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Approach Answer: General Studies Mains Mock Test 1-(403) (2014)

1.

Indian constitution is a borrowed constitution. Evaluate.

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Approach:
Give your verdict as to what extent the statement that Indian Constitution is a borrowed constitution, is
true and whether you agree with this assertion. Take evidence from sources, which both support and
contradict the assertion. Thereafter come to a conclusion, basing your decision on what you consider to
be the most important factors and try to justify the stand you have taken.
Answer:
Though the framers of the Constitution of India borrowed many ideas from the then existing
Constitution, but this was not a slavish imitation of the west. Rather, each provision of the Constitution
had to be logically defended and argued upon to show how it was suited to the problems and aspirations
of the citizens of India.
While our constitution has been called as a borrowed Constitution by some, its framers, as a matter of
fact, must be credited for gathering the best features of each of the then existing Constitutions and
modifying them with a view to avoid the faults that had been disclosed in their working. Moreover, the
Constitution was adapted to suit to the existing condition and needs of the country.
Further, the constitution of India is unique in so many ways that it becomes difficult to fit it in any one
particular model. For instance, it is a blend of rigidity and flexibility, federal and unitary features,
presidential and parliamentary democracy etc.
While the structural part of the constitution, was to a large extent, derived from the Government of India
Act, 1935; its philosophical part had many other sources:
U.K.: Nominal Head-President, Cabinet system of ministers, Post of Prime Minister, Parliamentary type of
government, Bicameral Parliament, the Lower House being more powerful, Council of Ministers
responsible to Lower House, Speaker in Lok Sabha.
USA: Written constitution, Executive head of state, known as President and him being the supreme
commander of armed forces, Vice President as the ex- officio chairman of Rajya Sabha, Fundamental
Rights, Supreme Court, Provision of States, Preamble, Independence of judiciary and judicial review.
USSR: Fundamental Duties, five year plan.
Australia: Concurrent list, Language of Preamble, Provision regarding trade , commerce and intercourse
Germany: Suspension of fundamental rights during emergency
Canada: Scheme of federation with strong centre, Distribution of powers between centre and the states
and placing residuary powers with the centre
Ireland: Concept of Directive Principles of States Policy, Method of election of President.

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Despite these, examples of modifications and innovations in Indian constitution abound. Consider, for
instance, the following features of the Indian Constitution:
1. The Indian Constitution is a unique blend of rigidity and flexibility: Though Indian constitution is a
written constitution, it is not as rigid as the American constitution.
2. Judicial Review: Judiciary in USA has absolute power of judicial review, whereas Britain has
Parliamentary supremacy. Indian Constitution effects a compromise between the Doctrines of
parliamentary Sovereignty and judicial supremacy.
3. Fundamental rights though influenced by USAs Bill of Right have certain differences:
Unlike fundamental rights mentioned in the Indian Constitution, declarations in the American Bill
of Right are absolute
There are no unenumerated rights under our constitution. Fundamental Rights under our
Constitution are exhaustively enumerated in Part 3 of the constitution
4. Besides these, we have also many indigenous and innovative features like Panchayats, international
peace, and security.
Thus, while some ideas may have been borrowed from other constitutions of the world, it may not be
correct to call the Indian Constitution as a borrowed constitution per se.

What do you mean by parliamentary privileges? Discuss the constitutional provisions regarding them.
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Approach:

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Explain what is meant by privileges in general and Parliamentary Privileges in particular.

Mention constitutional provisions regarding Parliamentary privileges.
Since the question asks you to discuss only the Constitutional provisions regarding them, it is best
not to offer your personal suggestions or include your own views on this issue.
It would be best not to criticize the concept, even if some incidents in the past highlight their misuse.
Nor would it be suitable to show Parliamentarians in poor light.

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Privilege means a special or exceptional right or freedom or an immunity enjoyed by a particular

class of persons or some individual. Thus it can be defined as a right, which others do not have.
Parliamentary Privileges are described under article 105 as powers, privileges, etc., of the Houses of
Parliament and of the members and committees. Article 194, which is an exact reproduction of
Article 105, deals with the State Legislatures and their members and committees.
It guarantees to every member, freedom of speech in Parliament, and grants immunity from
proceedings in any Court of law in respect of anything said, or any vote given by him in Parliament or
in any of its Committees.
A similar immunity is granted in respect of any publication under the authority of either House of
Parliament of reports, papers, votes or proceedings.

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Answer:

Significance of Parliamentary Privileges

To enable Parliament to discharge functions properly the Constitution confers on each member of
the Houses certain rights and immunities and also certain rights and immunities and powers on each
house collectively.
Individual members enjoy privileges because the House cannot perform its function without
unimpeded use of the services of its members and by each House for the protection of its members
and the vindication of its own authority and dignity.

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These privileges are available to the members only when and to the extent that they are functioning as
representatives of the people in the parliament and discharging their parliamentary responsibilities.
These privileges do not exempt the members from their normal obligations in society.
Constitutional Provisions regarding Parliamentary Privileges

3.

Article 105(3) of the Constitution stipulates that, apart from the privileges mentioned in the
Constitution itself, the Parliament may, from time to time defines its privileges by law.
But so far Parliament has not been able to do much with regard to the codification of the powers,
privileges and immunities of its members, Committees and the Houses. What has been done is
included in the Rules of Procedure.
These deals mainly with two questions: Questions of Privilege, and arrest or detention of members.
When a member is arrested or detained on a criminal charge or sentenced to imprisonment by a
Court, the authority concerned should immediately inform the Speaker or the Chairman, as the case
may be, indicating the reasons for the arrest, detention or imprisonment.
A question of privilege can be raised by any member provided it satisfies the conditions laid down
for its admissibility. The matter is then referred to the Committee of Privileges if the House agrees to
that and appropriate action is taken by the House on the basis of the recommendations of the
Committee.

Examine the need of ADR mechanisms in India and comment on their efficacy in dispute redressal.

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The question is about the need and efficacy of ADR mechanisms. First and foremost one should
know what ADR mechanisms are.
The need of ADR mechanisms can be examined by highlighting the shortcomings that exist in the
formal justice system. It also needs to be explained how the ADR mechanisms curb these
shortcomings.
Thereafter, the efficacy should be examined. While doing this, the limitations that exist in the ADR
mechanisms should be discussed. A trade-off between the strengths and weaknesses would explain
whether these are effective or not vis. a vis. the formal justice system.

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Approach:

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Answer:

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To get justice through courts one has to often go through difficult and expensive procedures involved
in litigation. Moreover, there exist serious concerns regarding costs, delays and congestion in the
courts.
Dispute resolution through legal proceedings in the courts has become excessively procedural and
adversarial in nature, thereby resulting in undue delays, high costs and unfairness in litigation. Huge
pendency of cases has created serious implications for the trust and credibility, which the society is
supposed to have in the judicial system.
Besides this, the adversarial nature of litigation in formal courts is found to be unconducive to social
and business relationships, which need to be preserved. Thus this system neither generates a climate
of consensus, compromise and co-operation nor does it end in harmony. This state of affair often
causes dissatisfaction among disputants and creates a need for a more flexible means of dispute
resolution.

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Justice delivery system plays a fundamental role in promoting public interest and preservation of order in
the society. An effective system for resolution of disputes is essential for dispensing justice. However, the
formal justice delivery system suffers from various limitations. Consider for instance, the following:

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It is in light of these limitations that the need for Alternative Dispute Resolution (ADR) mechanisms arise.
Under ADR disputes are settled with the assistance of a neutral third person, who is generally of parties
own choice. Moreover, this person is usually familiar with the nature of dispute.
Further, the proceedings are informal, without any procedural technicalities. The process is not only
expeditious, inexpensive and confidential, but it also aims at substantial justice. The goal here is to
provide more effective dispute resolution. Thus, the availability of ADR creates more choices within the
justice system. This is how the shortcomings faced in the formal justice delivery system can be overcome
through the ADR methods.
However, despite the advantages that ADR enjoys over the formal justice system, it is not a substitute to
litigation. There exists a different set of limitations in the ADR too. For instance:

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ADR processes cannot be used in those situations where the dispute is regarding systematic injustice,
discrimination, and violation of human rights or serious frauds.
ADR processes do not set precedent, since they function in private. They seek to resolve individual
disputes. Moreover, resolution may be different in two similar cases, depending on the surrounding
conditions.
In cases that involve an extreme power imbalance between the parties, ADR processes cannot work
well. A more powerful party may coerce the weaker party to accept the unfair consensus.
In multi party disputes, ADR processes cannot work effectively, if some of the parties do not
participate.
ADR settlements do not have any educational or deterrent effect on the public, since they are settled
privately. Only courts can award punitive damages.
Many people are not aware of the existence of ADR methods. Unless they are aware they cannot use
these methods.

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A Constitution should not be amended too frequently, rather only when it becomes inevitable to do so.
How far have amendments in the Indian Constitution followed this requirement?
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So, the efficacy of ADR depends on the trade-off between its benefits and limitations. It needs to be
stressed once again that though ADR mechanisms are effective, they cannot be a substitute for litigation
and a formal justice system.

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First discuss the statement of the question. Is it justified? A preferable way of answering would be to
consider that the statement holds good. If you negate the statement, the second part of the question
will not hold much relevance.
Also give arguments in support of the stand that you are taking. Here you can also discuss the
requirement that a constitution should be dynamic in nature. However, the requirement that
changes should not be too frequent, also needs to be discussed.
Then discuss whether amendments in the Indian Constitution will pass the test of the statement
(while discussing this, you have to assume that the statement holds good.)
Also, provide examples of some constitutional amendments and discuss whether changes have been
too frequent, or only when situations arose that made these inevitable.

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Approach:

Answer:
It is generally accepted that a Constitution should be a dynamic document. It should be able to adapt
itself to the changing needs of society. Sometimes under the impact of new powerful social and
economic forces, the pattern of government requires major changes. As political practices change over
time, adjustments to the constitutional text keep it aligned with current practices and help ensure its
continued relevance. Constitutional change also gives the citizenry a say in how they are governed.

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However, it must also be realized that the Constitution is not an instrument for the government to
restrain the people. Rather it is an instrument for the people to restrain the government. If a Constitution
is changed too often, it may lose its importance, since the safeguards present may be gradually undone
by amendments. This could make the Constitution seem like any other law, and lead to erosion of its
power. Thus, the basic ideas -- separation of powers, checks and balances, limited government etc. must
be necessarily preserved.
The system of government we have, has plenty of flaws because it is run by people. But the flaws can
also be fixed without changing the Constitution. As Pt. Nehru appropriately said, "The Constitution
should not be changed too frequently. It must be changed when the situation requires it to be changed".
Keeping these factors in mind, the draftsmen of the Indian Constitution incorporated Article 368 in the
Constitution. This article deals with the procedure of amendment of the Constitution. It is due to Article
368 that the Indian Constitution can neither be called rigid nor flexible, rather partly rigid and partly
flexible.
Articles of the Indian Constitution can be amended through:

a simple majority in the Parliament;

special majority i.e. majority of the total membership of each house and majority of not less than
two thirds of the members of each house present and voting;
ratification by atleast half the State Legislatures, in addition to special majority.

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The 52nd amendment to the Constitution added the Tenth Schedule, which laid down the process by
which legislators may be disqualified on grounds of defection. The main intent of the law was to
combat the evil of political defections, which arises due to coalition politics.
The introduction of the 73rd Constitutional Amendment Act institutionalized the Panchayati Raj
System. It unleashed the power of the grassroots, providing representation to voiceless and
disadvantaged sections. Thus it initiated Indias largest exercise in democratic decentralization.

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Examples of a few major amendments, responding to needs of citizen and society:

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Some of the amendments have definitely improved the content and quality of the constitutional
document in the context of the changed and changing societal, economic or political needs. Others were
either inevitable or consequential for implementation of policy decisions. However, there have also been
quite a few which were avoidable, unnecessary or motivated by merely political and partisan interest
considerations of the ruling majority party (for instance, the 42nd amendment act). In principle, the
Constitution must never be subjected to easy amendments by temporary party majority in legislatures.

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It needs to be understood that the growing disenchantment among public, relating to governance, calls
for remedies other than constitutional amendments. The most important areas of reforms, in the
electoral laws and processes and in political parties, for example, need no constitutional changes. If there
is political will legislation can be passed to address the concerns as and when the need arises.

5.

Discuss the mechanisms available for public engagement in the legislative processes in India and
suggest some ways through which the engagement can be enhanced.
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Approach:

Discuss briefly the importance of public participation in legislative processes.

Mention different stages of legislative process and mechanisms of public participation available in
each.
Discuss few measures through which public participation in the legislative process could be
enhanced.

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Answer:
Citizens ability to participate in the legislative process is fundamental to democracy. Public engagement
in the legislative process not only results in better laws but also leads to fewer amendments. Democratic
governments provide for public engagement in lawmaking through consultations. The public may engage
in the following three stages in the legislative process:

the pre-legislative stage, when the proposed law is in draft form prior to its introduction in the
Parliament;
the legislative stage, which begins from the time the Bill is introduced and ends once it is passed; and
the post-legislative stage, which begins when the Bill is enacted.

Pre-legislative Stage
Legislation may either be initiated by stakeholders, or from within the government. Some Bills, such as
the Right to Information Bill (now an Act) and the Jan Lok Pal Bill, were drafted by civil society groups.
Public participation regarding draft Bills is not statutorily mandated. However, the government has been
taking various steps to increase public engagement.
In some cases the government has invited stakeholders to consultations on proposed bills. For instance
the Department of Information Technology had invited experts for consultations on the draft Electronic
Service Delivery Bill, 2011. The Ministry of Finance had held regional consultations over the draft direct
tax code.

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Legislative Stage

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Public participation during legislative stage may be conducted through Parliamentary Committees. Prior
to1993, Bills were occasionally referred to ad-hoc Joint or Select Parliamentary Committees. Since then,
Department Related Standing Committees (DRSCs) have been established to scrutinize Bills. There are 24
DRSCs that cover all ministries of the central government. Once a Bill is introduced in Parliament, it may
be referred to a DRSC.

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Committees publish notices seeking suggestions within a specified timeframe. In most cases, a period of
15 days is provided to send comments. The level of public engagement with standing committees varies
with different Bills.

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Post-legislative Stage

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Scrutiny of current laws is not mandatory in India. However, mechanisms exist for undertaking review of
laws. Various Commissions, such as the Law Commission, conduct review of legislation. Since its
establishment in 1956, the Law Commission has submitted 236 reports. The Commission identifies laws
that require amendments or repeal. In preparing its review of laws the Commission circulates its draft
analysis amongst the public and invites comments. It also organizes seminars and workshops in different
parts of the country to elicit opinion on proposed strategies. In 2011 the Commission released a
questionnaire on its website for the public to send comments on 498A of the Indian Penal Code, 1860.
The National Human Rights Commission was established to review legal safeguards to human rights. It
holds consultations with NGOs and experts on human rights issues.
The Second Administrative Reforms Commission was established to revamp the public administration
system. The Commission reviewed several laws and consulted various stakeholders in preparing its
reports, such as its reports on Right to Information, 2006 and Public Order, 2007.
Some recommendations for increasing public participation in the legislative process were made by the
National Commission to Review the Working of the Constitution in its Report in 2002.

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The Commission suggested that draft Bills should be subjected to thorough and rigorous examination
by experts and laymen alike. The proposed legislations should be circulated for public discussion
among professional bodies, business organisations, trade unions, academics and other interested
persons.
It also recommended that all Bills should be referred to DRSCs for consideration and scrutiny after
public opinion has been sought over the Bill. It was of the opinion that DRSCs may schedule public
hearings, if necessary.

Apart from the above suggestions, there are many ways in which the government can deepen public
engagement in the legislative process.

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First, ministries can be mandatorily required to publish the draft Bill for a reasonable time and
publicise it through different media.
Second, it should be compulsory to refer a Bill to a DRSC or select committee for scrutiny. This could
be at both the pre-legislative stage and the legislative stage. These committees should be required
to hold wide consultations with a variety of stakeholders (NGOs, state and local governments, special
interest groups, academics and legal experts). Public participation may be facilitated by increasing
access to constituency offices, using a variety of media outlets to publicize the Bill and creating
public participation offices that can interface with the public.
Third, in order to increase transparency in the feedback process, the government could be required
to publish a report demonstrating how the inputs from stakeholders have been considered while
formulating the law.
Fourth, most Acts should be subject to a post legislative scrutiny through public engagement every
three to five years. This could be carried out if each Bill includes an Explanatory Note giving the
criteria or outcomes by which the Bill could be judged for effectiveness. This responsibility could be
given to a specialised committee.

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Such measures will result in robust legislations, which shall need lesser amendments and will be
successful in achieving the objective with which that legislation was enacted.

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The terms of reference (ToR) of the 14th Finance Commission have been loaded with more and more
responsibilities in the fiscal, economic and social areas. Does this raise questions about dilution of its
core functions?
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Write briefly about Finance Commission Article 280. Also mention its primary/core functions.
Mention the ToR of the 14th Finance Commission to highlight how they have been loaded with even
increasing responsibilities.
Now discuss whether this dilutes its core functions. The following answer discusses both sides of the
argument.

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Answer:
Article 280 of the Constitution provides for setting up of a Finance Commission every five years to
suggest how net proceeds of taxes are to be divided between the Union and states and subsequently
among the states.
While the core function of the Finance Commission is to determine the distribution of tax proceeds
between the centre and the states, the principles governing grants-in-aid to States and transfer of
resources to the States; any other matter in the interest of sound finance can also be referred to it.
However, it has been argued for some time now that the responsibilities of Finance Commissions have
been changing, particularly after the 11th Finance Commission. Some have argued that they are being

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loaded with ever increasing responsibilities, diluting their core functions. That they are being mandated
to work in the field of fiscal responsibility and budget management acts, has also been a matter of
debate. For instance, the Thirteenth Finance Commission was given the important job of preparing a
fiscal consolidation roadmap.
The Fourteenth Finance Commission (FFC), under the chairmanship of Y.V. Reddy, a former Governor of
RBI, has also been constituted with an excessively ambitious agenda. Consider, for instance, the
following:

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The FFC is expected to suggest changes to the Fiscal Responsibility and Budget Management (FRBM)
Act.
It is also expected to assess the impact of the proposed goods and services tax (GST) on government
finances and suggest a mechanism to compensate states for revenue losses, if any.
It would also need to deliberate on the potential for additional resource mobilization to boost tax-togdp ratio of centre and states.
Further, the FFC has also been asked to look at the need to insulate the pricing of public utility
services - drinking water, irrigation, power and public transport from policy fluctuations through
statutory provisions.
Still further, the FFC has been asked to look at the level of subsidies needed for inclusive growth, as
well as equitable sharing of subsidies between the Centre and the states.
It has also been asked to suggest measures to tackle challenges in ecology, environment and climate
change.
The FFCs other terms of reference include such items as the need for making public sector
enterprises competitive, divestment, and listing and relinquishing ownership of non-priority
enterprises.

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While most of these issues impact public finance, but it has been argued that the FFC need not be
burdened with some of these lest its primary function is diluted. Moreover, a few tasks like calculating
the level of subsidies needed and figuring out how to insulate the pricing of public utilities from policy
fluctuations can also turn out to be contentious. Also, it is public policy that needs to determine the
pricing of public utility services, like drinking water, irrigation, power and public transport, rather than
the Finance Commission. The government should not abdicate its duty to adopt sensible policy to any
other agency.

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On the other hand, there is also the argument that though the ToR of FFC are wide ranging, there is
nothing wrong with this per se. This is because, despite its wide-ranging ToR, the core functions of the
Finance Commission have not been diluted. In fact, two other core issues need to be addressed by the
FFC. The widening inequality in growth and consequently, in per capita income across States have
increased inequalities in fiscal capacity. Second, the uniform fiscal deficit targets that States have opted
for under their fiscal responsibility legislations have most probably resulted in compressed development
expenditure. The FFC is expected to recommend steps to safeguard the autonomy of States in fiscal
matters and specifically suggest ways to overcome the restrictions imposed by stiff fiscal targets without
sacrificing fiscal prudence.

7.

How can Directive Principles be seen as both complementary and supplementary to Fundamental
Rights?
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Approach:

First discuss the nature of both FR and DPSP briefly.

Thereafter analyze whether FR and DPSP are indeed both complementary and supplementary to
each other or not.
Support the answer with the help of suitable examples.

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Answer:
The emphasis in the entire scheme of the Constitution under the headings of the Fundamental Rights
and the Directive Principle is on building an egalitarian society and on the concept of socio-economic
justice. However, there are some basic differences between the fundamental rights and the directives.

The fundamental rights contained in Part III deal with justice in its dimensions as individual, political
and civil rights, while directive principles contained in Part IV, spell out justice at the social level and
deal with social and economic progress.
Fundamental rights operate as a source of restriction on the powers of the State. The powers of the
state are subject to those rights. Directive principles, on the other hand, are incorporated in the
Constitution to guide the State in matters of legislation and administration. They can be treated as
provisions that streamline the legislative and administrative activities of the State.

Thus Fundamental rights and directive principles represent the negative and positive aspects of State
obligations. As a sequel to such a difference, the Constitution also provides that the fundamental rights
are enforceable through courts of law while the directive principles are outside the pale of judicial
enforcement. In short, fundamental rights and directive principles differ in colour, content and character.

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In spite of all these differences between them, there is a common thread running through fundamental
rights and directive principles. They have a common origin and share common objectives i.e. to ensure
the welfare of the society envisaged by the Preamble. lt cannot be disputed that both strive for justice.
Directive Principles deal with the concept of justice at macro level while fundamental rights lay down the
concept at micro level. Further, directive principles form the distributive aspect of justice while
fundamental rights constitute its corrective aspect .Thus both complement each other.

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Right to life includes the right to enjoy pollution free water, air and environments. The court has
derived this right by reading article 21 with article 48A.
Right to education under article 21A is to be understood with reference to directive principles
contained in article 41 and 45.

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Mostly, directive principles have been used to broaden and to give depth to some fundamental rights
and to imply some more rights therein for the people over and what are expressly stated in the
fundamental rights. For instance by reading article 21 with the directive principles, the Supreme Court
has expanded the horizon of article 21 and derived there from different rights of the citizen. Some of
them are;

Discuss the need of committees in the Indian parliament. Also elaborate their types and structure.

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Thus both fundamental right and Directive Principle aim at the same goal of bringing about a social
revolution of a welfare state and complement and supplement each other towards this goal.

Discuss need of committees in parliamentary system and briefly discuss their importance.
Discuss types of committee and briefly discuss their role and structure.

Answer:
The work done by the Parliament in modern times is not only varied and complex in nature, but also
considerable in volume. The time at its disposal is limited. It cannot, therefore, give close consideration
to all the legislative and other matters that come up before it. A good deal of its business is, therefore,
transacted in Committees of the House, known as Parliamentary Committees.

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These are composed of groups of Members of Parliament (MPs). These Committees review proposed
laws, oversee activities of the executive branch, and scrutinize government expenditure. Parliamentary
committees increase the efficiency and expertise of Parliament.

Their reports allow for informed debate in Parliament.

Committees also provide a forum to build consensus across party lines, help develop expertise in
subjects, and enable consultation with independent experts and stakeholders.

Committee system in India

There are broadly two kinds of committees:
a) Standing Committees; and
b) Ad-hoc Committees.
Types of Committees in the Lok Sabha and Rajya Sabha

(Committee on Estimates,
Public Undertakings, and
Public Accounts)

Exclusively under the Lok

Sabha secretariat.
A Minister is not eligible
to be a member.
Customarily, hairperson
of PAC is an Opposition
member.
PAC can hear non-official
witnesses.
Estimates
Committee
elects 30 members only
from the Lok Sabha.
The Committees on
Public Accounts and
Public Undertakings have
7 Rajya Sabha members
out of a total of 22
members.
There are 24 DRSCs.
Committees such as
Home Affairs, Finance
and External Affairs are
customarily chaired by a
member of opposition
party.
Each DRSC has 31
members, with 21 from
Lok Sabha and 10 from
Rajya Sabha.
Seats on each Committee
are allocated to parties in
proportion
to
their
strength in the House.
The Chairs of the
Committee are appointed
by the Speaker or

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Departmentally Related
Standing Committees

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Other
Committees

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(Committees
on
Agriculture, Commerce,
Home Affairs, Health and
Family Welfare etc)

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(Business
Advisory
Committee, Committee
on Petitions, Subordinate
Legislations,
and
Government Assurances,
Joint Committees on
Salaries and Allowances
of MPs and Office of
Profit)

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Public
Accounts
Committee
(PAC)
scrutinises
the
statement
of
accounts showing
the sums granted by
Parliament for the
expenditure of the
government.
Estimates
Committee
examines estimates
of ministries.
Public Undertakings
Committee (PUC)
examines
functioning
of
public undertakings
Departmentally
Related
Standing
Committees (DRSCs)
were introduced in
1993 to ensure
oversight over each
ministry.
Each House has a
set
of
these
Committees,
to
inquire into other
matters related to
Parliament and the
day-to-day business
of the House.

Financial Committees

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Standing
Committees
Description

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Committees on Ethics,
MPLADS, and Provision of
Computers
to
LS
Members,
Joint
Committees on Wakf,
Railway
Convention,
Fertiliser Pricing etc

Appointed for a
specific
purpose
such as the Joint
Committee
to
examine pricing of
telecom
licenses
and spectrum. They
cease to exist after
the task assigned to
them is over.
Lok Sabha classifies
Committees
on
Ethics, MPLADS &
Computers as Ad
Hoc Committees.

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Ad
Hoc
Committees
Description

Chairman of each House.

A Minister is not eligible
to be a member
Lok Sabha has 16
Committees and Rajya
Sabha has 12.
Number of members
varies between 7 and 26.
Some have fixed term of
one year while others are
not fixed.
Except for the Joint
Committee on Wakf, the
committees operate in
the Lok Sabha.
Include members from
both Houses and the
number varies between
10 and 30.

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low attendance of MPs at meetings;

too many ministries under a committee;
norms not followed by most political parties while nominating MPs to committees; and
the constitution of DRSCs for a year leaves very little time for specializations.

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In 2002, the NCRWC pointed out some shortcomings of the committees on the working of parliamentary
committee-

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DRSCs should be periodically reviewed. All Bills should be referred to DRSCs. They can elicit public
views and call specialist advisors. The DRSCs may finalize the second reading stage in the Committee.
Major reports of all Committees should be discussed in Parliament especially in cases where there is
disagreement between a Committee and the government.

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Recommendations of NCRWC

9.

What are the provisions announced by EC on bringing social media within the model code of conduct?
Critically evaluate this decision in the light of powers granted to EC under article 324 and the
challenges likely to arise in its implementation.
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Approach:

11

Mention the provisions announced by EC on bringing social media within the model code of conduct.
Do a critical analysis of this decision in light of Art. 324. This would mean considering different points
of view on the issue and then arriving at a conclusion from a 3rd persons perspective.

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Finally mention the challenges likely to arise in the implementation of these provisions. The part
about challenges can either be included in the critical analysis section or written as part of the
conclusion.

Answer:
Provisions announced by the Election Commission of India (ECI)

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The Election Commission of India issued a set of guidelines regarding the use of social media in
election campaigning. These were necessitated by the flouting of the provisions of electoral laws,
which jeopardized the constitutional mandate of free and fair elections.
Further, the Commission issued detailed guidelines on social websites such as Twitter, Facebook and
YouTube. These made it mandatory for all candidates to not only declare their official accounts on
different social media websites, but also seek the Commissions permission before advertising on
such platforms.
Still further, the Election Commission also asked candidates to declare the expenditure incurred on
running social media campaign and accounts.
The ECI also announced that any kind of social media advertisement would be included in the
election expenditure of the candidates.
Candidates appearing for election need to provide details of their social media accounts to file
affidavits in Form-26 at the time of filing of nominations.
Candidates also need to get pre-certification of political advertisements from Election Commission
before they are distributed through social media.
The provisions of model code of conduct and related instructions of the Commission issued from
time to time shall also apply to the content being posted on the Internet, including social media
websites, by candidates and political parties.
When considering the content posted by individual persons other than candidates and political
parties, the Commission should consider practical ways to deal with the issue.

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The instructions/orders issued by the Election Commission of India under Article 324 of the
Constitution appear to be encroaching upon legislative power of Parliament. (Article 324 of the
Constitution of India vests in the Election Commission of India (ECI) the power of superintendence,
direction and control of conducting the elections to both Houses of Parliament and State Legislature
as well as to the offices of President and Vice-President of India.)
The Parliamentary Standing Committee on Personnel, Public Grievances, Law and Justice stresses
upon the government that such instructions/orders issued by ECI may be suitably incorporated in the
Representation of People Act.
The Election Commission has created a new law, which has not been passed by the Parliament.
While the government always makes rules in consultation with the Election Commission, but the
Commission did not deem it fit to consult the government or political parties in issuing instructions,
which are in the nature of a substantive law.

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Critical Analysis

Challenges:

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It is difficult to handle social media particularly when Election Commission, so far, has issued orders
only for tackling the online accounts of candidates and political parties and hence there is a big
loophole.
Making the candidates and political parties to provide all expenditure on campaigning, including
expenditure on advertisements on social media, both for maintaining a correct account of
expenditure and for submitting the statement of expenditure will be difficult task.

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Vision IAS

10.

List five important child rights. Also, examine the role of NCPCR in protecting the rights of children in
India.
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Approach:
Mention any five-child rights. Then look in close detail and identify important issues on how far NCPCR
has been successful in protecting the rights of children in India.
Answer:
Rights of Children

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the right to survival;

the right to develop to the fullest;
protection from harmful influences, abuse and exploitation;
the right to participate fully in family, cultural and social life.
the right from birth to a name, the right to acquire a nationality and. as far as possible, the right to
know and be cared for by his or her parents.
right of the child to preserve his or her identity, including nationality, name and family relations as
recognized by law without unlawful interference
The child must be given the means requisite for its normal development, both materially and
spiritually.
The child that is hungry must be fed, the child that is sick must be nursed, the child that is backward
must be helped, the delinquent child must be reclaimed, and the orphan and the waif must be
sheltered and succored.
The child must be the first to receive relief in times of distress.
The child must be put in a position to earn a livelihood, and must be protected against every form of
exploitation.
The child must be brought up in the consciousness that its talents must be devoted to the service of
its fellow men.

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The National Commission for Protection of Child Rights (NCPCR) emphasizes the principle of
universality and inviolability of child rights and recognizes the tone of urgency in all the child related
policies of the country. Protection of all children in the 0 to 18 years age group is of equal
importance, thus, policies define priority actions for the most vulnerable children.
This includes focus on regions that are backward or on communities or children under certain
circumstances.
The NCPCR believes that while in addressing only some children, there could be a fallacy of exclusion
of many vulnerable children who may not fall under the defined or targeted categories. I
In its translation into practice, the task of reaching out to all children gets compromised and a
societal tolerance of violation of child rights continues. This would in fact have an impact on the
program for the targeted population as well.
NCPCR considers that it is only in building a larger atmosphere in favour of protection of children's
rights, that children who are targeted become visible and gain confidence to access their
entitlements.
Likewise, for the Commission, every right the child enjoys is seen as mutually-reinforcing and
interdependent. Therefore the issue of gradation of rights does not arise.
A child enjoying all her rights at her 18th year is dependent on the access to all her entitlements
from the time she is born. Thus policies interventions assume significance at all stages. For the
Commission, all the rights of children are of equal importance.

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The role of NCPCR

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11.

Analyse the key issues of the Representation of the People (Amendment and Validation) Bill, 2013 that
was passed in the Lok Sabha recently.
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Approach:

Firstly write down why the amendment is being introduced

Then write the relevant provision of original RPA which is being amended
Then write down the Supreme Court decision regarding this provision
Finally write down the changes being introduced by the amendment

Answer:

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The Representation of the People (Amendment and Validation) Bill, 2013 seeks to amend the
Representation of People Act, 1951 (RPA, 1951) which will amount to negating the Supreme Court
order banning those in jail and police custody from contesting elections.
The RPA, 1951 states that any contestant to an election to legislative bodies has to be an elector,
i.e., his name should be on the electoral roll. Another provision in the RPA, 1951 says that anyone in
prison or on the lawful custody of the police (other than preventive detention) is not entitled to vote.
The Supreme Court concluded that a person in jail or police custody is not entitled to vote, and
therefore, is not an elector, and thus, cannot contest elections. This amendment Bill seeks to address
the situation arising out of the Supreme Courts judgment.
The two key changes brought about by the Bill are:
o Even if a person is prohibited from voting due to being in police custody or in jail, as long as his
name is entered on the electoral roll he shall not cease to be an elector. This implies that he can
file nomination for an election.
o The definition of disqualified in the Act has been amended. The amendment adds a ground to
the definition that the disqualification has to be due to conviction for certain specified offences
and can be on no other ground. Conviction for one of these offences would result in the persons
name being removed from the electoral roll and he would cease to be an elector.

The Constitution of India embraces the idea of separation of powers in an implied manner. Elucidate.
10
Approach:

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Very briefly write about separation of power

Explain that, there are no specific provisions (articles) to demarcate the powers between three
organs of state.
Yet there are few provisions (articles) which reasonably provide idea of separation of powers.
Briefly discuss that here there are overlapping functions between organs and therefore doctrine of
checks and balances is applied.

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Theme- Constitution of India does not provide the idea of separation powers in absolute form, but have
the provisions for a reasonable separation of powers between the three organs of Government.

Answer:

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In Indian constitution, there are no express provisions recognizing the doctrine of separation of
powers in its absolute form. As observed by H.J. Kania ( 1st CJI) - Although in the constitution of
India there is no express separation of powers, it is clear that a legislature is created by the
constitution and detailed provisions are made for making that legislature pass laws. Does it not imply
that unless it can be gathered from other provisions of the constitution, other bodies-executive or
judicial-are not intended to discharge legislative functions? There are few provisions (articles) which
reasonably provide the idea of separation of powers which are discussed below:

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Vision IAS

Discuss the institutions involved in the resolution of disputes related to environmental issues.

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13.

Constitution vested the executive power in the President and Governor by Articles 53(1) and 154(1)
respectively. Similarly, through provisions like Articles 123, 213 and 357, the Constitution intends that
the powers of legislation shall be exercised by the legislature. Similarly, the judicial powers can be
said to be vested with the judiciary.
Article 50 lays down that the state shall take steps to separate the judiciary from the executive.
Though Indian constitution has reasonable provisions of separation of powers, but there exists
functional overlapping between the organs. E.g. The President being the head of the Union exercises
his powers constitutionally on the aid and advice of the Council of Ministers. On the other hand, he is
given exclusive legislative powers for the making and promulgation of ordinances even during the
course of recess of Parliament.
Besides the functional overlapping, the Indian system also lacks the separation of personnel amongst
the three departments. An inevitable part of a Parliamentary system of government, this can be seen
under Article 75(5) of the Constitution which states that a person in order to be a member of the
Council of Ministers must necessarily be a member of either House of Parliament.
Further, the Constitution of India expressly provides for a system of checks and balances in order to
prevent the arbitrary or capricious use of power
The above mentioned provisions clearly indicate that the Indian Constitution in its plan does not
provide for a strict separation of powers. Instead, it creates a system consisting of the three organs of
Government and confers upon them both exclusive and overlapping powers and functions combined
with checks and balances.

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Straight forward question.

Briefly write about increase in environmental disputes,
Then discuss various institutions involved in dispute redressal mechanism of environmental issues.

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Answer:

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National Green Tribunal (NGT) - for effective and expeditious disposal of cases relating to
environmental protection and conservation of forests and other natural resources. It is a specialized
body equipped with the necessary expertise to handle environmental disputes involving multidisciplinary issues. The Tribunal is not bound by the procedure laid down under the Code of Civil
Procedure, but is guided by principles of natural justice. The Tribunal's dedicated jurisdiction in
environmental matters provides speedy environmental justice and helps reduce the burden of
litigation in the higher courts.
Pollution Control Boards (PCBs) [Central (CPCB) and State Pollution control boards (SPCB)], and
Pollution Control Committees (PCC)- environment legislations have provided for an elaborate
administrative machinery to deal with matter pertaining to environmental pollution. These
institutions are responsible for implementing the legislation related to prevention and control of
pollutions.
The Green Bench in higher judiciary (earlier known as forest bench) though environmental cases
are transferred to National Green Tribunal, Green Bench will oversee matters relating to sanctuaries
and national parks as wildlife is not part of the NGT's jurisdiction.

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The very serious threats posed to environment in the country as a result of rapid population growth and
urbanisation, expanding infrastructure, industrial pollution, air pollution, water pollution, depletion of
natural resources including over-fishing, desertification and loss of bio-diversity, has led to the
voluminous litigations pending in all courts of the country. Most of the litigations are pending before
Supreme Court. To provide alternative solutions to these issues, government of India established many
institutions. Few institutions are discussed below:

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14.

The Ministry of Environment & Forests (MoEF)- The primary concerns of the Ministry are
implementation of policies and programmes relating to conservation of the country's natural
resources including its lakes and rivers, its biodiversity, forests and wildlife, ensuring the welfare of
animals, and the prevention and abatement of pollution. It plays major role in providing the solution
to Environmental issues.

Compare pressure groups in India with those in the west.

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Approach:

Briefly write why there are differences

Then write the differences.

Answer:
Within western countries there are differences between Presidential and Parliamentary form of
government. India though a parliamentary democracy differs from west in terms of developmental
levels. Therefore there are some differences in the role of pressure groups. Some of the differences are:

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The American pressure groups are regarded as the fourth organ of the government but the Indian
pressure groups are not yet able to play such significant role in politics.
In India and Great Britain the cabinet and civil service are the main targets of pressure groups for
lobbying purposes rather than the parliament. However, the targets of American pressure groups are
the Congress and its committees rather than the President for lobbying purposes.
Indian pressure groups based on caste, religion, region, etc. are more powerful than the modern
groups like business organisations.
A significant feature of American pressure groups is that in the USA, pressure groups take interest in
foreign policy issues while in India, pressure groups do not seem to have interest in foreign policy
matters. Comparatively, the Indian pressure groups are concerned more with domestic policy issues
and problems, and less with foreign policy matters.

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While in theory, the Cabinet is dependent upon Parliament, in practice it is the master of Parliament.
Comment.
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However in general, despite the differences, democratic politics presupposes the crucial role of pressure
groups for serving the interests of different sections of society.

Briefly introduce Cabinet and Parliament

Explain the theoretical relationship between Cabinet and Parliament
Discuss the practical relationship between both.
You can take the opposite view of the statement. (Here only above 2 relationships are taken up. You
can argue in the opposite by taking this reverse view.)
Conclude with your view.

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Approach:

Answer:

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India adopted parliamentary form of government, where Council of Ministers headed by Prime
minister form the executive, who are drawn from the legislature that is Rajya Sabha and Lok Sabha.
(dont go on technical differences between cabinet and council of ministers)

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om

Rajya Sabha is not a secondary chamber but a second chamber of the Parliament. Examine.

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Introduce the criticism of Rajya Sabha as a secondary chamber, with justification.

Then take counter view that Rajya Sabha is not a secondary chamber, to justify use power and
functions of Rajya Sabha, in comparision with Lok Sabha.
Conclude with your view.

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Approach:

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Under the Parliamentary system of government, the Cabinet are dependent on Parliament in the
following ways:
o Art.75(3)- council of ministers are collectively responsible for Lok Sabha
o Answerability- Both the houses exercise control over the executive through asking questions,
discussing matters of urgent public importance, moving call- attention notices and adjournment
motions
o by appointing various committees such as public accounts committee, estimates committee,
committee on public undertakings
o Financial control- the executive cannot spend public revenue or levy taxes without the sanction
of Parliament.
o Legislative control- Most of the legislation are initiated by cabinet, but needs parliament
approval for passing the bill
But in practicality, powers of Parliament have been usurped by the cabinet. Increase in the power of
cabinet makes Parliament subservient. Parliament is controlled by the body which it was intended to
control, due to following reasons:
o With a stable strength of governing party in parliament, the Cabinet, in reality, becomes the
leader of Parliament.
o The party system - top leaders, which are generally in cabinet, determine all decisions.
o Anti defection law (issuing of whip)
o Cabinet consists of senior leaders of party, which enjoys the majority in Parliament, have
influence in party.

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The Rajya Sabha or Council of States is the upper house of the Parliament of India. It has been
criticised as secondary chamber, because of
cannot make or unmake governments (it cannot pass a motion of no confidence )
o no control on Money and certain Financial Bills
o Disadvantageous position because of its small membership which is just the half of the
membership of the Lok Sabha, in case of joint session.
Except for above mentioned points, Rajya Sabha is not a secondary chamber, because it plays an
important and equal role of that of Lok Sabha in following matters:
o in the field of ordinary legislation.
o with regard to constitution amendment.
o in the approval of emergency proclamation.
o in the impeachment of President and judges of both Supreme and High courts.
In fact in few cases, Rajya Sabha enjoys the exclusive powers, which are not with Lok Sabha. They
are:
o Can enable the Parliament to make laws with respect to any matter enumerated in state list.
(Art.249)
o In the creation of new all India services. (312)
o Approval or extension of emergency while Lok Sabha is not in session or under dissolution.
o Initiation of removal of vice-president.

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Answer:

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17.

Though it has less powers in few matters, it plays very important role in Indian democracy. Hence it is
not secondary chamber rather second chamber of Indian Parliament.

Pressure groups ensure that an individual's democratic rights are not confined just to the act of voting.
Discuss.
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Approach:

Introduce by defining pressure groups.

Then discuss how pressure groups facilitate citizens involvement in democracy- through education,
representation, policy formulation, policy implementation etc.

Answer:
A pressure group is an organized group of people that aims to influence the policies or actions of
government. The pressure group universe may include churches and charities, businesses and trade
associations, trade unions and professional associations, think tanks of various complexions, and so
forth.
Pressure groups help in citizens participation in democracy in following ways:

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Representation: Pressure groups provide a mouthpiece for groups and interests that are not
adequately represented through the electoral process or by political parties.
Education: Much of what the public knows about politics it finds out through pressure groups of one
kind or another. Many pressure groups, indeed, operate largely through their ability to communicate
with the public and raise political consciousness.
Policy formulation: Pressure groups are a vital source of information and advice to governments.
Many groups are therefore regularly consulted in the process of policy formulation, with government
policy increasingly being developed through policy networks.
Policy implementation: The role of some pressure groups extends beyond trying to shape the
content of public policy to playing a role in putting policy into practice.
Pressure groups keep government in touch with public opinion between elections.
Pressure groups give a political voice to minority groups and articulate concerns that are overlooked
by political parties.

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Elaborate the functions and structure of Nyaya Panchayats. Also discuss how it works at the grass-root
level for the dispensation of justice.
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Democratic politics has to be politics through consultation and negotiation. The society has become
highly complex and individuals cannot pursue their interests on their own. Pressure groups ensure that
an individual's democratic rights are not confined just to the act of voting.

Approach:

18

Brief introduction of Nyaya Panchayats.

Briefly write the structure
Functions or objectives of Nyaya Panchayats
Analysis of its working at the grass-root level.

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Answer:

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"The practice of treating governors as political football must stop". Elaborate the measures suggested
by the second commission on Centre-States relations for the same.
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Nyaya Panchayats can be described as village courts. It works on principles of natural justice and tends to
remain procedurally as simple as possible. It helps in settlement of disputes at the local level, thus
speeding up of justice and decongesting mainstream courts.
Structure of Nyaya Panchayats:
o Nyaya Panchayats are constituted for every Village Panchayat area or a group of Village Panchayat
areas depending on the population and area
o Nyaya Panchayats consist of five Panchas who are elected by the voters enrolled in the voters list of
that Village Panchayat or group of Village panchayats
o Every Panch holds the office of Nyaya Pramukh for a period of one year by rotation on the basis of
seniority by age.
Functions of Nyaya Panchayats
o To provide speedy and cheap disposal of cases.
o To bring justice nearer to the grass root levels without involving the expenditure which would
otherwise have to be incurred in establishing regular courts.
o To dispose of a large number of cases and thus relieve the burden of regular courts.
o To succeed in getting a large number of cases compromised through peaceful conciliation.
o To provide better chances of conciliatory method of approach.
Though Nyaya Panchayats do not exist throughout the country, but its positives in various states can be
taken up as:
o To a large extent, they have justified their existence.
o They have brought justice to the very doorsteps of villagers which is cheap, speedy and free from
procedural techniques.
o They have helped the partiesin reaching compromise which reduced burden of the regular courts.
Yet it also suffers from limitations and defects:
o The big land holders, casteism, social and religious taboos continue to play a major role in influencing
the Nyaya Panchayats.
o Low budget reduces Nyaya Panchayats activities considerably.
o Fear of official favouritism and factionalism
o Low educational level of Panchs makes it difficult to handle Nyaya Panchayat operations.

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The given statement is a remark of second commission on centre- state relations while criticizing current
arbitrary dismissal of governors. So, start with brief description of the current procedure of removal of
governor and controversy related to it. Then write only relevant recommendations of the Punchhi
commission, namely those related to qualification, appointment and removal of the governor. There is
no need to write all the recommendations of the commission regarding governor.
Answer:
A governor is appointed by the President of India by warrant under his hand and seal. His usual term of
office is five years but he holds office during the pleasure of the President. Governorship is now
considered as a reward for political loyalists who could not be accommodated in the cabinet and pliable
bureaucrats prospecting for post-retirement employment.
The second commission on Centre-state relations, Punchhi Commission has criticised arbitrary dismissal
of governors, saying, the practice of treating governors as political football must stop. The Commission
has suggested following measures to correct the present situation:

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20.

The report is categorical that a governor be given a fixed five-year tenure.

Underlining that removal of a governor be for a reason related to his discharge of functions, it has
proposed provisions for impeachment by the state legislature along the same lines as that of
President by Parliament. This, significantly, goes against the doctrine of pleasure.
The state chief minister has a say in the appointment of governor.
Endorsing an NCRWC recommendation, it says appointment of governor should be entrusted to a
committee comprising the Prime Minister, Home Minister, Speaker of the Lok Sabha and chief
minister of the concerned state. The Vice- President can also be involved in the process.
As for qualifications of a governor, the Punchhi commission suggests that the nominee should not
have participated in active politics at even local level for at least a couple of years before his
appointment. It also agrees with the Sarkaria recommendation that a governor be an eminent
person and not belongs to the state where he is to be posted.

Compare and contrast the following:

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a) Emergency provisions of India with that of USA

b) Amendment process of the Indian constitution with that of Japan
Approach:
Straight forward question

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a) There are three kinds of emergency provisions according to the Constitution

National Emergency on the basis of war, external aggression or armed rebellion
Presidents rule - Breakdown of constitutional machinery
Financial Emergency

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Under the emergency conditions, distribution of powers changes drastically as per the kind of
emergency proclaimed.

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In the United States, there are several methods for government response to emergency situations. A
state governor or local mayor may declare a state of emergency within his or her jurisdiction. This is
common at the state level in response to natural disasters.

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The President of the United States has certain powers that may be exercised in the event that the
nation is threatened by crisis, exigency or emergency circumstances (other than natural disasters,
war or near war situations).

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There are however limits and restraints upon the President in his exercise of emergency powers.
With the exception of the habeas corpus clause, the Constitution makes no allowance for the
suspension of any of its provisions during a national emergency. Judiciary and Congress can restrain
executive during a National emergency.
b) India: The constitution is more flexible than rigid. Only the amendment of few of the provisions of
the constitution requires ratification by state legislatures and even then legislation by not less than
half of the states would suffice. The rest of the constitution could be amended by a special majority
by parliament. There is no separate constituent body provided for by our constitution for the
amending process.
Japan: Japans constitution is rigid. Article 96 provides that amendments can be made to any part of
the constitution. However, a proposed amendment must first be approved by both houses of the
Diet, by at least two-thirds majority of each house. It must then be submitted to a referendum in

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which it is sufficient for it to be endorsed by a simple majority of votes cast. A successful amendment
is finally promulgated by the Emperor, but the monarch cannot veto an amendment.

21.

Why is it that even after two decades of the 73rd and 74th Constitutional Amendments, the devolution
of powers and responsibilities to local governments remains poor and uneven?
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Approach:
Focus on two keywords-poor and uneven. Discuss the extent to which the powers and responsibilities
have been devolved to Panchayats and Municipalities and their variations across the states.
Answer:
Article 243W and 243 G envisage that powers and authority may be so devolved as to enable Panchayats
and Municipalities to function as institutions of self-government. But even though two decades have
gone by, the progress of devolution of powers and responsibilities to local governments at various levels
is poor and uneven. Various surveys of the present status of devolution reveals the following position:

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a. For devolution in most of the states, the matters listed in the Eleventh and Twelfth Schedules are
just repeated without any extra effort to take care of local needs or more subjects.
b. The number of subjects said to have been transferred varies from a few in number in some States
to the entire list as given in the Schedules in some others.
c. The progress in delineation of functions of the different tiers of local governments in any given
subject matter has also been very slow.
d. The activity mapping exercise of different tiers of local government continues to be partial and
prolonged. The draft activity mapping lists have not even been approved by the State Governments
in some cases.
e. Actions to enable local governments to exercise the functions have not been taken in most of the
states. The existing Government Departments with their executive orders and instructions, parallel
government bodies like DRDAs and this prevent the local governments from exercising the so called
transferred functions.
f. Sometimes, even those activities that can be undertaken by local governments are getting done by
encouraging and financing a number of parallel community organisations of stakeholders and
entrusting the activities them, instead of working out a synergic relationship between them and the
local governments.

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In this respect, there is need to identify practical steps for effective empowerment of local governments,
in addition to strengthening the constitutional provisions of Article 243.There should be clear delineation
of functions for each level of local government in the case of each subject matter law. Each subjectmatter law, which has functional elements that are best attended to at local levels, should have provision
for appropriate devolution to such levels.

22.

What are the different aspects of capacity building that need to be taken into account to address the
capacity deficit within Panchayats and Municipal bodies?
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Approach:
Capacity building is generally equated just to training of personnel and elected elements of these bodies.
Other aspects include organizational development, development of institutional and legal framework,
adequate staffing, special focus on women etc. Cover all these points in the answer.

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Answers:
The crucial issue of capacity building in urban and rural local bodies remains a largely neglected area in
decentralised self-governance. Beyond short term training of personnel and elected elements of these
bodies, little has so far been contemplated, and even in this sphere there has been limited initiative and
fitful progress. As a result, there is capacity deficit within the Panchayat and Municipal Institutions.
Capacity building is much more than training, and has other major components, namely:
1.
2.
3.
4.
5.

Individual development
Organisational development
Development of institutional and legal framework
Adequate staffing
Capacity building of women

Individual development involves the development of human resources including enhancement of an

individuals knowledge, skills and access to information which enables them to improve their
performance and that of their organisation.
Organisational development on the other hand is about enabling an organisation to respond to two
major challenges that it has to confront:
External adaptation and survival
Internal integration.

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External adaptation and survival has to do with how the organisation copes with its
constantly changing external environment.
Internal integration is about establishing harmonious and effective working relationships in
the organisation.

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Development of institutional and legal framework enables the organisations to enhance their capacity
to pursue their objective and goals by making the necessary legal and regulatory changes.

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Adequate staffing of local bodies is a matter that requires considerable attention of the State Finance
Commissions in active association with the State Governments in order to endow these bodies with
greater capacities.

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There is also a need to give special attention to capacity building of women panchayat leaders and
members so that they are truly equipped to carry out their envisaged role in the third tier of
government.

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With the responsibilities of rural and urban local government institutions expanding and with their role
and reach poised for further enlargement in the foreseeable future, there is a clear need to bring about
a networking of the existing training institutions in various subjects like financial management, rural
development, disaster management and general management to formulate compendia of training
methodology and training modules to build institutional and individual capacities.

23.

What is the role of SEBI in regulating Capital markets and challenges faced therein? Also, enumerate
the provisions of the Securities Laws (Amendment) Ordinance, 2013 for strengthening the SEBI.
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Approach:

22

Firstly write down the role of SEBI

Then mention the challenges that SEBI faces in fulfilling these roles

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Finally mention the provisions of Amendment ordinance that will be helpful in tackling those
challenges

Answer:
Role of SEBI
SEBI was set up with two main objectives:
1. Developing the capital markets
2. Protecting the investors' interests
To fulfill these objectives, SEBI concentrated on the following areas of capital markets

Increasing Market Transparency: steps to improve disclosure standards.

Improving the standards of Corporate Governance: attention on composition of board of
directors, remuneration of directors, constitution of audit committees, report from each listed
company on compliance of corporate governance etc.
Improving Market Efficiency: SEBI seeded up the process of dematerialization and introduced
rolling settlement in a phased way.
Reduction of Transaction Cost: The margin system was refined.
Enhancing the Market Safety: To achieve this SEBI has introduced surveillance system. The main
purpose of surveillance system is to bring integrity, safety and stability in the Indian Securities
market so that scams are either eliminated or their impact is minimized.

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Sluggish markets all over the world

Cross-border complexities,
Impact of other financial markets like currency, commodities and property
Footloose attitude of many of the players in different markets.

ila

This ordinance came in the wake of recent exposure of thousands of fake ponzi schemes running
across the country.
Definition of Collective Investment Schemes has been expanded to empower SEBI for effective
regulation
empowers the SEBI chairman to carry out search and seizure operations as part of efforts to
crackdown on illegal ponzi schemes.
SEBI has received the power to seek information, such as telephone call data records, from any
persons or entities in respect to any securities transaction being investigated by it.
SEBI can attach bank accounts or properties of the violators
Establishment of special courts to fast-track the resolution of the pending SEBI related cases.

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The Securities Law (Amendment) Ordinance 2013:

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Despite SEBI's major policy initiatives for the development of securities market over last nine years, there
are number of challenges faced in capital markets:

Background information
Provisions Newly added by the Ordinance
1. Collective Investment Schemes
Under section 11AA of the SEBI Act, which details with the parameters of a Collective Investment
Schemes, it has now been stated that "pooling of funds under any scheme or arrangement" involving a
corpus of Rs. 100 crores or more shall be deemed to be a Collective Investment Scheme irrespective of
whether it is registered or not registered with SEBI. Hence, registration with SEBI is no longer a
prerequisite for such a scheme to fall within the regulatory purview of SEBI

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2. Investigative Powers
SEBI has been conferred the power to search and seize record statements under oath, etc. These rights
will be in addition to the currently available powers of SEBI.
Moreover, SEBI has now been granted the right to call for information and record information that is
relevant including the telephone call data records. This will act as a boon to SEBI as there is hardly any
direct evidence available in most of the insider trading cases and due to the lack of evidence SEBI has to
rely on circumstantial evidence.
Further, the power to call for information has also been granted to SEBI wherein information may be
called from international sources through regulators in other countries with whom it has entered into an
agreement for the sharing of information.
3. Enforcement Methods / Remedies
Powers have been granted to SEBI to attach the violator's property, bank accounts and also to arrest and
detain the violators in prison. These powers have been granted to SEBI under the ordinance as it has
been noted that even when SEBI was successful in obtaining a favourable outcome in enforcing its
regulations, often the consequence on the violators has been less than desirable. An example of this is
the Sahara case.
4. Special Courts

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What are D-SIBs? Evaluate RBIs framework for regulating the same.

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Ordinance provides that special courts are to be set up in order to deal with cases involving securities
regulations. This step has been taken in order to deal and settle the cases involving securities regulations
in a timely manner and to avoid the unnecessary delay. However, one of the main reasons that led to the
establishment of these special courts is that under the normal procedure there is no track record of
criminal prosecution of securities offenders which may act as a deterrent to the markets.

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Define D-SIBs: Domestic Systemically Important Banks and why they are called so
Elaborate on the regulatory framework adopted by RBI for them.

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Approach:

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Answer:

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A few banks assume systemic importance due to their size, cross-jurisdictional activities, complexity,
lack of substitutability and interconnectedness.
The disorderly failure of these banks has the propensity to cause significant disruption to the
essential services provided by the banking system, and in turn, to the overall economic activity.
These banks are considered Systemically Important Banks (SIBs) as their continued functioning is
critical for the uninterrupted availability of essential banking services to the real economy.
SIBs are perceived as ones that are Too Big To Fail (TBTF). This perception of TBTF creates an
expectation of government support for these banks at the time of distress. Due to this perception,
these banks enjoy certain advantages in the funding markets. This perceived expectation of
government support amplifies risk-taking, reduces market discipline, creates competitive distortions,
and increases the probability of distress in the future. These considerations require that SIBs should
be subjected to additional policy measures to deal with the systemic risks and moral hazard issues
posed by them

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Domestic Systemically Important Banks (D-SIBs)

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RBI framework
The methodology to assess the systemic importance to be used is largely based on the indicator based
approach being used by Basel Committee on Banking Supervision to identify Global Systemically
Important Banks (G-SIBs).
The indicators which would be used for assessment are: size, interconnectedness, substitutability and
complexity. Based on the sample of banks chosen for computation of their systemic importance, a
relative composite systemic importance score of the banks will be computed. RBI will determine a cut-off
score beyond which banks will be considered D-SIBs. The names of the banks classified as D-SIBs will be
disclosed in the month of August every year starting from 2015.

25.

Based on their systemic importance scores, banks will be plotted into different buckets.
D-SIBs will be required to have additional Common Equity Tier 1 capital requirement ranging from
0.20% to 0.80% of risk weighted assets.
D-SIBs will also be subjected to differentiated supervisory requirements and higher intensity of
supervision based on the risks they pose to the financial system.
The computation of systemic importance scores will be carried out at yearly intervals.

Examine the need of an independent regulator for Special Economic Zones. 10

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Approach:

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To ensure greater competition in a given sector, and to create a level playing field for different
entities competing in that sector.
To promote the public interest
To Prevent market failure

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Why a regulator needed

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Revenue loss (Tax and other investment incentives)

Resource transfer from the domestic sector to SEZs with no net addition to economic activities (
relocation and substitution effect)
Land Acquisition without adequate compensation
Impoverishment of farmers
Loss of agricultural land
Misuse of land for real estate
Regional disparities
Unequal treatment

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Why SEZ regulator

There are many areas in SEZ development, which are debatable such as

Why avoid

Regulators are not really independent

Proliferation of regulators
Proliferation of tribunals and burdening of judiciary

Conclusion

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Answer:
Rationale for the creation of independent regulators is to ensure greater competition in a given sector,
and to create a level playing field for different entities competing in that sector so as to promote the
public interest and prevent market failure and externalities.
India adopted SEZ approach in 2000 to stimulate production for export and to facilitate foreign direct
investment (FDI) and transfer of technology, infrastructure development, employment generation,
economic growth, and regional development. However, since the inception of concept of SEZ many
issues have been raised. It is argued that SEZs have resulted in revenue loss (Tax and other investment
incentives), resource transfer from the domestic sector to SEZs with no net addition to economic
activities ( relocation and substitution effect), land Acquisition without adequate compensation,
impoverishment of farmers, loss of agricultural land, misuse of land for real estate, increase in regional
disparities and unequal treatment.
All these issues resulted in many violent protests across the country against SEZ. But given the promising
prospects of SEZ the policy cannot be discarded out rightly. Instead there is a need of an independent
regulator which should deal with all issues relating to SEZ, particularly, relating to approval of SEZ, fiscal
issues, monitoring of SEZ, land use etc. Currently SEZ are regulated by centre and state both and the
process is less transparent, less accountable and cumbersome. An independent SEZ regulator will result
into transparent, accountable, and efficient and rule based approach in regulation of this sector.

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Even though, there is need of independent regulator for SEZ, greater need is for a really independent
regulator and prevention of proliferation of regulators. A large number of regulators also over-burden
the judiciary as generally appeals against their decisions are filed at higher judiciary level.

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Therefore, instead of a separate regulator for SEZ, Ports, Airports, Roads etc., we could have a unified
infrastructure regulator.

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