. Hence,
it is possible that the acts and records of one state may not be recognised in another state.
To remove any such difficulty, the Constitution contains the “Full Faith and Credit” clause
which lays down the following:
(i) Full faith and credit is to be given throughout the territory of India to public acts, records and
judicial proceedings of the Centre and every state. The expression ‘public acts’ includes both
legislative and executive acts of the government. The expression ‘public record’ includes any
official book, register or record made by a public servant in the discharge of his official duties.
(ii) The manner in which and the conditions under which such acts, records and proceedings are
to be proved and their effect determined would be as provided by the laws of Parliament.
This means that the general rule mentioned above is subject to the power of Parliament to
lay down the mode of proof as well as the effect of such acts, records and proceedings of one
state in another state.
(iii) Final judgements and orders of civil courts in any part of India are capable of execution
anywhere within India (without the necessity of a fresh suit upon the judgement). The rule
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applies only to civil judgements and not to criminal judgements. In other words, it does not
require the courts of a state to enforce the penal laws of another state.
INTER-STATE TRADE AND COMMERCE

Articles 301 to 307 in Part XIII of the Constitution deal with the trade, commerce and
intercourse within the territory of India. Article 301 declares that trade, commerce and
intercourse throughout the territory of India shall be free. The object of this provision is to
break down the border barriers between the states and to create one unit with a view to
encourage the free flow of trade, commerce and intercourse in the country. The freedom
under this provision is not confined to interstate trade, commerce and intercourse but also
extends to intra-state trade, commerce and intercourse. Thus, Article 301 will be violated
whether restrictions are imposed at the frontier of any state or at any prior or subsequent
stage.
The freedom guaranteed by Article 301 is a freedom from all restrictions, except those which
are provided for in the other provisions (Articles 302 to 305) of Part XIII of the Constitution
itself.
These are explained below:
(i) Parliament can impose restrictions on the freedom of trad commerce and intercourse
between the states or within a state in public interest.But, the Parliament cannot give
preference one state over another or discriminate between the state except in the case of
scarcity of goods in any part of India.
(ii) The legislature of a state can impose reasonable restrictions the freedom of trade, commerce
and intercourse with that state or within that state in public interest. But, a bill for this
purpose can be introduced in the legislature only with the previous sanction of the president.
Further, the state legislature cannot give preference to one state over another or
discrimination between the states.
(iii) The legislature of a state can impose on goods imported from other states or the union
territories any tax to which similar goods manufactured in that state are subject. This
provision prohibits the imposition of discriminatory taxes by the state.
(iv) The freedom (under Article 301) is subject to the nationalisation laws (i.e., laws providing for
monopolies in favour of the Centre or the states). Thus, the Parliament or the state legislature
can make laws for the carrying on by the respective government any trade, business, industry
or service, whether to exclusion, complete or partial, of citizens or otherwise. The Parliament
can appoint an appropriate authority for carrying out the purposes of the above provisions
relating to the freedom of trade, commerce and intercourse and restrictions on it. The
Parliament can also confer on that authority the necessary powers
and duties. But, no such authority has been appointed so far.
ZONAL COUNCILS
• The Zonal Councils are the statutory (and not the constitutional) bodies. They are established
by an Act of the Parliament, that is, States Reorganisation Act of 1956. The act divided the
country into five zones (Northern, Central, Eastern, Western and Southern) and provided a
zonal council for each zone.
• While forming these zones, several factors have been taken into account which include: the
natural divisions of the country, the river systems and means of communication, the cultural
and linguistic affinity and the requirements of economic development, security and law and
order.
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Each zonal council consists of the following members:

(a) home minister of Central government.
(b) chief ministers of all the States in the zone.
(c) Two other ministers from each state in the zone.
(d) Administrator of each union territory in the zone.
(e) Besides, the following persons can be associated with the zonal council as advisors (i.e.,
without the right to vote in the meetings):
i. a person nominated by the Planning Commission;
ii. chief secretary of the government of each state in the zone; and
iii. development commissioner of each state in the zone.
➢ The home minister of Central government is the common chairman of the five zonal councils.
Each chief minister acts as a vice-chairman of the council by rotation, holding office for a
period of one year at a time.
➢ The zonal councils aim at promoting cooperation and coordination between states, union
territories and the Centre. They discuss and make recommendations regarding matters like
economic and social planning, linguistic minorities, border disputes, interstate transport, and
so on. They are only deliberative and advisory bodies.
The objectives (or the functions) of the zonal councils, in detail, are as follows:
➢ To achieve an emotional integration of the country.
➢ To help in arresting the growth of acute state-consciousness, regionalism, lingu-ism and
particularistic trends.
➢ To help in removing the after-effects of separation in some cases so that the process of
reorganisation, integration and economic advancement may synchronise.
➢ To enable the Centre and states to cooperate with each other in social and economic matters
and exchange ideas and experience in order to evolve uniform policies.
➢ To cooperate with each other in the successful and speedy execution of major development
projects.
➢ To secure some kind of political equilibrium between different regions of the country.
North-Eastern Council
In addition to the above Zonal Councils, a North-Eastern Council was created by a separate
Act of Parliament– the North-Eastern Council Act of 1971.Its members include Assam,
Manipur, Mizoram, Arunchal Pradesh, Nagaland, Meghalaya, Tripura and Sikkim.
Its functions are similar to those of the zonal councils, but with few additions. It has to
formulate a unified and coordinated regional plan covering matters of common importance.
It has to review from time to time the measures taken by the member states for the
maintenance of security and public order in the region.
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NITI AAYOG
• The National Institution for Transforming India (NITI Aayog), was formed via a resolution of
the Union Cabinet on January 1, 2015.
• It has emerged as the premier policy ‘Think Tank’ of the Government of India fostering the
spirit of cooperative federalism.
Key Functions:
• To evolve a shared vision of national development priorities, sectors and strategies with the
active involvement of States in the light of national objectives.
• To foster cooperative federalism through structured support initiatives and mechanisms with
the States on a continuous basis, recognising that strong States make a strong nation.
• To develop mechanisms to formulate credible plans at the village level and aggregate these
progressively at higher levels of government.
• To pay special attention to the sections of our society that may be at risk of not benefitting
adequately from economic progress.
• To design strategic and long-term policy frameworks and monitor their progress and their
efficacy.
• To create a knowledge, innovation and entrepreneurial support system through a
collaborative community of national and international experts, practitioners and other
partners.
Significance of Niti Aayog

• Cooperative federalism: State governments have been given prominence in the functioning
of NITI Aayog and it has also expedited the resolution of issues between the central ministries
and state and UTs.
• Competitive federalism: States are competing to perform better in indices developed by NITI
Ayog which measures incremental annual outcomes in critical social sectors such as Digital
Transformation Index, innovation index, health index.
• Focus on inclusive development: It started a special initiative focusing on transformation of
115 aspirational districts. It is also the nodal body for monitoring implementation of
Sustainable Development Goals
• Evidence based policy making: It focuses on policy formulation based on adequate data such
as it brought out three-year action agenda, development of composite water management
index, promotion of GIS based planning etc.
• Economic Reforms: It brought out policy paper on reforms in APMC Act, rejuvenating fertilizer
sector, doubling farmer's income, Model Act on Agricultural Land Leasing etc.
• Knowledge and Innovation hub: It acts as a Repository of information as it engages in
Compiling, transmitting and emulating best practices across states. It also launched Atal
Innovation Mission and hosted Global Entrepreneurship Summit, 2017
• Balanced regional development: such as focus on areas such as North East. For eg: NITI
Forum for North East which aims to identify various constraints in the way of accelerated,
inclusive and sustainable economic growth of the North Eastern Region (NER) is co-chaired
by the Vice-Chairman of NITI Aayog.
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Challenges for NITI Aayog

• Overlapping functions: In discharging the assigned tasks, the Aayog overlaps with the Inter-
State Council, which is a constitutional body, and the office of the cabinet secretary that at
present strives to achieve inter-departmental coordination.
• Favor advance states: Its promotion of competitive federalism may work in favour of already
advanced states to the detriment of others.
• Lack of statutory nature: It is established by executive resolution, thus, the chances of
government interference is more.
• Lack of active actionable targets: It needs to take active measures to solve some of the
challenges that India faces today such as job creations, increasing economic growth, etc. Even
its three-year action agenda has too wide approach for imminent challenges.
• Limited focus on implementation: It doesn’t focus adequately on the practical aspects of its
recommendations such as fixing accountability of bureaucrats, government citizen
interaction etc. which is core to several good ideas remaining on paper.
Difference with Planning Commission:
• It has a structure similar to the Planning Commission, but its functions will be limited
to only acting as a policy think tank relieving it of the two more functions viz. formation of
five year plans and the allocation of funds to the States.
• The major difference in approach to planning, between NITI Aayog and Planning Commission,
is that the former will invite greater involvement of the states, while the latter took a top-
down approach with a one-size-fits-all plan.
INTER STATE COUNCIL

Article 263 It shall be lawful for the President to establish an ISC for inquiring, discussing and
advising upon:
• disputes which may have arisen between States;
• subjects in which some or all of the States, or the Union and one or more of the States, have
a common interest; or
• such subject and, in particular, recommendations for the better co-ordination of policy and
action with respect to that subject.
• It was set up on the recommendation of Sarkaria Commission by a Presidential Order in
1990.
• The council consists of the PM as the Chairman, CMs of all states and UTs, Administrators of
UTs not having Legislative Assemblies and six union cabinet minister including Home Minister
nominated by PM.
• Its function is complementary to Supreme Court’s jurisdiction under Art 131 to decide a legal
controversy between the governments
• It is a recommendatory body on issues relating to interstate, Centre-State, and Centre and
Union Territory relations.
• It is not a permanent constitutional body but it can be established ‘at any time’ if it appears
to the President that the public interests would be served by the establishment of such a
council.
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Significance of the ISC

• Constitutional Backing- Unlike other platforms for Centre State cooperation, ISC has
constitutional backing which puts the states on more solid footing.
• Cooperative federalism- In times of different political parties heading the Centre and various
states the need for dialogue assumes a greater importance. Thus, ISC provides a platform for
states to 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.
• Makes governments more accountable- Given its status as a platform for dialogue and
discussion, it makes the governments, both at centre and state level, more accountable for
their actions.
• 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.
• Lack of other avenues: Other constitutional avenue such as Zonal council for such issues, too
are restrictive in terms of their geographical scope.
Issues/Suggestions in the functioning of ISC

• It is seen as a mere talk shop. Thus, it needs to show that it can follow up.
• Its recommendations are not binding on the government.
• It does not meet regularly as recently Inter-State Council met after a gap of 12 years.
• The return of the single-party majority government at the Centre has necessitated the
strengthening of inter-governmental mechanisms for the harmonious working of the federal
structure through institutions like ISC.
• Sarkaria Commission recommended that it needs to be given all the powers contemplated
in the Constitution like Art 263(a) which gives it the power to investigate issues of inter-state
conflict but was dropped in the Presidential order of 1990.
• It should provide greater opportunities to civil society institutions and the corporate sector
to make their representations.
• Further, its secretariat may be shifted from the Union Home Ministry to the Rajya Sabha
secretariat so that it would be under the direction of a neutral federal functionary, the vice-
president of India rather than Union home minister.
• It should be strengthened as a forum for not just administrative but also political and
legislative give and take between centre and states. For instance, while legislating on
subjects that have been transferred from the state list to the concurrent list such as education
and Forests, the centre must consult states more extensively and offer them greater
flexibility.
Some of the following recommendations of Punchhi commission should also be considered

• The Inter-State Council must meet at least thrice in a year on an agenda evolved after proper
consultation with States.
• The Council should have experts in its organizational set up drawn from the disciplines of Law,
Management and Political Science besides the All India Services.
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• The Council should have functional independence with a professional Secretariat constituted
with experts on relevant fields of knowledge supported by Central and State officials on
deputation for limited periods.
• After ISC is made a vibrant, negotiating forum for policy development and conflict resolution,
the Government may consider the functions for the National Development Council also being
transferred to the ISC.
• Though, there are other bodies such as the NITI Aayog’s Governing Council with similar
composition, including the prime minister, chosen cabinet ministers and chief ministers that
could address centre-state issues. But, the ISC has constitutional backing, as against the NITI
Aayog which only has an executive mandate. This puts the states on more solid footing in
building the atmosphere of cooperation needed for calibrating centre-state relations.
STATEHOOD FOR DELHI

• Till 1992, except for a brief interlude, Delhi was a union territory under the complete control
of the Government of India.
• Delhi was allowed its ‘statehood’ early in the 1990s, with a Chief Minister and a popularly
elected unicameral legislature though the ‘State’ remained truncated in its powers.
• But It remained in substance a union territory and in form a State, with the Lt. Governor
retained as its chief executive.
• The Chief Minister and his Cabinet made a late entry into space where Lt Governor and several
municipal corporations already existed which created friction.
• Many departments of the Centre, State, scores of parastatals and five ULBs (urban local
bodies) providing bits of governance in the city.
• It could safely be asserted that Delhi has more government and less governance than any
other city or state in the country.
Why statehood should be granted?

• In 1991, when the 69th Amendment to the Constitution created the Legislative Assembly of
Delhi, the city’s population was much smaller. Today, there are nearly two crore people in
Delhi.
• Nowhere in any democracy are two crore people represented by a government with
restricted powers.
• When the Union Territories were first created, the idea was to provide a flexible yet
transitional status to several territories that joined the Indian. With time, Goa, Manipur,
Himachal Pradesh and Tripura have been granted statehood.
• Now, the time has come to enter the second and final stage to create the full State of Delhi.
• United Nations report projects that Delhi urban agglomeration will make it the most
populous city in the world by 2028.
• An elected government representing a massive population need to have a say in law and order
and land management.
Why statehood should not be granted?

• The support for full statehood has not been a national compulsion, but a call fuelled by Delhi’s
local political ambitions.
• Delhi is the national capital and must necessarily be viewed from the prism of the interests of
the entire country.
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• Delhi is home to vital institutions such as the president’s estate, the Parliament and foreign
embassies. All of these infrastructures require special security cover and close coordination
with centrally administered agencies such as the Research and Analysis Wing (RAW) and
Intelligence Bureau (IB).
• These institutions are the sole responsibility of the Union Government and not of any one
particular state legislative assembly.
• Indian government must have some territory under its control; it cannot possibly be an
occupant or a tenant of a state government
• Many regional parties have expressed their strong reservation to acceding full statehood for
Delhi. For them, India’s national capital belongs to every citizen of the country and not just
those who reside in the city
• Statehood would deprive Delhi of the many advantages it gets as national capital. For
instance, the entire burden of policing—involving the coordination of a mammoth staff—is
borne by the federal government.
Recent Supreme Court Verdict on Delhi-Centre Power Tussle

• The Supreme Court judgement in the Government of NCT Delhi vs Union of India case,
overturned the August 2016 judgment of the Delhi high court, which had ruled that since
Delhi was a Union territory all powers lay with the central government, not the elected Delhi
government.
• Resolving the dispute over the demarcation of powers between the Union Government and
the Government of Delhi, the Supreme Court laid down a few key principles:
• Delhi government has power in all areas except land, police and public order and the LG is
bound by the aid and advice of the government in areas other than those exempted
• The only exception to this rule, it said, was a proviso to Article 239-AA, which allowed the LG
to refer to the President any issue on which there was a difference of opinion with the council
of ministers. In such a case, the LG would be bound by the President’s decision.
• Delhi Lieutenant Governor cannot act independently and must take the aid and advice of the
Council of Ministers because national capital enjoys special status and is not a full state.
Hence, the role of the L-G is different than that of a Governor.
• It observed that neither the state nor the L-G should feel lionized, but realise they are serving
Constitutional obligations and there is no space for absolutism or anarchy in our Constitution.
Conclusion
• Overlapping jurisdictions in a national capital is inbuilt and constitutional entities have to
manage this reality.
• Provide greater autonomy and reasonably robust fairer power-sharing arrangements among
different constituents
• For a start, Delhi should demand the urgent revision of the existing constitutional provisions
(i.e. 69th Amendment, Article 239) and Rules of Business.
• Given the overlapping and often-contested jurisdictions, it is imperative to strive for a
credible and institutionalised dispute-resolution mechanism as has been adopted by
national capitals all over the world.
• The existing system of referring the disputes to the office of the president is a failed model
that lacks credibility and invariably gets resolved in favour of the national government.
• City-government should have a hand in the running of the local municipal bodies.
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• What is required is an empowered Mayor, performing the functions of a municipal body

extending to all such subjects where the GoI does not operate.
• The functions of the parastatals, unrecognised by the Constitution, need to be merged in the
ULB. Any such subject/function that operationally is difficult to be merged with the ULB can
function under the aegis of the Lt Governor.
• Governance restructuring would need to be done in a manner that accountability in relation
to specific functions falls squarely on a single organisation/individual.
DEMAND FOR GORKHALAND
• The Gorkhaland movement is a long-standing quest for a separate State of Gorkhaland within
India for Nepali speaking Indian citizens (often known as ‘Gorkhas’).
• With roots dating back over a century, Gorkhaland is a classic sub-nationalist movement, not
unlike those that have produced other States, most recently Telangana, Uttarakhand,
Jharkhand etc.
• The movement is neither separatist nor anti-nationalist rather by demanding Gorkhaland, the
people of Darjeeling-Kalimpong are opting out of West Bengal’s domination, and opting in to
the democratic frameworks of India writ large.
Why demand for Gorkhaland?
• Ethnic differences: The people belonging to this area hardly have any connection with the
Bengali community and are different in language, ethnicity and culture.
• Aspiration of Indian Gorkha Identity: Due to racial discrimination, when they seek education
and work in big cities like Bangalore, Delhi, etc., they are treated as foreigners. Therefore they
seek a separate identity within the Indian dominion
• Economic deprivation: Gorkhas remain pegged to the lowest levels of employment, while
outsiders own the tea industry, meaning its profits flow out of the hills.
• Cultural impositions: The imposition of Bengali language by the state government is seen as
extension of histories of domination and a threat to their identity.
• Other reasons include linguistic chauvinism, resource extraction, unilateral territorial claims,
denial of self-governance, political suppression; and an unwillingness to respect the ‘native
point of view’.
Responses to Gorkhaland
• Darjeeling Gorkha Hill Council (DGHC): Following the agitation that began in 1986, a tripartite
agreement was reached between Centre, Government of West Bengal, and Gorkha National
Liberation Front in July 1988.
• Under this, an autonomous Hill Council (DGHC) under a State Act was set up for “the social,
economic, educational, and cultural advancement of the people residing in the Hill areas of
Darjeeling District”.
• The Council was given limited executive powers but in the absence of legislative powers the
aspirations of the people of the region could not be addressed.
• The non-inclusion of the Dooars region in the Council became a major reason of discontent.
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• Gorkhaland Territorial Administration (GTA): created in 2012 through a tripartite agreement

signed by governments of centre and state and Gorkha Janmukti Morcha (GJM), replaced the
Darjeeling Gorkha Hill Council.
• It is a semi-autonomous administrative body. It has administrative, executive and financial
powers but no legislative powers.
Issues and Concerns:

• Lack of legislative powers means that the people of the region have no control over laws to
govern themselves by.
• Dooars again has been left out and instead a verification team has been set to identify
“Gorkha majority” areas in the Dooars.
Arguments in favour of new State of Gorkhaland:

• Various states have been created on linguistic grounds or, more recently, for socio economic
reasons. Recent States such as Uttarakhand, Chattisgarh and Telangana have been created
on the latter basis.
• Gorkhaland fits the bill on both counts — it is linguistically and culturally distinct from the
plains of Bengal and can justifiably perceive Statehood as the answer to its socio-economic
concerns.
• The experiments with incremental autonomy were not successful including the GTA’s first
five-year term till 2017. These were only experiments with interim arrangements. The only
permanent solution lies in creation of Gorkhaland.
Arguments against
• Small geographical area: Darjeeling had been too small to be constituted as a state.
According to official records Darjeeling district has a geographical area of about 3,149 sq km
with three Assembly seats and only a part of a Lok Sabha seat.
• Security Issues: It shares a complex relationship with unstable Nepal which has a history of
using China as a trump card against India. The Maoist uprising in Nepal and Naxalite
movement originated in the foothills of Darjeeling bolsters such fears.
• Triger for other such demands: Once we recognize such a demand, a Pandora's Box shall be
opened. It not only jeopardizes the plural character of our society, but also opens the flood-
gates for similar such demands from vested interests in different parts of the country.
• Administrative Feasibility: Firstly not all Nepali speaking people are demanding Gorkhaland.
Secondly, they are very unevenly distributed throughout the region and it is very difficult to
chalk out boundaries of the new state without administrative difficulties, as also observed by
the Justice Shyamal Sen Commission (constituted to explore the feasibility of such
inclusions).
Suggestions
• To start with there is an urgent need to make efforts both by the government and the
community to make Gorkhas feel included both socially as well as economically.
• The Government needs to be more sensitive towards needs and aspirations of Gorkhas. E.g.
Instead of imposing Bengali, it could have been made optional.
• The state government and the Centre need to put in enough time and money to build civic
amenities, culture and agency so that Gorkha communities can reset their connection with
the state.
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• Discussions should be held to further delegate legislative powers as well.

• Further, second State Reorganisation Commission can be set up to study and address the
demands of statehood in various parts of India.
NORTH-EAST AUTONOMOUS COUNCILS

• Recently, Constitution (125th Amendment) Bill, 2019 was introduced in Rajya Sabha to
increase the financial and executive powers of the 10 Autonomous Councils in the Sixth
Schedule areas.
• 6th schedule deals with the administration of the tribal areas in four north-eastern states of
Assam, Meghalaya, Tripura and Mizoram.
• They are treated differently by the constitution because the tribes in these states have not
assimilated much the life and ways of the other people in these states.
• The tribal areas in these states have been constituted as autonomous districts, each of which
has an autonomous district council consisting of 30 members. Currently, there are 10 such
councils.
Some of the powers and functions of autonomous councils include:

• They can make laws on certain specified matters like land, forest, canal water, shifting
cultivation, inheritance of property, marriage, divorce etc. These require assent of the
governor.
• They can constitute village councils or courts within their jurisdiction, for trials of suits and
cases between the tribes.
• They can establish, construct or manage primary schools, dispensaries, markets, ferries,
fisheries, roads and so on in the district.
• They can make regulations for the control of money lending and trading by non-tribals, but
these require the assent of the governor.
• They are empowered to assess and collect land revenue and to impose certain specified taxes.
Issues with autonomous councils and proposed amendments in the bill
• Lack of financial self-sufficiency: The councils are dependent on their respective state
governments for funds which denies them the flexibility required to emerge as a vibrant
institution for local development.The bill proposes that Finance Commission will now
recommend the financial devolution to the council.
• Non-Representation of some tribes: It is observed that some councils are not able to
represent the numerous major and minor tribes within their jurisdiction in 30 members of the
council. The bill increases the number of members in some council considering demands for
the same.
• Inadequate representation of women: There is very less participation of women in tribal
administration. The bill reserves at least one-third of the seats will be reserved for women in
the village and municipal councils.
• Need for village level bodies: The provision for village councils indicate that these councils
established by ADCs are envisaged to be institutions for the dispensation of justice. However,
there is a need of a 'village community body' to harmonise with the traditional village body.
The bill provides for elected village municipal councils which will be empowered to prepare
plans for economic development and social justice.
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Other issues with autonomous councils in 6th schedule areas
• Overlapping functional responsibilities between the States and the District councils: Despite
the fact that Sixth Schedule has declared that certain matters stand fully transferred to District
and Regional Councils, some matters are not fully transferred to the Councils.
• Lack of skilled professionals: Almost all Councils do not have access to planning professionals
which results in ad-hoc conceiving of development projects without proper technical and
financial consideration.
• Lack of clarity in the role of Governor: certain special provisions have been inserted into the
Sixth Schedule which highlights matters where discretionary powers of Governor is
applicable. However, there is conflicting opinion on whether the Governor should exercise his
role on the basis of individual discretion or on the advice by the Council of Ministers of the
State concerned.
• Lack of codification of customary law: Customary laws need to be codified and brought into
practical use to ensure protection of tribal cultural identity.
• Misuse of funds: Some ADCs misuse government funds since there is no expert inspecting
officers and proper auditing of the initiatives undertaken by ADCs.
• Lack of efficient usage of existing powers: Although the ADCs have power to make laws for
land development and land revenue, hardly any significant steps have been taken to initiate
land reforms which hold the key to prosperity in tribal society.
REMOVAL OF ARTICLE 370 AND 35A
• The Centre decided to end the special status given to Jammu and Kashmir (J&K) under Article
370.
• President of India in “concurrence” with the “Jammu and Kashmir government” promulgated
Constitution (Application to Jammu and Kashmir) Order, 2019 which states that provisions
of the Indian Constitution are applicable in the State. This effectively means that all the
provisions that formed the basis of a separate Constitution for Jammu and Kashmir stand
abrogated. With this, Article 35A is scrapped automatically.
• Along with this, a statutory resolution was approved by the Parliament which – invoking the
authority that flows from the effects of Presidential Order – recommended that the President
abrogate (much of) Article 370.
• Also, Jammu and Kashmir Reorganization Act, 2019 was passed by the Parliament. Jammu &
Kashmir (J&K) was re-organised into two Union Territories - J&K division with a legislative
assembly and the UT of Ladakh without having an assembly.
• The peculiar position of Jammu and Kashmir was due to the circumstances in which the State
acceded to India. The Government of India had declared that it was the people of the state of
J&K, acting through their constituent assembly, who were to finally determine the
constitution of the state and the jurisdiction of government of India.
• The applicability of the provisions of the Constitution regarding this State were accordingly,
to be in nature of an interim arrangement. This was the substance of the provision embodied
in Art. 370 of the Constitution of India.
• Art. 370 had “temporary provisions with respect to the State of Jammu and Kashmir” which
gave special powers to the state allowing it to have its own Constitution.
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• According to article 370, except for defence, foreign affairs, finance and communications,
Parliament needs the state government’s concurrence for applying all other laws.
• Article 35A of the Indian Constitution, which stemmed out of Article 370, gave powers to the
Jammu and Kashmir Assembly to define permanent residents of the state, their special rights
and privileges.
How the Scrapping of Article 370 and 35A became possible?

• President issued a presidential order under Article 370 (1) of the Constitution. This clause
enables the President to specify the matters which are applicable to Jammu and Kashmir in
concurrence with the Jammu and Kashmir government.
• The order amended Article 367. Article 367 contains guidance on how to read or interpret
some provisions. The amended Article declares that “the expression ‘Constituent Assembly
of the State…’ in Article 370 (3) shall be read to mean ‘Legislative Assembly of the State’.
Article 370(3) provided that the Article 370 was to be amended by the concurrence of the
Constituent Assembly. However, because of the amendment, it can now be done away by a
recommendation of the state legislature.
• In other words, the government used the power under 370(1) to amend a provision of the
Constitution (Article 367) which, then, amends Article 370(3). And this, in turn, becomes the
trigger for the statutory resolution - Resolution for Repeal of Article 370 of the Constitution
of India. As Jammu and Kashmir is under the president rule, concurrence of governor is
considered as “Jammu and Kashmir government”.
• Scrapping Article 370: Constitutional and legal challenges Petitions have been filed in the
Supreme Court challenging the recent action of the Union Government on Jammu and
Kashmir, the following legal issues may receive attention in the course of judicial
deliberations.
• Legality of the Presidential order: Article 370 itself cannot be amended by a Presidential
Order. Even though the Order amends Article 367, the content of those amendments,
however, do amend Article 370. And as the Supreme Court has held on multiple occasions,
you cannot do indirectly what you cannot do directly. Therefore, legality of the order – insofar
as it amends Article 370 – is questionable.
• Misusing the President Rule and Making Governor as a substitute for the elected assembly:
The governor is the representative of the Union Government in the State. In effect, the Union
Government has consulted itself.
• Also, President’s Rule is temporary and is meant to be a stand-in until the elected government
is restored. Consequently, decisions of a permanent character – such as changing the entire
status of a state- taken without the elected legislative assembly, but by the Governor, are
inherently problematic.
• Equating state assembly with constituent assembly: The difference is that the one has to
exercise its powers as per the constitution, while the other develops the constitution. This
distinction that is at the heart of India’s basic structure doctrine that prevents certain
constitutional amendments on the ground that Parliament, which exercises representative
authority, is limited and cannot create a new constitution and thereby exercise sovereign
authority.
• Going against the Jammu and Kashmir’s Constitutional position: Presidential order has
assumed that legislative assembly has power to scrap Article 370. But Article 147 of the
Jammu and Kashmir Constitution prohibits such a move. The Article makes it clear that any
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changes to the Jammu and Kashmir Constitution needs the approval of two-thirds of the
members of the legislative assembly.
Possible implications of the move

• Complete applicability of Indian Constitution to J&K
• No separate flag
• Tenure of the J&K assembly to be five years, instead of the earlier six years.
• Replacing Ranbir Penal Code (the separate penal code for J&K) with the Indian Penal Code.
• Article 356 under which the President’s Rule can be imposed in any state, will also be
applicable to the UT of Jammu and Kashmir.
• The central quota laws in school-college admissions and state government jobs will apply.
• People from other states may be able to acquire property and residency rights.
• RTI would be made applicable.
• Certain provisions of the J&K Constitution which denied property rights to native women who
marry a person from outside the State may stand invalidated.
Conclusion
• When the Constituent Assembly of J&K ceased functioning, a long-standing debate about the
nature of Article 370 started. Before dissolution, the Constituent Assembly neither
recommended abolishing Article 370 nor did they advocate for it to be permanent.
• Yet, it remains to be seen whether the manner in which Article 370 has been repealed stands
the test of judicial review. Article 370 was about providing space, in matters of governance,
to the people of a State who felt deeply vulnerable about their identity and insecure about
the future.
• However, there are concerns that it neither served the common people in J&K nor did it
facilitate J&K’s integration with the rest of India. Therefore, one must hope that the move will
bring a new dawn of development and inclusion for Jammu and Kashmir, which will give a
voice to those who were deprived and marginalised.
5TH SCHEDULE.
The Fifth Schedule (Article 244)
• The provisions of the Fifth Schedule shall apply to the administration and control of
the Scheduled Areas and Scheduled Tribes in any State other than the States of Assam
Meghalaya, Tripura and Mizoram.
• It designates “Scheduled areas” in large parts of India in which the interests of the “Scheduled
Tribes” are to be protected. The Scheduled area has more than 50 percent
tribal population.
Powers of Governor under 5th Schedule- Various powers of the Governor include
• To make regulation for peace and good governance of any area in a state which is a
Scheduled Area like prohibiting or restricting the transfer of land by or within members of the
Scheduled Tribes in Scheduled areas; regulating the allotment of land to members of the
Scheduled Tribes in those areas;
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• regulating the money lending business by those who lend money to

people of the Scheduled Tribes in such area.
• To direct about non-application of any act which has been passed by Parliament or Legislature
of the State to a Scheduled Area.
• In the process of making such regulation discussed above, the Governor may repeal or amend
any Union or State law.
• The Governor can make such regulations only after consultation with the TAC of the state.
• Tribes Advisory council (TAC)- Under 5th schedule it shall be the duty of TAC to advice the
Governor on such matters pertaining to the welfare and the advancement of the STs in the
State, as may be referred to them by the Governor.
• President and the Schedule Areaso The President possesses the power to alter the
boundaries of any Schedule area after consulting with the Governor.
• The regulations made by the Governor come into effect only when they are accepted by the
President. Governor is required to submit annually the reports regarding administration of
the Scheduled areas to the President.
• Amendment of the Schedule- Parliament through a law can amend any of the provisions of
this Schedule by way of addition, variation or repeal. Any such law is not deemed to be an
amendment under Article 368 of the Constitution.
• The provisions of the Fifth Schedule have seen further legal and administrative reinforcement
in the form of Provisions of Panchayats (Extension to Scheduled Areas) Act, 1996.
The Provisions of Panchayats (Extension to Scheduled Areas) Act, 1996

• The provisions of Part IX of the constitution relating to the Panchayats are not applicable to
the Fifth Schedule areas. However, the Parliament may extend these provisions to such areas,
subject to such exceptions and modifications as it may specify.
• Under this provision, the Parliament has enacted the Provisions of the Panchayats (Extension
to the Scheduled Areas) Act, 1996, popularly known as PESA.
• At present, ten states have Fifth Schedule Areas. These are: Andhra Pradesh, Telangana,
Chhattisgarh, Gujarat, Himachal Pradesh, Jharkhand, Madhya Pradesh, Maharashtra, Odisha
and Rajasthan.
• Important Features of the act include that every village shall have a Gram Sabha
✓ To protect the traditions, beliefs and culture of the tribal communities.
✓ To resolve local disputes.
✓ To manage and protect common properties based on their traditional systems of
management and protection.
✓ To give permission in case of land acquisition by administration, to restore land to the tribals.
✓ To control over money-lending to tribals and to have the rights over minor forest produce.
✓ To have the control over local markets and melas as well as to have rights to control the
distillation, prohibition and manufacture of liquor.
✓ To give recommendations for grant of prospecting license/mining lease for minor minerals in
the Scheduled Areas grant of concession for the exploitation of minor minerals by auction.
Issues in 5th schedule
• It shows tendency to centralise the authority and power to govern the scheduled areas which
opens the door for Union government to interfere in the name of welfare through governor’s
office.
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• Issues with TAC: Creation of TACs without any powers, unlike the autonomous district
councils (ADCs), which have legislative and financial powers to some extent.
• No clarity on the composition of TAC, especially the remaining one-fourth of the membership
• Issues with role of governor: Often, the office of governor practically gets reduced to a mere
annual report-writing institution.
• Ambiguity of the discretionary role of governor
• Sometimes cabinet ministers from tribal communities are also appointed as members, which
is a conflict of interest because the person heading the state cabinet also chairs the TAC.
Limitations and reasons for ineffective implementation of PESA, 1996

• Lower level of awareness and education: among the tribals comes in the way of raising
assertive voices. Gram Sabha largely remain subordinate to Gram Panchayats.
• Superficial administrative and fiscal decentralization of powers: Major power still remains
with the State Governments.
• Inadequate powers to levy and collect taxes, fees, duties or tolls: Recommendations of State
Finance Commissions have been either accepted partially or implemented selectively.
• Displacement of tribals: Extensive collusion, between politicians, bureaucrats and the private
companies, which has displaced scores of tribals from their land.
• Circumvention of provisions by State government: For example, PESA is for rural areas,
states upgrade rural panchayats in scheduled areas to urban panchayats to bypass PESA and
give clearance to mining and industries in tribal areas.
• No time limit to frame rules: The PESA Act does not specify rule making power or provide a
time period by which States have to frame Rules.
• No provision for appeal against the decisions: There is a complete absence of a functioning
grievance redressal mechanism to address routine violations of rights of tribals.
Way Forward
• PESA is a powerful legislation which can play an instrumental role in recognizing the rights of
the tribal population in Scheduled areas over natural resources thus transforming their quality
of life.
• Initiatives to enhance the capacity of government machinery and stakeholders who play vital
role in actual implementation of the Act at the ground level must be taken by state
governments. Civil Society Organizations can play a strategic role in building awareness
among the stakeholders at each level and organizing the politically divided tribal
communities. So, a multi-pronged strategy to address the issue from different aspect is the
need of the hour.
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6TH SCHEDULE
• The Sixth Schedule of the Constitution contains special provisions regarding the
administration of the tribal areas in the four north-eastern states of Assam, Meghalaya,
Tripura and Mizoram to preserve their cultural identity and customs.
• The entry into 6th schedule gives sizeable amount of autonomy to the people in these areas
for self-government through following features:
• Autonomous districts, with several autonomous region depending upon the different tribes
inhabiting the region, within the executive authority of the state
• Each autonomous district has a district council and each autonomous region has a separate
regional council, both of which administer the areas under their jurisdiction.
• Legislative power to make laws on certain specified matters like land, forests, canal water,
shifting cultivation, village administration, inheritance of property, marriage and divorce,
social customs and so on
• Judicial power- The councils can constitute village councils or courts for trial of suits and cases
between the tribes where the jurisdiction of high court over these suits and cases is specified
by the governor.
• Regulatory power- The district council can establish, construct or manage primary schools,
dispensaries, markets, ferries, fisheries, roads and so on in the district. It can also make
regulations for the control of money lending and trading by non-tribals. But such regulations
require the assent of the governor.
• Tax revenue collection- The district and regional councils are empowered to assess and
collect land revenue and to impose certain specified taxes.
• Limitation to power of Parliamentary or state legislature over autonomous regions- The acts
of Parliament or the state legislature do not apply to autonomous districts and autonomous
regions or apply with specified modifications and exceptions.
Challenges
• No Decentralization of powers and administration – It has not taken place in many 6th
schedule areas. For example: in Bodo Territorial Area districts, there is only district council
which elects few people who enjoy unbridled power. Thus, units should be created that will
represent people at all strata.
• Lack of development – Although 6th schedule was enacted to give more benefit to the people
and bring fast paced development, yet due to no panchayats or parishad at people level, they
have no power and money which non-6th schedule areas have for implementation of various
schemes like MGNREGA etc.
• Corruption and illicit activities – Some members of autonomous council are allegedly helping
siphoning of money to the extremist group factions. For example – The North Cachar
autonomous council is under scrutiny of NIA and CBI.
• Legislative power of state over councils - The laws made by the councils require the assent
of governor. This process has no time limits, thus, legislations get delayed for years. Also, Para
12 (A) of the Sixth Schedule clearly states that, whenever there is a conflict of interest
between the District Councils and the state legislature, the latter would prevail.
• Overlapping functions without coordination - Lack of comprehensive activity mapping
leading to overlap in functions and jurisdictions of council and state. For example – there is
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no arrangement between state water resource department and the council for conserving
and reclaiming water resources rendered toxic.
• Non-involvement of state finance commission - They are less provided in terms of grants to
their counterparts PRIs as they are not covered by State finance commission. Thus, PRIs in
non-6th schedule areas are liberally funded. So, direct funding of the councils should be done
under Article 280 of Constitution instead of grant-in-aid under Article 275 (major source of
income currently).
• Conflict in discretionary powers of governor - There are different views whether certain
powers of governors with respect to these areas are discretionary or not.
POLITICS FOR SMALLER STATES

• The demand for smaller states is a complex issue in India. The first state reorganisation
commission, led to the single largest realignment of states along linguistic lines in State
Reorganisation Act, 1956. This idea of splitting states based on a common
language/community has stood the test of time.
• Article 3 of the Indian Constitution provides for the creation of a new state through a bill
tabled in Parliament on the President's recommendation after consultations with the
legislatures of the affected states.
• India has gone through several more independent exercises to carve out smaller states from
larger states, and it has also involved conversion of union territories into states leading to rise
in number of states to 29 from 14 in
• 1956. Various regions including Gorkhaland in West Bengal, Bodoland in Assam, Saurashtra
in Gujarat; Vidarbha in Maharashtra, Maru Pradesh in Rajasthan, Nagalim in Nagaland, are
demanding separate states.
Reasons for demands

• Historical: For instance: demand for the bifurcation of Tamil Nadu was based on the fact that
Tamil-speaking region in the past comprised kingdoms centred around Kanchipuram and
Tanjore/Madurai.
• Administrative: Much of the new demands are a result of uneven growth within states and a
perception that splitting large states into smaller chunks will improve administration by
bringing power centres closer to the people. For instance, developmental backlog in Vidarbha
region due to large size of Maharashtra. Even without Uttarakhand, Uttar Pradesh is larger
than Brazil, Japan or Bangladesh in terms of population.
• Economic: The sentiment of being deprived even after being rich in natural resources are
grounds for the demand of a separate state.
• Socio-Cultural: Even after linguistic divisions, states have a vast diversity which often leads to
a feeling of ‘culturally subjugated and victimized’ by some ethnic groups. So, for preserving
ethnic identity demands for a new state are made. For instance, Gorkhaland out of West
Bengal, Nagalim demand in North East, Bhojpuri speaking Purvanchal region from Uttar
Pradesh, etc.
• Political: Jat dominated western UP region is demanding Harit Pradesh for more political clout
which presently rests with Yadavs.
Arguments for Creation of Smaller States
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• Decentralisation of Power: Smaller administrative units would bring distant provincial

governments and administration in remote capitals closer to the people. It will accelerate the
pace of modernisation by increase in administrative efficiency, fulfil the political aspirations
of the people of the backward regions and help the states create separate policy based on
local realities.
• Resolve the problem of identity crisis among the ethnic groups and enable them to develop
their own language and culture thus helping them in getting rid of the ‘feelings of internal
colonialism’.
• Make the federation more balanced by making the representation of the present-day large-
sized States, like UP, MP and Maharashtra, and the small States, like Punjab, Haryana and
Himachal Pradesh, more proportionate.
• Better management, implementation and allocation of public resources: A relatively
homogeneous smaller state allows for easy communicability, enabling marginal social groups
to articulate and raise their voices.
• No more fear of balkanization: Earlier, demands were opposed for the fear of balkanization,
however, after 70 years of independence such fear is no more there.
Arguments against creation of smaller states:

• Statehood cannot guarantee rapid economic development of those backward regions which
do not have the required material and human resources. Besides, some of the small States
may not be having the potential for economic viability.
• Small States could also lead to the hegemony of the dominant community/caste/tribe over
their power structures. There could develop aggressive regionalism too in such States leading
to the growth of the sonsof-the-soil phenomenon and the consequent intimidation of the
migrants.
• It may also lead to certain negative political consequences as because of the small strength
of state legislature, the majority of the ruling party or ruling coalition would remain fragile.
The case of Jharkhand where even an Independent MLA has manipulated to become the CM
may be seen.
• Risk of centralisation of powers in the hands of the Chief Minister and the Chief Minister’s
Secretariat would be greater and the State might become a fiefdom of the Chief Minister.
• It may lead to increase in inter-State-water-power-and-boundary disputes as seen in the
case of Andhra Pradesh and Telangana.
• It would be a strain on their limited financial resources as huge funds would be required for
building new capitals and maintaining the growing number of Governors, Chief Ministers,
Ministers and administrators.
• Past experiment of smaller states show that mere formation of a smaller State is no
guarantee for better development. For e.g.: Uttarakhand continues to be at the lower end in
the Human Development Index, Chhattisgarh has witnessed the largest displacement of
tribals, Jharkhand was mired in corruption and maladministration
Suggestions and way forward

• Better governance: Use of technology to reach remote regions for better public service
delivery and addressing the problems of displacement and discontent among people.
• Smaller districts to bring government and administration closer to the people. The office of
District Collector and zila parishad can be empowered further to make administration more
efficient and fix accountability for under development.
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• Decentralising administration and strengthening local self-governments: It would be far

more efficient, healthy and beneficial if the local self governments have a greater hand and
say in the local development. Power should be decentralised based on the principle of
subsidiarity.
• Political stability which lends continuity of policies matters the most and not ‘largeness’ of
states. An efficient and willing administrator can manage even a large state fairly
satisfactorily.
• A Second States Re-organisation Commission to look into this and carve out provinces in a
more objective and scientific manner might be the way to address the issue.
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Evolution of Indian Federalism over the years

The evolution of Centre-State Relations can be classified into 4 different phases, with the first phase beginning
in 1950 for 17 years and finally culminating with the fourth phase beginning from 1989. The government of India
had appointed the Sarkaria Commission in 1983 to reduce the conflicts between the Central Government and
State Governments.
The framers of the Indian Constitution established a strong centre and visualized federalism as a functional
instrument for the creation of an Indian nation and a strong cohesive state. This has been further reinforced by
the actual working of the federation during the past 66 years. The study of this period can be classified as in the
following four phases at different time periods
• The first phase (1950-67)
• The second phase (1967-77)
• The third phase (1977-89)
• The fourth phase (1989-onwards)
Centre – State Relations – First Phase 1950-67 (Domination by Centre)
• The Party system is perhaps the most important intervening variable that significantly influences the working
of a federal political system. This phase was marked by the domination of the Congress party both at the
centre as well as in the states.
• The Congress party along with the charismatic leadership of Nehru further strengthened the centre. The
issues in centre-state relations were resolved at the level of the party as its internal issue.
• The Planning Commission and the National Development Council (NDC), both created through executive
resolutions, became Centre’s instruments of domination over states.
• The Planning Commission was to look after social service-education, medicine, health, agriculture,
cooperation, social welfare, and industrial housing which were all state subjects.
• The NDC was seen as an experiment on the cooperative federation. But in one of its meetings, the states
surrendered to the centre their sales tax on textile, sugar, and tobacco. This period also saw the misuse of
Article 356 against the Communist government in Kerala in 1959.
• Nehru took democracy seriously enough, which was reflected in his monthly letters to state chief ministers
in which he informed them of the state of the nation and solicited their opinion in an attempt to build
national consensus.
• The Indian National Congress institutionalized the principle of consultation, accommodation, and consensus
through a delicate balancing of the factions within the ‘Congress System’.
• It also practised co-optation of the local and regional leaders in the national power structure and the system
of sending out Congress ‘observers’ from the centre to mediate between the warring factions in the
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provinces, thus simultaneously ensuring the legitimacy of the provincial power structure in running its affairs
as well as the role of Central mediation.
• Thus, the first phase of Indian Federalism was marked by central domination over the states which even
ceded some of their powers to the centre.
• The Zonal Councils were created under the States Reorganization Act as advisory bodies to foster
cooperative federalism in evolving uniform policies in socio-economic matters. However, they were formed
within the system of central domination over the states
Centre – State Relations – The Second Phase (1967-77) – 42nd Amendment to Constitution
• The fourth general election was an important event in the federal dynamics of the country, which drastically
reduced the overwhelming majority of the Congress party to a simple majority at the centre while it lost
nearly half of the Indian states to the opposition or coalitions. It led to a radical change in the nature of
centre-state relations.
• This phase saw the emergence of assertion on the part of states and the centre reacting to such assertions
by demonstrating its effective power. The Congress party attempted to regain political power by engineering
defections and all other means at its disposal including Article 356. The Rajasthan case was a classic example
where the Governor recommended the imposition of president’s rule to prevent government formation by
the coalition of opposition parties. The Assembly was suspended. Meanwhile, the Congress party engineered
defections and finally formed the government.
• During the period 1967-71, the Union-state conflict was at its peak. The Union government refused to accept
assertions of rights by the non-Congress state governments. But the most important factor during this period
was the emergence of regional forces to fill up the vacuum created by the weakening of the Congress party.
• Mrs. Gandhi used Congress dominance to make the centre stronger and the controversial 42nd Amendment
to the constitution made centre more powerful at the expense of the states. This centralization process
culminated in the infamous Emergency of 1975-77.
Centre – State Relations – The Third Phase (1977-89) – Sarkaria Commission
• The 1977 election saw the Congress losing power at the centre for the first time since independence. It
brought the Janata Party to power which believed in the decentralization of economic and political power.
However, the first act of this government was the dismissal of nine state governments ruled by the Congress
on the specious argument that they had lost people’s faith as reflected in their performance in the 10th Lok
Sabha elections.
• It also scrapped Article 357(A) through the 44th Amendment Act which empowered the centre to deploy the
army and paramilitary forces for dealing with any grave law and order situation in the states.
• Congress returned to power in the mid-term election in 1980 and it dismissed the Janta party governments
in nine states using the same specious argument as its predecessor. In several states like Andhra Pradesh,
Tamil Nadu, Karnataka, West Bengal, etc., the government was formed by the regional parties which
demanded more autonomy. The Akali Dal in Punjab too supported these demands. The four southern states
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declared the formation of a regional council to buttress the demand for more autonomy. All this led to the
appointment of the Sarkaria Commission to look into the centre-state relations.
• The Rajiv Gandhi government tried to build alliances with the regional parties due to political compulsions
as seen in the Rajiv-Longwal pact and the Assam accord. However, he also tried to centralize powers by
calling the conference of District Magistrates to deal directly with them, thereby bypassing the state
governments. He also repeated this by introducing the Panchayati Raj Bill and Jawahar Rojgar Yojana.
1989 Onwards: The Era of Multi-Party System
• The 1989 general election was a landmark in the history of Indian polity as it ushered in a new era of a
multiparty system and initiated the process of greater federalization. With the defeat of the Congress party,
this election ended one-party rule at the centre and marked the beginning of the coalition government at
the centre. The regional parties became an integral part of the federal cabinet and started asserting
themselves in a forceful manner at the centre. This process of greater federalization, for the convenience of
study, can be divided into the Political federalization and Economic federalization.
Political Federalism
• The advent of the multiparty system led to a qualitative change in the Indian polity which has continued ever
since. Starting from 1989 elections, no single party has been able to get a clear majority at the centre, and
coalition and minority governments at the centre have become a norm.
• The regional parties have become part and parcel of every coalition cabinet and, hence, have started playing
a decisive role at the central level. Regional parties such as the DMK of Tamil Nadu or the RJD of Bihar have
asserted their interests more openly over one and a half decades of the coalition and minority governments.
• This increased assertion on the part of the regional parties had forced even the Hindu nationalist BJP to
temper its attitude while leading the NDA coalition government in 1999 when it had to drop its core agenda
of Ram Mandir, Article 370, Uniform civil code, and Hindi as a national language in the common minimum
programme and adhere to the norms of centre-state relations established by its predecessor’s governments.
• This coalition era has led to greater sharing of powers at the central level by the regional leaders and they
have a decisive say in policy matters and aligning national priorities with their regional interests. In the
political process of the 1990s shows the internalization of the federal norms in the game plans of the local
and regional leaders.
• Rather than taking a mechanical anti-Delhi stance, the new breed of ambitious, upwardly mobile leaders of
India has learned to play by the rules even if they challenge them and thus have developed a new federal
space in which the nation and region can coexist.
• The next step on the career ladder of these leaders in Delhi, which encourages them to place the region
within the larger context of the nation. Eventually, as the members of the national coalitions of regional
parties, they start striking the postures of national leaders, ready to bargain with and conciliate conflicting
interests. The new groups of regional leaders are much more willing and able to listen to the minorities, to
regions with historical grievances, to sections of society that entered post-independence politics with
unsolved grievances.
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• So far from being its antithesis, the region has emerged as a nursery of the nation. Thus, even with the
decline of the Congress as the once-dominant party, the multiparty system that has replaced it has produced
a similar institutionalized method of regional conflict resolution within a national framework.
• However, this process has some flip side too. The federal cabinet has become different from the classical
Westminster form based on the collective responsibility of the cabinet to the popular chamber of the
legislature. It is marked by fragmentation and the dilution of the principle of collective responsibility.
• The constituent regional parties often controlled by regional satraps get their share in the cabinet in lieu of
their support and they nominate their representatives in the cabinet. These cabinet nominees are remote-
controlled by their party bosses and are responsible to them instead of the prime minister.
• So the PM has little say in the selection as well as the removal of his colleagues. It is not surprising that these
ministers air their differences on policy matters openly, which should/be confined to the cabinet meetings.
They pay heed to the wishes of their party bosses instead of adhering to cabinet dharma.
• This was seen recently when the Minister of State in the railways from the Trinamool Congress party in
UPA~II refused to visit the railway accident site in Assam in June 2011 when he was asked to do so by PM
Manmohan Singh who was holding additional charge of Railways.
• In some cases, even the choice of the PM was decided by the regional leaders as seen in the appointment
of H.D. Deve Gowda and LK. Gujarat in the United Front Government in 1996. Even the fate of the federal
government was decided by the regional party bosses.
• The Vajpayee Government fell when J. Jayalalitha withdrew her support in 1999 and the UPA-I was rescued
by the support extended by Mulayam Singh Yadava in 2008 when the Left Parties withdrew their support
over the Indo-US nuclear deal.
• With the decline of the Prime Ministerial power, the Presidential role has acquired some more elbow room,
and recent Presidents have shown greater initiative and drive under coalition situations, particularly in the
formation of the government and the dissolution of Lok Sabha in cases of uncertain majorities than in the
past.
• Since the 1990s, the role of Rajya Sabha as a Federal Second Chamber has become more pronounced. The
differential oppositional majority in the Rajya Sabha as distinct from that of the Lok Sabha is a reflection of
the differential compositions of the state legislatures which constitute the electoral college of Rajya Sabha.
It makes it imperative for the government to have an inter-house legislative understanding with the Rajya
Sabha to facilitate passage of the legislation and the constitutional amendments.
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LPG AND CHANGING TRENDS IN FEDERALISM
• The New Economic Policy has affected state politics in India in such a big way that it has virtually necessitated
a fresh understanding of state politics. The policy of globalization and liberalization has, in a way, created a
situation in which the state governments have emerged as the real focus of power and decision - making.
• State governments have been engaged in an unbridled competition to attract foreign capital. The foreign
investors have to deal with the state governments for establishing their projects. The decade of 1990s has
also been described as political refederalization of India without changing the constitution.
• Granville Austin has observed that the Nehruvian years institutionalized centralization as well as dedication
to democracy and social revolution. Opposition parties and even many scholars have alleged that the
Congress Party’s dominance during its forty years of rule led to on centralization and the state governments
were treated as glorified municipalities.
• The critics of the centralist character of the Indian federation fail to understand that a powerful Centre was
supposed to keep a diverse society together. The political power of the central government to arbitrate in
the inter-state disputes has got eroded in the era of coalitions.
• A centralized political system has been an essential part of the Indian economic planning in which the state
governments were led by the central government. Economic reforms demand an effective role from the
state governments.
• The process of liberalization and globalization is throwing up new challenges to the Indian federalism and it
appears to be restructuring power relations between the Centre and the states.
• Some illustrations can substantiate these points in a better way. While every investor is looking for smooth
relationship among states to ensure smooth movement of capital and commodities, every state government
is evolving its own agenda of dealing with foreign investors. During the phase of license-permit raj the state
governments had created high tariff walls to restrict the movement of goods, commodities and even
transport.
• It can be said that India is struggling to create an all-India national market. The idea of globalization is
premised on a common global market but we are not a common market even as a country.
• Rudolph, L.H., and Rudolph, S.H., believe that in the 1990s, India moved from a command economy to a
federal market economy. They have also observed that in the 1990s the Chief Ministers became market
players in India’s federal market economy.
• The striking difference about the 1990s is that the state governments emerged as important players in the
economic fields. This was a complete contrast to the centralized phase of planning during which the central
government could get policies implemented by state governments because it controlled funds.
• In the 1990s not only the investors started contacting the state governments but also there started a
competition among state governments to attract the investors. Even the Left Front state government of
West Bengal did not want to be left behind in this race.
• The old system of Centre-State relations had evolved a system of centrally sponsored schemes implemented
by state governments but funded by the central government.
• In the new trend the central government seems to be unburdening itself and passing on the responsibilities
of economic development of states to state governments. In the new scenario state governments have
emerged as important economic actors in place of the central governments.
• But the retreat of the central government from the management of the national economy is likely to
aggravate inter –state or inter-regional disparities. India, at the time of independence, had inherited all kinds
of regional imbalances.
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• From the beginning one of the major goals of planning in India has been balanced development. It seems
that with the launch of the New Economic Policy the commitment to the balanced development of India
came to an end.
• The 1990s has witnessed state governments struggling to fight their own battle. If a state can offer an
attractive package to the foreign investor that state is considered as forward looking, reformist and
progressive.
• In a World Bank survey, Maharashtra and Gujarat have been cited as hottest investment destination. States
have done exceptionally well, several others show a strong performance, while some are doing very poorly.
Some experts apprehend a threat to the central authority in the growing inter-state and regional disparities.
• Centralization, under the license-permit raj, created a rift between those who could effectively lobby the
central government, and others whose political and business influence was restricted to a state or a region
within that state.
• Unlike the merchant capitalist and largely metropolitan origins of the national big business groups, the new
generation of regional business group have agrarian origin and rural roots.
• The regional business looked at licensing system of the national government as inequitable benefiting big
business. Thus termination of the licensing system as part of the New Economic Policy has benefited the
regional business.
• Regional business houses have set up most of the fast track private power projects.
In states like Punjab, Haryana, Gujarat, Maharashtra, Tamil Nadu, Andhra Pradesh and Karnataka, a dynamic
first-generation business class has emerged over the period of last two decades.
• This class remains distinct from the traditional national business class in a variety of ways. The failure of
national political parties and the central government to address the needs of emergent regional business
groups encouraged them to seek political and material support from regional parties and the state
governments. The link between the emergence of regional capitalism and regional parties is too stark to be
ignored.
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DISCUSS EVOLUTION OF STATE AUTONOMY MOVEMENT IN INDIA; DISCUSS POLITICAL AND

ECONOMIC FACTORS THAT SHAPE THE FEDERAL NATURE OF INDIAN STATE.
• Manifestation of the fight back on the part of the states against Centre’s dominance has taken the shape of
the movements talked off as the state autonomy movements. It is more than the fight for financial resources,
which has been a constant refrain on the part of the states. This is so because the division of powers between
the centre and states is such that balance of powers tends to be against the states.
• Apart from the struggle for financial resources, the state autonomy movements have a political dimension,
which gives them a distinct character. This dimension involves issues such as the question of the exercise of
powers by the centre under Art.356, to dismiss the state government, appoint and remove governors,
standing of the states within the federal structure, and such other questions. In all of these the centre
exercises discretionary powers and the states are quite at the mercy of the centre. The movements for state
autonomy have been centered on these issues.
• In India in particular, the process of political centralization was facilitated by the more or less uninterrupted
rule of the Congress party for the first 30 years both at the centre and in most of the states and was
necessitated by the challenges to the hegemony of the Congress rule.
• The political dominance of the Congress and its hegemony over state power not only helped it to contain
by repression or manipulations the recurrent political crises but also aggravated, by the very logic of the
situation, the tendency towards the centralization and concentration of political power.
• Given the nature of divisions among the ruling class parties in India, the Congress had no difficulty in
converting this centralized power into authoritarian rule in the shape of the emergency. The consequence,
as we have all experienced in a gruesome form, was not just the erosion of federal principles and the
negation of state rights and powers but also a complete negation of the democratic rights and civil liberties
of the people, including sections of the ruling classes.
• It is in the context of these developments of the recent past and the possibility of their recurrence in a
possible future that the struggle around the demand for state autonomy assumes importance and reveals
its link with the struggle for democratic rights of the people.
• There are great similarities between the periods 1967-1969 and 1977-1979 with respect to the fortunes of
the political parties as well as to the heightened articulation of the demand for state autonomy. In both the
situations, apart from one or two states, the regional or regionally-based parties that gained at the cost of
the Congress party were the ruling class regional parties.
• Similarly, the parties which formed governments in different states on both these occasions were providing
opposition to the Congress party both at the centre and in the states within a framework of similar policy
preferences, e.g., Akalis in Punjab, the Bharatiya Kranti Dal in Uttar Pradesh, the Dravida Munnetra
Kazhagam in Tamil Nadu, etc.
• It is possible to argue here that the growth and consolidation of the regional ruling class parties have been
generally conditioned by the interests of the locally placed ruling class groups like the landlords and kulaks
in Punjab, Haryana, western U. P., etc. or the non-big bourgeoisie in Tamil Nadu.
• It seems to plausible to argue that differentiation in landed interests between different States is due to
differential distribution of investments and concessions by the centre on top of the historically inherited
consequences of land tenures, land development and productivity of land, crop specialization, etc.
• In situations of economic crisis the inability of the state to dole out concessions to the dominant landed
interests uniformly all over leads to discrimination and consequent dissatisfaction. This is likely to lead to
conflicts of interest within the same class across the regions.
• Under circumstances like these, the locally placed ruling class groups seek greater power for themselves
through the regional parties in power or opposition so that these can be used to further their own interests
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when these are perceived as not being best served by the all-India ruling class parties. Under circumstances
like these, these ruling class groups avail of the popular discontent due to the deepening of economic crisis
in order to build up oppositional politics in favour of the respective states. Such a configuration provides one
objective ground on which regional movements thrive and seek greater” autonomy for” the states.
• After Nehru, particularly after the 1967 general elections when the Congress party lost in as many as nine
States to other parties, the ruling party at the Centre, the Congress, tried to bypass, ignore or underestimate
the gravity of the problem of Centre-State relations. The only thing that the government had set up was the
National Development Council. D. Jha observed: “The division of functions and resources in the Indian Federal
structure should be considered from the point of view of the best devolution of functions and most effective
utilisation of the scarce resources of the country. The issue of State rights versus Central rights should not be
raised as there were no State rights prior to the creation of the Federal structure.”
• The Chief Ministers of various States, including the Congress-ruled ones, gave their different views on the
various aspects of Centre-State relations. In the year 1969, the Chief Ministers of three States, namely,
Andhra Pradesh, Orissa and Kerala, were dissatisfied over the issue of Centre-State relations. The three
leaders gave differing analyses of the political trend.
• All three were critical of the Centre on one score or another. The Orissa Chief Minister said that the federal
system had worked fairly well, but there was need for some changes to ensure more harmonious relations
between the Centre and States. The Chief Minister of Andhra Pradesh said that the present set-up was more
Unitary than Federal and there should be modifications to ensure real federalism. The Kerala Chief Minister
called for a fresh approach to the federal system enshrined in the Constitution.
• Several other Chief Ministers also assailed the manner and method in which the Centre and Planning
Commission had made the Plan outlays. They also criticized the Centre for giving special assistance to certain
States for meeting their non-Plan commitments.
• In the year 1970, the Maharashtra Chief Minister had challenged the very competence of the Planning
Commission to set the norms for giving such special assistance. Other Chief Ministers had questioned the
propriety of giving this assistance to only a few selected States.
• A survey of the actual working of our Constitution for nearly 60 years would hardly justify the conclusion
that, even though the unitary bonds have in some respects been further tightened, the federal features have
altogether withered away.
• Some scholars in India have urged that the unitary bias of our Constitution has been accentuated in its actual
working by two factors—(a) the overwhelming financial power of the Union and the utter dependence of
the States upon Union grants for discharging their functions, and (b) the comprehensive sweep of the now
defunct Union Planning Commission, set up under the concurrent power over planning. Santhanam
observes: “India has practically functioned as a Unitary State though the Union and the States have tried to
function formally and legally as a Federation.”
• The role of the President, Governors, Chief Ministers, Inter-State Council, National Development Council etc.
were highly crucial in the evolution of Centre-State relations. It is, therefore, imperative to examine the roles
of these authorities in the context of Centre-State relations and in illustrating the nature of Indian State.
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TENSION AREAS IN CENTRE-STATE RELATIONS

The issues which created tensions and conflicts between the Centre and states are:
❖ Mode of appointment and dismissal of governor;
❖ Discriminatory and partisan role of governors;
❖ Imposition of President’s Rule for partisan interests;
❖ Deployment of Central forces in the states to maintain law and order;
❖ Reservation of state bills for the consideration of the President;
❖ Discrimination in financial allocations to the states;
❖ Role of Planning Commission in approving state projects;
❖ Management of All-India Services (IAS, IPS, and IFS);
❖ Use of electronic media for political purposes;
❖ Appointment of enquiry commissions against the chief ministers;
❖ Sharing of finances (between Centre and states); and
❖ Encroachment by the Centre on the State List.
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FISCAL FEDERALISM
• Fiscal federalism entails the division of responsibilities in respect of taxation and public expenditure among
the different layers of the government, namely the Center, the states and the local bodies. For the successful
operation of the federal form of government, financial independence and adequacy form the backbone.
• It helps governmental organization to realize cost efficiency by economies of scale in providing public
services, which correspond most closely to the preference of the people.
• It also creates a unified common market, which promotes greater economic activity.
• The Finance Commission is envisaged in the Constitution (Article- 280) as the key institution responsible for
dealing with fiscal imbalances between the center and states, as well as among the states.
Finance Commission & Federalism in India

• The Constitution envisages the FC as the balancing wheel of the Fiscal federalism in India.
• Every successive FC has to do a political balancing act by giving more resources to the states given the
growing importance of subnational governments in the Indian political economy.
• It also needs to ensure that centre is not fiscally constrained given its role in key national public goods such
as defence.
• Successive finance commissions have increased the proportion of tax revenue that goes to the states—a
necessary change given the growing importance of direct taxes as well as the need for higher spending by
state governments in local public goods.
• The First Finance Commission headed by K.C. Neogy had recommended that the states get a tenth of total
taxes collected centrally. That share has steadily increased. The 14 th Finance Commission headed by Y. V.
Reddy recommended that the share of the states should be 42%.
• Federalism can flourish only when it is accompanied by a strong central agency that credibly enforces the
rules for a new political economy equilibrium.
Issues with Fiscal Federalism in India

In India, States are not vested with adequate financial powers (limited tax bases with maximum expenditure
responsibility) to meet their expenditure responsibilities leading to
• Vertical Fiscal Imbalance: Persistence disparities in different components of revenue and expenditure of
centre and states, where state’s share of own revenue capacity is estimated to be 37.5% (average) as against
55.6% (average) of revenue expenditure or basic requirement.
• Horizontal Fiscal Imbalance: Fiscal health of states has been deteriorated over time with considerable level
of inequality among states in meeting their revenue requirement from 37.6% (Bihar) to 82.6% (Haryana) of
their respective capacity.
• Imbalances after Liberalization: Market-based reform generates more inequality due to unequal capacity
among states for infrastructure development. The major challenge faced by poorer states in the post reform
period is to chase competitive infrastructure investment in order to attract foreign capital investment
• The institutions contemplated in the Constitution to safeguard the fiscal autonomy of the States have not
helped to correct the vertical imbalance.
• The unitary elements already embedded in the Indian Constitution have gained further strength over the
years with concentration of fiscal powers in the Centre and growing dependence of the States on transfers
from the Centre.
• The terms of reference of Finance Commission is decided unilaterally by
central government which leads to raising of various issues by state governments.
• The Centre has to discharge its coordinating, corrective and lead functions in a truly federal set-up.
• The States should have their due share in responsibilities as well as rights.
• A continuing system of communication and clearing should be available.
• 14th Finance Commission suggested that the transfers from the Union to the States outside the
recommendations of the Finance Commission should be through a new institutional arrangement that
should involve Union, States and domain expertise, ideally under the aegis of inter-state Council
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• The enforcement of the FRBM parameters should be made more rigorous

• The TOR can be made a joint exercise rather than a top-down exercise by union.
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NITI AAYOG
• The National Institution for Transforming India (NITI Aayog), was formed via a resolution of the Union
Cabinet on January 1, 2015.
• It has emerged as the premier policy ‘Think Tank’ of the Government of India fostering the spirit of
cooperative federalism.
Key Functions:
• To evolve a shared vision of national development priorities, sectors and strategies with the active
involvement of States in the light of national objectives.
• To foster cooperative federalism through structured support initiatives and mechanisms with the States on
a continuous basis, recognising that strong States make a strong nation.
• To develop mechanisms to formulate credible plans at the village level and aggregate these progressively at
higher levels of government.
• To pay special attention to the sections of our society that may be at risk of not benefitting adequately from
economic progress.
• To design strategic and long-term policy frameworks and monitor their progress and their efficacy.
• To create a knowledge, innovation and entrepreneurial support system through a collaborative community
of national and international experts, practitioners and other partners.
Significance of Niti Aayog

• Cooperative federalism: State governments have been given prominence in the functioning of NITI Aayog
and it has also expedited the resolution of issues between the central ministries and state and UTs.
• Competitive federalism: States are competing to perform better in indices developed by NITI Ayog which
measures incremental annual outcomes in critical social sectors such as Digital Transformation Index,
innovation index, health index.
• Focus on inclusive development: It started a special initiative focusing on transformation of 115 aspirational
districts. It is also the nodal body for monitoring implementation of Sustainable Development Goals
• Evidence based policy making: It focuses on policy formulation based on adequate data such as it brought
out three-year action agenda, development of composite water management index, promotion of GIS based
planning etc.
• Economic Reforms: It brought out policy paper on reforms in APMC Act, rejuvenating fertilizer sector,
doubling farmer's income, Model Act on Agricultural Land Leasing etc.
• Knowledge and Innovation hub: It acts as a Repository of information as it engages in Compiling,
transmitting and emulating best practices across states. It also launched Atal Innovation Mission and hosted
Global Entrepreneurship Summit, 2017
• Balanced regional development: such as focus on areas such as North East. For eg: NITI Forum for North
East which aims to identify various constraints in the way of accelerated, inclusive and sustainable economic
growth of the North Eastern Region (NER) is co-chaired by the Vice-Chairman of NITI Aayog.
Challenges for NITI Aayog

• Overlapping functions: In discharging the assigned tasks, the Aayog overlaps with the Inter-State Council,
which is a constitutional body, and the office of the cabinet secretary that at present strives to achieve inter-
departmental coordination.
• Favor advance states: Its promotion of competitive federalism may work in favour of already advanced
states to the detriment of others.
• Lack of statutory nature: It is established by executive resolution, thus, the chances of government
interference is more.
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• Lack of active actionable targets: It needs to take active measures to solve some of the challenges that India
faces today such as job creations, increasing economic growth, etc. Even its three-year action agenda has
too wide approach for imminent challenges.
• Limited focus on implementation: It doesn’t focus adequately on the practical aspects of its
recommendations such as fixing accountability of bureaucrats, government citizen interaction etc. which is
core to several good ideas remaining on paper.
Difference with Planning Commission:
• It has a structure similar to the Planning Commission, but its functions will be limited
to only acting as a policy think tank relieving it of the two more functions viz. formation of five year plans
and the allocation of funds to the States.
• The major difference in approach to planning, between NITI Aayog and Planning Commission, is that the
former will invite greater involvement of the states, while the latter took a top-down approach with a one-
size-fits-all plan.
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INTER STATE COUNCIL

Article 263 It shall be lawful for the President to establish an ISC for inquiring, discussing and advising upon:
• disputes which may have arisen between States;
• subjects in which some or all of the States, or the Union and one or more of the States, have a common
interest; or
• such subject and, in particular, recommendations for the better co-ordination of policy and action with
respect to that subject.
• It was set up on the recommendation of Sarkaria Commission by a Presidential Order in 1990.
• The council consists of the PM as the Chairman, CMs of all states and UTs, Administrators of UTs not having
Legislative Assemblies and six union cabinet minister including Home Minister nominated by PM.
• Its function is complementary to Supreme Court’s jurisdiction under Art 131 to decide a legal controversy
between the governments
• It is a recommendatory body on issues relating to interstate, Centre-State, and Centre and Union Territory
relations.
• It is not a permanent constitutional body but it can be established ‘at any time’ if it appears to the President
that the public interests would be served by the establishment of such a council.
Significance of the ISC

• Constitutional Backing- Unlike other platforms for Centre State cooperation, ISC has constitutional backing
which puts the states on more solid footing.
• Cooperative federalism- In times of different political parties heading the Centre and various states the need
for dialogue assumes a greater importance. Thus, ISC provides a platform for states to 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.
• Makes governments more accountable- Given its status as a platform for dialogue and discussion, it makes
the governments, both at centre and state level, more accountable for their actions.
• 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.
• Lack of other avenues: Other constitutional avenue such as Zonal council for such issues, too are restrictive
in terms of their geographical scope.
Issues/Suggestions in the functioning of ISC

• It is seen as a mere talk shop. Thus, it needs to show that it can follow up.
• Its recommendations are not binding on the government.
• It does not meet regularly as recently Inter-State Council met after a gap of 12 years.
• The return of the single-party majority government at the Centre has necessitated the strengthening of
inter-governmental mechanisms for the harmonious working of the federal structure through institutions
like ISC.
• Sarkaria Commission recommended that it needs to be given all the powers contemplated in the
Constitution like Art 263(a) which gives it the power to investigate issues of inter-state conflict but was
dropped in the Presidential order of 1990.
• It should provide greater opportunities to civil society institutions and the corporate sector to make their
representations.
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• Further, its secretariat may be shifted from the Union Home Ministry to the Rajya Sabha secretariat so that
it would be under the direction of a neutral federal functionary, the vice-president of India rather than Union
home minister.
• It should be strengthened as a forum for not just administrative but also political and legislative give and
take between centre and states. For instance, while legislating on subjects that have been transferred from
the state list to the concurrent list such as education and Forests, the centre must consult states more
extensively and offer them greater flexibility.
Some of the following recommendations of Punchhi commission should also be considered

• The Inter-State Council must meet at least thrice in a year on an agenda evolved after proper consultation
with States.
• The Council should have experts in its organizational set up drawn from the disciplines of Law, Management
and Political Science besides the All India Services.
• The Council should have functional independence with a professional Secretariat constituted with experts
on relevant fields of knowledge supported by Central and State officials on deputation for limited periods.
• After ISC is made a vibrant, negotiating forum for policy development and conflict resolution, the
Government may consider the functions for the National Development Council also being transferred to the
ISC.
• Though, there are other bodies such as the NITI Aayog’s Governing Council with similar composition,
including the prime minister, chosen cabinet ministers and chief ministers that could address centre-state
issues. But, the ISC has constitutional backing, as against the NITI Aayog which only has an executive
mandate. This puts the states on more solid footing in building the atmosphere of cooperation needed for
calibrating centre-state relations.
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REMOVAL OF ARTICLE 370 AND 35A
• The Centre decided to end the special status given to Jammu and Kashmir (J&K) under Article 370.
• President of India in “concurrence” with the “Jammu and Kashmir government” promulgated Constitution
(Application to Jammu and Kashmir) Order, 2019 which states that provisions of the Indian Constitution are
applicable in the State. This effectively means that all the provisions that formed the basis of a separate
Constitution for Jammu and Kashmir stand abrogated. With this, Article 35A is scrapped automatically.
• Along with this, a statutory resolution was approved by the Parliament which – invoking the authority that
flows from the effects of Presidential Order – recommended that the President abrogate (much of) Article
370.
• Also, Jammu and Kashmir Reorganization Act, 2019 was passed by the Parliament. Jammu & Kashmir (J&K)
was re-organised into two Union Territories - J&K division with a legislative assembly and the UT of Ladakh
without having an assembly.
• The peculiar position of Jammu and Kashmir was due to the circumstances in which the State acceded to
India. The Government of India had declared that it was the people of the state of J&K, acting through their
constituent assembly, who were to finally determine the constitution of the state and the jurisdiction of
government of India.
• The applicability of the provisions of the Constitution regarding this State were accordingly, to be in nature
of an interim arrangement. This was the substance of the provision embodied in Art. 370 of the Constitution
of India.
• Art. 370 had “temporary provisions with respect to the State of Jammu and Kashmir” which gave special
powers to the state allowing it to have its own Constitution.
• According to article 370, except for defence, foreign affairs, finance and communications, Parliament needs
the state government’s concurrence for applying all other laws.
• Article 35A of the Indian Constitution, which stemmed out of Article 370, gave powers to the Jammu and
Kashmir Assembly to define permanent residents of the state, their special rights and privileges.
How the Scrapping of Article 370 and 35A became possible?

• President issued a presidential order under Article 370 (1) of the Constitution. This clause enables the
President to specify the matters which are applicable to Jammu and Kashmir in concurrence with the Jammu
and Kashmir government.
• The order amended Article 367. Article 367 contains guidance on how to read or interpret some provisions.
The amended Article declares that “the expression ‘Constituent Assembly of the State…’ in Article 370 (3)
shall be read to mean ‘Legislative Assembly of the State’. Article 370(3) provided that the Article 370 was to
be amended by the concurrence of the Constituent Assembly. However, because of the amendment, it can
now be done away by a recommendation of the state legislature.
• In other words, the government used the power under 370(1) to amend a provision of the Constitution
(Article 367) which, then, amends Article 370(3). And this, in turn, becomes the trigger for the statutory
resolution - Resolution for Repeal of Article 370 of the Constitution of India. As Jammu and Kashmir is under
the president rule, concurrence of governor is considered as “Jammu and Kashmir government”.
• Scrapping Article 370: Constitutional and legal challenges Petitions have been filed in the Supreme Court
challenging the recent action of the Union Government on Jammu and Kashmir, the following legal issues
may receive attention in the course of judicial deliberations.
• Legality of the Presidential order: Article 370 itself cannot be amended by a Presidential Order. Even though
the Order amends Article 367, the content of those amendments, however, do amend Article 370. And as
the Supreme Court has held on multiple occasions, you cannot do indirectly what you cannot do directly.
Therefore, legality of the order – insofar as it amends Article 370 – is questionable.
• Misusing the President Rule and Making Governor as a substitute for the elected assembly: The governor
is the representative of the Union Government in the State. In effect, the Union Government has consulted
itself.
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• Also, President’s Rule is temporary and is meant to be a stand-in until the elected government is restored.
Consequently, decisions of a permanent character – such as changing the entire status of a state- taken
without the elected legislative assembly, but by the Governor, are inherently problematic.
• Equating state assembly with constituent assembly: The difference is that the one has to exercise its powers
as per the constitution, while the other develops the constitution. This distinction that is at the heart of
India’s basic structure doctrine that prevents certain constitutional amendments on the ground that
Parliament, which exercises representative authority, is limited and cannot create a new constitution and
thereby exercise sovereign authority.
• Going against the Jammu and Kashmir’s Constitutional position: Presidential order has assumed that
legislative assembly has power to scrap Article 370. But Article 147 of the Jammu and Kashmir Constitution
prohibits such a move. The Article makes it clear that any changes to the Jammu and Kashmir Constitution
needs the approval of two-thirds of the members of the legislative assembly.
Possible implications of the move

• Complete applicability of Indian Constitution to J&K
• No separate flag
• Tenure of the J&K assembly to be five years, instead of the earlier six years.
• Replacing Ranbir Penal Code (the separate penal code for J&K) with the Indian Penal Code.
• Article 356 under which the President’s Rule can be imposed in any state, will also be applicable to the UT
of Jammu and Kashmir.
• The central quota laws in school-college admissions and state government jobs will apply.
• People from other states may be able to acquire property and residency rights.
• RTI would be made applicable.
• Certain provisions of the J&K Constitution which denied property rights to native women who marry a person
from outside the State may stand invalidated.
Conclusion
• When the Constituent Assembly of J&K ceased functioning, a long-standing debate about the nature of
Article 370 started. Before dissolution, the Constituent Assembly neither recommended abolishing Article
370 nor did they advocate for it to be permanent.
• Yet, it remains to be seen whether the manner in which Article 370 has been repealed stands the test of
judicial review. Article 370 was about providing space, in matters of governance, to the people of a State
who felt deeply vulnerable about their identity and insecure about the future.
However, there are concerns that it neither served the common people in J&K nor did it facilitate J&K’s
integration with the rest of India. Therefore, one must hope that the move will bring a new dawn of development
and inclusion for Jammu and Kashmir, which will give a voice to those who were deprived and marginalised
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POLITICS FOR SMALLER STATES

• The demand for smaller states is a complex issue in India. The first state reorganisation commission, led to
the single largest realignment of states along linguistic lines in State Reorganisation Act, 1956. This idea of
splitting states based on a common language/community has stood the test of time.
• Article 3 of the Indian Constitution provides for the creation of a new state through a bill tabled in
Parliament on the President's recommendation after consultations with the legislatures of the affected
states.
• India has gone through several more independent exercises to carve out smaller states from larger states,
and it has also involved conversion of union territories into states leading to rise in number of states to 29
from 14 in
• 1956. Various regions including Gorkhaland in West Bengal, Bodoland in Assam, Saurashtra in Gujarat;
Vidarbha in Maharashtra, Maru Pradesh in Rajasthan, Nagalim in Nagaland, are demanding separate states.
Reasons for demands

• Historical: For instance: demand for the bifurcation of Tamil Nadu was based on the fact that Tamil-speaking
region in the past comprised kingdoms centred around Kanchipuram and Tanjore/Madurai.
• Administrative: Much of the new demands are a result of uneven growth within states and a perception
that splitting large states into smaller chunks will improve administration by bringing power centres closer
to the people. For instance, developmental backlog in Vidarbha region due to large size of Maharashtra.
Even without Uttarakhand, Uttar Pradesh is larger than Brazil, Japan or Bangladesh in terms of population.
• Economic: The sentiment of being deprived even after being rich in natural resources are grounds for the
demand of a separate state.
• Socio-Cultural: Even after linguistic divisions, states have a vast diversity which often leads to a feeling of
‘culturally subjugated and victimized’ by some ethnic groups. So, for preserving ethnic identity demands for
a new state are made. For instance, Gorkhaland out of West Bengal, Nagalim demand in North East, Bhojpuri
speaking Purvanchal region from Uttar Pradesh, etc.
• Political: Jat dominated western UP region is demanding Harit Pradesh for more political clout which
presently rests with Yadavs.
Arguments for Creation of Smaller States

• Decentralisation of Power: Smaller administrative units would bring distant provincial governments and
administration in remote capitals closer to the people. It will accelerate the pace of modernisation by
increase in administrative efficiency, fulfil the political aspirations of the people of the backward regions and
help the states create separate policy based on local realities.
• Resolve the problem of identity crisis among the ethnic groups and enable them to develop their own
language and culture thus helping them in getting rid of the ‘feelings of internal colonialism’.
• Make the federation more balanced by making the representation of the present-day large-sized States,
like UP, MP and Maharashtra, and the small States, like Punjab, Haryana and Himachal Pradesh, more
proportionate.
• Better management, implementation and allocation of public resources: A relatively homogeneous smaller
state allows for easy communicability, enabling marginal social groups to articulate and raise their voices.
• No more fear of balkanization: Earlier, demands were opposed for the fear of balkanization, however, after
70 years of independence such fear is no more there.
Arguments against creation of smaller states:

• Statehood cannot guarantee rapid economic development of those backward regions which do not have
the required material and human resources. Besides, some of the small States may not be having the
potential for economic viability.
• Small States could also lead to the hegemony of the dominant community/caste/tribe over their power
structures. There could develop aggressive regionalism too in such States leading to the growth of the
sonsof-the-soil phenomenon and the consequent intimidation of the migrants.
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• It may also lead to certain negative political consequences as because of the small strength of state
legislature, the majority of the ruling party or ruling coalition would remain fragile. The case of Jharkhand
where even an Independent MLA has manipulated to become the CM may be seen.
• Risk of centralisation of powers in the hands of the Chief Minister and the Chief Minister’s Secretariat would
be greater and the State might become a fiefdom of the Chief Minister.
• It may lead to increase in inter-State-water-power-and-boundary disputes as seen in the case of Andhra
Pradesh and Telangana.
• It would be a strain on their limited financial resources as huge funds would be required for building new
capitals and maintaining the growing number of Governors, Chief Ministers, Ministers and administrators.
• Past experiment of smaller states show that mere formation of a smaller State is no guarantee for better
development. For e.g.: Uttarakhand continues to be at the lower end in the Human Development Index,
Chhattisgarh has witnessed the largest displacement of tribals, Jharkhand was mired in corruption and
maladministration
Suggestions and way forward

• Better governance: Use of technology to reach remote regions for better public service delivery and
addressing the problems of displacement and discontent among people.
• Smaller districts to bring government and administration closer to the people. The office of District Collector
and zila parishad can be empowered further to make administration more efficient and fix accountability for
under development.
• Decentralising administration and strengthening local self-governments: It would be far more efficient,
healthy and beneficial if the local self governments have a greater hand and say in the local development.
Power should be decentralised based on the principle of subsidiarity.
• Political stability which lends continuity of policies matters the most and not ‘largeness’ of states. An
efficient and willing administrator can manage even a large state fairly satisfactorily.
• A Second States Re-organisation Commission to look into this and carve out provinces in a more objective
and scientific manner might be the way to address the issue.
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STATE EXECUTIVE: GOVERNOR
• Our Constitution provides for Parliamentary form of government both at the Centre as well as in the
States. Part VI of the Constitution deals with the structure of the government in the states which have
been mentioned in the 1st Schedule.
• The Constitution lays down a uniform structure for all the 28 States with minor variations.
• The legislature in 7 states is bicameral (Bihar, Maharashtra, Karnataka, Uttar Pradesh, J&K and recently
Andhra Pradesh and Telangana). All the remaining states have only one House i.e. legislative assembly.
• The head of the executive in all the states is the Governor, who is the constitutional head like the
President. The real executive power in a state is vested in the Council of Ministers headed by the Chief
Minister.
• Article 153 creates the office of the Governor. Generally each state has a Governor but under the
provision to Article 153, the same person may be appointed Governor for two or more states. The
executive power of the state is exercised by the Governor either directly or through officers subordinates
to him.
Appointment
• The post of Governor is not an elected one unlike the President who is indirectly elected. The Governor
is appointed by the President (Article 155) and holds office for five years subject to the pleasure of the
President.
• The Constituent assembly had suggested a directly elected Governor by the people of the
state. But this was rejected on the ground that this would make the two posts of Governor and the Chief
Minister compete with each other which is not a feature of parliamentary form of government. This was
also rejected as the centre will have no say in such appointments.
• Finally, it was decided that the Governor, apart from being the head of the state executive would also
be an agent of the centre.
• Given the status and importance conferred by the Constitution on the office of the Governor and taking
into account his key role in maintaining Constitutional governance in the State, it is important that the
Constitution lays down explicitly the qualifications or eligibility for being considered for appointment.
• Presently Article 157 only says that the person should be a citizen of India and has completed 35 years
of age.
• The Sarkaria Commission approvingly quoted the eligibility criteria that Jawaharlal Nehru advocated and
recommended its adoption in selecting Governors. These criteria are:
✓ He should be eminent in some walk of life;
✓ He should be a person from outside the State;
✓ He should be a detached figure and not too intimately connected with the local politics of the States;
and
✓ He should be a person who has not taken too great a part in politics generally and particularly in the
recent past.
• The words and phrases like ‘eminent’, ‘detached figure’, ‘not taken active part in politics’ are susceptible
to varying interpretations and parties in power at the Centre seem to have given scant attention to such
criteria.
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• The result has been politicization of Governorship and sometimes people unworthy of holding such high
Constitutional positions getting appointed. This has led to some parties demanding the abolition of the
office itself and public demonstration against some Governors in some States.
• This trend not only undermines Constitutional governance but also leads to unhealthy developments in
Centre-State relations.
Removal of Governor
• The Governor may be removed by an order of the President. The President may transfer a Governor
appointed to one state to another for the rest of the term. A Governor whose term has expired may be
reappointed in the same or any other state. There is no bar to being appointed Governor more than
once.
• As per Article 155 and Article 156 of the Constitution, a Governor of a state is an appointee of the
President, and he or she holds office ‘during the pleasure of the President’.
• If a Governor continues to enjoy the ‘pleasure of the President’, he or she can be in office for a term of
five years. Because the President is bound to act on the aid and advice of the Council of Ministers under
Article 74 of the Constitution, in effect it is the central government that appoints and removes the
Governors. ‘Pleasure of the President’ merely refers to this will and wish of the central government.
• The Governor may also resign by writing addressed to the President.
Recent Controversy
• After the 16th Lok Sabha election, there was debate around powers of the central government to remove
Governors. Various reports had suggested that the central government was seeking resignations of
Governors, who were appointed by the previous central government.
• The Supreme Court’s Interpretation : In 2010, a constitutional bench of the Supreme Court interpreted
these provisions and laid down some binding principles (B.P. Singhal v. Union of India).
• In this case, the newly elected central government had removed the Governors of Uttar Pradesh,
Gujarat, Haryana and Goa in July, 2004 after the 14th Lok Sabha election. When these removals were
challenged, the Supreme Court held:
• The President, in effect the central government, has the power to remove a Governor at any time without
giving him or her any reason, and without granting an opportunity to be heard.
• However, this power cannot be exercised in an arbitrary, capricious or unreasonable manner. The power
of removing Governors should only be exercised in rare and exceptional circumstances for valid and
compelling reasons.
• The mere reason that a Governor is at variance with the policies and ideologies of the central government
or that the central government has lost confidence in him or her, is not sufficient to remove a Governor.
• Thus, a change in central government cannot be a ground for removal of Governors, or to appoint more
favourable persons to this post.
• A decision to remove a Governor can be challenged in a court of law. In such cases, first the petitioner
will have to make a prima facie case of arbitrariness or bad faith on part of the central government.
• If a prima facie case is established, the court can require the central government to produce the
materials on the basis of which the decision was made in order to verify the presence of compelling
reasons.
• In summary, this means that the central government enjoys the power to remove Governors of the
different states, as long as it does not act arbitrarily, without reason, or in bad faith.
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Recommendations of Various Commissions

• The Sarkaria Commission (1988) recommended that Governors must not be removed before completion
of their five year tenure, except in rare and compelling circumstances.
• This was meant to provide Governors with a measure of security of tenure, so that they could carry out
their duties without fear or favour. If such rare and compelling circumstances did exist, the Commission
said that the procedure of removal must allow the Governors an opportunity to explain their conduct,
and the central government must give fair consideration to such explanation.
• It was further recommended that Governors should be informed of the grounds of their removal.
• The Venkatachaliah Commission (2002) similarly recommended that ordinarily Governors should be
allowed to complete their five year term. If they have to be removed before completion of their term,
the central government should do so only after consultation with the Chief Minister.
• The Punchhi Commission (2010) suggested that the phrase ‘during the pleasure of the President’ should
be deleted from the Constitution, because a Governor should not be removed at the will of the central
government; instead he or she should be removed only by a resolution of the state legislature.
• The above recommendations however were never made into law by Parliament. Therefore, they are not
binding on the central government.
Key Debates Regarding Office of Governor

• In a parliamentary system of government, the office of the Governor in a state has the potential to be at
the centre of controversies for several reasons, the most important one being the range of discretionary
powers that the holder of the office enjoys.
• The office of the Governor has been involved in several controversies in different states only on account
of the liberal and often controversial interpretation of the discretionary power of the Governor.
• A ‘safety valve’ envisaged by the Constitution makers (though not explicitly provided for in the
Constitution) was the care and caution that was expected to be exercised when choosing who should be
Governors and the manner of their appointment.
• During the debates in the Constituent Assembly, leaders had hoped that in appointing Governors,
eminent individuals, preferably not those directly involved with politics should be appointed to this
‘exalted’ position.
• Ever since the 1970s a review of who have been appointed as Governors would show that they invariably
belonged to three distinguished categories: defeated politicians (from the ruling party at the centre),
politicians who need to be ‘retired’ or sent far away from their home state (also from the ruling party at
the centre) or retired ‘loyal’ bureaucrats.
• Even the most recent appointments as Governors, would fall in this category. This clearly goes against
the spirit of the Constitutional intent. When there is a patent flaw in the background and past record of
people appointed as Governors, they begun their tenure under a cloud of ‘suspicion and mistrust’.
• What makes matters worse is that many Governors at the end of their tenures (or by resigning mid-
term) have returned to active politics.
An Agent of Centre or Real Executive?

• The role of Governor in the Indian set-up shall be analysed in regard to two principles- the state
autonomy and the federal set up of India.
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• Article 153 of the Constitution of India provides that there shall be a Governor for each State. The
Governor occupies an enviable position in our Constitutional scheme. He is in fact the only co-
coordinating link between the Union and the States.
• The first and the most important question is why the institution of Governor, supposedly designed for
maintaining links and building harmony between the centre and the states, within a framework of
‘cooperative’ federalism’ has become a hot bed of political controversy.
• In the first two decades, since the commencement of the Constitution, the office of the Governor did not
acquire much importance as the Congress party dominated at the Centre and the States.
• So there was hardly any occasion for a conflict between the Governor and his council of ministers. He
was therefore termed as a figure-head, rubber stamp or a favorite man of the central and State
Governments.
• Thus in fact, he was the Constitutional head of the state and as such forming an effective link between
the Centre and the states.
• The scenario changed in the aftermath of the general elections in 1967, when different parties or party
allies came to power in the states from that in power at the Centre.
• The role of the Governor is again in the public domain due to the controversies involving Governors in
Jharkand, Bihar and Goa, etc.
• The executive power of the State is expressly vested in the Governor, to be exercised by him either
directly or through officers subordinates to him in accordance with the provisions of the Constitution.
• The appointing authority is the President and the Governor shall hold office during the pleasure of the
President. But the independence of the Governor is inevitable for preserving state autonomy.
In this regard, the Supreme Court has observed in Hargovind Pant v Raghukul Tilak as follows:
• It is not material that the Governor holds office during the pleasure of the president. It is a Constitutional
provision for the determination of the term of office of the Governor and it does not make the
government of India an employer of the Governor.
• This office is not subordinate or subservient to the government of India nor is he accountable to them
for the manner in which he carries out his functions and duties.
• He is an independent Constitutional office which is not subject to the control of the government of India.
He is constitutionally the head of the State.
• But experience in the working of the Governor’s office has factually proved that the Governors are
deprived of their role to function independently and efficiently so long as their term of office is subjected,
entirely ‘during the pleasure of the President.
• The central issue relates to the capabilities and attributes of those who have been appointed to the
gubernatorial posts over the long term.
• The Constitution merely lays down the basic qualifications, namely, Indian citizen and a minimum age of
35.
• Article 158 prescribes a couple of technical conditions that: a Governor shall not be a Member of
Parliament or a State Legislature.
• Unfortunately, no qualitative criterion for appointment has been laid down by the Constitution, nor have
they evolved in practice any over half a century.
• Over those years, a number of committees and commissions and legal experts have called for some kind
of criteria to Governor’s appointment and for the ‘term’ of office of the Governor.
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• The Administrative Reforms Committee (1969) recommended that ‘a person should not be appointed
as Governor for more than one term. Such a restriction is necessary in order to safeguard his
independence and impartially against being jeopardized by expectations of patronage’.
• The Setalvad Commission report had gone a step further that ‘no person who is appointed Governor
should take part in politics after his appointment as such’, not after retirement.
• According to the Sarkaria Commission recommendations, a Governor should be eminent in some walks
of life; he should be a person from outside the state; he should be a detached figure and not too
intimately connected with the local politics of the state and he should be one who has not taken too
great a part in politics generally, and particularly in the recent past.
• As per the judgment in S.R. Bommai v Union of India, Governors must be appointed from a panel
approved by a Presidential or legislative committee and should be debarred further public office.
• Considering the controversies surrounding the action of Governors in Jharkand, Goa and Bihar in the
recent period, it was the focus of the Governor’s conference, 2005, on the ways to restore their standing
and reputation for fairness in their role.
• The following anomalies and suggestions to improve the office of the Governor and their role emerged
in the conference.
✓ Indeed it is one high office that, with honourable exception, has not quite worked as envisaged by the
constitution-makers.
✓ President Abdul Kalam advised the Governors that they should be ready to rise above their political past
and serve as a ‘beacon of light in the affairs of the state’.
✓ Manmohan Singh as Prime Minister urged the Governors to function independently according to their
best judgment of their own Constitutional role and of the national interest and on always being conscious
of the public perception of their office.
✓ It was the further stressed that the head of the state’s reputation stands or falls depending on whether
he or she handles such difficult situations as formation of state government in times of crisis with fairness
and statesmanship, true to the spirit of the Constitution and the to well- established convention of
responsible parliamentary government.
✓ Quite apart from the conduct of Governors, two areas were suggested for reform: the first was the
appointment of Governors itself. That there was a need to ensure that small men or women with merely
partisan views were not elevated to the high office.
✓ In regard to the appointment of Governors, it was suggested that as the National Commission to Review
the Working of the Constitution (NCRWC), 2002 has recommended the Governors should be appointed
after consultation with the State Chief Ministers, and should be eminent persons in some walks of life
and
not those who have been in active politics in the recent past.
✓ Secondly, the practice of treating Governors as agents of the Centre, or, worse, of the ruling party at the
Centre needs to be abandoned. Too often, the Union Home ministry treats Governors as its subordinate
officials and the ruling party habitually seeks to use them for its own ends.
✓ While the primary responsibility for restoring the dignity and standing of the office rests on the
Governors themselves and on their conduct, the central Government and the ruling party at the Centre
cannot be obvious of their own role in the making or unmaking of the office of the Governor.
✓ Governors were urged to play a pro-active role as the representatives of the centre in the states and ‘to
bring a national perspective to state level actions’.
✓ In stressing the nature of the roles to be played by the executive heads of states, it was suggested that
the Governors must guide the chief Ministers and help them deal with the internal security situation.
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✓ They can act as watch dogs and alert the state and central governments to any development or trends
which they perceive may have adverse implications in the long run. Nothing should be done which
detracts from the authority of the Indian State and its primary role as upholders of public order. The
Governor has a role in ensuring that.
✓ The Governor also had a responsibility to ensure ‘communal harmony’ and the welfare of the oppressed.
✓ On inter-state disputes, Dr. Singh reiterated that ‘there is a need for (the) Governors to play the role of
elder statesman in ensuring that inter-state disputes are handled with sagacity without spilling over as
major disputes and often, as law and order problems.
✓ Regarding the personal reputation, integrity and term of office of the heads of the state, experiences
suggest that political leaders of integrity, objectivity, and respect for the Constitution can make good
heads of states.
• An important aspect of the Governor’s role was underscored by the Supreme Court in 1979 thus: it is no
doubt true that the Governor is appointed by the President which means in effect and substance the
Government of India but that is only a mode of appointment and it does not make the Governor an
employee or servant of the Government of India.
• Governor is the head of the state and holds a high constitutional office which carries with it important
constitutional functions and duties. What the Governor’s office really required was not political
detachment but integrity, independence and sobriety rooted in Constitutional values.
• Above all, the Constitutional office of Governor must transform itself into something that cannot be
converted into an agency of the centre, to be used, where deemed necessary, against opposition State
governments.
• But given the Constitutional power of appointment and removal by the centre, is that notion also turning
fallible?
• In its consultation paper on the Institution of Governor under the Constitution, NCRWC, 2002
recommends:
✓ It is necessary to invest the office of the Governor with the requisite independence of action and to rid
them of the bane of ‘instructions’ from the Central Government. It is necessary to make him the
Governor of the state in its full and proper sense and to enable him to live up to his oath truthfully.
✓ His loyalty must be to the Constitution and to none else and his commitment to the well being of the
people of his state He must command support by his conduct.
✓ The best way of finding right men and women for the post is suggested to go beyond mechanical
formulae and to evolve a serious consultative mechanism for the selection.
• The Sarkaria Commission too had something like this in mind when it recommended that ‘the Vice
President of India and the Speaker of the Lok Sabha should be consulted by the Prime Minister in
selecting a Governor’.
• But in a quasi-federal political system like India, it is unnecessary to establish a method by which the
Chief Ministers is always consulted before the Governor of the State is chosen.
• It is indeed open to the Centre for consulting the State while appointing the Governor, but their
concurrence and approval on the appointment were not required. Instead central governments of
varying political hue have preferred to select and use Governors ‘as agents of the Centre’ rather that as
vital links between the Centre and thestates working with a federal spirit.
• As mentioned earlier, the term of office of the Governor is subjected to the pleasure of the central
executive head. Article 156 impliedly provides that the Governor is appointed by the President for a term
of five years, from the date on which on which he enters upon his office. The five-years term is subject
to exercise of pleasure by the President and it lies within the power of the President to terminate at his
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discretion, the term of the office of the Governor at his pleasure.Thus there is no Constitutional bar to
terminate the office of the Governor before term.
• The term of office is subjected to the pleasure doctrine and to the discretion left to the Governor to
resign voluntarily from his office. Since pleasure is determined exclusively by the political decision of the
government of the day, if the selection is institutionally flawed and against the spirit of the Constitution,
a Governors normal term in office is increasingly likely to be co-terminus with the political rule of those
who appointed him or her, on the basis of no transparent criteria or standards.
• The reason being that he holds office during the pleasure of the President, the Central Government can
always recall him if the circumstances so requires.
• In Surya Narayan v Govt. of India , the Rajasthan High Court upheld the dismissal of the Governor of
Rajasthan by the President. The Court pointed out that the Governor while discharging his function works
as a channel of communication and contact between the state and Centre. The President in exercise of
his power and pleasure may cut short the five years term of the Governor and thus Article 156 (3) is
controlled by Article 156 (1).
• The Governor may be removed by an expression of presidential displeasure before the normal term of
five years and the presidential pleasure under Article 156 (1) is unjustifiable.
• In practice, things appear to be difficult because the Governor is appointed by the President. He holds
his office subject to the pleasure of President and can be dismissed at any time by the President. Thus in
effect, he is bound to compromise his independence of action with the pleasure of the President. A
Governor can adopt a stance not in accordance with the wishes of the Centre only at his own risk.
Article 356 and the Role of the Governor

• In regard to Article 356, the view of our Constitution makers is seen expressed in the words of Dr. B. R.
Ambedker on the purpose of the provision. ‘….only when the government is not carried or in consonance
with the provisions laid down for the constitutional governance of the Provinces. Whether there is good
government or not in the province is not for the Centre to determine. I am quite clear on the point….I
share the sentiments impressed by my honourable friends….that the proper thing we ought to expect is
that such Articles will never be called into operation and that they would remain a dead letter’.
• In spite of this assurance given by Dr. B. R. Ambedkar, Article 356 was continually misused and in the
post – 1950’s being used for about 100 times, and this was strongly objected to by several leaders right
from Kerala (1959) to Mulayam Singh Government issue in U.P (2007).
• The Governors had often played dubious roles making a mockery of Constitutional proprieties and rule
of law. But there have been exemptions, whom like B. K. Nehru, refused to dismiss the Farooq Abdullah
Government in J & K in 1984 and was transferred to Gujarat.
• Shri. Surjit Singh Barnala, flatly declined to sign a report, dictated by New Delhi, with the disingenuous
intent of imposing President’s rule in Tamil Nadu in 1990-91. His successor obediently signed on the
dotted line.
• The other, incidents are the Bihar Dissolution case (2005) and those of Goa, Jharkand, and U.P crisis
• In the Bihar Dissolution Case, mindful of the Constitutional rights being frustrated but the prolonged
legal process, the Supreme Court had laid down that wherever appropriate the court could even order
the revival of a dissolved assembly and stay the holding of fresh elections.
• Compared with the Bommai decision which frustrated the possibility of reinstating wrongfully dismissed
governments, the Bihar decision was almost contemporaneous and came in the middle of the election
process that had been set in motion.
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• During the course of the election, the court would have stayed it and after it found the dissolution was
Constitutional, it could have ordered the removal of the Assembly. That it did not do either showed that
it was willing to strike but afraid to wound and unsettle the political process of elections.
• Nevertheless the Governor was once again been put on notice that it has to be scrupulous and show
good faith in the working of the Constitution and the court will be on the alert against any abuse of
power.
• According to Soli. J. Sorabjee who argued the case against the dissolution of the House on the basis of
the controversial report of Governor Bhuta Singh said it as a blow to the arbitrary action of midnight
dissolution.
• In Jharkand, the Governor Syed Sibtey Razi, choosing the JMM leader Shibu Soren as the Chief Minister,
bypassed the claims of the NDA which claimed the majority support. The Governor’s argument was that
two among the 41 MLAS of them figured in the list of 42 MLAs backing the congress - JMM -RJD combine.
• In Goa, Governor S. C. Jamir dismissed Chief Minister Manohar Parrikar in doubtful circumstances while
enjoying the majority support in the Assembly, to peremptorily install the Congress - led Pratap Singh
Rane Government. The Governor abused his role in dismissing the Government even before the speaker
could send his report on the outcome of the result of the confidence motion.
• In Goa, the Central Government stepped in and imposed President’s rule to undo the mess created by
the Congress Party and in Jharkand, a transparently reluctant Soren was made to resign. Arjun Munde
was inducted as new Chief Minister.
• All the above-mentioned instances may be cited as examples for putting the democracy and the
principles of federalism in peril. Democracy cannot survive if unelected state Governors play games with
post-election scenarios to please the party in power at the Centre that appointed them to the office.
• The Constitution Review Committee, 2002, was harsh on the manner this institution had been treated-
‘by and large, the picture has not been an inspiring one. This is because very often, active politicians,
politicians defeated at the polls and men lacking in integrity and fairness and individuals not possessing
and understanding of the constitutional system were chosen for this office’
• The Commission was of the view that Article 356 must be sparingly used and only as a remedy of the last
resort and after exhausting action under other Articles of the Constitution.
• To cleanse the role of Governor, the Commission too suggests that in case of political breakdown, before
invoking Articles 356, the state concerned should be given an opportunity to explain its position and
redress the situation, unless the situation is such that following the above course would no be in the
interest of security of the state or defence of the country or for other reasons necessitating urgent action.
• Also if the President’s rule is to be proclaimed on the basis of the Governor ’s report, it should be a
speaking document, containing a precise and clear statement of all material facts and grounds on the
basis of which the president may satisfy himself as to the existence or otherwise of the situation
contemplated under Article 356.
Judicial Interpretation on the Role of Governor

The role of Governor has been explained in detail by the Supreme Court though its dictum in Bihar case
(2005). It said:
• The Constitution enjoins upon the Governor that after the conclusion of elections, every possible attempt
is made for formation of a popular government representing the will of the people expressed through
the electoral process.
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• If the Governor acts to the contrary by creating a situation whereby a party is prevented even to stake
a claim and recommends dissolution to achieve that object, the only inescapable inference to be drawn
is that the exercise of jurisdiction is wholly illegal and unconstitutional.
• The Bench noted that no power had been vested with the Governor to refuse formation of a government
and override the majority claim because of his ‘subjective assessment that the majority was cobbled by
illegal and unethical means. Such a power would be against the democratic principles of majority rule’.
The Supreme Court commended on the power vested the Governor under Article 356 as follows:
• The Governor is not an autocratic political ombudsman. If such a power is vested in the Governor and/or
the President, the consequences can be horrendous.
• It would be sad and disturbing if Indian democracy went back to the situation of 40 years ago when
governments at the Centre misused their Governors. Even now, the Governors must put their house in
order.
• The Governor is under constitutional duty to examine which of the contesting parties can form a stable
government. His decision has to be tested on the floor of the assembly, and not in courts of law.
• Political parties should refrain from bringing constitutional governance to a halt simply because the
Governor’s discretion was not exercised in their favour. Parliamentary democracy was devised for good
governance, not as a charter for the unscrupulous to grab power by any or all means.
• The Governor is the head of the state and repository of executive power, and to debunk his stature and
status is to frustrate the political ethos of the Constitution. Indian is a federal state in the fundamental
sense. Although there are central features whittling down federalism and quasi - federal dilution, to undo
the federal character is to violate the basic structure.
Should office of Governor be Abolished?
Arguments for:
• The governors are the agents of the Central Government because they are either retired politicians or
the politicians who have been rejected by the public. So they remain loyal to the people, who appoint
them. As a result of it, they try to topple the State Government if it happens to be a Government by the
opposition party. This is undemocratic and immoral.
• The Governors do not serve any useful purpose rather they are hindrance in the administration of the
State. They can reserve bills for the approval of the Central Government and in this manner deprive the
legitimate right of the State Assemblies to make laws. Similarly, they recommend President’s rule when
they find that the interests of the party in power at the Centre are not served. In this manner, actually
they work for their masters i.e. the leaders at the centre.
• Moreover, it is undemocratic to have a nominated person as the head of the State. All the powers should
be exercised by the elected head. Chief Minister should be responsible for doing everything and should
not be checked by the Governors.
Arguments Against:
• In fact the fathers of the Constitution feared that the States may not develop separatist tendencies and
in order to put a check, it is necessary that a representative of the Central Government should be
stationed in the States. He keeps a watch over the political activities and so tries to inform the Centre
about the latest developments.
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• Many a time, the Governors happen to be experienced administrator or politicians. He can definitely
help the State Government if a proper report is established between the Governor and the Chief Minister
in carrying on the administration.
• The Governors of the State, during Emergency generally become the administrators of the State. They
are familiar with the affairs of the State problems and other things which are necessary for an
administrator to understand. He experiences no difficulty when he is given the charge of the State at the
time of Emergency. So Governors remain a permanent link between the Central Government and the
State and such a link is necessary particularly if an opposition party is in power in a State.
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Role of the President and Central Government

• Article 354 empowers the President to order suspension of the provisions of Articles 268 to 279 relating to
distribution of revenues between the Union and States, while a Proclamation Of Emergency is in operation.
In other words, the Union can, in an emergency, actual or apprehended, withdraw all powers from the States
and also the financial support it gives and functions as a Unitary State.
• In the US and Australian Constitutions, even the declaration of war does not impinge on the distribution of
power between the Federation and the States, nor does it empower the Federal Legislature to legislate on
any subject exclusively in the State List.
• There are certain other provisions relating to the authority of the President in the matter of State Legislation
and administration which could be used to interfere with and even suppress the State’s autonomy. The
Governor may reserve a Bill passed by the State Legislature for the consideration of the President (Article
200).
• It is nowhere enjoined that the Governor, in making such reference, should act on the advice of the Council
of Ministers. Though constitutional experts are of the opinion that the Governor has no authority to act on
his own, this interpretation is not implicit in the express provisions of the Constitution. Nor is any remedy
provided if the Governor was to act on his own responsibility in making such a reference.
• The use of Presidential vote for political purposes is not merely a theoretical possibility. In fact, when Kerala
came to be controlled by the Communist Party led by E.M.S. Namboodripad, a certain legislation undertaken
by the State interfered with the control and management of educational institutions administered by the
influential Roman Catholic Church. The Bill was reserved for the President’s consideration. Meanwhile
political unrest had been whipped up in the State and the administration of law and order became
increasingly difficult. The President then issued a Proclamation on the report of the Governor that there was
a failure of the constitutional machinery in the State.
• Nobody knows what will happen if there is a serious conflict between the ruling party at the Centre and an
Opposition party with a majority in a State Legislature and if the dominant party in Parliament is bent upon
frustrating the State’s effort to pass genuinely progressive laws.
• According to H.N. Pandit, “The Union Cabinet in that event might advise the President not to give his assent
to the Bill passed by the State Legislature.” Now a question arises: can the President exercise his independent
judgment to safeguard the autonomy of the State and refuse to withhold his assent to the Bill? If the
Presidency had been an independent organ of the State in these matters, the federating States could have
looked up to it to defend their autonomy.
• It has been stated earlier that when the then President of India, Neelam Sanjiva Reddy, strongly favored for
greater autonomy for the States, his authority was questioned. Even the Prime Minister, Jawaharlal Nehru,
expressed his view that the power really vested in the Ministry and in the Legislature and not in the President
as such. This view about the position of the President vis-a-vis the Council of Ministers was also shared by
the Supreme Court.
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National Power

Main Features of National Power

Methods of Exercising National Power:

Comprehensive National Power

(b)Human Capital-Generally, human capital is expressed in the number of years of education

(d) Capital Resources

Military Resources-Military power is an important part of CNP. It reflects the abilities of a

Understanding Hard, Soft and Smart Power

Soft Power Actors

The Effectiveness of Soft & Hard Power in Contemporary International

What determine the effectiveness of soft power?

How Characteristics of the contemporary world order weaken

Blur borders between hard power and soft power

Weakness of soft power

Forms of Power in Global Politics

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Joseph Nye’s Soft Power

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Nye’s soft power theory invites criticism

• It is designed to protect international peace and security against war and

It is based on the principle, ‘Aggression against any one member of the

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A. Device of uneven Power Management of Anarchic worl

Ideal Conditions for the Success of Collective Security

1. Consensus on the de nition of Aggression

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6. Popularization of peaceful means of con ict resolution

Di erence between Collective Security and Collective Defence

Dissimilarities between Collective Security and Collective

• Collective Defence is a limited or group system, whereas Collective Security is a

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Collective Security and Balance of Power:

1.Similarity in Method - Both accepts utility of war, force although CS is more

1. Balance of Power is a Competitive System Collective Security is a Cooperative

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The operation of Collective Security necessitates the existence of an international

UN Collective Security System

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Criticism Against Collective Security:

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S.Krasner outlined ‘The most prominent contemporary NGOs are multinational

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• MNCs serve national interests of home countries as instruments of global economic

Theoretical basis of MNCs

• The Marxist tradition considers MNCs as the instrument of exploitation and as an

• In today’s world, it could be argued that the combination of these three

• In order to minimize the negative impact of MNCs

• Government interventions through nationalization,

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• Government participation and government initiation of joint development projects.

• Furthermore, governments have to maintain control over tax revenues, in ation

• Host countries may place restrictions on the ownership and behavior of

New theories of international relations such as the “complex interdependence” of Robert

• NGOs create and/or mobilize global networks by creating transnational organisations,

• Mingst, K. (1999). In his book Essentials of International Relations argued They

• They facilitate inter-state cooperation by preparing background papers and reports,

• They also enhance public participation within states by reminding government

• As a by-product of intensi ed globalization process, NGOs which operate at

closely coordinate their policies and to constitute (or reconstitute) themselves as

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Debate between Neo Realist and Neo Liberals

• Neo-liberals are more concerned with economic welfare or international political

Neo-realists argue over regime