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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

UNIT 1: Political Theory

Core Aim: To understand the fundamental ideas, values, and principles that shape political
life, institutions, and discourse. This unit explores both foundational concepts and major
ideological traditions.

1. CONCEPTS
A. LIBERTY
• Meaning: Often understood as freedom, liberty implies the absence of coercion or
constraints imposed by others (state, society, individuals) and the capacity to act as
one chooses.
• Key Thinkers & Perspectives:
o John Locke: Emphasized natural rights, including liberty, existing prior to
government. Liberty is freedom under law, not license.
o J.S. Mill (On Liberty): Advocated for extensive individual liberty, particularly
freedom of thought, expression, and association. Harm Principle: individuals
should be free to do anything that does not harm others.
o Isaiah Berlin (Two Concepts of Liberty):
▪ Negative Liberty: "Freedom from" interference. Absence of external
obstacles or constraints. Focus on the area within which a person can
act unobstructed. Associated with classical liberalism (Locke, Mill,
Hayek).
▪ Positive Liberty: "Freedom to" act, to be one's own master, to achieve
self-realization or self-mastery. Requires enabling conditions
(education, healthcare, resources) which may necessitate state
intervention. Associated with social liberalism, socialism (Rousseau,
T.H. Green, Laski).
o F.A. Hayek: Strong proponent of negative liberty; viewed positive liberty as
a path to totalitarianism.
o Republican Liberty (e.g., Philip Pettit, Quentin Skinner): Freedom as non-
domination. Not just absence of interference, but absence of the capacity
for arbitrary interference by a master.
• Debates & Dimensions:
o Liberty vs. Authority: How much individual freedom vs. how much state
control?
o Liberty vs. Equality: Can perfect equality coexist with absolute liberty?
(e.g., Nozick's critique of redistributive justice).
o Economic Liberty: Freedom in economic activities (free markets, property
rights).

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

o Internal vs. External Constraints: Are we only constrained by external

forces, or also by internal ones (e.g., irrational desires, lack of self-control)?
• EXAM Focus: Berlin's distinction is crucial. Understand the thinkers associated with
each type. Harm principle.

B. EQUALITY
• Meaning: The idea that individuals should be treated the same, or possess the same
status, rights, or opportunities. It does not necessarily mean sameness of outcome.
• Types/Dimensions of Equality:
o Formal/Legal Equality: Equality before the law; all citizens are subject to
the same laws and treated equally by the legal system. No one is above the
law.
o Political Equality: Equal right to participate in political life (e.g., one person,
one vote; equal right to run for office).
o Equality of Opportunity: All individuals should have an equal and fair chance
to develop their talents and abilities and to compete for social and economic
rewards, irrespective of their background (birth, race, gender, etc.).
▪ Meritocracy: A system where rewards are based on talent and effort.
o Equality of Outcome/Condition: Aims for a more equal distribution of actual
wealth, income, or social goods. This is more controversial and often
associated with socialist thought.
o Equality of Resources (Ronald Dworkin): Aims for an initial equal
distribution of resources, after which individuals are responsible for their
choices. Uses a hypothetical auction and insurance scheme.
o Equality of Welfare/Well-being: Aims for equal levels of happiness or
satisfaction (difficult to measure).
o Complex Equality (Michael Walzer): Argues that different social goods (e.g.,
money, political power, healthcare, education) should be distributed
according to different principles appropriate to their sphere, preventing
dominance in one sphere from translating to dominance in others.
o Capability Approach (Amartya Sen & Martha Nussbaum): Focuses on
equality of capabilities – the substantive freedoms people have to lead lives
they value (e.g., being well-nourished, educated, able to participate in
community life). It's about what people are able to do and be.
• Debates:
o Equality vs. Liberty: Critics argue that enforcing equality of outcome
infringes on individual liberty (e.g., right to property, freedom of choice).
o Equality of Opportunity vs. Outcome: Is equality of opportunity enough if
deep-seated structural inequalities prevent fair competition?

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

• EXAM Focus: Differentiate types of equality. Walzer's complex equality and Sen's
capability approach are important. The liberty-equality debate.

C. JUSTICE
• Meaning: The concept of fairness, rightness, and moral desert. It involves giving each
person their due.
• Types/Dimensions of Justice:
o Procedural Justice: Focuses on the fairness of the processes and rules used
to make decisions and allocate resources. If the procedure is fair, the
outcome is considered just, regardless of what it is. (e.g., a fair trial).
o Substantive Justice: Focuses on the fairness of the outcomes themselves.
Are the distributions of rights, resources, and opportunities actually fair?
o Distributive Justice: Concerns the fair allocation of societal resources,
benefits, and burdens (wealth, income, opportunities, power).
▪ John Rawls (A Theory of Justice):
▪ Original Position & Veil of Ignorance: Hypothetical scenario
where individuals choose principles of justice without knowing
their own social position, talents, or conception of the good.
This ensures impartiality.
▪ Two Principles of Justice:
1. Equal Basic Liberties Principle: Each person is to have
an equal right to the most extensive scheme of equal
basic liberties compatible with a similar scheme of
liberties for others.
2. Social and Economic Inequalities are to be arranged
so that they are both:
▪ (a) Difference Principle: To the greatest
benefit of the least advantaged members of
society.
▪ (b) Fair Equality of Opportunity Principle:
Attached to offices and positions open to all
under conditions of fair equality of opportunity.
▪ Lexical Priority: Liberty principle takes precedence over the
second; fair equality of opportunity over the difference
principle.
▪ Robert Nozick (Anarchy, State, and Utopia): Entitlement Theory of
Justice.
▪ Justice in holdings depends on how they were acquired.
▪ Three principles:

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

1. Justice in Acquisition: How unowned things become

initially owned.
2. Justice in Transfer: How owned things can be
legitimately transferred.
3. Rectification of Injustice: How to correct past
injustices in acquisition or transfer.
▪ Advocates for a minimal state ("night-watchman state").
Opposes patterned theories of justice (like Rawls') as they
require continuous interference with individual liberty.
▪ Communitarian Critique (e.g., Michael Sandel, Alasdair MacIntyre):
Rawls' "unencumbered self" in the original position is unrealistic.
Justice is rooted in shared understandings and traditions of a
particular community.
o Retributive Justice: Concerns the justification of punishment for wrongdoing
(eye for an eye, deterrence, rehabilitation).
o Restorative Justice: Focuses on repairing harm and restoring relationships
between victim, offender, and community.
o Global Justice: Extends concerns of justice to the international sphere (e.g.,
fair trade, aid, climate change responsibilities). Thinkers: Thomas Pogge,
Charles Beitz.
• EXAM Focus: Rawls is paramount. Understand his principles, original position, and
veil of ignorance. Nozick's entitlement theory as a libertarian counter.
Communitarian critiques.

D. RIGHTS
• Meaning: Entitlements (moral or legal) to perform certain actions or be in certain
states, or entitlements that others perform certain actions or be in certain states.
Rights usually imply corresponding duties.
• Theories/Bases of Rights:
o Natural Rights Theory (e.g., Locke, Paine): Rights are inherent, pre-
political, universal, and inalienable, derived from nature or God.
Government's role is to protect these rights. (Life, liberty, property).
o Legal Rights Theory/Legal Positivism (e.g., Bentham, Austin): Rights are
creations of the law. No law, no rights. Bentham called natural rights
"nonsense upon stilts."
o Historical Theory of Rights (e.g., Burke): Rights are products of long-
standing customs and traditions of a particular society.
o Social Welfare/Utilitarian Theory of Rights (e.g., Bentham, Mill): Rights are
recognized if they contribute to the greatest happiness of the greatest
number.

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

o Moral Rights Theory (e.g., Kant, Dworkin): Rights are based on moral
principles, human dignity, and respect for persons as ends in themselves.
Dworkin: "Rights as trumps."
• Classifications of Rights:
o Civil Rights: Rights necessary for individual freedom (e.g., liberty of person,
freedom of speech, thought, faith, right to own property, right to justice).
o Political Rights: Rights to participate in the exercise of political power (e.g.,
right to vote, to contest elections, to form political parties).
o Social & Economic Rights: Rights to a certain standard of living and well-
being (e.g., right to education, healthcare, social security, employment).
Often considered "positive rights" requiring state action.
o T.H. Marshall's "Citizenship and Social Class": Traced the evolution of these
three categories of rights in Britain.
o Three Generations of Human Rights (Karel Vasak):
▪ First Generation (Blue Rights): Civil and political rights (liberty-
oriented).
▪ Second Generation (Red Rights): Socio-economic and cultural rights
(equality-oriented).
▪ Third Generation (Green Rights): Collective/Solidarity rights (e.g.,
right to development, peace, healthy environment).
• Hohfeldian Analysis of Rights (Wesley Hohfeld): Distinguished four types of jural
relations:
o Claim-right (implies a duty in another)
o Privilege/Liberty (implies no-right in another)
o Power (implies a liability in another)
o Immunity (implies a disability in another)
• Debates:
o Universality vs. Cultural Relativism of Human Rights.
o Individual vs. Group Rights (especially in multicultural societies).
• EXAM Focus: Theories of rights (natural, legal, moral). T.H. Marshall's classification.
Three Generations of Human Rights. Dworkin's "rights as trumps."

E. DEMOCRACY
• Meaning: "Rule by the people" (from Greek demos - people, kratos - rule/power). A
system where political power ultimately rests with the citizens.
• Types/Models of Democracy:

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

o Direct Democracy (Classical/Participatory): Citizens directly participate in

decision-making (e.g., ancient Athens, modern referendums, initiatives).
▪ Thinkers: Rousseau (general will).
o Representative Democracy (Liberal Democracy): Citizens elect
representatives to make decisions on their behalf.
▪ Key features: Free and fair elections, rule of law, protection of
individual rights, independent judiciary, pluralism.
▪ Thinkers: Locke, Montesquieu, Madison.
o Deliberative Democracy (e.g., Habermas, Joshua Cohen, Dryzek):
Emphasizes reasoned public discussion and argumentation as the basis for
legitimate law-making. Focus on the quality of public discourse.
o Participatory Democracy (e.g., Carole Pateman, Benjamin Barber):
Advocates for greater citizen involvement beyond just voting, in workplaces,
communities, etc., to foster democratic skills and efficacy.
o Elite Theory of Democracy (e.g., Schumpeter, Mosca, Pareto, Michels):
Argues that real power in democracies is held by a small, cohesive elite, not
the masses. Schumpeter: Democracy is a "competitive struggle for the
people's vote."
o Pluralist Theory of Democracy (e.g., Dahl, Truman): Power is dispersed
among various competing interest groups. Government acts as a neutral
arbiter. Dahl's "polyarchy."
o Social Democracy: Combines liberal democratic principles with a
commitment to social justice, economic equality, and a strong welfare state.
o Cosmopolitan Democracy (e.g., David Held): Argues for democratic
institutions at the global level to address transnational issues.
• Conditions for Successful Democracy:
o Political culture of tolerance and compromise.
o Economic development (though debated).
o Educated citizenry.
o Free media and civil society.
• Challenges to Democracy:
o Voter apathy, rise of populism, misinformation, inequality, influence of
money in politics.
• EXAM Focus: Differentiate types (direct, representative, deliberative,
participatory). Elite and Pluralist theories are crucial. Key thinkers for each model.
Schumpeter's definition.

F. POWER

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

• Meaning: The ability to influence or control the behavior of others, to get them to
do something they would not otherwise do.
• Key Thinkers & Perspectives:
o Robert Dahl (Pluralist): "A has power over B to the extent that he can get B
to do something that B would not otherwise do." Focus on observable
decision-making and conflict. (One-dimensional view).
o Bachrach & Baratz (Two Faces of Power): Power is also exercised by agenda-
setting and non-decision making – preventing certain issues from being
discussed or decided upon. (Two-dimensional view).
o Steven Lukes (Three Faces/Dimensions of Power):
1. Decision-making power: Observable behavior in decision-making
(Dahl's view).
2. Agenda-setting/Non-decision-making power: Power to control what
gets debated (Bachrach & Baratz's view).
3. Ideological power/Thought control: Shaping preferences, desires,
and beliefs of others, often without them realizing it (e.g., through
ideology, culture). This is the most insidious form as it can prevent
conflict from arising in the first place.
o Max Weber:
▪ Power (Macht): The probability that one actor within a social
relationship will be in a position to carry out his own will despite
resistance.
▪ Authority/Domination (Herrschaft): Legitimate power. The
probability that a command with a given specific content will be
obeyed by a given group of persons.
▪ Traditional Authority: Legitimacy based on custom, tradition
(e.g., monarchy).
▪ Charismatic Authority: Legitimacy based on the exceptional
personal qualities of the leader (e.g., revolutionary leaders).
▪ Rational-Legal Authority: Legitimacy based on rules, laws,
and procedures (e.g., modern bureaucracy, elected officials).
o Michel Foucault:
▪ Power is not just repressive but also productive. It shapes subjects,
knowledge, and discourse.
▪ Power/Knowledge: Power and knowledge are inextricably linked;
they produce and reinforce each other.
▪ Disciplinary Power: Operates through surveillance, normalization,
and examination (e.g., prisons, schools, hospitals).
▪ Bio-power: Power over bodies and populations (management of
health, birth rates, etc.).

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

o Antonio Gramsci (Marxist): Hegemony. Dominant class maintains power not

just through force but through consent, by shaping the ideology and culture
of society.
• Debates:
o Is power always coercive, or can it be persuasive/cooperative?
o Concentration vs. Dispersion of power.
• EXAM Focus: Lukes' three dimensions are essential. Weber's types of authority.
Foucault's concepts of power/knowledge and disciplinary power. Gramsci's
hegemony.

G. CITIZENSHIP
• Meaning: Membership in a political community (typically a nation-state) which
entails a set of rights and responsibilities.
• Key Thinkers & Perspectives:
o Aristotle: Citizenship involves participation in ruling and being ruled.
o T.H. Marshall (Citizenship and Social Class): Defined citizenship as "full
membership of a community." Traced the historical evolution of three types
of rights associated with citizenship in England:
1. Civil Rights (18th Century): Rights necessary for individual freedom
(liberty of person, freedom of speech, thought, faith, property,
contract, justice). Institutions: Courts of Justice.
2. Political Rights (19th Century): Right to participate in the exercise
of political power (right to vote, hold office). Institutions: Parliament,
local councils.
3. Social Rights (20th Century): Right to a modicum of economic
welfare and security, to share to the full in the social heritage and live
the life of a civilized being according to the standards prevailing in
the society (education, health, social security). Institutions: Welfare
state, educational system.
o Liberal Citizenship: Emphasizes individual rights, equality before the law,
and political participation. Tends to be universalistic.
o Republican Citizenship: Emphasizes civic virtue, public service, and active
participation in community affairs as duties of citizens.
o Communitarian Citizenship: Stresses the importance of shared identities,
values, and obligations derived from community membership.
o Multicultural Citizenship (e.g., Will Kymlicka, Bhikhu Parekh):
▪ Advocates for differentiated citizenship or group-specific rights (e.g.,
self-government rights, polyethnic rights, special representation
rights) for minority cultures to ensure genuine equality and
accommodate diversity.

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

▪ Kymlicka distinguishes between "national minorities" (often

indigenous peoples or historically settled groups) and "immigrant
groups."
o Cosmopolitan/Global Citizenship (e.g., Martha Nussbaum, David Held):
Argues for allegiance to a global community of humankind, transcending
national boundaries. Emphasizes shared humanity and global responsibilities.
• Acquisition of Citizenship:
o Jus Soli (Right of Soil): Citizenship by birth within the territory of the state.
o Jus Sanguinis (Right of Blood): Citizenship by descent from a citizen parent.
o Naturalization: Process by which a non-citizen acquires citizenship.
• Debates:
o Rights vs. Responsibilities of citizens.
o Universalism vs. Differentiated citizenship.
o National vs. Global citizenship.
• EXAM Focus: T.H. Marshall's framework is very important. Understand Liberal,
Republican, and Multicultural models of citizenship. Kymlicka's ideas on group rights.

H. NATIONALISM
• Meaning: An ideology and political movement based on the belief that the "nation"
is the primary unit of political allegiance and that nations should be self-governing
(i.e., have their own state). It fosters a sense of collective identity, loyalty, and
belonging.
• Key Concepts:
o Nation: A group of people who share a common identity, often based on
shared culture, language, history, ethnicity, territory, or political aspirations.
It's a psycho-cultural entity.
o State: A political-legal entity with sovereignty over a defined territory and
population.
o Nation-State: An ideal where the boundaries of the nation coincide with the
boundaries of the state.
• Types of Nationalism:
o Civic Nationalism (e.g., Ernest Renan, J.S. Mill):
▪ Defines the nation based on shared citizenship, political principles,
and loyalty to the state's institutions, regardless of ethnicity or
culture.
▪ Inclusive and voluntarist ("daily plebiscite" - Renan).
▪ Associated with Western European development (e.g., France, USA).

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

o Ethnic Nationalism (e.g., Herder, Fichte):

▪ Defines the nation based on shared ethnicity, language, culture,
religion, or descent ("blood and soil").
▪ Exclusive and organic. Membership is usually by birth.
▪ Associated with Central/Eastern European and later anti-colonial
nationalisms.
o Liberal Nationalism: Believes all nations have a right to self-determination,
and a world of nation-states is conducive to peace and democracy.
o Conservative Nationalism: Focuses on social cohesion, order, and tradition,
using national sentiment to promote stability.
o Expansionist/Aggressive Nationalism (e.g., Fascism, Nazism): Promotes
national superiority, militarism, and territorial expansion.
o Anti-Colonial Nationalism: Aims to achieve independence from colonial rule
and establish a sovereign nation-state.
• Theorists of Nationalism:
o Ernest Gellner (Nations and Nationalism): Modernist view. Nationalism is a
product of industrialization. Industrial society requires a mobile, literate,
culturally homogenous workforce, which nationalism provides by creating
national education systems and a shared high culture. "Nationalism invents
nations where they do not exist."
o Benedict Anderson (Imagined Communities): Modernist view. Nations are
"imagined communities" – imagined because members will never know most
of their fellow-members, yet in their minds lives the image of their
communion. "Print capitalism" (newspapers, novels) played a key role in
creating these imagined communities.
o Anthony D. Smith: Ethno-symbolist approach. While modern, nations are
often built upon pre-existing ethnic ties, myths, symbols, and memories
("ethnies"). Acknowledges both modern and pre-modern elements.
o Eric Hobsbawm (The Invention of Tradition): Many "traditions" that seem
ancient are often recent inventions designed to foster national cohesion and
legitimacy.
• Debates:
o Is nationalism inherently good or bad? (Can lead to self-determination but
also xenophobia and conflict).
o Primordialism (nations are ancient and natural) vs. Modernism (nations are
modern constructs).
• EXAM Focus: Civic vs. Ethnic nationalism. Key theorists: Gellner, Anderson, Smith,
Hobsbawm, and their core arguments.

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

2. POLITICAL TRADITIONS
A. LIBERALISM
• Core Tenets:
o Individualism: The individual is paramount; society is a collection of
individuals.
o Reason: Belief in human capacity for reason and rational decision-making.
o Freedom/Liberty: Central value, especially individual liberty (see "Liberty"
concept above).
o Rights: Emphasis on natural/human rights that government must protect.
o Toleration: Willingness to accept diverse beliefs and practices.
o Justice: Fairness, equality before the law.
o Constitutionalism/Limited Government: Government power should be
constrained by law and a constitution to prevent tyranny. Separation of
powers, checks and balances.
o Consent: Government derives legitimacy from the consent of the governed.
• Key Strands:
o Classical Liberalism (17th-19th C):
▪ Thinkers: John Locke (natural rights, social contract, limited
government), Adam Smith (laissez-faire economics, "invisible hand"),
J.S. Mill (utilitarianism, harm principle, individual liberty,
representative government, early advocate for women's suffrage),
Montesquieu (separation of powers).
▪ Emphasis on negative liberty, minimal state ("night-watchman state"),
free markets.
▪ Individual responsibility.
o Modern/Social/New Liberalism (Late 19th C - 20th C):
▪ Thinkers: T.H. Green, L.T. Hobhouse, John Maynard Keynes, John
Rawls, William Beveridge.
▪ Recognized that industrial capitalism created new forms of poverty
and inequality that limited genuine liberty.
▪ Advocated for positive liberty and a more interventionist state to
provide social welfare, regulate the economy, and ensure equality of
opportunity ("enabling state").
▪ Belief that state intervention can expand freedom for many.
o Neoliberalism (Late 20th C - Present):
▪ Thinkers: F.A. Hayek, Milton Friedman, Robert Nozick.
▪ A revival of classical liberal economic ideas.

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

▪ Advocates for free markets, privatization, deregulation, reduced

government spending, and individual responsibility.
▪ Critical of welfare state and Keynesian economics.
• EXAM Focus: Distinguish classical, modern, and neoliberalism. Key thinkers for each.
Core tenets. Relationship with concepts like liberty, rights, justice.

B. CONSERVATISM & NEO-CONSERVATISM

i. Conservatism
• Core Tenets:
o Tradition: Values established customs, institutions, and practices as
repositories of wisdom accumulated over generations. "Change to conserve."
o Human Imperfection: Skeptical of human rationality and the idea of human
perfectibility. Humans are morally and intellectually flawed, driven by
passions.
o Organicism: Society is like a living organism, with interconnected parts that
have evolved naturally. Radical change can damage this delicate balance.
o Hierarchy & Authority: Society is naturally hierarchical. Authority is
necessary for order and stability, and should be exercised by those best
equipped to lead.
o Property: Strong emphasis on property rights as a source of stability,
independence, and social cohesion.
o Pragmatism: Favors practical experience and cautious reform over abstract
principles and radical blueprints.
o Order & Security: Pre-eminent goals. Liberty without order is chaos.
• Key Thinkers:
o Edmund Burke (Reflections on the Revolution in France): Critic of the
French Revolution. Advocated for gradual, organic change, respect for
tradition and established institutions.
o Michael Oakeshott: Emphasized tradition, skepticism about rationalism in
politics. Politics as "attending to the arrangements of a society."
• Strands:
o Traditional Conservatism: Burkean emphasis on tradition, paternalism,
organic society.
o New Right: A blend of conservative social values and neoliberal economic
policies (e.g., Thatcher, Reagan).
▪ Libertarian Conservatism/Neoliberalism: Focus on free markets,
minimal state (as above).

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

▪ Authoritarian Conservatism: Prioritizes order and authority,

sometimes at the expense of individual liberty.
ii. Neo-Conservatism
• Origins: Emerged in the US, often among former liberals disillusioned with the
perceived excesses of the 1960s counter-culture and the perceived failures of liberal
social policies.
• Core Tenets (distinct from traditional conservatism):
o Patriotism & National Interest: Strong belief in American exceptionalism and
the importance of promoting national interests, often through a strong
military and assertive foreign policy.
o Moral Clarity/Moralism: Belief in clear distinctions between good and evil in
domestic and international affairs.
o Skepticism towards Relativism: Critical of moral and cultural relativism.
o Interventionist Foreign Policy: Willingness to use military power to promote
democracy, human rights, and US interests abroad ("democratic globalism").
o Concern with Social Order: Critical of permissiveness and perceived decline
in social standards.
o While supporting free markets, less dogmatically anti-state than neoliberals,
especially regarding military spending and nation-building.
• Key Figures (often associated with policy rather than pure theory): Irving Kristol
("godfather" of neoconservatism), Norman Podhoretz, Daniel Bell (early on), Jeanne
Kirkpatrick, Paul Wolfowitz, Richard Perle.
• EXAM Focus: Burke's ideas for traditional conservatism. Distinguish between
conservatism and liberalism. Core tenets of neoconservatism, especially its foreign
policy stance and contrast with traditional conservative pragmatism/isolationism.

C. SOCIALISM
• Core Tenets:
o Community/Fraternity: Humans are social beings, bound by common
humanity. Emphasizes cooperation over competition.
o Social Equality: Commitment to reducing or eliminating social and economic
inequalities. Equality of outcome is often a key goal.
o Common Ownership/Social Control of Production: Argues that major means
of production (factories, land, resources) should be owned or controlled by
the community/state to serve public interest rather than private profit.
o Need: Distribution of resources based on need rather than just merit or ability
to pay.
o Cooperation: Favors cooperative and collective effort over individualistic
competition.

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

o Social Class: Views society in terms of class divisions and aims to reduce or
eliminate class conflict, often by championing the cause of the working class.
• Key Strands:
o Utopian Socialism (Early 19th C):
▪ Thinkers: Robert Owen, Charles Fourier, Henri de Saint-Simon.
▪ Envisioned ideal communities based on cooperation and communal
living.
▪ Criticized capitalism on moral grounds. Often paternalistic.
o Marxist Socialism/Scientific Socialism (see Marxism below):
o Democratic Socialism/Social Democracy (Late 19th C - Present):
▪ Thinkers: Eduard Bernstein (evolutionary socialism), Clement
Attlee, Willy Brandt, Olof Palme. Members of the Fabian Society
(e.g., Sidney and Beatrice Webb, G.B. Shaw).
▪ Aims to achieve socialist goals through gradual, parliamentary, and
democratic means rather than revolution.
▪ Accepts a mixed economy (some private ownership, some public
ownership/regulation).
▪ Strong support for the welfare state, wealth redistribution, and
regulation of capitalism.
▪ Key difference from Marxism: Rejects revolutionary overthrow of
capitalism, works within democratic framework.
o Market Socialism: Attempts to combine social ownership with market-based
allocation of resources.
o Third Way (Late 20th C):
▪ Thinkers/Proponents: Anthony Giddens, Tony Blair, Bill Clinton.
▪ Attempted to reconcile social democratic values with neoliberal
economic realities.
▪ Emphasized "equality of opportunity" over "equality of outcome,"
individual responsibility, community, and a dynamic market economy
with a "social investment state."
▪ Often seen as a move towards the political center.
• EXAM Focus: Core tenets (community, social equality, common ownership).
Distinguish utopian, Marxist, and democratic socialism/social democracy. The "Third
Way" as a recent development.

D. MARXISM & NEO-MARXISM

i. Marxism (Classical Marxism)

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

• Founders: Karl Marx & Friedrich Engels.

• Key Works: The Communist Manifesto, Das Kapital, The German Ideology, Economic
and Philosophic Manuscripts of 1844.
• Core Concepts:
o Historical Materialism (Materialist Conception of History):
▪ Economic base (mode of production: forces of production + relations
of production) determines the superstructure (politics, law, culture,
ideology).
▪ History progresses through stages of modes of production (primitive
communism, slavery, feudalism, capitalism, socialism/communism).
o Dialectical Materialism: (Engels developed this more). Applies Hegelian
dialectic (thesis-antithesis-synthesis) to material conditions. Change occurs
through internal contradictions.
o Class Struggle: History is the history of class struggles (e.g., bourgeoisie vs.
proletariat in capitalism).
o Theory of Surplus Value: In capitalism, workers produce more value than
they receive in wages. The "surplus value" is appropriated by capitalists as
profit, leading to exploitation.
o Alienation: Under capitalism, workers are alienated from:
1. The product of their labor
2. The process of labor
3. Their "species-being" (creative human potential)
4. Fellow human beings
o Revolution: Capitalism's internal contradictions will lead to a proletarian
revolution, overthrowing the bourgeoisie.
o Dictatorship of the Proletariat: A transitional phase after the revolution
where the working class holds state power to suppress counter-revolution and
build socialism.
o Communism: The final stage: a classless, stateless, moneyless society where
means of production are communally owned, and the principle "from each
according to his ability, to each according to his need" applies.
o False Consciousness/Ideology: The ruling class ideology dupes the working
class into accepting their own exploitation as natural or inevitable.
• EXAM Focus: All core concepts are vital: historical materialism, class struggle,
surplus value, alienation, revolution, dictatorship of proletariat, communism.
ii. Neo-Marxism
• Context: Emerged in the 20th century, particularly after WWI and WWII, attempting
to revise or extend classical Marxism to explain why revolutions didn't occur in
advanced capitalist countries and to analyze new social phenomena.

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

• Key Strands & Thinkers:

o Frankfurt School (Critical Theory):
▪ Thinkers: Max Horkheimer, Theodor Adorno, Herbert Marcuse,
Jürgen Habermas (later generation).
▪ Focused on culture, ideology, psychoanalysis, and the "culture
industry" to explain how capitalism maintains control.
▪ Criticized both capitalism and Soviet-style communism.
▪ Marcuse: "One-Dimensional Man" – advanced industrial society creates
false needs and integrates the working class, stifling dissent.
▪ Habermas: Emphasized communicative action, public sphere, and
legitimation crisis.
o Antonio Gramsci:
▪ Hegemony: Ruling class maintains power not just through force
(coercion) but through ideological and cultural dominance (consent).
Hegemony is exercised through institutions of civil society (e.g.,
media, education, church).
▪ War of Position vs. War of Maneuver: In advanced capitalist societies,
a "war of position" (building counter-hegemony within civil society) is
needed before a "war of maneuver" (direct revolutionary assault).
▪ Organic Intellectuals: Intellectuals emerging from the working class
who can articulate its interests and challenge bourgeois hegemony.
o Louis Althusser (Structural Marxism):
▪ Emphasized the scientific nature of Marx's later works.
▪ Ideological State Apparatuses (ISAs): Institutions like schools, family,
media, church that reproduce capitalist ideology.
▪ Repressive State Apparatuses (RSAs): Army, police, courts that
function by violence.
▪ Relative Autonomy of the Superstructure: While the economy is
determinant "in the last instance," the superstructure has a degree of
independence.
o Dependency Theory (e.g., Andre Gunder Frank, Samir Amin): Applied
Marxist ideas to explain global inequalities, arguing that underdeveloped
"periphery" countries are kept poor by their dependent relationship with
developed "core" countries.
o World-Systems Theory (Immanuel Wallerstein): Analyzes the global
capitalist system as a totality with a core, semi-periphery, and periphery.
• EXAM Focus: Gramsci's hegemony is extremely important. Frankfurt School's critique
of culture industry (Marcuse). Althusser's ISAs and RSAs. Basic idea of
Dependency/World-Systems theory. How Neo-Marxists differ from Classical Marxists
(e.g., more focus on superstructure, culture, ideology).

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

E. FEMINISM
• Core Tenet: A political, social, and intellectual movement that aims to achieve
gender equality and end sexism and patriarchal domination. It critiques and
challenges the social, political, and economic structures that subordinate women.
• Key Concepts:
o Patriarchy: A system of society or government in which men hold the power
and women are largely excluded from it; a system of male dominance.
o Sex vs. Gender:
▪ Sex: Biological differences between males and females.
▪ Gender: Socially constructed roles, behaviors, expressions, and
identities of girls, women, boys, men, and gender diverse people.
Feminists argue gender roles are learned and can be changed.
o "The Personal is Political": Slogan from second-wave feminism, highlighting
that private sphere issues (family, sexuality, domestic labor) are often sites
of power imbalances and are thus political.
o Intersectionality (Kimberlé Crenshaw): The interconnected nature of social
categorizations such as race, class, gender, and sexual orientation as they
apply to a given individual or group, creating overlapping and interdependent
systems of discrimination or disadvantage.
• Waves of Feminism:
o First Wave (Late 19th - Early 20th C): Focused primarily on legal and
political rights, especially suffrage (the right to vote).
▪ Key Figures: Mary Wollstonecraft (A Vindication of the Rights of
Woman - proto-feminist), Susan B. Anthony, Elizabeth Cady Stanton,
Emmeline Pankhurst.
o Second Wave (1960s-1980s): Broadened the debate to include sexuality,
family, the workplace, reproductive rights, and de facto inequalities. "The
personal is political."
▪ Key Figures & Works: Simone de Beauvoir (The Second Sex), Betty
Friedan (The Feminine Mystique), Kate Millett (Sexual Politics),
Shulamith Firestone (The Dialectic of Sex).
o Third Wave (1990s-Present): Reacted to perceived limitations of second-
wave feminism. Emphasizes diversity, intersectionality, deconstruction of
gender norms, individual choice, and post-structuralist ideas. Challenges
essentialist definitions of "woman."
▪ Key Figures: Judith Butler (Gender Trouble - queer theory, gender
performativity), bell hooks, Rebecca Walker.

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

o Fourth Wave (Mid-2000s-Present, contested): Characterized by use of social

media for activism, focus on sexual harassment, assault, body shaming, and
intersectionality. (e.g., #MeToo movement).
• Strands of Feminist Thought:
o Liberal Feminism:
▪ Focus: Achieving gender equality through legal and political reforms
within the existing liberal framework.
▪ Emphasis on equal rights, opportunities, and representation.
▪ Critique: May not address deeper structural roots of patriarchy.
▪ Thinkers: Mary Wollstonecraft, J.S. Mill (on the subjection of women),
Betty Friedan.
o Radical Feminism:
▪ Focus: Patriarchy is the primary and deepest form of oppression. Seeks
to dismantle patriarchy through revolutionary change.
▪ Emphasis on male control over women's bodies and sexuality (e.g.,
violence against women, pornography, reproductive control).
▪ Some advocate separatism.
▪ Thinkers: Kate Millett, Shulamith Firestone, Andrea Dworkin,
Catharine MacKinnon.
o Socialist/Marxist Feminism:
▪ Focus: Links women's oppression to capitalism and class exploitation.
Patriarchy and capitalism reinforce each other.
▪ Emphasis on economic dependence, unpaid domestic labor, and the
sexual division of labor.
▪ Solution involves overthrowing both capitalism and patriarchy.
▪ Thinkers: Friedrich Engels (The Origin of the Family, Private Property
and the State - early work), Sheila Rowbotham, Heidi Hartmann.
o Psychoanalytic Feminism: Uses psychoanalytic theories (Freud, Lacan) to
explain gender identity formation and male dominance. Thinkers: Juliet
Mitchell, Nancy Chodorow.
o Postmodern/Post-structuralist Feminism:
▪ Focus: Deconstructs concepts like "woman," gender, and sexuality as
social/linguistic constructs. Rejects universalizing theories.
▪ Emphasis on difference, discourse, and power/knowledge.
▪ Thinkers: Judith Butler, Hélène Cixous, Luce Irigaray.
o Ecofeminism: Links patriarchy with the domination and exploitation of
nature.

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

o Black Feminism/Womanism: Highlights the specific experiences of Black

women and critiques the often white, middle-class focus of mainstream
feminism. Emphasizes intersectionality. Thinkers: bell hooks, Patricia Hill
Collins, Alice Walker (coined "womanism").
• EXAM Focus: Key concepts (patriarchy, sex/gender, personal is political,
intersectionality). Waves of feminism. Core ideas of Liberal, Radical, and
Socialist/Marxist feminism. Judith Butler's contribution.

F. MULTICULTURALISM
• Meaning: An ideology and political approach that recognizes, values, and promotes
cultural diversity within a society. It challenges the idea of a single, homogenous
national culture and advocates for the rights and recognition of minority cultural
groups.
• Core Tenets:
o Recognition: Cultural identity is important for individual well-being and
dignity. Minority cultures deserve public recognition and respect.
o Diversity: Cultural diversity enriches society and should be celebrated, not
suppressed.
o Group Rights/Differentiated Citizenship: Argues that identical rights for all
may not ensure genuine equality for minority groups who face specific
disadvantages. Proposes group-specific rights to accommodate cultural
differences.
o Critique of Assimilation: Rejects the idea that minorities must abandon their
cultural heritage to integrate into the dominant culture.
o Dialogue & Understanding: Promotes intercultural dialogue and
understanding.
• Key Thinkers:
o Will Kymlicka (Liberal Multiculturalism):
▪ Distinguishes between:
▪ National Minorities: (e.g., indigenous peoples, historically
settled groups like Québécois) who may be entitled to self-
government rights.
▪ Immigrant/Ethnic Groups: (Voluntary migrants) who may be
entitled to polyethnic rights (e.g., funding for cultural
practices, exemptions from certain laws).
▪ Argues that certain "external protections" for minority groups are
compatible with liberal principles if they protect the group from the
dominance of the larger society, but "internal restrictions" (limiting
the freedom of individual members within the group) are not.

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

▪ Access to one's "societal culture" is crucial for individual autonomy and

choice.
o Bhikhu Parekh (Pluralist/Dialogical Multiculturalism):
▪ Critiques liberal universalism. Argues that liberalism is itself a
particular cultural perspective.
▪ Advocates for intercultural dialogue to arrive at operative public
values.
▪ Emphasizes that cultures are internally diverse and dynamic.
▪ Society should be structured to reflect its multicultural character.
o Charles Taylor (Politics of Recognition):
▪ Argues that identity is formed dialogically, in interaction with others.
▪ Misrecognition or non-recognition can be a form of oppression.
▪ Advocates for a "politics of difference" that acknowledges unique
identities, alongside a "politics of equal dignity."
o Iris Marion Young (Politics of Difference):
▪ Argues for group representation and the recognition of distinct social
group perspectives to counter oppression and disadvantage.
▪ Challenges the ideal of an impartial, universal public sphere.
• Types of Group Rights (as proposed by Kymlicka):
o Self-government rights: For national minorities, granting political autonomy
or territorial jurisdiction.
o Polyethnic rights: Financial support and legal protection for certain cultural
practices of ethnic groups.
o Special representation rights: Reserved seats or affirmative action for
minority groups in political institutions.
• Criticisms of Multiculturalism:
o May lead to social fragmentation and undermine national unity.
o May entrench illiberal practices within minority cultures (e.g., oppression of
women).
o May essentialize cultures and ignore internal diversity.
o Liberals worry about conflict with individual rights.
• EXAM Focus: Core tenets. Kymlicka's types of groups and rights. Parekh's dialogical
approach. Taylor's politics of recognition. Criticisms of multiculturalism.

G. MODERNISM & POSTMODERNISM

i. Modernism (in Political & Social Thought)

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

• Context: Rooted in the Enlightenment (17th-18th C) and extending through the 19th
and early 20th centuries. Associated with industrialization, urbanization, and
scientific advancement.
• Core Tenets/Beliefs:
o Reason & Rationality: Strong faith in human reason to understand and control
the world, solve problems, and achieve progress.
o Progress: Belief in linear historical progress towards a better future, driven
by science, technology, and reason.
o Universalism: Belief in universal truths, values, and moral principles
applicable to all societies and individuals.
o Science & Objectivity: Science as the paradigm of knowledge; belief in
objective truth discoverable through empirical observation and logical
deduction.
o Grand Narratives/Meta-narratives (Lyotard's term, but describes
modernism): Comprehensive, overarching theories or stories that claim to
explain history, society, and human experience (e.g., Marxism, Liberalism's
story of progress, Hegelianism).
o The Unified Self: Belief in a coherent, stable, autonomous individual self or
subject.
o Order & Control: Desire to create a rationally ordered society.
• Manifestations in Politics:
o Development of ideologies like liberalism and socialism, which offer
blueprints for social organization.
o Nation-state building.
o Bureaucracy (Weber saw it as a rational form of organization).
o Belief in social engineering and planning.
ii. Postmodernism
• Context: Emerged in the mid-to-late 20th century, particularly from the 1960s
onwards. A reaction against and critique of modernism's assumptions. Influenced by
post-structuralist thought.
• Core Tenets/Critiques:
o Skepticism towards Grand Narratives (Jean-François Lyotard - The
Postmodern Condition): Rejection of overarching, totalizing explanations of
history and society. Sees them as oppressive and exclusionary. "Incredulity
towards metanarratives."
o Relativism/Perspectivism: Truth is not universal or objective, but relative to
culture, language, power, and perspective. No single "God's-eye view."
o Deconstruction (Jacques Derrida): A method of textual analysis that exposes
the instability of meaning, binary oppositions (e.g., man/woman,

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

reason/emotion), and hidden assumptions in language and texts. Meaning is

always deferred and undecidable.
o Power/Knowledge (Michel Foucault): Knowledge is not neutral but is
intertwined with power. Discourses (systems of meaning and knowledge)
shape what can be thought and said, and serve to legitimize power relations.
Power is diffuse and productive, not just repressive.
o The Fragmented/Decentered Self: Rejects the idea of a stable, unified self.
The subject is constructed by language, culture, and social forces.
o Emphasis on Difference, Plurality, Otherness: Celebrates diversity and gives
voice to marginalized perspectives.
o Hyperreality/Simulacra (Jean Baudrillard): In postmodern society,
simulations and media images become more real than reality itself, blurring
the distinction between the two.
o Anti-foundationalism: Rejection of the idea that knowledge or values can be
based on ultimate, secure foundations.
• Key Thinkers:
o Jean-François Lyotard: Grand narratives, postmodern condition.
o Michel Foucault: Power/knowledge, discourse, discipline, governmentality.
o Jacques Derrida: Deconstruction, différance.
o Jean Baudrillard: Simulacra, hyperreality.
o Richard Rorty (Pragmatist with postmodern affinities): Irony, contingency,
solidarity.
• Impact on Political Theory:
o Critique of universalist claims of ideologies like liberalism and Marxism.
o Focus on identity politics, marginalized groups, and the politics of difference.
o Challenges to state sovereignty and traditional forms of political authority.
o Emphasis on language, discourse, and representation in politics.
• EXAM Focus: Understand Postmodernism primarily as a critique of Modernism. Key
tenets of both. Core ideas of Lyotard, Foucault, and Derrida are crucial. The concept
of "grand narratives" and their rejection. Power/knowledge. Deconstruction.

H. ENVIRONMENTALISM (Ecologism/Green Politics)

• Core Tenet: A political ideology and social movement concerned with protecting the
natural environment and promoting sustainable ways of life. It challenges
anthropocentrism (human-centeredness) and emphasizes the interconnectedness of
all living things.
• Key Concepts:

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

o Ecology: The scientific study of the relationships between living organisms

and their environment. Political ecology applies these insights to social and
political issues.
o Sustainability/Sustainable Development: Development that meets the
needs of the present without compromising the ability of future generations
to meet their own needs.
o Limits to Growth: The idea that economic growth cannot continue
indefinitely on a finite planet due to resource depletion and environmental
degradation.
o Anthropocentrism vs. Ecocentrism:
▪ Anthropocentrism (Human-centered): Nature has value only insofar
as it serves human interests.
▪ Ecocentrism (Nature-centered): Nature has intrinsic value,
independent of its usefulness to humans. All living things and
ecosystems have moral worth.
o Holism: Emphasizes the interconnectedness of all parts of an ecosystem; the
whole is greater than the sum of its parts.
o Ecological Footprint: A measure of human demand on the Earth's ecosystems.
o Tragedy of the Commons (Garrett Hardin): Unregulated access to a shared
resource tends to lead to its overexploitation and ruin.
• Strands of Environmental Thought:
o Shallow Ecology (Light Green/Reformist Environmentalism):
▪ Anthropocentric: Aims to protect the environment primarily for
human benefit (e.g., clean air/water for health, resources for future
generations).
▪ Seeks solutions within existing political and economic structures (e.g.,
technological fixes, market mechanisms like carbon trading,
conservation policies).
▪ Focus on "sustainable development."
o Deep Ecology (Dark Green/Radical Ecologism):
▪ Ecocentric/Biocentric: Argues for the intrinsic value of all life forms
and ecosystems.
▪ Advocates for a fundamental shift in human consciousness and societal
structures, challenging industrialism, consumerism, and
anthropocentrism.
▪ Calls for significant reductions in human population and consumption.
▪ Thinkers: Arne Naess (coined "deep ecology"), Aldo Leopold ("Land
Ethic"), Rachel Carson (Silent Spring - influential in raising
awareness).

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

o Social Ecology (Murray Bookchin): Argues that environmental problems are

rooted in social hierarchy and domination. Ecological crisis can only be solved
by creating a decentralized, non-hierarchical, cooperative society.
o Ecofeminism (see Feminism section): Links the domination of women with
the domination of nature, seeing both as products of patriarchal thinking.
o Ecosocialism: Blends socialist critique of capitalism with ecological concerns.
Argues that capitalism's drive for profit and endless growth is inherently
destructive to the environment. Advocates for a democratically planned,
ecologically sustainable socialist society.
o Green Politics (Political Parties): Movement that seeks to implement
environmentalist principles through political action, often forming Green
parties. Key principles often include ecological wisdom, social justice,
nonviolence, and grassroots democracy.
• Key Issues: Climate change, biodiversity loss, pollution, resource depletion,
deforestation.
• EXAM Focus: Distinguish between Shallow and Deep Ecology (anthropocentrism vs.
ecocentrism). Core concepts like sustainability, limits to growth. Thinkers like Arne
Naess, Murray Bookchin. Understand how environmentalism critiques dominant
ideologies like liberalism and capitalism.

This detailed breakdown should provide a strong foundation for your EXAM preparation in
Political Theory. Remember to supplement these notes with readings from standard
textbooks and previous year question papers to understand how these concepts are tested.
Good luck!

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

UNIT 2: Western Political Thought

This unit traces the evolution of political ideas from ancient Greece to modern and
contemporary times, focusing on key thinkers and their seminal contributions.

1. Ancient Political Thought

A. Plato (c. 428/427 – 348/347 BCE) - Focus: Republic
• Introduction: Athenian philosopher, student of Socrates, teacher of Aristotle. His
political philosophy is deeply ethical, aiming to establish an ideal state based on
justice. He was disillusioned with Athenian democracy, especially after Socrates'
execution.
• Key Work: The Republic (Politeia) is his most famous work, a dialogue exploring
justice, the ideal state, and the philosopher-king. Other works include The
Statesman and The Laws.
• Methodology: Dialectical method (Socratic dialogue), rationalism, idealism.
• Core Ideas in The Republic:
1. Theory of Forms (Ideas):
▪ The physical world is a shadow or imperfect copy of a higher, eternal,
and unchanging world of Forms or Ideas.
▪ The highest Form is the Form of the Good, which illuminates all other
Forms.
▪ True knowledge is knowledge of the Forms, attainable only through
reason and philosophy.
▪ Allegory of the Cave: Illustrates this theory – prisoners mistake
shadows for reality until one escapes and sees the sun (Form of the
Good).
2. Theory of Justice:
▪ Justice in the Individual: A well-ordered soul where reason (wisdom)
rules over spirit/courage (which helps reason control appetites) and
appetite (desires). Each part performs its function without interfering
with others.
▪ Justice in the State (Kallipolis - the ideal city): A harmonious order
where each of the three classes performs its specific function:
▪ Rulers (Guardians/Philosopher-Kings): Embody reason and
wisdom. Their role is to govern.
▪ Auxiliaries (Warriors): Embody spirit and courage. Their role
is to defend the state.
▪ Producers (Artisans, Farmers): Embody appetite. Their role is
to provide material goods.

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

▪ Justice is "one man, one work" or "minding one's own business" –

functional specialization according to natural aptitude.
3. The Philosopher-King:
▪ The ideal ruler is a philosopher who has attained knowledge of the
Form of the Good.
▪ Only philosophers possess the wisdom necessary to govern justly.
▪ "Unless philosophers become kings, or kings and princes of this world
have the spirit and power of philosophy... cities will never have rest
from their evils."
4. Education System:
▪ A rigorous, state-controlled system to train citizens, especially
Guardians and Auxiliaries.
▪ Curriculum includes gymnastics (for the body) and music (for the soul,
broadly defined to include literature, art, philosophy).
▪ Higher education in mathematics, astronomy, and dialectic for future
Philosopher-Kings.
▪ Censorship of art and literature to promote virtue.
5. Communism of Wives and Property (for Guardians and Auxiliaries):
▪ To prevent corruption and ensure unity, Guardians and Auxiliaries
would not possess private property or traditional families.
▪ Wives and children would be held in common.
▪ The aim was to eliminate nepotism and private interests that could
conflict with dedication to the state. This did not apply to the
producer class.
6. Critique of Existing Regimes:
▪ Plato outlines a cycle of declining regimes, starting from the ideal
Aristocracy (rule by the best/philosopher-king):
▪ Timocracy: Rule by honor/military (spirit dominates).
▪ Oligarchy: Rule by the wealthy (appetite for wealth
dominates).
▪ Democracy: Rule by the masses (excessive freedom, appetite
for liberty dominates, leading to disorder).
▪ Tyranny: Rule by a single, lawless individual (most unjust,
worst form of appetite dominates).
▪ He was particularly critical of democracy for its instability and
tendency to empower the ignorant.
• Criticisms:

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

o Utopian and impractical.

o Authoritarian/Totalitarian tendencies (Karl Popper called him an enemy of
the "open society").
o Anti-democratic.
o The rigid class system denies individual mobility and freedom.
• Legacy:
o Foundation of Western political philosophy.
o Emphasis on justice, virtue, and the role of education in politics.
o First systematic attempt to design an ideal state.
B. Aristotle (384–322 BCE) - Focus: Politics
• Introduction: Student of Plato, tutor to Alexander the Great. Considered the "father
of political science" for his empirical and comparative approach. He was more
pragmatic and realistic than Plato.
• Key Work: Politics. Other important works include Nicomachean
Ethics and Constitution of Athens.
• Methodology: Empirical, observational, comparative (studied 158 constitutions),
teleological (believed everything has a purpose or end - telos).
• Core Ideas in Politics:
1. Man as a Political Animal (Zoon Politikon):
▪ Humans are naturally social and political beings.
▪ The state (polis) is a natural institution, not an artificial construct.
▪ Individuals can achieve their full potential and live a "good life"
(eudaimonia) only within the polis.
▪ The state is prior to the individual in importance, as the whole is prior
to the part.
2. Origin and Nature of the State:
▪ The state evolves naturally: Family → Village → Polis (City-State).
▪ The polis is the highest form of association, self-sufficient and aimed
at the highest good.
▪ It exists not merely for life, but for the sake of a good life.
3. Theory of Citizenship:
▪ A citizen is one who participates in the deliberative or judicial
administration of the state (i.e., holds office).
▪ This definition excluded women, slaves, foreigners, and manual
laborers, as they lacked the leisure or rational capacity for full
participation.

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

4. Slavery:
▪ Aristotle justified natural slavery, arguing some are "slaves by nature"
– lacking full rationality and fit only for manual labor, benefiting from
the guidance of a master.
▪ However, he distinguished this from conventional slavery (e.g.,
prisoners of war).
5. Classification of Constitutions (Governments):
▪ Based on two criteria:
▪ Number of Rulers: One, Few, Many.
▪ Aim of Rule: Common good (true/good forms) or self-interest
of rulers (perverted/deviant forms).

True Form (Rule for Perverted Form (Rule for

Rulers
Common Good) Self-Interest)

One Monarchy (Kingship) Tyranny

Few Aristocracy Oligarchy

Polity (Constitutional
Many Democracy (Mob Rule)
Republic)

6. Best Practicable State (Polity):

▪ While monarchy and aristocracy are ideal in theory if rulers are
virtuous, Aristotle considered Polity the best practicable form of
government.
▪ Polity is a mixed constitution, balancing elements of oligarchy
(wealth) and democracy (numbers/freedom).
▪ It is characterized by a strong middle class, which acts as a stabilizing
force, avoiding the extremes of wealth and poverty.
▪ Rule of law is paramount.
7. Theory of Revolution:
▪ Causes: Desire for equality (by the masses) or inequality (by the few),
injustice, fear, contempt, disproportionate increase in any part of the
state.
▪ Prevention: Promoting obedience to law, education in the spirit of the
constitution, avoiding extremes of wealth and poverty, a strong
middle class, vigilance.
8. Rule of Law vs. Rule of Men:

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

▪ Advocated for the supremacy of law: "Law is reason unaffected by

desire."
▪ Even the best rulers are susceptible to passions, whereas law is
impartial.
9. The Golden Mean:
▪ Ethical concept (from Nicomachean Ethics) applied to politics: virtue
lies in a mean between two extremes of vice (e.g., courage is the
mean between cowardice and rashness).
▪ Polity represents a political mean.
• Criticisms:
o Justification of slavery.
o Exclusionary view of citizenship.
o His preference for a small city-state became outdated with the rise of
empires.
• Legacy:
o Pioneered empirical and comparative methods in political science.
o His classification of constitutions remains influential.
o Emphasis on rule of law, constitutionalism, and the importance of a middle
class.
o Distinction between state and government.

2. Renaissance Thought
Niccolò Machiavelli (1469–1527)
• Introduction: Italian diplomat, philosopher, and writer during the Renaissance. Lived
in Florence when Italy was politically fragmented and vulnerable to foreign powers.
Often considered the first modern political thinker.
• Key Works: The Prince (1513, published 1532), Discourses on Livy (1517, published
1531).
• Methodology: Historical realism, empiricism. He drew lessons from history
(especially Roman history) and contemporary political events.
• Core Ideas:
1. Separation of Politics and Ethics (Political Realism):
▪ Machiavelli argued that political actions should be judged by their
practical consequences (effectiveness in acquiring and maintaining
power) rather than by conventional morality or religious doctrine.

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

▪ A ruler may need to be cruel, deceitful, or immoral if it serves the

state's interests. "The ends justify the means" is a common (though
not direct quote) summary of this.
▪ He distinguished between public and private morality.
2. Human Nature:
▪ Pessimistic view: Humans are inherently selfish, fickle, ungrateful,
deceptive, and motivated by self-interest (especially fear and desire
for gain).
▪ A ruler must understand this to maintain power. It is "safer to be
feared than loved" if one cannot be both.
3. Advice to the Prince (The Prince):
▪ A practical guide for rulers on how to acquire and maintain political
power.
▪ The primary goal of the Prince is the security and stability of the state.
▪ A Prince should cultivate Virtù (skill, manliness, ability, strength,
cunning) to overcome Fortuna (fortune, luck, chance).
▪ Should appear virtuous (merciful, faithful, humane, religious, upright)
but be prepared to act contrary to these qualities when necessary.
▪ Must master the art of war.
▪ Should be like a "lion" (to frighten wolves) and a "fox" (to recognize
traps).
4. Virtù and Fortuna:
▪ Virtù: The qualities needed for a ruler to achieve greatness and
maintain the state. It includes ambition, drive, skill, and the ability
to adapt to circumstances.
▪ Fortuna: The unpredictable element of chance or luck in human
affairs. Machiavelli believed Fortuna controls about half of human
actions, but virtù can help manage or mitigate its effects.
5. Republicanism (Discourses on Livy):
▪ While The Prince focuses on autocratic rule (necessary for founding or
reforming a corrupt state), Discourses reveals Machiavelli's
preference for a republican form of government.
▪ Republics are more stable, promote civic virtue, and are better at
adapting to changing circumstances due to the participation of
citizens.
▪ Advocated for a mixed government, checks and balances, and the
importance of civic participation and a citizen militia.
6. Role of Religion:

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

▪ Viewed religion instrumentally: a tool for maintaining social order,

unity, and obedience, rather than for its spiritual truth.
• Criticisms:
o Seen as amoral or immoral ("Machiavellianism" as a term for cunning, amoral
politics).
o Overemphasis on power and conflict.
o His advice can be seen as justifying tyranny.
• Legacy:
o Founder of modern political science by focusing on "what is" rather than "what
ought to be."
o Introduced a secular and realistic approach to politics.
o His ideas on statecraft, power, and leadership remain influential and
debated.

3. Modern Thinkers
A. Thomas Hobbes (1588–1679)
• Introduction: English philosopher, lived during the English Civil War. His political
philosophy is a response to the chaos and instability of his time, seeking to establish
a basis for absolute and indivisible sovereignty.
• Key Work: Leviathan (1651).
• Methodology: Materialistic, mechanistic, deductive (influenced by geometry),
scientific.
• Core Ideas:
1. Human Nature:
▪ Materialistic: Humans are complex machines driven by appetites
(desires) and aversions.
▪ Egoistic: Primarily motivated by self-preservation and the pursuit of
power ("a perpetual and restless desire of power after power, that
ceaseth only in death").
▪ Equality: Men are roughly equal in physical and mental faculties,
leading to competition and distrust.
2. State of Nature:
▪ A hypothetical pre-social condition without government or authority.
▪ Characterized by a "war of every man against every man" (bellum
omnium contra omnes).
▪ Life in the state of nature is "solitary, poor, nasty, brutish, and short."

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

▪ No justice, injustice, morality, or property rights, only a "right of

nature" (liberty to use one's power for self-preservation).
3. Laws of Nature:
▪ Precepts discovered by reason that guide individuals towards self-
preservation and peace.
▪ First Law: Seek peace and follow it.
▪ Second Law: Be willing to lay down one's right to all things (if others
are too) and be contented with so much liberty against other men as
he would allow other men against himself (basis for social contract).
▪ Third Law: Men perform their covenants made (justice).
4. Social Contract:
▪ To escape the state of nature, individuals enter into a social contract.
▪ They mutually agree to surrender all their natural rights (except the
right to self-preservation in extreme cases) to a sovereign authority.
▪ This contract is between the individuals, not between the individuals
and the sovereign. The sovereign is a beneficiary, not a party to the
contract, and thus cannot breach it.
5. Sovereignty (The Leviathan):
▪ The sovereign power created by the contract is absolute, indivisible,
inalienable, and unlimited.
▪ It can be a monarch, aristocracy, or democracy, though Hobbes
preferred monarchy for its decisiveness.
▪ The sovereign's primary function is to maintain order and security.
▪ The sovereign has the power to make laws, enforce them, judge
disputes, make war and peace, etc.
▪ No right to rebellion, as this would return society to the state of
nature. The only time obedience ceases is if the sovereign fails to
protect the lives of subjects.
6. Individual Liberty:
▪ Liberty is the "absence of external impediments."
▪ In civil society, liberty consists of what the law permits (silence of the
law).
▪ Subjects retain the liberty to defend their own lives.
• Criticisms:
o Pessimistic view of human nature.
o His justification for absolute sovereignty can lead to tyranny.
o The social contract is a historical fiction.

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

o Ignores the role of community and sociability in human life.

• Legacy:
o A foundational figure in modern political philosophy and social contract
theory.
o His concept of sovereignty significantly influenced subsequent political
thought.
o Pioneered a scientific approach to politics.
B. John Locke (1632–1704)
• Introduction: English philosopher, lived through the Glorious Revolution. Often
called the "Father of Liberalism." His ideas profoundly influenced the American
Declaration of Independence and constitutionalism.
• Key Work: Two Treatises of Government (1689).
• Methodology: Empiricism (knowledge from sensory experience), natural law
tradition.
• Core Ideas:
1. Human Nature:
▪ Humans are rational, free, and equal by nature.
▪ Governed by reason and natural law.
▪ More optimistic than Hobbes; humans are capable of cooperation and
good-will.
2. State of Nature:
▪ A state of "perfect freedom" and "perfect equality," governed by the
Law of Nature.
▪ The Law of Nature, discoverable by reason, teaches that "no one ought
to harm another in his life, health, liberty, or possessions."
▪ It is not a state of war (as for Hobbes), but it can become one due to
the lack of a common judge and enforcement mechanism for the Law
of Nature. Inconveniences: no known law, no impartial judge, no
power to execute law.
3. Natural Rights:
▪ Individuals possess inherent, inalienable natural rights, endowed by
God/Nature, not granted by government.
▪ Key natural rights are Life, Liberty, and Property.
▪ Right to Property: Acquired by mixing one's labor with common
resources. There are limitations (enough and as good left for others,
spoilage). Money overcomes these limitations.
4. Social Contract:

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

▪ Individuals enter into a social contract to remedy the "inconveniences"

of the state of nature and better protect their natural rights.
▪ They surrender only the right to interpret and enforce the Law of
Nature to a common authority (government).
▪ It's a two-stage contract: first, to form a society (pactum unionis), and
second, to establish a government (pactum subjectionis).
▪ The government is based on the consent of the governed.
5. Limited Government (Trusteeship):
▪ The government's power is limited and derived from the people. It
acts as a trustee for the people's rights.
▪ Advocated for a constitutional government with a separation of
powers (legislative, executive, federative – dealing with foreign
affairs). Legislative power is supreme.
▪ Government must rule by established laws, not arbitrary decrees.
6. Right to Revolution (Resistance):
▪ If the government violates the terms of the trust by infringing on
natural rights or acting tyrannically, the people have the right to resist
and overthrow it.
▪ This dissolves the government, not society itself, and allows for the
establishment of a new government.
7. Toleration:
▪ Advocated for religious toleration (in A Letter Concerning Toleration),
arguing that the state should not interfere in matters of religious
faith, as long as it doesn't disrupt public order.
• Criticisms:
o His concept of property has been criticized for justifying inequality.
o The state of nature and social contract are seen as ahistorical.
o Ambiguities in his theory (e.g., extent of consent).
• Legacy:
o Immense influence on liberal democratic thought, constitutionalism, and
human rights.
o Provided philosophical justification for the Glorious Revolution and the
American Revolution.
o His ideas on natural rights, limited government, and consent are cornerstones
of modern democracy.
C. Jean-Jacques Rousseau (1712–1778)

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

• Introduction: Genevan philosopher, writer, and composer. A key figure of the

Enlightenment, but also a critic of its emphasis on reason over feeling. His ideas
influenced the French Revolution.
• Key Works: Discourse on the Origin and Basis of Inequality Among Men (1755), The
Social Contract (1762), Emile, or On Education (1762).
• Methodology: Romantic, critical, emphasis on sentiment and civic virtue.
• Core Ideas:
1. Human Nature:
▪ Humans are naturally good, compassionate (pitié - pity/compassion),
and driven by self-preservation (amour de soi - self-love).
▪ The "Noble Savage" in the state of nature is independent and self-
sufficient.
▪ Society, particularly private property and inequality, corrupts natural
goodness, leading to amour-propre (vanity, pride, competitive self-
love).
2. State of Nature:
▪ A primitive, idyllic condition of freedom and equality.
▪ Not a state of war, but a peaceful existence with few needs.
▪ Humans lived solitary lives, guided by instinct and compassion.
▪ The invention of private property marked the end of this state and the
beginning of inequality and conflict. "The first man who, having
enclosed a piece of ground, bethought himself of saying 'This is mine,'
and found people simple enough to believe him, was the real founder
of civil society."
3. Social Contract:
▪ "Man is born free, and everywhere he is in chains."
▪ The social contract is an agreement by which individuals
surrender all their natural rights to the community as a whole (not
to a sovereign ruler like Hobbes).
▪ In return, they gain civil liberty and moral freedom.
▪ The aim is to find a form of association that defends and protects the
person and goods of each associate, and in which each, while uniting
himself with all, may still obey himself alone, and remain as free as
before.
4. General Will (Volonté Générale):
▪ The cornerstone of Rousseau's political philosophy.
▪ The collective will of the citizens, aimed at the common good.
▪ Distinguished from the "will of all" (sum of private, selfish interests).

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

▪ The General Will is always right and tends to the public advantage.
▪ Laws are expressions of the General Will.
▪ Citizens, by obeying laws based on the General Will, are obeying
themselves and are therefore free. This leads to the "paradox of
freedom": one can be "forced to be free."
5. Sovereignty:
▪ Sovereignty resides in the people as a collective body, expressing the
General Will.
▪ It is inalienable (cannot be delegated), indivisible (cannot be divided),
and infallible (always right).
▪ Favored popular sovereignty and direct democracy (where citizens
directly participate in making laws), as representation corrupts the
General Will. This was feasible in small city-states like Geneva.
6. Government:
▪ The government is merely an agent or "magistrate" of the sovereign
people, tasked with executing the laws (expressions of the General
Will).
▪ It can be monarchical, aristocratic, or democratic, depending on the
size and character of the state, but it is always subordinate to the
sovereign people.
• Criticisms:
o The concept of the General Will can be vague and potentially lead to
totalitarianism ("forced to be free").
o His preference for direct democracy is impractical for large, modern states.
o Idealization of the state of nature.
• Legacy:
o Profound influence on democratic theory, particularly ideas of popular
sovereignty and civic participation.
o A major inspiration for the French Revolution.
o His critique of inequality and emphasis on community continue to resonate.
D. Jeremy Bentham (1748–1832) - Utilitarianism
• Introduction: English philosopher, jurist, and social reformer. Founder of modern
utilitarianism. Advocated for extensive legal and social reforms based on the
principle of utility.
• Key Works: A Fragment on Government (1776), An Introduction to the Principles of
Morals and Legislation (1789).
• Methodology: Empirical, rational, reformist.

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

• Core Ideas (Utilitarianism):

•

1. Principle of Utility (Greatest Happiness Principle):

▪ "Nature has placed mankind under the governance of two sovereign
masters, pain and pleasure."
▪ Actions are right in proportion as they tend to promote happiness
(pleasure and the absence of pain), wrong as they tend to produce
unhappiness (pain and the privation of pleasure).
▪ The "greatest happiness of the greatest number" is the measure of
right and wrong, and the sole legitimate end of government.
▪ This is a consequentialist theory: morality of an action is judged by its
outcomes.
2. Hedonistic/Felicific Calculus:
▪ Bentham believed pleasure and pain could be quantitatively
measured.
▪ He proposed a "calculus" to assess the utility of an action, considering
factors like:
▪ Intensity: How strong is the pleasure/pain?
▪ Duration: How long does it last?
▪ Certainty/Uncertainty: How likely is it to occur?
▪ Propinquity/Remoteness: How soon will it occur?
▪ Fecundity: Likelihood of being followed by sensations of the
same kind (e.g., pleasure followed by more pleasure).
▪ Purity: Likelihood of not being followed by sensations of the
opposite kind (e.g., pleasure not followed by pain).
▪ Extent: The number of people affected by it.
▪ The aim was to provide a scientific basis for legislation and moral
decision-making.
3. Role of Government and Legislation:
▪ The primary purpose of government is to promote the greatest
happiness of the greatest number by creating laws and institutions
that maximize pleasure and minimize pain for the community.
▪ Legislation should be based on the principle of utility.
▪ He was a strong advocate for codification of laws to make them clear,
rational, and accessible.
4. Reforms:
▪ Bentham was a radical reformer, advocating for:

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

▪ Legal reform: Simplification and codification of law, abolition

of harsh punishments.
▪ Prison reform: The "Panopticon" prison design (a central
observation tower allowing a single guard to observe all
inmates), aimed at efficient surveillance and reform.
▪ Political reform: Universal male suffrage (later extended to
women), secret ballot, annual parliaments.
▪ Abolition of slavery, animal rights (argued that the capacity to
suffer, not reason, is the basis for moral consideration: "The
question is not, Can they reason? nor, Can they talk? but, Can
they suffer?").
5. Rejection of Natural Rights and Social Contract:
▪ Dismissed natural rights as "nonsense upon stilts" and natural law as a
fiction. Rights are created by law (legal rights), not inherent.
▪ Rejected social contract theory as a historical fallacy. Obedience to
government is based on its utility in promoting happiness.
• Criticisms:
o The felicific calculus is impractical and subjective. How can pleasures be
accurately measured and compared?
o Neglects the quality of pleasures (Mill's critique). Is the pleasure of a pig equal
to the pleasure of a poet?
o Can justify sacrificing individual rights for the sake of the majority (tyranny
of the majority).
o Overly simplistic view of human motivation (solely pain and pleasure).
• Legacy:
o Founder of classical utilitarianism, a major ethical and political theory.
o Significant influence on legal reform, democratic theory, and welfare
economics.
o His ideas provided a powerful rationale for social and political change.
E. John Stuart Mill (1806–1873) - Liberty and (Refined) Utilitarianism
• Introduction: British philosopher, political economist, and civil servant. Son of
James Mill (a close associate of Bentham). A leading intellectual of the 19th century,
profoundly influenced by utilitarianism but also by Romanticism and thinkers like
Coleridge and Tocqueville.
• Key Works: On Liberty (1859), Utilitarianism (1861), Considerations on
Representative Government (1861), The Subjection of Women (1869).
• Methodology: Empiricism, modified utilitarianism, liberal individualism.
• Core Ideas:

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

1. Refinement of Utilitarianism:
▪ Accepted Bentham's "greatest happiness principle" but introduced a
qualitative distinction between pleasures.
▪ "It is better to be a human being dissatisfied than a pig satisfied;
better to be Socrates dissatisfied than a fool satisfied."
▪ Higher pleasures (intellectual, moral, aesthetic) are intrinsically
superior to lower pleasures (sensual, physical).
▪ Those who have experienced both types of pleasure are competent
judges of their relative quality.
▪ Emphasized the importance of individual development and self-
cultivation as part of happiness.
2. On Liberty (Harm Principle):
▪ The central theme of On Liberty is the importance of individual
freedom from social and political coercion.
▪ Harm Principle: "The only purpose for which power can be rightfully
exercised over any member of a civilized community, against his will,
is to prevent harm to others. His own good, either physical or moral,
is not a sufficient warrant."
▪ Distinguished between self-regarding actions (affecting only oneself,
where society has no right to interfere) and other-regarding actions
(affecting others, where society may intervene if harmful).
▪ This principle applies to adults of sound mind, not children or
"backward states of society."
3. Freedom of Thought and Discussion:
▪ Argued passionately for absolute freedom of thought, speech, and
publication.
▪ Reasons:
▪ A suppressed opinion may be true.
▪ Even if a suppressed opinion is false, it may contain a portion
of truth; truth often emerges from the "collision of adverse
opinions."
▪ Even if a received opinion is wholly true, it will become dead
dogma if not vigorously debated.
▪ Unchallenged truths lose their vitality and meaning.
▪ The "marketplace of ideas" leads to the discovery of truth and
individual development.
4. Individuality and Eccentricity:
▪ Stressed the importance of individuality, originality, and even
eccentricity for human flourishing and social progress.

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

▪ "Tyranny of the majority" (or social opinion) can stifle individuality and
lead to conformity.
▪ Society benefits from diverse lifestyles and experiments in living.
5. Representative Government:
▪ Advocated for representative democracy as the best form of
government, as it promotes active participation and the
intellectual/moral development of citizens.
▪ Concerned about the dangers of majority tyranny in a democracy.
▪ Supported:
▪ Proportional representation (to ensure minority voices are
heard).
▪ Plural voting (giving more votes to the educated, a
controversial aspect).
▪ Open ballot (initially, later shifted to secret ballot).
6. Rights of Women (The Subjection of Women):
▪ One of the earliest and most powerful arguments for gender equality.
▪ Argued that the legal subordination of women to men is wrong in itself
and a major hindrance to human improvement.
▪ Advocated for equal rights for women in education, employment,
property, and suffrage.
▪ Believed that differences between sexes were due to social
conditioning, not nature.
• Criticisms:
o Difficulty in clearly distinguishing between self-regarding and other-regarding
actions.
o The harm principle can be vague: what constitutes "harm"?
o Potential tension between his utilitarianism (collective good) and his
emphasis on individual liberty.
o His proposal for plural voting is seen as elitist and undemocratic.
• Legacy:
o A towering figure in liberal thought.
o His defense of individual liberty and free speech remains highly influential.
o Significant contributions to utilitarian ethics, democratic theory, and feminist
thought.
F. Immanuel Kant (1724–1804) - Moral Philosophy and Political Thought

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

• Introduction: German philosopher, a central figure in modern philosophy. His work

synthesized early modern rationalism and empiricism. His moral philosophy is
deontological (duty-based).
• Key Works: Critique of Pure Reason (1781), Groundwork of the Metaphysics of
Morals (1785), Critique of Practical Reason (1788), Perpetual Peace: A Philosophical
Sketch (1795).
• Methodology: Transcendental idealism, rationalism, deontological ethics.
• Core Ideas (Moral Philosophy):
1. Good Will:
▪ The only thing that is good without qualification is a "good will."
▪ A good will acts from duty, not from inclination, self-interest, or
consequences.
2. Duty vs. Inclination:
▪ Moral actions are those performed out of a sense of duty, for the sake
of the moral law itself.
▪ Actions done merely from inclination (e.g., helping someone because
you feel like it) may be praiseworthy but lack true moral worth.
3. Categorical Imperative:
▪ The supreme principle of morality, a command that is unconditional
and universally binding. It is discoverable by reason.
▪ Kant offers several formulations:
▪ First Formulation (Formula of Universal Law): "Act only
according to that maxim whereby you can at the same time
will that it should become a universal law." (Can your personal
rule of action be willed as a law for everyone without
contradiction?)
▪ Second Formulation (Formula of Humanity as End in
Itself): "Act in such a way that you treat humanity, whether in
your own person or in the person of any other, never merely as
a means to an end, but always at the same time as an end."
(Respect the inherent dignity and rationality of all persons).
▪ Third Formulation (Formula of the Kingdom of Ends): "Act as
if you were through your maxims a law-making member of a
kingdom of ends." (Conceive of a moral community where
everyone acts autonomously according to universal moral
laws).
4. Moral Autonomy:
▪ Humans are autonomous beings capable of self-legislation; they can
determine and follow moral laws through reason.

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

▪ Freedom is essential for morality – one can only be morally responsible

if one is free to choose.
• Core Ideas (Political Philosophy):
1. Social Contract:
▪ Views the social contract not as a historical event, but as a
hypothetical idea of reason.
▪ A legitimate government is one that could have been consented to by
rational individuals. The basis of law is what the people would consent
to.
2. Republicanism and Rule of Law:
▪ Advocated for a republican form of government characterized by:
▪ Freedom of every member of society as a human being.
▪ Equality of each with all others as a subject (equal under the
law).
▪ Independence of each member of the commonwealth as a
citizen (though his concept of active vs. passive citizenship was
restrictive).
▪ Emphasized the separation of powers (legislative, executive,
judicial).
▪ Supremacy of law: The state should be governed by just laws that
respect individual rights.
3. Rights:
▪ The "one innate right" is freedom, "insofar as it can coexist with the
freedom of every other in accordance with a universal law."
▪ The purpose of the state is to secure these rights and ensure that
individuals can pursue their own ends so long as they do not infringe
upon the rights of others.
4. Perpetual Peace (Perpetual Peace):
▪ Outlined conditions for achieving lasting peace among nations:
▪ Republican constitutions in all states.
▪ A federation of free states (a league of nations, not a world
state).
▪ Cosmopolitan right (universal hospitality – right of foreigners
not to be treated with hostility).
▪ Abolition of standing armies, prohibition of national debts for
external affairs, non-interference in the internal affairs of
other states.
• Criticisms:

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

o Moral philosophy is seen as overly rigid and absolutist (e.g., telling a lie is
always wrong, even to save a life).
o Neglects the role of emotions and consequences in moral judgment.
o His political philosophy, particularly the distinction between active and
passive citizens, has elitist elements.
• Legacy:
o Profound impact on ethics, political philosophy, and international relations
theory.
o His concept of categorical imperative remains a central idea in moral
philosophy.
o Ideas on republicanism, rule of law, and perpetual peace have influenced
liberal internationalism and human rights discourse.
G. Georg Wilhelm Friedrich Hegel (1770–1831)
• Introduction: German philosopher, a major figure of German Idealism. His
philosophy is comprehensive and systematic, covering logic, nature, spirit, history,
art, religion, and philosophy.
• Key Works: Phenomenology of Spirit (1807), Science of Logic (1812-
1816), Encyclopedia of the Philosophical Sciences (1817), Elements of the
Philosophy of Right (1821).
• Methodology: Dialectical method, idealism.
• Core Ideas:
1. Idealism:
▪ Reality is fundamentally mental or spiritual ("Spirit" or "Geist" or
"Absolute Idea").
▪ The universe is the progressive self-manifestation and self-realization
of this Spirit.
▪ "The rational is the real, and the real is the rational." History and
social institutions are expressions of unfolding reason.
2. Dialectical Method:
▪ A process of development through contradiction and resolution:
▪ Thesis: An initial idea or state of affairs.
▪ Antithesis: A contradictory idea or state that emerges in
opposition to the thesis.
▪ Synthesis (Aufhebung): A higher stage that resolves the
conflict between thesis and antithesis by preserving what is
true in both, while transcending their limitations. This
synthesis then becomes a new thesis.

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

▪ This dialectical process drives historical development and the

unfolding of Spirit.
3. Spirit (Geist):
▪ The ultimate reality, which is dynamic and evolves through history.
▪ Manifests itself in different forms:
▪ Subjective Spirit: Individual consciousness, psychology.
▪ Objective Spirit: Social institutions, law, morality, the state.
▪ Absolute Spirit: Art, religion, and philosophy (where Spirit
achieves full self-consciousness).
4. History as the March of Reason/Freedom:
▪ World history is the progressive realization of Spirit's consciousness of
its own freedom.
▪ "World history is the progress of the consciousness of freedom."
▪ This progress is not smooth but occurs through conflict and the actions
of "world-historical individuals" (e.g., Alexander, Caesar, Napoleon)
who unknowingly serve the purposes of Spirit.
5. The State (Philosophy of Right):
▪ The state is the highest manifestation of Objective Spirit, the
"actuality of the ethical Idea" or "the march of God in the world."
▪ It is not an artificial construct (like in social contract theory) but an
organic whole that embodies reason and ethical life.
▪ It reconciles individual freedom with universal law and the common
good.
▪ The rational state provides the framework for true freedom, which is
not arbitrary license but living in accordance with rational laws and
institutions.
▪ Structure of the Ethical Life (Sittlichkeit):
▪ Family: Thesis (particular altruism based on love).
▪ Civil Society (Bürgerliche Gesellschaft): Antithesis (universal
egoism, system of needs, pursuit of private interests, market
economy). This is a realm of individualism and competition,
but also interdependence.
▪ State: Synthesis (universal altruism, realization of concrete
freedom). The state transcends and harmonizes the
particularity of the family and the universal egoism of civil
society.
6. Freedom:

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

▪ True freedom is not doing whatever one wants, but self-determination

through reason and willing the universal.
▪ It is realized through participation in the rational institutions of the
state. Obedience to the laws of a rational state is obedience to
oneself, thus freedom.
• Criticisms:
o His philosophy can be seen as glorifying the existing Prussian state.
o Accused of historicism (the idea that history follows an inevitable path).
o His dialectic can be obscure and deterministic.
o Potential for statism and suppression of individual dissent (though Hegel
valued individual subjectivity within the whole).
• Legacy:
o Immense influence on subsequent philosophy (Marxism, existentialism,
pragmatism).
o His dialectical method and historicism reshaped social and historical thought.
o His ideas on the state, civil society, and freedom continue to be debated.

4. Marxist and Neo-Marxist Thinkers

A. Karl Marx (1818–1883)
• Introduction: German philosopher, economist, historian, sociologist, political
theorist, journalist, and socialist revolutionary. His work forms the basis of Marxism.
• Key Works: Economic and Philosophic Manuscripts of 1844, The German
Ideology (with Engels, written 1845-46, pub. 1932), The Communist Manifesto (with
Engels, 1848), A Contribution to the Critique of Political Economy (1859), Das
Kapital (Capital), Vol. 1 (1867).
• Methodology: Dialectical materialism, historical materialism, critical analysis of
capitalism.
• Core Ideas:
1. Dialectical Materialism:
▪ Marx adapted Hegel's dialectic but "inverted" it, replacing idealism
with materialism.
▪ The material world (economic conditions, productive forces) is
primary, and ideas (superstructure) are reflections of it.
▪ Change occurs through the struggle of opposing material forces.
2. Historical Materialism:
▪ The history of all hitherto existing society is the history of class
struggles.

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

▪ The mode of production (way society organizes production) is the

foundation of society. It consists of:
▪ Forces of Production: Technology, raw materials, labor power.
▪ Relations of Production: Social relationships people enter into
to produce (e.g., master-slave, lord-serf, capitalist-
proletarian). These involve property ownership.
▪ Base and Superstructure:
▪ Base (Economic Structure): The sum total of relations of
production, corresponding to a definite stage of development
of material productive forces.
▪ Superstructure: Legal, political, religious, philosophical,
artistic institutions and ideas, which arise from and reflect the
economic base. The superstructure serves to legitimize and
maintain the base.
▪ Historical development proceeds through a series of modes of
production (e.g., primitive communism, slavery, feudalism,
capitalism, socialism/communism), driven by contradictions between
the developing forces of production and the existing relations of
production.
3. Theory of Alienation (Estrangement):
▪ Under capitalism, workers are alienated in several ways:
▪ From the product of their labor: The product belongs to the
capitalist, not the worker.
▪ From the act of labor (production process): Labor is forced,
external, and not a means of self-fulfillment.
▪ From their species-being (Gattungswesen - human
essence): Humans are creative beings, but capitalist labor
stifles creativity and reduces workers to a mere means of
survival.
▪ From other human beings: Capitalism fosters competition
and estrangement among individuals.
4. Theory of Surplus Value and Exploitation:
▪ Labor Theory of Value: The value of a commodity is determined by
the socially necessary labor time required to produce it.
▪ Surplus Value: Workers are paid wages (value of their labor power,
i.e., cost of subsistence), but in their working day, they produce more
value than they are paid for. This unpaid labor is the surplus value,
which is appropriated by the capitalist as profit.
▪ This is the source of capitalist exploitation.
5. Class Struggle:

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

▪ Society is divided into antagonistic classes based on their relationship

to the means of production.
▪ Under capitalism, the main classes are the bourgeoisie (owners of the
means of production) and the proletariat (workers who sell their
labor power).
▪ Their interests are irreconcilable, leading to class struggle.
6. Revolution and the Dictatorship of the Proletariat:
▪ Capitalism contains internal contradictions (e.g., crises of
overproduction, falling rate of profit) that will eventually lead to its
collapse.
▪ The proletariat, becoming class-conscious, will overthrow the
bourgeoisie through a revolution.
▪ This will be followed by a transitional phase: the dictatorship of the
proletariat, where the working class uses state power to suppress
counter-revolutionaries and build socialism.
7. Communism:
▪ The ultimate goal: a classless, stateless, and moneyless society.
▪ Means of production are communally owned.
▪ "From each according to his ability, to each according to his needs."
▪ Alienation is overcome, and individuals can achieve full human
development.
• Criticisms:
o Economic determinism (overemphasis on economic factors).
o The failure of communist states in practice (totalitarianism, economic
inefficiency).
o The prediction of capitalism's collapse has not materialized; capitalism has
proven adaptable.
o Neglects other forms of oppression (e.g., gender, race) or subsumes them
under class.
• Legacy:
o One of the most influential thinkers in history.
o Marxism has inspired revolutions, political movements, and schools of thought
across the social sciences and humanities.
o His critique of capitalism and analysis of class, power, and ideology remain
highly relevant.
B. Vladimir Ilyich Lenin (1870–1924)

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

• Introduction: Russian revolutionary, politician, and political theorist. Leader of the

Bolshevik faction, architect of the October Revolution (1917), and first head of Soviet
Russia/Soviet Union. Adapted Marxism to the conditions of early 20th-century Russia.
• Key Works: What Is to Be Done? (1902), Imperialism, the Highest Stage of
Capitalism (1916), State and Revolution (1917).
• Core Ideas (Leninism - Marxism-Leninism):
1. Theory of the Vanguard Party (What Is to Be Done?):
▪ Argued that the working class, left to itself, can only develop "trade-
union consciousness" (focus on economic demands within capitalism),
not revolutionary socialist consciousness.
▪ A revolutionary consciousness must be brought to the proletariat from
the outside by a vanguard party composed of professional
revolutionaries (intellectuals and dedicated workers).
▪ This party would be highly disciplined, centralized, and act as the
"general staff" of the revolution.
2. Democratic Centralism:
▪ The organizational principle of the vanguard party.
▪ Freedom of discussion in policy-making, but unity of action once a
decision is made.
▪ Decisions of higher party bodies are binding on lower bodies.
▪ In practice, often led to more centralism than democracy.
3. Imperialism, the Highest Stage of Capitalism (Imperialism...):
▪ An extension of Marx's analysis of capitalism.
▪ Capitalism in its advanced stage becomes monopolistic and global,
driven by the need to export capital, find new markets, and secure
raw materials.
▪ Leads to the division of the world among imperialist powers and
colonies.
▪ Imperialism creates a "labor aristocracy" in imperialist countries
(bribed by super-profits from colonies), delaying revolution there.
▪ Revolution is more likely to occur in the "weakest links" of the
imperialist chain (i.e., less developed capitalist countries or colonies
like Russia), where contradictions are most acute.
4. State and Revolution (State and Revolution):
▪ Reaffirmed Marx's view of the state as an instrument of class rule.
▪ The bourgeois state must be "smashed" by violent revolution, not
reformed.

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

▪ It must be replaced by the dictatorship of the proletariat (a workers'

state, initially embodied by the Soviets – workers' and soldiers'
councils).
▪ This proletarian state would eventually "wither away" as communism
is achieved, but Lenin emphasized its necessity in the transitional
period.
5. Revolution in a Backward Country:
▪ Challenged orthodox Marxist view that socialist revolution could only
occur in advanced capitalist countries.
▪ Argued that Russia, despite its backwardness, could achieve a socialist
revolution led by the proletariat in alliance with the peasantry.
• Influence and Criticisms:
o Leninism became the dominant ideology of the global communist movement
in the 20th century.
o His strategies were crucial for the success of the Bolshevik Revolution.
o Criticized for authoritarianism, suppression of dissent, and the creation of a
one-party state.
o The concept of the vanguard party can lead to elitism and a disconnect from
the masses.
• Legacy:
o Transformed Marxism into a practical doctrine of revolution and state-
building.
o His ideas shaped the Soviet Union and other communist states.
o Continues to be a significant figure for revolutionary movements and leftist
thought, though also highly controversial.
C. Antonio Gramsci (1891–1937) - Hegemony
• Introduction: Italian Marxist philosopher, journalist, and political activist. Co-
founder of the Italian Communist Party. Imprisoned by Mussolini's fascist regime,
during which he wrote his influential Prison Notebooks. A key figure in Western
Marxism.
• Key Work: Prison Notebooks (written 1929-1935, published posthumously).
• Core Ideas:
1. Hegemony:
▪ Gramsci's most important concept. Goes beyond mere domination
(coercion) by the ruling class.
▪ Hegemony is the moral, intellectual, and cultural leadership of a
dominant class over allied and subordinate classes, achieved
through consent rather than just force.

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

▪ The ruling class maintains its power not just through the state's
coercive apparatus (police, army) but by shaping the values, beliefs,
norms, and common sense of society (ideology) so that its rule appears
legitimate and natural.
▪ This consent is manufactured through institutions of civil
society (e.g., schools, churches, media, trade unions, cultural
organizations).
2. Civil Society and Political Society (State):
▪ Gramsci expanded the Marxist concept of the state.
▪ State = Political Society (Coercion) + Civil Society
(Consent/Hegemony).
▪ Political Society: The coercive apparatus of the state (government,
courts, police, army) that uses force to maintain order.
▪ Civil Society: The realm of private or voluntary associations where
ideological battles are fought and consent is won.
▪ In advanced capitalist societies ("West"), civil society is well-
developed and acts as a strong "outer trench" protecting the state. In
"East" (like Tsarist Russia), civil society was weaker, making direct
assault (war of maneuver) on the state more feasible.
3. War of Position vs. War of Maneuver:
▪ War of Maneuver (or Frontal Attack): A direct assault on state power,
suitable for societies where civil society is weak (e.g., Bolshevik
Revolution).
▪ War of Position: A long-term struggle for ideological and cultural
supremacy within civil society, necessary in societies with strong civil
societies. The aim is to build a counter-hegemony by challenging
dominant ideas and creating alternative institutions and culture
before attempting to seize state power.
4. Intellectuals:
▪ Intellectuals play a crucial role in creating and maintaining (or
challenging) hegemony.
▪ Traditional Intellectuals: See themselves as autonomous and above
class interests (e.g., clergy, academics), but often implicitly support
the existing order.
▪ Organic Intellectuals: Emerge from and are directly connected to a
particular social class (e.g., working-class intellectuals, capitalist
entrepreneurs). They articulate the worldview and interests of their
class, helping to build its hegemony. The revolutionary party needs to
develop its own organic intellectuals.
5. Passive Revolution / Revolution without Revolution:

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

▪ A process whereby a dominant class maintains power by co-opting and

neutralizing potential challenges from below through gradual reforms
and concessions, without fundamental structural change. It absorbs
elements of the opposition to strengthen its own rule.
6. Historic Bloc:
▪ An alliance of different social classes and groups united under the
hegemony of one class, forming a basis of consent for a particular
social order. A counter-hegemonic struggle involves creating an
alternative historic bloc.
• Influence and Criticisms:
o Profoundly influenced Western Marxism, cultural studies, post-colonial
theory, and critical pedagogy.
o His emphasis on culture, ideology, and consent provided a more nuanced
understanding of power than classical Marxism.
o Criticized for underestimating the role of economic factors or state coercion.
o His concepts can be complex and open to varied interpretations.
• Legacy:
o Provided crucial tools for analyzing how power operates in contemporary
societies, especially the role of ideas and culture.
o His work highlighted the importance of ideological struggle in revolutionary
strategy.
D. Mao Zedong (Mao Tse-tung) (1893–1976) - Revolutionary Strategies
• Introduction: Chinese communist revolutionary, founder of the People's Republic of
China (PRC), and Chairman of the Communist Party of China (CPC). Adapted Marxism-
Leninism to the specific conditions of China, creating Maoism (or Mao Zedong
Thought).
• Key Works: On Contradiction (1937), On Practice (1937), On New
Democracy (1940), Problems of Strategy in China's Revolutionary
War (1936), Quotations from Chairman Mao Tse-tung ("Little Red Book").
• Core Ideas (Maoism):
1. Sinification of Marxism:
▪ Adapting the universal principles of Marxism-Leninism to the concrete
realities of Chinese society and culture.
▪ Emphasis on practice and investigation: "No investigation, no right to
speak."
2. Peasantry as the Main Revolutionary Force:
▪ Departed significantly from orthodox Marxism, which saw the urban
proletariat as the primary revolutionary class.

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

▪ In semi-feudal, semi-colonial China, Mao identified the peasantry as

the main force of the revolution, capable of being led by the
Communist Party (representing proletarian ideology).
3. Protracted People's War:
▪ A military strategy for revolution in agrarian societies facing a stronger
enemy. Key elements:
▪ Establishing rural base areas: Liberated zones in the
countryside where the Party could build political power, carry
out land reform, and train its army.
▪ Guerrilla warfare: Flexible, mobile tactics to harass and wear
down the enemy. "The enemy advances, we retreat; the enemy
camps, we harass; the enemy tires, we attack; the enemy
retreats, we pursue."
▪ Three stages: Strategic defensive, strategic stalemate,
strategic offensive.
▪ "Surrounding the cities from the countryside."
4. New Democracy (On New Democracy):
▪ A transitional stage for countries like China before socialism.
▪ A "united front" revolution led by the proletariat (through the CPC),
but involving an alliance of classes (proletariat, peasantry, petty
bourgeoisie, and national bourgeoisie) against imperialism, feudalism,
and bureaucrat-capitalism.
▪ The state would be a "joint dictatorship" of these revolutionary
classes.
▪ The economy would have mixed ownership (state, cooperative,
private) before transitioning to full socialism.
5. Mass Line:
▪ A political and leadership method: "From the masses, to the masses."
▪ Party cadres should learn from the masses, synthesize their scattered
ideas into systematic policies, and then take these policies back to
the masses for implementation and testing.
▪ Emphasizes close connection between the Party and the people.
6. Theory of Contradictions (On Contradiction):
▪ Further developed dialectical materialism.
▪ Universality of contradiction: Contradiction is present in all things and
processes.
▪ Particularity of contradiction: Each contradiction has its specific
characteristics.

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

▪ Principal contradiction: The one that plays the leading and decisive
role in a process.
▪ Principal aspect of a contradiction: The side that dominates within
a contradiction.
▪ Antagonistic contradictions: Irreconcilable, resolved through
struggle (e.g., between proletariat and bourgeoisie).
▪ Non-antagonistic contradictions: Can be resolved peacefully within a
socialist society (e.g., "among the people"). Identifying these
correctly is crucial for policy.
7. Continuous Revolution (Cultural Revolution):
▪ Belief that class struggle continues even under socialism, as bourgeois
ideas and elements can re-emerge.
▪ Led to the Great Proletarian Cultural Revolution (1966-1976), a
campaign to purge "capitalist roaders" from the Party and society, and
to instill revolutionary fervor. It caused immense social upheaval and
suffering.
• Influence and Criticisms:
o Maoism was highly influential in shaping the Chinese revolution and state.
o Inspired revolutionary movements in the Third World (e.g., Shining Path in
Peru, Naxalites in India).
o His policies (Great Leap Forward, Cultural Revolution) led to widespread
famine, economic disruption, and human rights abuses.
o Criticized for authoritarianism, cult of personality, and dogmatism.
• Legacy:
o A dominant figure of 20th-century history and a key developer of Marxist
thought.
o His revolutionary strategies, particularly guerrilla warfare and peasant
mobilization, have had a lasting impact.
o Mao Zedong Thought remains, officially, part of the guiding ideology of the
CPC, though significantly reinterpreted since his death.

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

UNIT 3: Indian Political Thought

1. Classical Indian Political Thought
A. Dharmashastra
• Introduction:
o A genre of Sanskrit texts dealing with dharma – religious and legal duty, moral
principles, and righteous conduct.
o Composed over centuries (c. 200 BCE – 1200 CE), they form the basis of Hindu
law and social norms.
o Not purely political treatises but contain significant sections on Rajadharma
(duties of the king) and Dandaniti (science of governance/punishment).
o Key Texts: Manusmriti (Laws of Manu), Yajnavalkya Smriti, Narada Smriti,
Apastamba Dharmasutra, Gautama Dharmasutra.
• Core Ideas:
1. Dharma:
▪ The central concept, encompassing cosmic order (Rta), social order,
individual duties, morality, law, and justice.
▪ Dharma upholds society and the universe; its transgression leads to
chaos.
▪ Sources of Dharma: Shruti (Vedas), Smriti (remembered texts like
Dharmashastras), Sadachara (conduct of virtuous people), and
Atmanastushti (what is satisfying to one's own conscience, guided by
reason).
2. Rajadharma (King's Dharma/Duty):
▪ The king's primary duty is to uphold Dharma, protect his subjects
(praja-palana), maintain social order (Varnashrama Dharma), and
ensure justice.
▪ He is considered a servant of the people, not an absolute despot. His
authority is derived from his adherence to Dharma.
▪ Duties include: protection from external aggression and internal
disorder, punishing the wicked (dushta-nigraha), rewarding the
virtuous (shishta-parigraha), ensuring prosperity, and promoting
welfare.
3. Dandaniti (Science of Punishment/Coercion):
▪ Danda (punishment/coercion) is essential for maintaining Dharma and
social order. It prevents Matsyanyaya (law of the fish, where the
strong devour the weak).
▪ The king wields Danda judiciously, impartially, and according to
established laws. Misuse of Danda can lead to the king's downfall.

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4. Varnashrama Dharma:
▪ Varna System: Society divided into four classes based on Guna
(qualities) and Karma (actions/occupation) – Brahmins (priests,
scholars), Kshatriyas (warriors, rulers), Vaishyas (merchants, traders),
and Shudras (laborers, service providers). Each Varna had specific
duties.
▪ Ashrama System: Four stages of life for the twice-born (Dvijas) –
Brahmacharya (student), Grihastha (householder), Vanaprastha
(hermit/forest-dweller), Sannyasa (renunciate).
▪ The king's duty was to ensure individuals followed their respective
Varna and Ashrama dharmas.
5. Justice and Law:
▪ Emphasis on fair trial, evidence, and graded punishments based on
the crime and the Varna of the offender/victim.
▪ Establishment of courts and appointment of judges.
6. State and Sovereignty:
▪ The state was seen as essential for an ordered human existence.
▪ Sovereignty was not absolute but conditional upon the king's
adherence to Dharma. If the king became adharmic (unrighteous),
people had a right to resist or depose him (though this is more implied
than explicitly detailed in all texts).
• Significance:
o Provided a comprehensive framework for social, legal, and political
organization in ancient and medieval India.
o Influenced legal systems and social customs for centuries.
• Criticisms (from a modern perspective):
o Sanctioned a rigid, hierarchical social order (Varna system) leading to
inequality and discrimination (especially against Shudras and outcastes).
o Patriarchal, often assigning a subordinate status to women.
o Some punishments were harsh by modern standards.
B. Kautilya (c. 350-283 BCE) - Arthashastra
• Introduction:
o Also known as Chanakya or Vishnugupta. Scholar, strategist, and chief advisor
to Emperor Chandragupta Maurya, founder of the Mauryan Empire.
o His treatise, Arthashastra (literally "science of material gain" or "science of
polity/statecraft"), is a comprehensive manual on statecraft, economic
policy, and military strategy.
o Rediscovered in 1905 by R. Shamasastry.

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

• Methodology:
o Pragmatic, realistic, and secular approach to politics. Focuses on how to
acquire and maintain power, ensure security, and promote prosperity.
o Often compared to Machiavelli for its realpolitik.
• Core Ideas in Arthashastra:
1. Saptanga Theory (Seven Limbs/Elements of the State):
▪ The state is conceived as an organic whole with seven interdependent
limbs:
1. Swami (The Sovereign/King): The head, must be virtuous,
wise, and well-trained.
2. Amatya (The Minister/Officials): The eyes, bureaucracy
responsible for administration.
3. Janapada (The Territory and People): The legs, fertile land,
loyal and productive population.
4. Durga (The Fort/Fortified Capital): The arms, for defense and
security.
5. Kosha (The Treasury): The mouth, financial resources, sound
fiscal management.
6. Danda (The Army/Coercion): The mind/force, a strong and
loyal army.
7. Mitra (The Ally): The ears, friendly states for support in
foreign relations.
▪ The well-being of each limb is crucial for the health of the state.
2. Rajamandala Theory (Circle of States/Inter-state Relations):
▪ A theory of foreign policy based on geopolitical realities.
▪ The central king is the Vijigishu (would-be conqueror).
▪ His neighbors are: Ari (enemy), Mitra (friend), Arimitra (enemy's
friend), Mitramitra (friend's friend), Parshnigraha (rearward enemy).
▪ Advocates a realistic assessment of power dynamics and strategic
alliances.
3. Shadgunya (Six-fold Diplomatic Policy):
▪ Six diplomatic expedients for dealing with other states:
1. Sandhi (Peace/Treaty): Making peace when advantageous.
2. Vigraha (War/Hostility): Waging war when stronger.
3. Yana (March/Expedition): Marching to attack when prepared.

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

4. Asana (Neutrality/Halting): Remaining neutral or waiting

when power is balanced.
5. Samshraya (Seeking Shelter/Alliance): Seeking alliance with
a stronger power when weak.
6. Dvaidhibhava (Dual Policy/Duplicity): Making peace with one
and war with another simultaneously.
4. Dandaniti (Science of Government/Coercion):
▪ Like Dharmashastras, emphasizes the importance of Danda for order,
but Kautilya's focus is more on its effective use for state power and
security.
▪ Advocates for a strong, centralized state.
5. King's Duties and Qualities:
▪ Must be well-educated in various sciences (Anvikshiki, Trayi, Varta,
Dandaniti).
▪ Primary duty is Yogakshema (welfare, security, and prosperity) of the
people. "In the happiness of his subjects lies his happiness; in their
welfare his welfare."
▪ Must be accessible, just, and vigilant.
6. Espionage System:
▪ Advocated for an extensive and elaborate system of spies and
informants to gather intelligence, monitor officials, and ensure state
security. Spies were to be used in various disguises.
7. Economic Policy and Administration:
▪ Detailed guidelines for revenue collection, agriculture, trade, mining,
and resource management.
▪ State control over key industries and resources.
▪ Importance of a well-managed treasury.
8. Justice:
▪ Emphasis on impartial and swift justice. Established courts and legal
procedures.
• Significance:
o A seminal text in Indian political thought, offering a practical and secular
approach to statecraft.
o Provides invaluable insights into ancient Indian polity, economy, and society.
o Influential in shaping understanding of governance and diplomacy.
• Criticisms:

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o Seen by some as overly ruthless, amoral, or Machiavellian, advocating for

deceit and expediency.
o Proposals for an extensive spy network raise concerns about individual liberty.
o Focus on monarchical power.

2. Nationalist Thought
A. Raja Ram Mohan Roy (1772–1833)
• Introduction: "Father of Modern India," "Father of the Indian Renaissance." Social
and religious reformer, scholar, and advocate for liberal ideas. Founder of the
Brahmo Sabha (later Brahmo Samaj).
• Core Ideas:
1. Social Reform:
▪ Campaigned vigorously against Sati (widow immolation), leading to its
abolition in 1829.
▪ Opposed child marriage, polygamy, and the caste system.
▪ Advocated for widow remarriage and women's education and property
rights.
2. Religious Reform:
▪ Advocated monotheism based on the Upanishads and reason.
▪ Critiqued idolatry, ritualism, and priestcraft in Hinduism.
▪ Sought to synthesize the best of Eastern and Western thought.
Believed in a Universal Religion.
3. Political Liberalism:
▪ Championed civil liberties: freedom of speech, press, and association.
Defended press freedom against restrictive regulations.
▪ Advocated for the rule of law, separation of powers (judiciary from
executive), and codification of laws.
▪ Demanded administrative reforms: Indianization of services, better
treatment of Indian peasants.
4. Education:
▪ Strong proponent of modern Western education (science, English)
alongside traditional Indian learning to modernize Indian society.
Supported David Hare in founding Hindu College (1817).
5. Internationalism:
▪ Believed in the interdependence of nations and supported freedom
movements globally.

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

• Legacy:
o Pioneered social and religious reform movements in India.
o Laid the intellectual foundations for Indian liberalism and nationalism.
o Bridged traditional Indian thought with modern Western ideas.
B. Bal Gangadhar Tilak (1856–1920)
• Introduction: "Lokmanya" (Beloved of the People). Scholar, philosopher,
mathematician, and radical nationalist leader. A key figure in the "Extremist" faction
of the Indian National Congress. Famously declared, "Swaraj is my birthright, and I
shall have it!"
• Core Ideas:
1. Swaraj (Self-Rule):
▪ Demanded complete independence from British rule, not just reforms
or greater participation within the colonial framework.
▪ Believed political freedom was a prerequisite for national progress.
2. Cultural Nationalism and Mass Mobilization:
▪ Used traditional Hindu symbols and festivals (Ganapati festival,
Shivaji festival) to foster national pride, unity, and mass participation
in the freedom struggle.
▪ Authored Gita Rahasya (interpreting the Bhagavad Gita as a call to
selfless action - Karma Yoga) and The Arctic Home in the Vedas.
3. Methods of Struggle:
▪ Advocated for Swadeshi (boycott of foreign goods, use of indigenous
products), Boycott, and National Education as tools of resistance.
▪ While not explicitly advocating violence, his rhetoric was strong and
inspired militant nationalism.
4. Critique of British Rule:
▪ Highlighted the economic exploitation of India, drain of wealth, and
suppression of Indian industries.
5. Social Reform:
▪ While personally progressive, he believed political emancipation
should precede social reform, fearing that focusing on social issues
would divide the nationalist movement.
• Legacy:
o Transformed the nationalist movement into a mass movement.
o His call for Swaraj became a rallying cry for a generation of freedom fighters.
o A powerful voice for assertive nationalism.

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

C. Swami Vivekananda (1863–1902)

• Introduction: (Narendranath Datta). Chief disciple of Sri Ramakrishna Paramahamsa.
Monk, philosopher, and influential spiritual leader. Famous for his speech at the
Parliament of Religions in Chicago (1893). Founder of the Ramakrishna Mission.
• Core Ideas:
1. Spiritual Nationalism / Neo-Vedanta:
▪ Sought to revive and reinterpret Vedanta philosophy for the modern
age.
▪ Emphasized the inherent divinity of every soul and the unity of
existence.
▪ Called for national regeneration based on spiritual strength, self-
confidence, and pride in India's heritage. "Arise, awake, and stop not
till the goal is reached."
2. Practical Vedanta & Service to Humanity (Daridra Narayana):
▪ Advocated "Practical Vedanta" – applying spiritual principles to daily
life and social service.
▪ Coined the term Daridra Narayana (God in the poor) – service to the
poor and suffering is service to God. This formed the basis of the
Ramakrishna Mission's philanthropic activities.
3. Social Reform and Empowerment:
▪ Strongly opposed caste discrimination and untouchability.
▪ Advocated for the upliftment of the masses, women's education, and
removal of social evils.
▪ Stressed the need for strength – physical, mental, and spiritual – for
individual and national rejuvenation.
4. Universal Religion and Interfaith Harmony:
▪ Preached the harmony of religions, believing all religions are different
paths to the same ultimate reality.
5. Critique of Western Materialism:
▪ While appreciating Western scientific progress, he critiqued its
excessive materialism and urged the West to learn spirituality from
India.
• Legacy:
o Instilled a sense of pride, self-respect, and dynamism among Indians.
o Inspired countless youth to dedicate themselves to national service.
o His ideas profoundly influenced the nationalist movement and modern Hindu
thought.

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

D. M.K. Gandhi (Mohandas Karamchand Gandhi) (1869–1948)

• Introduction: "Mahatma" (Great Soul), "Bapu," "Father of the Nation." Pre-eminent
leader of India's independence movement and pioneer of non-violent civil
disobedience.
• Core Ideas:
1. Satyagraha (Truth-Force / Soul-Force):
▪ A method of non-violent resistance based on truth and love. Involves
self-suffering to convert the opponent, not coerce them.
▪ Techniques included civil disobedience, non-cooperation, fasting.
2. Ahimsa (Non-Violence):
▪ The core principle. Not just absence of physical violence, but also
non-violence in thought and word. A positive force of love and
compassion.
3. Swaraj (Self-Rule):
▪ More than just political independence. Encompassed individual self-
rule (control over one's senses and desires), economic self-reliance,
and social self-governance. A decentralized polity.
4. Sarvodaya (Welfare of All):
▪ Upliftment and well-being of all sections of society, especially the
poorest and most marginalized ("unto this last"). Inspired by Ruskin's
"Unto This Last."
5. Trusteeship:
▪ An economic theory where the wealthy hold their excess wealth in
trust for the benefit of society. A means of achieving economic
equality non-violently.
6. Swadeshi (Self-Reliance):
▪ Emphasis on using locally produced goods and promoting village
industries (like Khadi) to achieve economic self-sufficiency and
challenge colonial exploitation.
7. Critique of Modern Western Civilization:
▪ Criticized its materialism, industrialism, consumerism, and violence.
Advocated for a simpler, more sustainable way of life. (See Hind
Swaraj).
8. Ram Rajya (Ideal State):
▪ His vision of an ideal society based on truth, justice, non-violence,
equality, and moral values. A stateless, decentralized society.
9. Social Reform:

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▪ Fought against untouchability (calling Dalits "Harijans" – children of

God), advocated for Hindu-Muslim unity, women's empowerment.
• Legacy:
o Led India to independence through non-violent struggle.
o A global icon of peace and non-violence, inspiring civil rights movements
worldwide.
o His ideas on ethics, politics, economics, and social change continue to be
influential and debated.
E. Sri Aurobindo (Aurobindo Ghose) (1872–1950)
• Introduction: Nationalist leader, poet, philosopher, and spiritual visionary. Initially
active in radical politics, later retired to Pondicherry to focus on spiritual pursuits
and establish an ashram.
• Core Ideas:
1. Spiritual Nationalism:
▪ Viewed India's independence not just as a political goal but as a divine
mission for the spiritual regeneration of humanity. India had a unique
spiritual destiny.
▪ Nationalism as a religion: "Nationalism is a religion that has come from
God."
2. Passive Resistance and Boycott:
▪ An early and articulate proponent of passive resistance, boycott,
Swadeshi, and national education as tools to fight British rule
(articulated in "Bande Mataram" articles).
3. Integral Yoga (Purna Yoga) and Evolution of Consciousness:
▪ His later philosophy focused on the evolution of human consciousness
towards a higher "Supermind."
▪ Integral Yoga aims at the transformation of human nature (body, life,
mind) through the descent of divine consciousness.
4. The Human Cycle and Ideal of Human Unity:
▪ Envisioned a future spiritual age where humanity would achieve unity
based on spiritual oneness, transcending national and egoistic
divisions.
5. Critique of Materialism:
▪ Believed that true progress required spiritual transformation, not just
material advancement.
• Legacy:
o A profound influence on Indian spirituality and philosophy.

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o His early nationalist writings inspired many freedom fighters.

o His vision of human evolution and spiritual transformation continues to
attract followers globally.
F. Rabindranath Tagore (1861–1941)
• Introduction: Poet, philosopher, musician, artist, educator, and Nobel laureate
(Literature, 1913). Founder of Visva-Bharati University. A multifaceted genius and a
critical humanist.
• Core Ideas:
1. Critique of Narrow/Aggressive Nationalism:
▪ While a patriot, he was critical of chauvinistic, xenophobic, and
aggressive forms of nationalism that bred conflict and suppressed
individuality.
▪ Advocated for internationalism, humanism, and cooperation between
nations.
▪ Distinguished between the "spirit of the West" (creative, humanistic)
and the "Nation of the West" (organized power, mechanical,
impersonal).
2. Freedom and Individuality:
▪ Emphasized freedom of the mind, spirit, and creative expression.
▪ Believed true freedom involved overcoming internal bondages
(ignorance, superstition) as much as external ones.
3. Education (Visva-Bharati):
▪ Advocated for holistic education in harmony with nature, fostering
creativity, critical thinking, and cross-cultural understanding.
▪ Visva-Bharati ("Where the world makes a home in a single nest") aimed
to synthesize Eastern and Western learning.
4. Social Reform and Rural Reconstruction:
▪ Criticized caste discrimination, religious orthodoxy, and social evils.
▪ Undertook rural reconstruction projects at Sriniketan to empower
villagers.
5. Humanism:
▪ His worldview was deeply humanistic, emphasizing the dignity and
potential of every individual.
• Legacy:
o A global cultural icon and a moral conscience for his time.
o His ideas on education, internationalism, and the critique of nationalism
remain highly relevant.

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

o Enriched Indian literature, art, and music immeasurably.

G. Maulana Abul Kalam Azad (1888–1958)
• Introduction: Scholar of Islam, independence activist, senior leader of the Indian
National Congress, and the first Minister of Education in independent India. A staunch
advocate of Hindu-Muslim unity and composite nationalism.
• Core Ideas:
1. Composite Nationalism and Hindu-Muslim Unity:
▪ Strongly believed that India's diverse religious communities (especially
Hindus and Muslims) shared a common history, culture, and destiny,
forming a single nation.
▪ Adamantly opposed the partition of India and the two-nation theory.
▪ His presidential addresses to Congress often emphasized this unity.
2. Rational Interpretation of Islam:
▪ Advocated for ijtihad (independent reasoning) in interpreting Islamic
scriptures.
▪ Believed in the universal humanistic values of Islam.
▪ Authored Tarjuman-ul-Quran (translation and commentary on the
Quran).
3. Freedom and Democracy:
▪ A firm believer in democratic principles and individual liberty.
▪ Played a key role in shaping India's educational policies post-
independence.
4. Role of Education:
▪ As Education Minister, he laid the foundations for India's higher
education system, establishing institutions like the University Grants
Commission (UGC) and the Indian Institutes of Technology (IITs).
• Legacy:
o A powerful symbol of Hindu-Muslim unity and composite Indian identity.
o An influential Islamic scholar and a key architect of modern Indian education.
o His warnings against communalism and partition remain poignant.

3. Social Reformers and Critics

A. B.R. Ambedkar (Bhimrao Ramji Ambedkar) (1891–1956)
• Introduction: "Babasaheb." Jurist, economist, politician, social reformer, and the
principal architect of the Constitution of India. Champion of Dalit (Untouchable)
rights.

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• Key Works: Annihilation of Caste, Who Were the Shudras?, The Untouchables: Who
Were They and Why They Became Untouchables?, The Buddha and His Dhamma.
• Core Ideas:
1. Annihilation of Caste:
▪ His most radical critique. Argued that caste is not just a division of
labor but a "division of laborers" based on a graded hierarchy of
degradation, sanctioned by Hindu scriptures.
▪ Believed caste could not be reformed; it had to be annihilated for true
social equality.
▪ Proposed inter-caste marriage and destruction of religious texts that
sanctified caste.
2. Critique of Hinduism:
▪ Argued that the caste system was an integral part of Hinduism and
that Hindu scriptures provided religious sanction for untouchability
and inequality.
▪ This led him to renounce Hinduism and convert to Buddhism in 1956
with his followers.
3. Social Justice, Equality, and Rights for Dalits:
▪ Fought relentlessly for the social, economic, and political rights of
Dalits.
▪ Advocated for separate electorates for Dalits (though he conceded to
joint electorates with reserved seats under the Poona Pact).
▪ Demanded reservations in education, government jobs, and
legislatures.
4. Constitutionalism and Democracy:
▪ A firm believer in parliamentary democracy, rule of law, and
constitutional methods for achieving social change.
▪ Played a pivotal role in drafting the Indian Constitution, enshrining
principles of liberty, equality, fraternity, and social justice.
5. State Socialism:
▪ Advocated for state ownership of key industries and land to ensure
equitable distribution of resources.
6. Buddhist Conversion:
▪ Saw Buddhism as a rational, egalitarian, and humanistic religion, free
from the caste system. His interpretation of Buddhism emphasized
social ethics.
• Legacy:
o A transformative figure for Dalits and a champion of social justice in India.

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o His ideas on caste, democracy, and constitutionalism are central to

contemporary Indian political discourse.
o The architect of India's modern constitutional framework.
B. Periyar E.V. Ramasamy (Erode Venkatappa Ramasamy Naicker) (1879–1973)
• Introduction: "Thanthai Periyar" (Father Periyar). Social activist, politician, and
leader of the Self-Respect Movement and Dravidar Kazhagam. A radical critic of
Brahminism, caste system, and religion.
• Core Ideas:
1. Critique of Brahminism and Caste System:
▪ Identified Brahminism (not just Brahmins as individuals) as the
ideology upholding the caste hierarchy and oppressing non-Brahmins
(especially Shudras and Dalits).
▪ Advocated for the complete dismantling of the caste system.
2. Rationalism and Atheism:
▪ A staunch rationalist who rejected religious scriptures (Vedas,
Puranas, Epics), rituals, and superstitions, viewing them as tools of
Brahminical domination and social control.
▪ Promoted atheism and critical thinking.
3. Self-Respect Movement (Suyamariyathai Iyakkam):
▪ Launched in 1925 to promote dignity, equality, and self-respect among
non-Brahmins and Dalits.
▪ Encouraged inter-caste marriages, rejection of Brahmin priests for
ceremonies, and adoption of rationalist practices.
4. Women's Rights:
▪ A strong advocate for women's education, property rights, widow
remarriage, and reproductive rights. Opposed child marriage and the
Devadasi system.
5. Anti-Hindi Agitation and Dravidian Nationalism:
▪ Opposed the imposition of Hindi in Tamil Nadu, viewing it as a form of
North Indian cultural imperialism.
▪ Initially advocated for "Dravida Nadu" – a separate independent state
for Dravidian people – though later focused on autonomy within India.
6. Critique of Aryan Domination Theory:
▪ Believed that Dravidians were the original inhabitants of India who
were subjugated by Aryan invaders, leading to the imposition of caste
and Sanskritized culture.
• Legacy:

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o A revolutionary social reformer who profoundly impacted Tamil Nadu's socio-

political landscape.
o His ideas continue to inspire Dravidian parties and movements focused on
social justice, rationalism, and linguistic rights.
C. M.N. Roy (Manabendra Nath Roy) (1887–1954)
• Introduction: (Narendranath Bhattacharya). A unique intellectual journey: from
revolutionary nationalist to Marxist-Leninist (co-founder of the Communist Party of
India and active in Comintern), and finally to a proponent of "Radical Humanism" or
"New Humanism."
• Key Works: India in Transition, Reason, Romanticism and Revolution, New
Humanism: A Manifesto.
• Core Ideas (Focus on Radical Humanism):
1. Critique of Existing Ideologies:
▪ Became disillusioned with both parliamentary democracy (seeing it as
flawed and susceptible to party politics) and orthodox Marxism
(criticizing its economic determinism, authoritarian tendencies, and
neglect of individual freedom).
2. Centrality of the Individual:
▪ "Man is the measure of everything." Radical Humanism places the
individual human being at the center of its philosophy.
▪ Freedom, reason, and morality are seen as inherent attributes of
human beings.
3. Reason and Morality:
▪ Emphasized human rationality as the basis for knowledge and ethical
behavior.
▪ Believed morality could be secular, derived from human reason and
social experience, not from religion.
4. Partyless Democracy / Organized Democracy:
▪ Advocated for a decentralized, participatory democracy based on a
network of local "People's Committees."
▪ These committees would exercise power from below, making political
parties redundant.
5. Cooperative Economy:
▪ Envisioned an economy based on cooperation rather than competition,
aimed at meeting human needs and promoting overall well-being.
6. Philosophical Revolution:
▪ Believed that a social and political revolution must be preceded by a
"philosophical revolution" – a change in human consciousness and
values, emphasizing reason, freedom, and ethics.

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7. Cosmopolitanism:
▪ Advocated for a world federation of free individuals and communities.
• Legacy:
o A significant, though somewhat marginalized, figure in Indian political
thought.
o His philosophy of Radical Humanism offers a unique perspective on
democracy, freedom, and social change, emphasizing grassroots participation
and individual agency.

4. Jawaharlal Nehru, Subhas Chandra Bose, Jai Prakash Narayan, Deendayal Upadhyaya
A. Jawaharlal Nehru (1889–1964)
• Introduction: India's first Prime Minister and a principal architect of modern India. A
visionary leader, statesman, and writer.
• Key Works: The Discovery of India, Glimpses of World History, An Autobiography.
• Core Ideas:
1. Democratic Socialism:
▪ Advocated a mixed economy with a strong public sector ("commanding
heights") and centralized planning (Five Year Plans) to achieve rapid
industrialization, economic growth, and social justice.
▪ Aimed to combine political democracy with economic socialism.
2. Secularism:
▪ A firm believer in a secular state, meaning equal respect for all
religions and separation of state from religion (or state neutrality).
Crucial for India's unity in diversity.
3. Non-Alignment:
▪ A key architect of the Non-Aligned Movement (NAM). Advocated an
independent foreign policy, avoiding alignment with either the US-led
or Soviet-led power blocs during the Cold War.
▪ Promoted peace, disarmament, and anti-colonialism. Panchsheel
(Five Principles of Peaceful Coexistence) was a cornerstone.
4. Modernization and Scientific Temper:
▪ Emphasized science, technology, and rational thinking for India's
development.
▪ Established numerous scientific and technological institutions.
5. Parliamentary Democracy and Nation-Building:

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▪ Deeply committed to parliamentary democracy, civil liberties, and

strengthening democratic institutions in a newly independent and
diverse nation.
6. Internationalism:
▪ Believed in international cooperation and India's role in promoting
global peace and understanding.
• Legacy:
o Laid the foundations of modern India's political, economic, and foreign policy
framework.
o His vision of a democratic, secular, and socialist India continues to shape
national discourse, though also subject to critique and revision.
B. Subhas Chandra Bose (Netaji) (1897–1945?)
• Introduction: "Netaji" (Respected Leader). A charismatic and radical nationalist
leader. President of the Indian National Congress twice. Formed the Forward Bloc
and later the Indian National Army (INA) to fight for India's independence through
armed struggle.
• Core Ideas:
1. Complete Independence (Purna Swaraj) through Militant Means:
▪ Believed that independence could not be achieved through non-
violent means alone and advocated for armed struggle against British
rule.
▪ Critical of Gandhi's methods, leading to ideological differences.
2. Socialism (Samyavada):
▪ Advocated for a socialist system for post-independence India,
emphasizing social justice, equality, and state planning for economic
development. Influenced by Fabian socialism and Soviet models.
3. Forward Bloc:
▪ Formed in 1939 after resigning from Congress presidentship, as a
leftist faction within Congress, aiming to consolidate socialist and
radical forces.
4. Indian National Army (INA / Azad Hind Fauj):
▪ Organized the INA with the support of Axis powers (Germany and
Japan) during World War II to liberate India. "Give me blood, and I
shall give you freedom!"
5. Strong, Centralized State:
▪ Envisioned a strong, disciplined, and centralized state in independent
India, at least in the initial phase, to ensure national unity and rapid
development.
6. Synthesis of Ideologies:

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▪ Sought to synthesize elements of socialism, nationalism, and even

fascism (in terms of discipline and state power, though not its racial
ideology) for India's context.
• Legacy:
o A revered icon of militant nationalism and revolutionary spirit.
o The INA's exploits, though militarily unsuccessful, had a significant
psychological impact on the British and fueled nationalist fervor.
o His ideas on socialism and strong state continue to be debated.
C. Jai Prakash Narayan (JP) (1902–1979)
• Introduction: "Loknayak" (People's Leader). Socialist leader, Gandhian activist, and
a prominent figure in post-independence Indian politics. Known for his leadership of
the "Total Revolution" movement.
• Core Ideas:
1. Socialism:
▪ Initially a Marxist, later a democratic socialist. A founder of the
Congress Socialist Party (1934).
▪ Advocated for land reforms, nationalization of key industries, and
workers' rights.
2. Sarvodaya:
▪ Deeply influenced by Gandhi and Vinoba Bhave. Joined the Sarvodaya
movement and Bhoodan (land gift) movement, dedicating himself to
constructive work.
3. Critique of Party Politics and Partyless Democracy (Communitarian
Democracy):
▪ Became disillusioned with party politics, seeing it as corrupting and
divisive.
▪ Advocated for a "partyless democracy" or "communitarian democracy"
based on decentralized village councils (gram sabhas) and indirect
elections, aiming for genuine people's participation.
4. Total Revolution (Sampoorna Kranti):
▪ His call in the mid-1970s for a comprehensive transformation of Indian
society – social, economic, political, cultural, ideological,
educational, and moral.
▪ It was a mass movement against corruption, authoritarianism
(particularly during Indira Gandhi's Emergency), and for democratic
rights.
5. Decentralization and People's Power:
▪ Consistent emphasis on decentralization of power and empowering
grassroots institutions.

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• Legacy:
o Often seen as the "conscience of post-independence India."
o His Total Revolution movement significantly impacted Indian politics, leading
to the formation of the Janata Party and the first non-Congress government
at the center.
o His ideas on decentralized democracy and people's participation continue to
be relevant.
D. Deendayal Upadhyaya (1916–1968)
• Introduction: Philosopher, economist, sociologist, journalist, and political activist. A
key leader and ideologue of the Bharatiya Jana Sangh (precursor to the Bharatiya
Janata Party - BJP) and associated with the Rashtriya Swayamsevak Sangh (RSS).
• Core Ideas:
1. Integral Humanism (Ekatma Manavavada):
▪ His most significant philosophical contribution. A holistic philosophy
that seeks to integrate the body, mind, intellect, and soul of the
individual and society.
▪ Critiques both Western capitalism (seen as excessively individualistic
and materialistic) and Marxism/socialism (seen as overly collectivist
and materialistic, suppressing individual freedom).
▪ Aims for a balanced and harmonious development of the individual,
society, nation, humanity, and the cosmos.
2. Chiti (National Soul/Consciousness):
▪ Believed that every nation has an innate "Chiti" or guiding principle,
its unique cultural and spiritual identity, which shapes its character
and destiny. For India, this Chiti is rooted in Dharma.
3. Dharma Rajya:
▪ Advocated for a state based on Dharma (righteousness, duty, moral
order), not a theocratic state. Dharma provides the ethical foundation
for governance and social life.
4. Antyodaya (Upliftment of the Last Person):
▪ An economic principle focusing on the welfare and upliftment of the
poorest and most marginalized person in society. Development should
begin from the bottom up.
5. Decentralized Economy and Swadeshi:
▪ Favored a decentralized economy with an emphasis on small-scale
industries, agriculture, and self-reliance (Swadeshi), suited to India's
conditions.
▪ Believed economic policies should be human-centric, not just profit-
driven.

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6. Cultural Nationalism:
▪ Emphasized India's ancient cultural heritage as the basis for national
identity and unity.
• Legacy:
o Integral Humanism is the official philosophy of the BJP.
o His ideas provide a philosophical and ideological anchor for Hindutva-oriented
political thought in India.
o His concepts of Antyodaya and decentralized economy continue to influence
policy discussions.

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

THEORY AND PRACTICE OF

INTERNATIONAL RELATIONS

UNIT 1 Rural Society in India

1. Nature, Scope and Evolution of International Relations
A. Nature of International Relations
• Definition: IR is the study of interactions between states, as well as the interactions
of other international actors (IGOs, INGOs, MNCs, individuals) across national
boundaries. It examines patterns of conflict and cooperation, power dynamics, and
the pursuit of security, welfare, and justice in the international system.
• Key Characteristics:
1. State-centric but Evolving: Traditionally focused on states as primary actors.
However, modern IR acknowledges the significant role of non-state actors.
2. Anarchy: The international system is characterized by the absence of a
central, overarching authority or world government to enforce rules and
order. States are sovereign and operate in a self-help system.
3. Power: A central concept. States constantly seek, maintain, and demonstrate
power (military, economic, diplomatic, cultural) for survival and to achieve
their interests.
4. Security Dilemma: Actions taken by one state to increase its security (e.g.,
building up arms) are often perceived as threatening by other states, leading
them to respond with similar measures, thereby diminishing security for all.
5. Interdisciplinary: Draws on insights from political science, history,
economics, sociology, law, psychology, and geography.
6. Concern with both Empirical and Normative Questions: Studies "what is"
(e.g., causes of war) and "what ought to be" (e.g., how to achieve peace,
justice).
B. Scope of International Relations
The scope of IR is vast and continually expanding. Key areas include:
1. States and Inter-State Relations: Diplomacy, foreign policy, alliances, treaties, war,
and peace.
2. International Security: Arms control, disarmament, nuclear proliferation, terrorism,
collective security, peacekeeping, human security.
3. International Political Economy (IPE): International trade, finance, development,
globalization, North-South relations, role of MNCs and international economic
institutions (IMF, World Bank, WTO).

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

4. International Organizations (IOs):

o Intergovernmental Organizations (IGOs): UN, EU, ASEAN, SAARC, etc. Their
roles in cooperation, conflict resolution, and global governance.
o Non-Governmental Organizations (INGOs): Amnesty International,
Greenpeace, Doctors Without Borders, etc. Their influence on global issues.
5. International Law: Sources, application, enforcement (or lack thereof), and its role
in regulating state behavior.
6. Global Issues: Environmental degradation (climate change), pandemics, human
rights, migration, transnational crime, poverty, and inequality.
7. Foreign Policy Analysis: The processes and factors (domestic and international) that
shape a state's foreign policy decisions.
8. Area Studies: In-depth study of specific geographic regions and their international
implications.
C. Evolution of International Relations as a Discipline
1. Pre-WWI (Ancient Roots):
o Ideas about inter-state relations can be traced to ancient thinkers like
Thucydides (Peloponnesian War), Kautilya (Arthashastra), Machiavelli (The
Prince), and Hobbes (Leviathan).
o Focus on war, diplomacy, balance of power.
2. Phase 1: Idealism/Utopianism (Post-WWI, 1919-1930s):
o IR emerged as a distinct academic discipline after World War I, driven by a
desire to prevent future wars.
o Dominance of Idealist thought (see Topic 3).
o Establishment of the first Chair of International Politics at University of
Wales, Aberystwyth (1919), held by Alfred Zimmern.
o Focus on international law, institutions (League of Nations), collective
security, and morality.
3. Phase 2: Realism and the First "Great Debate" (1930s-1950s):
o Failure of the League of Nations and the outbreak of WWII led to the rise of
Realism (see Topic 3).
o E.H. Carr's The Twenty Years' Crisis (1939) critiqued Idealism.
o Hans Morgenthau's Politics Among Nations (1948) became the bible of
Realism.
o Focus on power, national interest, state-centrism, and anarchy.
4. Phase 3: Behavioralism and the Second "Great Debate" (1950s-1970s):
o Influence of behavioral revolution in social sciences.

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

o Debate between Traditionalists/Classicists and Scientists/Behavioralists (see

Topic 2).
o Attempt to make IR more scientific using quantitative methods, models, and
theories (e.g., Systems Theory, Game Theory).
o Rise of Neo-realism (Kenneth Waltz) and Neo-liberalism.
5. Phase 4: Post-Positivism and the Third/Fourth "Great Debates" (1980s-Present):
o Third Debate (Inter-paradigm debate): Realism vs. Liberalism (Pluralism) vs.
Marxism (Structuralism).
o Fourth Debate (Post-Positivist turn): Challenges to mainstream positivist
theories from critical perspectives like Constructivism, Post-structuralism,
Feminism, Green Theory.
o Focus on identity, norms, discourse, gender, environment, and questioning
the foundations of knowledge in IR.
6. Post-Cold War Era (1990s-Present):
o End of bipolarity led to new questions about unipolarity, globalization, rise of
non-state actors, humanitarian intervention, terrorism (post-9/11), and
emerging powers.
o Increased focus on IPE, human rights, and global governance.

2. The Great Debate: Classical vs. Scientific (Hedley Bull vs. Morton Kaplan)
• This was the "Second Great Debate" in IR, occurring primarily in the 1950s and 1960s.
It concerned the methodology of studying IR.
A. Classical Approach (Traditionalism)
• Key Proponents: Hedley Bull, Martin Wight, E.H. Carr (earlier), Hans Morgenthau (to
some extent).
• Core Tenets and Methodology:
1. Holistic Understanding: Emphasized understanding international politics
through a broad, interpretative approach.
2. Sources: Drew heavily on history, philosophy, law, and diplomacy. Relied on
historical narratives, case studies, and the wisdom of practitioners.
3. Human Element: Recognized the importance of human judgment, values,
norms, intentions, and the uniqueness of events. Believed that IR involved
human agents whose behavior couldn't be reduced to scientific laws.
4. Normative Concerns: Engaged with ethical questions and the pursuit of order
and justice in international society.
5. Skepticism of Scientific Objectivity: Argued that true value-neutrality was
impossible in social sciences, as researchers are part of the world they study.

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

• Hedley Bull's Contribution (International Theory: The Case for a Classical

Approach, 1966):
o Argued that the scientific approach was ill-suited to IR because it
oversimplified complex realities, neglected non-quantifiable factors (like
norms and intentions), and often produced trivial or self-evident findings.
o Stressed the importance of "understanding" (Verstehen) and "judgment" in IR,
which could not be achieved through purely scientific methods.
o Championed the idea of "international society" – states bound by common
rules and institutions.
B. Scientific Approach (Behavioralism/Scientism)
• Key Proponents: Morton Kaplan, J. David Singer, Karl Deutsch, Quincy Wright.
• Core Tenets and Methodology:
1. Empiricism and Positivism: Advocated for the application of scientific
methods (as used in natural sciences) to the study of IR.
2. Data Collection and Quantification: Emphasized systematic data collection,
measurement, statistical analysis, and the use of quantitative methods.
3. Theory Building and Hypothesis Testing: Aimed to develop generalizable
theories and test hypotheses rigorously to explain and predict international
behavior.
4. Objectivity and Value-Neutrality: Strived for objective, value-free research.
5. Focus on Observable Behavior: Concentrated on observable patterns and
regularities in state behavior, rather than intentions or normative questions.
6. Model Building: Used models (e.g., systems models, game theory) to simplify
and understand complex interactions.
• Morton Kaplan's Contribution (System and Process in International Politics,
1957):
o A leading advocate for a scientific, systems approach to IR.
o Proposed several models of international systems (e.g., Balance of Power,
Loose Bipolar, Tight Bipolar) to identify systemic variables and predict state
behavior within different structures (see Topic 4).
o Believed that identifying underlying structures and processes could lead to a
more scientific understanding of IR.
C. Outcome and Synthesis
• The debate was often acrimonious, but it ultimately enriched the discipline.
• No clear "winner" emerged. Both approaches have their strengths and limitations.
• Strengths of Classical: Rich insights, historical depth, sensitivity to context and
normative issues.
• Weaknesses of Classical: Can be subjective, impressionistic, and lack rigor.

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• Strengths of Scientific: Promotes rigor, precision, systematic analysis, and

identification of patterns.
• Weaknesses of Scientific: Can oversimplify, neglect important non-quantifiable
factors, and its predictive power has been limited.
• Contemporary IR: Often reflects a synthesis, where scholars use a variety of
methods, both qualitative and quantitative, depending on the research question.
The debate pushed IR towards greater methodological self-awareness.

3. Idealist and Realist Approaches to International Relations

• This was the "First Great Debate," though the term is sometimes used loosely.
Idealism was dominant post-WWI, challenged by Realism in the inter-war and post-
WWII periods.
A. Idealist Approach (Liberalism / Utopianism / Wilsonian Idealism)
• Historical Context: Emerged after World War I, deeply influenced by the devastation
of the war and the desire to create a more peaceful world order.
• Key Thinkers: Woodrow Wilson, Norman Angell, Alfred Zimmern, James T. Shotwell.
• Core Assumptions and Beliefs:
1. Human Nature: Optimistic view; humans are inherently good, rational, and
capable of cooperation and moral progress.
2. Cause of War: Wars are not inevitable but result from flawed institutions,
misunderstandings, undemocratic governments, and pursuit of selfish
national interests (especially secret diplomacy and arms races).
3. Path to Peace:
▪ Democracy: Democratic states are inherently more peaceful
(Democratic Peace Theory precursor).
▪ International Institutions: Creation of international organizations
(like the League of Nations) to promote cooperation, collective
security, and peaceful dispute resolution.
▪ International Law: Development and adherence to international law
to regulate state behavior.
▪ Self-determination: Promoting national self-determination to reduce
grievances.
▪ Open Diplomacy: Abolishing secret treaties.
▪ Disarmament: Reducing armaments.
4. Harmony of Interests: Believed in an underlying harmony of interests among
nations, which could be realized through reason and cooperation.
5. Role of Morality: Emphasized the importance of ethics and morality in
international politics.

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• Key Concepts: Collective security, international law, disarmament, open diplomacy,

self-determination, League of Nations.
• Criticisms (mainly from Realists):
o Seen as utopian, naive, and failing to understand the realities of power
politics.
o Ignored the persistent role of national interest and the anarchic nature of the
international system.
o The failure of the League of Nations and the outbreak of WWII were seen as
evidence of Idealism's shortcomings.
B. Realist Approach (Classical Realism)
• Historical Context: Gained prominence during the inter-war period and became
dominant after World War II, reacting to the failures of Idealism. Has ancient
intellectual roots.
• Key Thinkers (Classical Realism):
o Ancient/Early Modern: Thucydides, Machiavelli, Thomas Hobbes.
o 20th Century: E.H. Carr, Hans J. Morgenthau, Reinhold Niebuhr, George F.
Kennan.
• Core Assumptions and Beliefs (Morgenthau's "Six Principles of Political Realism"
are central):
1. Human Nature: Pessimistic view; humans are inherently selfish, power-seeking
(animus dominandi), and flawed. This desire for power is projected onto the state.
2. International System: Anarchic (no central authority). States operate in a self-help
system.
3. States as Primary Actors: States are the principal actors in international politics,
behaving as rational, unitary actors.
4. National Interest Defined as Power: The primary goal of every state is survival and
security, pursued by maximizing its power relative to other states. National interest is
objectively definable.
5. Primacy of Politics: Political considerations (power) are autonomous and should not
be subordinated to economic or moral concerns in foreign policy.
6. Limited Role of Morality: Universal moral principles cannot be applied to state
actions in the abstract; prudence and consideration of consequences are key. State morality
is different from individual morality. The "political man" is distinct.
• Key Concepts: Anarchy, power, national interest, balance of power, security
dilemma, self-help, statism, survival.
• E.H. Carr's Contribution (The Twenty Years' Crisis, 1919-1939):
o Launched a powerful critique of Idealism ("Utopianism"), arguing it ignored
power realities.

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o Stressed the interplay between power and morality, but emphasized the
primacy of power.
• Hans J. Morgenthau's Contribution (Politics Among Nations, 1948):
o Systematized Classical Realism, providing its theoretical foundation.
o His six principles are a cornerstone of Realist thought.
• Criticisms:
o Overly pessimistic about human nature and the prospects for cooperation.
o Statist bias, neglecting the role of non-state actors, interdependence, and
transnational issues.
o Difficulty in precisely defining "power" and "national interest."
o Seen as a justification for power politics and status quo.
o Neglects domestic factors in shaping foreign policy.

4. Theories of International Relations: Systems Theory, Decision Making Theory,

Communication Theory and Game Theory
These theories emerged largely during the "Scientific" phase, attempting to provide more
structured and analytical frameworks for understanding IR.
A. Systems Theory
• Core Idea: Views international politics as a "system" composed of interacting units
(primarily states) whose collective behavior produces distinct patterns and
outcomes. The structure of the system influences the behavior of its units.
• Key Proponents: Morton Kaplan, Kenneth Waltz (Neo-realism/Structural Realism is
a systemic theory), Richard Rosecrance.
• Morton Kaplan's Models (System and Process in International Politics, 1957):
o Proposed six heuristic models of international systems, each with its own
"essential rules," actor characteristics, capabilities, and information
variables:
1. Balance of Power System: (e.g., 18th-19th century Europe) Multiple
major powers; actors seek to prevent any one state from dominating;
flexible alliances.
2. Loose Bipolar System: (e.g., Cold War) Two dominant blocs led by
superpowers, with neutral or non-aligned states.
3. Tight Bipolar System: More rigid than loose bipolar; non-aligned
states are few or absorbed.
4. Universal Actor System: Dominated by a powerful international
organization (e.g., a strengthened UN).

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5. Hierarchical System: One dominant power essentially controls the

system (e.g., a world empire).
6. Unit Veto System: Many actors possess nuclear weapons, creating a
system where any actor can veto actions through credible threat
(mutual deterrence).
• Characteristics of a System:
o Structure: The arrangement of units and distribution of capabilities.
o Interaction: Units are interdependent; actions of one affect others.
o Boundaries: Distinguishes the system from its environment.
o Inputs, Outputs, Feedback: Processes within the system.
• Strengths:
o Provides a holistic, macro-level perspective.
o Highlights structural constraints and opportunities for states.
o Allows for comparison across different historical systems.
• Weaknesses:
o Can be overly abstract and deterministic, downplaying actor agency.
o Kaplan's models are ideal types and may not perfectly fit reality.
o Difficulty in operationalizing concepts and testing empirically.
o Often static and struggles to explain systemic change.
B. Decision-Making Theory
• Core Idea: Focuses on the process of how foreign policy decisions are actually made
within states. It "opens the black box" of the state, challenging the Realist
assumption of states as unitary, rational actors.
• Key Proponents: Richard Snyder, H.W. Bruck, and Burton Sapin; Graham Allison;
Irving Janis.
• Levels of Analysis (Kenneth Waltz, Man, the State, and War): While not solely a
decision-making framework, Waltz's levels are crucial for understanding where to
look for causes of state behavior:
1. Individual Level: Focuses on leaders' psychology, perceptions, beliefs,
personality.
2. State/Domestic Level: Focuses on governmental structures, bureaucratic
politics, interest groups, public opinion, national attributes.
3. Systemic Level: Focuses on the structure of the international system,
distribution of power, anarchy.
o Decision-making theories primarily operate at the individual and state levels.

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• Richard Snyder, H.W. Bruck, and Burton Sapin (Foreign Policy Decision-Making,
1954, revised 1962):
o Pioneering work. Focused on the "definition of the situation" by decision-
makers.
o Identified key clusters of variables: external environment, internal
environment, and decision-making process (organizational context,
communication, motivation of decision-makers).
• Graham Allison's Models (Essence of Decision: Explaining the Cuban Missile
Crisis, 1971):
1. Model I: Rational Actor Model (RAM): (Similar to Realism) The state acts as
a unitary, rational actor, choosing the policy that maximizes its strategic goals
and objectives after a cost-benefit analysis of all options.
2. Model II: Organizational Process Model (OPM): Decisions are outputs of large
organizations functioning according to standard operating procedures (SOPs).
Policy choices are often limited by pre-existing routines and capabilities.
"Where you stand depends on where you sit" (in terms of organizational role).
3. Model III: Bureaucratic Politics Model (BPM): Decisions are outcomes of
bargaining games among various players (bureaucrats, agencies) within the
government, each with their own interests and power. Policy is a political
resultant. "Where you stand depends on where you sit" (in terms of
bureaucratic position and interests).
• Irving Janis (Victims of Groupthink, 1972):
o Explored how psychological dynamics within small decision-making groups
can lead to flawed decisions due to pressures for conformity and consensus
(groupthink).
• Strengths:
o Provides a more nuanced understanding of foreign policy by looking inside the
state.
o Highlights the role of individual psychology, organizational constraints, and
domestic politics.
o Useful for explaining specific foreign policy choices.
• Weaknesses:
o Can be overly complex and data-intensive (difficult to get inside
information).
o May overemphasize internal factors at the expense of systemic pressures.
o Risk of "paralysis by analysis" due to too many variables.
C. Communication Theory
• Core Idea: Focuses on the role of communication flows, transactions, and the
development of shared identities and communities in international relations.

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Particularly relevant to understanding integration and the formation of "security

communities."
• Key Proponent: Karl W. Deutsch.
• Karl Deutsch's Contribution (Political Community and the North Atlantic Area,
1957; The Nerves of Government, 1963):
1. Transactionalism: Argued that high levels of transactions (trade, mail, travel,
student exchanges, etc.) between societies could foster a sense of shared
identity and mutual responsiveness, leading to integration.
2. Cybernetics: Applied concepts from cybernetics (study of communication and
control systems) to political systems. Governments are like "nerves,"
processing information and making decisions.
3. Security Communities: Defined as a group of states where there is a "real
assurance that the members of that community will not fight each other
physically, but will settle their disputes in other ways."
▪ Amalgamated Security Community: Formal merger of previously
independent units into a single larger unit with a common government
(e.g., formation of the United States).
▪ Pluralistic Security Community: Independent states retain their
sovereignty but develop reliable expectations of peaceful change and
non-violent conflict resolution (e.g., US-Canada, Scandinavian
countries, arguably the EU). Deutsch considered this more durable and
achievable.
• Key Concepts: Communication flows, transactions, integration, assimilation, social
learning, security communities.
• Strengths:
o Highlights the importance of non-coercive interactions and soft power.
o Provides insights into processes of regional integration and community
building.
o Emphasizes the role of shared values, identities, and mutual responsiveness.
• Weaknesses:
o Less applicable to conflict-ridden regions or situations of intense rivalry.
o Measuring "sense of community" or "mutual responsiveness" can be difficult.
o May underestimate the persistent role of power politics and national
interests.
D. Game Theory
• Core Idea: A mathematical approach to analyzing strategic interactions between two
or more rational actors (players) where the outcome for each player depends not
only on their own choices but also on the choices of others.

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• Origins: Mathematics and economics (John von Neumann and Oskar Morgenstern,
Theory of Games and Economic Behavior, 1944).
• Application in IR: Used to model situations of conflict and cooperation, such as arms
races, deterrence, alliance formation, trade negotiations, and crisis bargaining.
• Key Concepts:
o Players: Decision-makers (e.g., states).
o Strategies: The choices available to each player.
o Payoffs: The outcomes or values players assign to each possible combination
of choices.
o Rationality: Players are assumed to make choices that maximize their
expected payoffs.
o Zero-Sum Games: One player's gain is another player's loss (e.g., territorial
disputes).
o Non-Zero-Sum (Mixed-Motive) Games: Outcomes can involve mutual gain or
mutual loss (e.g., trade, arms control).
• Classic Games in IR:
1. Prisoner's Dilemma: Illustrates why two rational actors might not cooperate even
when it appears in their mutual best interest. Often used to explain arms races or failure to
address collective action problems. (Dominant strategy is to defect, leading to a suboptimal
outcome).
2. Chicken (Hawk-Dove): Models brinkmanship and deterrence. Two players head
towards a collision; the first to swerve ("chicken") loses face, but if neither swerves, both
suffer a disastrous crash. (No dominant strategy; relies on credibility of threats).
3. Stag Hunt (Assurance Game): Illustrates the problem of collective action and trust.
Two hunters can cooperate to hunt a stag (high payoff for both) or individually hunt a hare
(lower but guaranteed payoff). Cooperation depends on trust that the other will also
cooperate.
• Key Proponents/Users in IR: Thomas Schelling (The Strategy of Conflict, 1960),
Morton Kaplan, Anatol Rapoport, Robert Axelrod (The Evolution of Cooperation,
1984).
• Strengths:
o Provides a rigorous and logical framework for analyzing strategic choices.
o Clarifies the structure of interdependence and strategic dilemmas.
o Helps understand how cooperation can emerge even in anarchy (e.g.,
Axelrod's work on iterated Prisoner's Dilemma and Tit-for-Tat strategy).
• Weaknesses:
o Assumption of perfect rationality is often unrealistic (bounded rationality).
o Simplifies complex realities and may not capture all relevant variables.

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o Difficulty in accurately defining and quantifying payoffs in real-world

situations.
o Often static and doesn't easily account for learning or changes in preferences
over time (though iterated games address this partly).

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UNIT 2: Concept of Power in

International Relations
1. National Power, National Interest and Foreign Policy
These three concepts are intrinsically linked and fundamental to understanding state
behavior in the international system.
A. National Power
• Definition:
o National power is the sum total of a state's capabilities and resources
(tangible and intangible) that enable it to influence the behavior of other
states and international actors to achieve its national interests.
o Hans Morgenthau: "Power is man's control over the minds and actions of other
men." Applied to states, it's the ability of State A to get State B to do
something it would not otherwise do (or not do something it would).
o It can be seen as both a means (to achieve national interest) and sometimes
an end in itself (Realist perspective).
• Nature of Power:
1. Relational: Power is not absolute but relative; it exists in relation to other actors. A
state is powerful compared to another.
2. Dynamic: National power is not static; it changes over time due to internal
developments and external factors.
3. Situational/Contextual: The effectiveness of power depends on the context. Military
power might be crucial in a security crisis but less so in a trade negotiation.
4. Multifaceted: Comprises various elements – military, economic, diplomatic, cultural,
etc.
5. Perceptual: Perceptions of power can be as important as actual capabilities. A state
perceived as powerful may achieve its goals without actually using its resources.
• Forms of Power:
o Hard Power: Coercive power wielded through inducements ("carrots" – e.g.,
economic aid) or threats ("sticks" – e.g., military force).
o Soft Power (Joseph Nye): The ability to attract and co-opt rather than
coerce. Arises from the attractiveness of a country's culture, political ideals,
and policies.
o Smart Power (Joseph Nye): The effective combination of hard and soft
power resources into integrated strategies.
B. National Interest
• Definition:

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o The fundamental goals, objectives, and ambitions that a state seeks to

achieve and protect in its interactions with other states and international
actors. It's the rationale behind a state's foreign policy.
o Morgenthau: Defined national interest primarily in terms of power and
survival, arguing it's an objective reality.
o Others see it as more subjective, shaped by ideology, values, public opinion,
and leadership perceptions.
• Types/Levels of National Interest:
1. Vital/Core Interests: Essential for the survival and security of the state (e.g.,
territorial integrity, protection of citizens, political independence). States are usually
willing to go to war to protect these.
2. Secondary/Non-Vital Interests: Important but not critical for survival (e.g.,
economic prosperity, trade advantages, ideological promotion, humanitarian concerns).
3. General vs. Specific Interests: Broad long-term goals vs. particular short-term
objectives.
4. Identical vs. Conflicting vs. Complementary Interests: Interests can align, clash, or
support those of other states.
• Determinants of National Interest:
o Geopolitical position, historical experiences, cultural values, economic
needs, political system, public opinion, ideology, and the perceptions of
decision-makers.
o The international environment (e.g., threats, opportunities) also shapes it.
C. Foreign Policy
• Definition:
o The strategies, decisions, and actions adopted by a state to achieve its
national interests and goals in its interactions with other states, international
organizations, and non-state actors.
o It's the external manifestation of a state's national interest, pursued through
the application of its national power.
• Objectives of Foreign Policy (often reflecting national interests):
o Security (self-preservation)
o Economic well-being and prosperity
o Promotion of values and ideology
o Enhancing international prestige and influence
o Maintaining peace and stability (or sometimes disrupting it for advantage)
• Instruments of Foreign Policy (tools to exercise national power):
1. Diplomacy: Negotiation, dialogue, treaties, alliances, participation in IOs.

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2. Economic Instruments: Trade policies, sanctions, aid, loans, investments.

3. Military Force: Coercion, deterrence, defense, intervention, war.
4. Propaganda/Public Diplomacy: Shaping perceptions and opinions abroad.
5. Cultural Exchanges: Promoting soft power.
6. Intelligence: Gathering information to inform policy.
• Relationship between National Power, National Interest, and Foreign Policy:
o National Interest provides the goals or ends.
o National Power provides the means or capabilities.
o Foreign Policy is the strategy or course of action that employs national power
to achieve national interests.
o A successful foreign policy effectively aligns available power with defined
interests. Mismatches can lead to failure (e.g., pursuing ambitious interests
with insufficient power, or misusing power).

2. Elements of National Power: Tangible and Intangible

National power is derived from a combination of concrete, measurable elements and more
abstract, qualitative factors.
A. Tangible Elements (Relatively Measurable)
1. Geography:
o Size: Large territory can provide resources, defense in depth (e.g., Russia).
Small size can be a vulnerability but not always (e.g., Singapore's strategic
location).
o Location: Strategic location (e.g., access to sea lanes, bordering key states)
can be a major asset or liability.
o Climate: Favorable climate supports agriculture and population density.
Extreme climates can be a disadvantage.
o Topography: Mountains, rivers, coastlines can act as natural defenses or
facilitate trade and communication.
2. Natural Resources:
o Food: Self-sufficiency in food production is a source of strength.
o Minerals and Raw Materials: Access to essential minerals (iron ore, bauxite,
etc.) and energy resources (oil, gas, coal, uranium) is crucial for industrial
and military power. Dependence can create vulnerabilities.
3. Population:
o Size: Large population can provide a large workforce and army, but can also
strain resources if not managed.

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o Demographic Profile: Age distribution (youthful vs. aging), health,

education, and skill levels are critical. A skilled and educated population is a
major asset.
o Homogeneity/Diversity: Can affect national unity and cohesion.
4. Military Strength:
o Size of Armed Forces: Number of personnel.
o Equipment and Technology: Advanced weaponry, naval power, air power,
cyber capabilities.
o Nuclear Capability: A significant deterrent and power multiplier.
o Training and Leadership: Quality of military personnel and command
structure.
o Logistics and Mobilization Capacity: Ability to deploy and sustain forces.
5. Industrial/Technological Capacity:
o Economic Base: GDP, industrial output, technological innovation.
o Infrastructure: Transportation, communication, energy networks.
o Scientific and Technological Prowess: Ability to innovate and apply
technology for economic and military purposes.
o A strong industrial base is essential for sustaining military power and
economic influence.
B. Intangible Elements (Less Measurable, Qualitative)
1. Leadership:
o Quality and Vision: Competence, decisiveness, strategic thinking, and
integrity of political and military leaders.
o Ability to formulate clear national goals and mobilize popular support.
2. National Character and Morale:
o National Unity and Cohesion: Degree of internal consensus, patriotism, and
willingness of the population to support national goals and make sacrifices.
o Discipline and Resilience: Ability to withstand hardship and persevere.
o Can be influenced by shared history, culture, and ideology.
3. Ideology and National Values:
o The appeal and legitimacy of a nation's political, economic, and social
system.
o A universally appealing ideology can be a source of soft power and influence
(e.g., democracy, human rights).
o Strong internal belief in national values can boost morale.
4. Diplomacy:

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o Skill and Effectiveness: Quality of diplomatic corps, ability to negotiate

effectively, build alliances, and project a favorable image.
o Understanding of international affairs and ability to adapt to changing
circumstances.
5. Governmental Efficiency and Stability:
o Political Stability: A stable political system is crucial for effective governance
and long-term planning.
o Administrative Competence: Ability of the government to efficiently
mobilize national resources, implement policies, and manage crises.
o Low levels of corruption and high levels of public trust.
6. Intelligence:
o Information Gathering: Effective intelligence services provide crucial
information for decision-making in foreign policy and national security.
o Analysis and Assessment: Ability to interpret intelligence accurately.
7. Image, Prestige, and Reputation:
o How a nation is perceived by other international actors.
o A positive image and high prestige can enhance influence and diplomatic
leverage (soft power).
o Reputation for reliability, fairness, or strength.
Interrelation: Tangible and intangible elements are deeply interconnected and influence
each other. For example, good leadership (intangible) can effectively utilize natural
resources (tangible). A strong industrial capacity (tangible) can enhance national morale
(intangible).

3. International Power Structure: Unipolarity, Bipolarity and Multipolarity

The international power structure refers to the distribution of power (particularly military
and economic capabilities) among states in the international system. This distribution
significantly influences system stability, patterns of alliance, and the nature of international
relations.
A. Unipolarity
• Definition: An international system dominated by a single superpower or hegemon
that possesses a preponderant share of power and influence, unmatched by any other
state or coalition.
• Characteristics:
o The hegemon often sets the rules and norms of the international system.
o May provide international public goods (e.g., security, stable currency).

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o Other states may either align with the hegemon ("bandwagoning") or attempt
to balance against it ("balancing," though this is difficult).
o Potential for both benign hegemony (using power for collective good) and
coercive hegemony (using power for self-interest).
• Examples:
o Post-Cold War era (1991-c.2008) with the United States as the sole
superpower.
o Historically, the Roman Empire in its sphere of influence.
• Stability Debate:
o Hegemonic Stability Theory (HST): Argues that unipolarity can be stable as
the hegemon has an interest in maintaining order and providing public goods
from which all benefit.
o Arguments against stability: Hegemon may become overstretched, arrogant,
or exploitative, leading to resentment and counter-balancing efforts. Decline
of the hegemon can create power vacuums and instability. (e.g., Charles
Kindleberger, Robert Gilpin).
B. Bipolarity
• Definition: An international system dominated by two roughly equal superpowers or
blocs, each leading an alliance of states.
• Characteristics:
o Intense competition and rivalry (often ideological) between the two poles.
o Alliance systems tend to be rigid and long-term.
o Reduced flexibility for smaller states; pressure to align with one of the poles.
o Risk of direct confrontation between superpowers can be high, but often
mitigated by mutual deterrence (especially in the nuclear age).
o Proxy wars may occur in peripheral areas.
• Example:
o The Cold War (c. 1947-1991) between the United States (leading NATO) and
the Soviet Union (leading the Warsaw Pact).
• Stability Debate:
o Kenneth Waltz (Neo-realism): Argued that bipolarity is the most stable
structure because it simplifies calculations, reduces uncertainty, and makes
miscalculation less likely. The two superpowers can manage the system more
effectively.
o Arguments against stability: High tension, constant risk of escalation to
catastrophic war, inflexibility, and suppression of smaller states' autonomy.
C. Multipolarity

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• Definition: An international system with three or more major powers (poles)

possessing roughly comparable capabilities.
• Characteristics:
o More complex and fluid alliance patterns; alliances tend to be short-term and
issue-specific.
o Greater diplomatic maneuvering and strategic flexibility for states.
o Increased number of potential conflict dyads, but also more opportunities for
balancing and cross-cutting alliances that might prevent escalation.
o Uncertainty can be higher due to the complexity of interactions.
• Examples:
o 19th Century Concert of Europe (UK, France, Prussia/Germany, Austria-
Hungary, Russia).
o The inter-war period (1919-1939).
o Some argue the current international system is moving towards or is already
multipolar (US, China, EU, Russia, India, etc.).
• Stability Debate:
o Classical Realists (e.g., Morgenthau): Often viewed multipolarity as
inherently unstable due to its complexity and potential for miscalculation
(though balance of power mechanisms can provide some order).
o Karl Deutsch and J. David Singer: Argued multipolarity could be more stable
than bipolarity because of more interaction opportunities, cross-cutting
loyalties, and diffusion of attention (less focus on a single adversary).
o Arguments against stability: Increased complexity can lead to miscalculation
and unintended escalation. Shifting alliances can create uncertainty.
Beyond these: Some scholars discuss "non-polarity" (Richard Haass – power diffused among
many state and non-state actors) or a "multiplex world" (Amitav Acharya – multiple layers of
interconnectedness and diverse actors).

4. Power and Interdependence, UN System and NAM

Traditional power politics is modified and complicated by increasing interdependence and
the role of international institutions.
A. Power and Interdependence
• Interdependence: A state of mutual dependence where actions and events in one
state have significant reciprocal effects on others. Can be economic, social,
environmental, or political.
• Complex Interdependence (Robert Keohane and Joseph Nye, Power and
Interdependence, 1977):
Challenged Realist assumptions by highlighting a different kind of world politics,
particularly among advanced industrialized democracies. Characterized by:

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1. Multiple Channels: Interstate, transgovernmental, and transnational

relations connect societies. States are not the only actors.
2. Absence of Hierarchy Among Issues: Military security is not always the
dominant issue; economic, social, and environmental issues are also high on
the agenda.
3. Minor Role of Military Force: Military force is often ineffective or too costly
to use among interdependent states, especially on economic or social issues.
• Implications for Power:
1. Shifts the Nature of Power: In conditions of complex interdependence:
▪ Military power becomes less fungible (convertible into other forms of
influence).
▪ Economic power, control over information, and ability to set agendas
become more important.
▪ "Power as control over outcomes" rather than just control over
resources.
2. Sensitivity and Vulnerability Interdependence:
▪ Sensitivity: How quickly and strongly changes in one country affect
another before policies are altered.
▪ Vulnerability: The relative costs an actor faces in changing policies to
adapt to external changes, even if it is less sensitive. A less sensitive
actor can still be more vulnerable if the costs of changing are higher.
▪ Asymmetrical interdependence (unequal dependence) can be a source
of power for the less dependent or less vulnerable actor.
3. Soft Power and Agenda Setting: The ability to shape preferences and frame
issues becomes crucial.
B. UN System and Power
The United Nations system both reflects and influences power dynamics in international
relations.
• Reflection of Power Realities:
1. Security Council (UNSC): The veto power of the five permanent members
(P5: US, UK, France, Russia, China) reflects the great power realities of the
post-WWII era and continues to give them disproportionate influence.
2. Financial Contributions: States contributing more financially (like the US)
often wield greater informal influence.
• Constraints on Unilateral Power:
1. International Law and Norms: The UN Charter and other international laws
promoted by the UN set standards for state behavior and can constrain
unilateral actions.

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2. Legitimacy: UN approval can grant legitimacy to state actions (e.g.,

interventions), making it harder for powerful states to act purely unilaterally
without reputational costs.
3. Collective Action: The UN provides a forum for collective responses to
threats, potentially pooling power against an aggressor (though often limited
by P5 consensus).
• Empowerment of Weaker States:
1. Forum for Voice: The General Assembly (UNGA) provides a platform for
smaller and weaker states to voice their concerns, build coalitions, and exert
diplomatic pressure (one state, one vote principle).
2. Norm Entrepreneurship: Weaker states can use the UN to promote norms
and treaties that serve their interests (e.g., Law of the Sea, climate change
agreements).
• UN's Own (Limited) Power:
o Peacekeeping/Peacebuilding: Deploys forces (with member state consent)
to maintain peace, though reliant on member states for troops and resources.
o Soft Power/Normative Influence: Through its agencies (WHO, UNICEF,
UNHCR, etc.), the UN influences global agendas and promotes development,
human rights, and humanitarian norms.
C. Non-Aligned Movement (NAM) and Power
NAM emerged as an attempt by newly independent developing countries to navigate and
influence a world dominated by great power politics, particularly during the Cold War.
• Origins and Goals:
o Formally established in 1961 (Belgrade Conference), rooted in the Bandung
Conference (1955).
o Key leaders: Nehru (India), Tito (Yugoslavia), Nasser (Egypt), Sukarno
(Indonesia), Nkrumah (Ghana).
o Aimed to pursue an independent foreign policy, avoiding formal alignment
with either the US-led Western bloc or the Soviet-led Eastern bloc.
o Goals included: peace and disarmament, anti-colonialism, anti-imperialism,
anti-racism, national sovereignty, and economic development for developing
countries.
• NAM as a Form of Power/Influence:
1. Collective Diplomatic Leverage: By acting as a bloc (especially in the UNGA), NAM
countries sought to increase their collective bargaining power and influence on global issues.
2. Moral Suasion and Normative Force: NAM projected itself as a moral voice for the
"Third World," advocating for justice, equality, and peaceful coexistence.
3. Autonomy and Agency: Represented an assertion of agency and the desire for an
independent path by states that were historically marginalized or colonized.

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4. Balancing/Playing off Superpowers: Some NAM members skillfully maneuvered

between the two superpowers to gain aid or concessions.
• Challenges and Limitations:
o Internal Diversity: Comprised states with diverse ideologies, interests, and
levels of development, making unified action difficult.
o Lack of Hard Power: Primarily relied on diplomatic and normative influence,
lacking significant military or economic power to enforce its agenda.
o Influence of Superpowers: Many NAM members still had closer ties or
dependencies on one superpower or the other.
o Relevance in Post-Cold War Era: With the end of bipolarity, NAM's original
rationale diminished. It has since tried to refocus on issues like South-South
cooperation, global economic justice, and countering unipolar tendencies.
• NAM and the Power Structure:
o It was a response to the bipolar power structure, seeking to create a "third
way" or an alternative pole of influence.
o It challenged the notion that power was solely defined by military or
economic might, emphasizing the power of numbers, ideas, and collective
will.

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UNIT 3: Management of Power

1. Balance of Power: Meaning, Techniques, Relevance and General Evaluation, Concept
of Power Vacuum
A. Balance of Power (BoP)
• Meaning:
1. As a Policy: A deliberate policy pursued by states to prevent any single state
or coalition of states from achieving a dominant or hegemonic position that
could threaten the independence and security of others.
2. As a System: An international system where the power of competing states
or alliances is roughly equal, leading to a state of equilibrium. No single state
or bloc can easily dominate.
3. As a Distribution of Power: Simply describes the existing distribution of
power among states at a given time (e.g., a bipolar balance of power).
o Core Assumption (Realist): States exist in an anarchic system and prioritize
their survival and security. They will act to prevent any other state from
becoming overwhelmingly powerful.
o Objective: To maintain the stability of the system, preserve the
independence of states, and prevent large-scale hegemonic wars.
• Techniques of Balancing Power:
1. Armaments and Disarmament:
▪ Armaments (Internal Balancing): States build up their own military
capabilities to match or deter potential aggressors.
▪ Disarmament (Less common as a BoP technique): Sometimes,
agreements to limit or reduce arms can contribute to a stable balance
if perceived as equitable.
2. Alliances and Counter-Alliances (External Balancing):
▪ States form alliances with other states to aggregate their power
against a common threat or a rising power.
▪ The formation of an alliance often provokes the creation of a counter-
alliance (e.g., Triple Alliance vs. Triple Entente before WWI).
3. Intervention:
▪ A powerful state or group of states may intervene in the affairs of
another state to restore a balance, prevent a shift in power, or support
a weaker state against a stronger one.
4. Buffer States/Zones:
▪ Creating neutral states or zones between major rival powers to reduce
direct friction and provide a cushion (e.g., Afghanistan between
British India and Tsarist Russia).

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5. Divide and Rule:

▪ Keeping adversaries divided or encouraging rivalries among them to
prevent them from uniting and challenging one's own power.
6. Compensation and Partition:
▪ Historically, territories were sometimes divided or exchanged among
great powers to maintain a relative balance (e.g., partitions of
Poland). Less acceptable in modern international law.
7. The "Balancer" Role:
▪ A state (often an offshore power like Britain historically) that remains
somewhat aloof from fixed alliances and throws its weight behind the
weaker side to prevent any single power from dominating the system.
• Relevance:
o Historical Significance: A dominant feature of European politics from the
Treaty of Westphalia (1648) until World War II.
o Cold War: Bipolar balance of power (or "balance of terror") between the US
and USSR.
o Post-Cold War: Debated relevance. Some argue for a unipolar moment
diminishing its role, while others see emerging multipolarity reviving
balancing behavior (e.g., against US or Chinese power).
o Regional Balances: BoP dynamics are often evident at regional levels (e.g.,
India-Pakistan, Iran-Saudi Arabia).
• General Evaluation:
o Strengths/Advantages:
▪ Can contribute to system stability by preventing hegemony.
▪ Preserves the independence of smaller states (by allowing them to ally
with others).
▪ Discourages aggression by making it costly.
o Weaknesses/Criticisms:
▪ Uncertainty: Difficult to accurately measure power and predict
states' intentions.
▪ Instability: The pursuit of balance can itself lead to arms races,
suspicion, and conflict (e.g., WWI).
▪ Moral Objections: Can be seen as amoral power politics, disregarding
justice or the interests of smaller states used as pawns.
▪ Does not guarantee peace: Aims to preserve the system of states, not
necessarily peace within it.
▪ Limited Applicability: Less effective against ideological threats or in
an era of complex interdependence and powerful non-state actors.

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B. Concept of Power Vacuum

• Definition: A situation in international relations where a previously dominant state
or power (e.g., an empire or a superpower) loses its control or influence over a
region or sphere, and no other power immediately steps in to fill the void.
• Causes:
o Collapse of an empire (e.g., Ottoman Empire, Soviet Union).
o Withdrawal of a major power from a region.
o Defeat of a dominant power in war.
o Internal weakening of a regional power.
• Consequences:
o Instability and Conflict: Often leads to increased competition, rivalry, and
conflict among local actors or external powers seeking to fill the vacuum and
expand their influence.
o Emergence of New Powers: Can create opportunities for regional powers to
rise.
o Intervention by External Powers: Other major powers may be tempted to
intervene to secure their interests or prevent rivals from gaining an
advantage.
o Fragmentation and Disorder: The region may descend into chaos, civil wars,
or become a haven for non-state actors.
• Examples:
o The Balkans after the decline of the Ottoman Empire.
o The Middle East after the decline of British and French influence post-WWII.
o Central Asia and Eastern Europe after the collapse of the Soviet Union.

2. Collective Security: Meaning, Distinction from Collective Defence, Requirements,

Prerequisites and Role under the UN Charter
A. Meaning of Collective Security
• Definition: A system in which all states in a group (regional or global) commit to
jointly respond to aggression against any member state. It is based on the principle
of "all for one, and one for all" – an attack on one is considered an attack on all.
• Core Idea: To deter aggression by making the potential cost of aggression (facing the
combined power of all other members) unacceptably high. It aims to create a
security community where peace is indivisible.
• Key Principles:
1. Universality (Ideally): All states in the system should be members.

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2. Pre-commitment: States agree in advance to take collective action against

an aggressor.
3. Indivisibility of Peace: A threat to peace anywhere is a threat to peace
everywhere.
4. Deterrence and Enforcement: Aims to deter aggression, but if deterrence
fails, collective action (diplomatic, economic, or military) will be taken to
stop the aggressor and restore peace.
B. Distinction from Collective Defence

Feature Collective Security Collective Defence

Nature of Aggression from within the Aggression from an external state or

Threat group of members. group of states.

Target Any member state that commits A pre-identified external enemy or

aggression. threat.

Membership Ideally universal or inclusive. Exclusive, based on shared interests

against an outsider.

Commitment To act against any aggressor To defend fellow members against a

within the system. specific external foe.

Example League of Nations, UN (in NATO, Warsaw Pact

principle)

C. Requirements for an Effective Collective Security System

1. Broad Consensus: Member states must agree on what constitutes aggression and be
willing to identify and act against an aggressor.
2. Commitment and Political Will: States must be genuinely committed to fulfilling
their obligations, even if it involves costs or risks.
3. Sufficient Power: The collective must possess overwhelming power compared to any
potential aggressor.
4. Effective Mechanisms: Clear procedures and institutions for decision-making, crisis
management, and coordinating collective action.
5. Impartiality: The system should operate impartially, not favoring certain states or
being manipulated by great power interests.
D. Prerequisites for Collective Security
(Often overlaps with requirements, but these are underlying conditions)
1. General Acceptance of the Status Quo: States must largely accept the existing
international order and territorial arrangements.
2. Shared Values and Interests: A degree of shared understanding about international
norms and a common interest in maintaining peace.
3. Diffusion of Power: No single state or small group of states should be so powerful
that they can defy the collective will (this is a major challenge).

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4. Reliable Identification of Aggression: Clear definitions and mechanisms to

determine when aggression has occurred.
5. Belief in the System's Efficacy: States must believe that the system can and will
work.
E. Role under the UN Charter
• The UN Charter embodies the principles of collective security, primarily through the
Security Council (UNSC).
• Chapter VII ("Action with Respect to Threats to the Peace, Breaches of the Peace,
and Acts of Aggression"):
o Article 39: UNSC determines the existence of any threat to the peace, breach
of the peace, or act of aggression.
o Article 40: UNSC can call for provisional measures.
o Article 41: UNSC can decide on measures not involving the use of armed force
(e.g., economic sanctions, severance of diplomatic relations).
o Article 42: If Article 41 measures are inadequate, UNSC can authorize the
use of armed force ("all necessary means") by air, sea, or land forces to
maintain or restore international peace and security.
o Articles 43-47 (Largely Unimplemented): Envisioned member states making
armed forces available to the UNSC on its call, and a Military Staff Committee
to advise and direct these forces. This was stymied by Cold War divisions.
• Challenges to UN Collective Security:
1. Veto Power: The P5 veto can paralyze UNSC action, especially if an aggressor is a P5
member or its ally.
2. Lack of Independent Military Force: The UN relies on member states to contribute
troops for peacekeeping or enforcement actions.
3. Differing National Interests: States may be reluctant to act if their vital interests
are not directly threatened.
4. Defining Aggression: Politically contentious.
5. Political Will: Insufficient political will among member states to act decisively.
• UN Peacekeeping: While distinct from collective security enforcement against an
aggressor, UN peacekeeping operations are a major tool for managing conflicts, often
deployed with the consent of parties after a ceasefire. This has become a more
common UN security role than direct collective security enforcement.

3. Disarmament and Arms Control: Major Efforts within and outside the UN since World
War II
• Disarmament: The reduction or elimination of armaments (weapons and military
forces).

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o General and Complete Disarmament (GCD): An ideal goal of eliminating all

weapons of mass destruction and drastically reducing conventional forces.
• Arms Control: Measures to regulate the production, acquisition, deployment,
spread, or use of weapons. Aims to reduce the likelihood of war, limit its scope and
violence if it occurs, and cut the costs of armaments.
o Can be quantitative (limiting numbers) or qualitative (banning certain types).
A. Major Efforts within the UN System
1. UN Charter: Article 11 and 26 mention principles governing disarmament and the
regulation of armaments.
2. UN Disarmament Commission (UNDC): A deliberative body that makes
recommendations on disarmament issues.
3. Conference on Disarmament (CD): Geneva-based, the single multilateral
disarmament negotiating forum. Operates by consensus, which has often led to
deadlock.
4. UN Office for Disarmament Affairs (UNODA): Promotes disarmament goals.
5. Key Treaties Negotiated/Promoted under UN Auspices (or closely related):
o Nuclear Weapons:
▪ Partial Test Ban Treaty (PTBT, 1963): Banned nuclear weapon tests
in the atmosphere, outer space, and underwater. (Negotiated by US,
UK, USSR, later opened).
▪ Treaty on the Non-Proliferation of Nuclear Weapons (NPT, 1968):
▪ Pillars: Non-proliferation (non-nuclear states won't acquire),
disarmament (nuclear states commit to pursue disarmament),
and peaceful use of nuclear energy.
▪ Cornerstone of the non-proliferation regime.
▪ Comprehensive Nuclear-Test-Ban Treaty (CTBT, 1996): Bans all
nuclear explosions. Not yet in force as key states (e.g., US, China,
India, Pakistan) have not ratified.
▪ Treaty on the Prohibition of Nuclear Weapons (TPNW, 2017): Aims
for total elimination of nuclear weapons. Opposed by nuclear-weapon
states and their allies. (Entered into force 2021).
o Other WMDs:
▪ Biological Weapons Convention (BWC, 1972): Prohibits
development, production, and stockpiling of biological and toxin
weapons. Lacks a verification mechanism.
▪ Chemical Weapons Convention (CWC, 1993): Prohibits development,
production, stockpiling, and use of chemical weapons, and mandates
their destruction. Has a strong verification regime (OPCW).
o Conventional Weapons:

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▪ Convention on Certain Conventional Weapons (CCW, 1980) and its

Protocols: Restricts use of weapons deemed to cause unnecessary
suffering (e.g., landmines, booby-traps, incendiary weapons).
▪ Anti-Personnel Landmine Ban Convention (Ottawa Treaty, 1997):
Bans use, stockpiling, production, and transfer of anti-personnel
landmines. (Major powers like US, Russia, China are not parties).
▪ Arms Trade Treaty (ATT, 2013): Regulates international trade in
conventional arms.
B. Major Efforts outside the UN System (Often Bilateral or Plurilateral)
Primarily focused on US-Soviet/Russian nuclear arms control during and after the Cold War:
1. Strategic Arms Limitation Talks (SALT):
o SALT I (1972):
▪ Anti-Ballistic Missile (ABM) Treaty: Limited deployment of ABM
systems by US and USSR (seen as crucial for maintaining MAD). (US
withdrew in 2002).
▪ Interim Agreement on Offensive Arms: Froze the number of ICBMs
and SLBMs.
2. Strategic Arms Reduction Treaties (START):
o START I (1991): Mandated significant reductions in strategic offensive
nuclear arsenals.
o START II (1993): Aimed for further reductions, including banning MIRVed
ICBMs (never entered into force due to Russian non-ratification after US ABM
Treaty withdrawal).
3. Intermediate-Range Nuclear Forces Treaty (INF Treaty, 1987):
o Eliminated all US and Soviet ground-launched ballistic and cruise missiles with
ranges between 500 and 5,500 kilometers. (US and Russia both withdrew in
2019).
4. Strategic Offensive Reductions Treaty (SORT / Moscow Treaty, 2002):
o Limited operationally deployed strategic nuclear warheads. Lacked
verification measures.
5. New START Treaty (2010):
o Further limits on US and Russian strategic nuclear warheads and delivery
systems. Includes verification measures. (Extended until 2026).
6. Other Initiatives:
o Nuclear Suppliers Group (NSG): A group of nuclear supplier countries seeking
to prevent nuclear proliferation by controlling exports of materials,
equipment, and technology.

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o Missile Technology Control Regime (MTCR): A voluntary regime aiming to

limit the spread of missiles and missile technology capable of delivering
WMDs.
C. Challenges and Current Status
• Slow progress on multilateral disarmament (especially nuclear).
• Erosion of existing arms control architecture (e.g., demise of INF, ABM treaties).
• Emergence of new military technologies (cyber weapons, AI, hypersonic missiles)
posing new challenges for arms control.
• Continued proliferation concerns (e.g., North Korea, Iran).
• Lack of political will among major powers.

4. Cold War Phases, Détente and Neo-Détente, Concept of Nuclear Deterrence and MAD
A. Cold War Phases
The Cold War (c. 1947-1991) was a period of geopolitical tension between the US-led
Western bloc and the Soviet-led Eastern bloc, characterized by ideological conflict, proxy
wars, and an arms race.
1. Onset/First Cold War (c. 1947-1953):
o Breakdown of wartime alliance.
o Truman Doctrine, Marshall Plan, Soviet expansion in Eastern Europe ("Iron
Curtain").
o Berlin Blockade and Airlift (1948-49).
o Formation of NATO (1949) and Warsaw Pact (1955).
o Soviet atomic bomb test (1949), Chinese Communist Revolution (1949).
o Korean War (1950-53).
2. Fluctuating Tensions and Crises (c. 1953-1962):
o Khrushchev's "de-Stalinization" and "peaceful coexistence" doctrine.
o Suez Crisis (1956), Hungarian Uprising (1956).
o Sputnik launch (1957) – beginning of the space race.
o U-2 incident (1960).
o Berlin Wall construction (1961).
o Cuban Missile Crisis (1962): Closest the world came to nuclear war. A turning
point leading towards détente.
3. Détente (c. 1969-1979): (See section B below)
o Relaxation of tensions.
o Arms control agreements (SALT I, ABM Treaty).

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o Ostpolitik (West Germany's normalization of relations with Eastern Europe).

o Helsinki Accords (1975).
4. Second Cold War / Renewed Tensions (c. 1979-1985):
o Soviet invasion of Afghanistan (1979).
o Rise of conservative governments in US (Reagan) and UK (Thatcher).
o Increased US military spending, Strategic Defense Initiative ("Star Wars").
o SS-20 missile deployment by USSR and Pershing II/Cruise missile deployment
by NATO in Europe.
o Solidarity movement in Poland.
o KAL 007 incident (1983).
5. End of the Cold War (c. 1985-1991):
o Mikhail Gorbachev's rise to power in USSR – policies of Glasnost (openness)
and Perestroika (restructuring).
o INF Treaty (1987).
o Revolutions in Eastern Europe (1989), fall of the Berlin Wall.
o German reunification (1990).
o Dissolution of the Warsaw Pact and the Soviet Union (1991).
B. Détente and Neo-Détente (or "New Détente")
• Détente (French for "relaxation"):
o A period during the Cold War (roughly late 1960s to late 1970s) characterized
by a general easing of geopolitical tensions and strained relations between
the United States and the Soviet Union.
o Motivations: Fear of nuclear war (after Cuban Missile Crisis), economic
burdens of the arms race, domestic pressures.
o Key Features/Achievements:
▪ Increased dialogue and summitry (e.g., Nixon-Brezhnev meetings).
▪ Arms control treaties (SALT I, ABM Treaty).
▪ Ostpolitik (Willy Brandt).
▪ Helsinki Accords (1975): Recognized post-WWII European borders,
cooperation in economic/scientific fields, and human rights
provisions.
▪ Improved trade and cultural exchanges.
o Decline of Détente: Soviet invasion of Afghanistan (1979), rise of more
hawkish leadership, disagreements over human rights and regional conflicts.
• Neo-Détente / New Détente:

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o A term sometimes used to describe the period of improved relations in the

latter half of the 1980s, largely driven by Gorbachev's "New Thinking" in
foreign policy and Reagan's willingness to engage.
o Key Features:
▪ INF Treaty (1987).
▪ Soviet withdrawal from Afghanistan.
▪ Progress on START negotiations.
▪ Increased cooperation on regional issues.
o This phase ultimately led to the end of the Cold War.
C. Concept of Nuclear Deterrence and MAD
• Nuclear Deterrence:
o A strategy based on dissuading an adversary from attacking by convincing
them that the costs and risks of such an attack would far outweigh any
potential gains.
o Relies on maintaining a credible threat of retaliation, particularly with
nuclear weapons.
o Credibility requires:
▪ Capability: Possessing sufficient and survivable nuclear forces.
▪ Will/Resolve: Convincing the adversary that one is prepared to use
nuclear weapons if attacked.
▪ Communication: Clearly communicating one's capabilities and resolve
to the adversary.
o First Strike Capability: The ability to launch a nuclear attack that destroys
an adversary's ability to retaliate. (Highly destabilizing if one side possesses
it).
o Second Strike Capability: The ability to absorb a first strike and still launch
a devastating retaliatory attack. (Essential for stable deterrence).
• MAD (Mutually Assured Destruction):
o A doctrine of military strategy and national security policy in which a full-
scale use of nuclear weapons by two or more opposing sides would cause the
complete annihilation of both the attacker and the defender.
o Became the dominant strategic reality between the US and USSR during the
Cold War once both sides achieved secure second-strike capabilities.
o Logic of MAD: If both sides know that any nuclear attack will inevitably lead
to their own destruction, neither side will initiate such an attack. It creates
a "balance of terror."
o Requirements for MAD:

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1. Both sides must possess survivable second-strike capabilities (e.g., through dispersed
ICBMs, nuclear submarines, strategic bombers).
2. Leaders on both sides must be rational and value the survival of their society.
3. Reliable command and control systems to prevent accidental or unauthorized launch.
4. Inability of either side to achieve a disarming first strike or effective defense against
a nuclear attack (hence the significance of the ABM Treaty).
o Criticisms/Paradoxes of MAD:
▪ "Madness" of relying on the threat of mutual annihilation for security.
▪ Risk of accidental war, miscalculation, or escalation from
conventional conflict.
▪ Moral implications of targeting civilian populations.
▪ Credibility of threatening nuclear retaliation for lesser (non-nuclear)
provocations.
▪ Assumes rationality of leaders, which may not always hold.

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UNIT 4: Emerging Trends in International

Relations
1. Decolonization and the Emergence of the Third World: Impact on the International
System
A. Decolonization
• Definition: The process by which colonies gain their political independence from
colonial powers. It involves the dismantling of colonial empires and the
establishment of sovereign nation-states.
• Historical Context:
o While some decolonization occurred earlier (e.g., Americas), the main wave
took place after World War II (roughly 1945-1970s).
o Factors Driving Decolonization:
1. Weakening of Colonial Powers: WWII exhausted European colonial
powers (UK, France, Netherlands, etc.) economically and militarily.
2. Rise of Nationalist Movements: Strong and organized independence
movements emerged in colonies, often led by Western-educated elites
inspired by ideals of self-determination.
3. Changing International Norms: The Atlantic Charter (1941) and the
UN Charter (1945) promoted self-determination. The UN became a
platform for anti-colonial advocacy.
4. Shifting Ideologies: Decline in the belief in racial superiority and the
"white man's burden" that underpinned colonialism.
5. Superpower Rivalry (Cold War): Both the US and USSR, for different
reasons, were often critical of European colonialism, sometimes
supporting anti-colonial movements to gain influence.
• Phases of Decolonization:
o Asia: India and Pakistan (1947), Indonesia (1949), Indochina (Vietnam, Laos,
Cambodia - leading to wars).
o Africa: "Year of Africa" (1960) saw many French colonies gain independence.
British colonies followed (Ghana 1957, Nigeria 1960, Kenya 1963). Protracted
struggles in settler colonies (Algeria, Rhodesia/Zimbabwe, South Africa).
o Caribbean and Pacific Islands: Gained independence later, often in the 1960s
and 1970s.
B. Emergence of the Third World
• Definition: A term coined during the Cold War (by French demographer Alfred Sauvy
in 1952) to describe countries that were not aligned with either the Western bloc
(First World - capitalist democracies) or the Eastern bloc (Second World - communist
states).

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• Characteristics of Third World Countries:

1. Shared Colonial Past: Most were former colonies.
2. Developing Economies: Generally characterized by poverty,
underdevelopment, dependence on primary commodity exports, and
aspirations for economic modernization.
3. Non-Alignment: A desire to pursue an independent foreign policy, often
formally through the Non-Aligned Movement (NAM).
4. Political Diversity: Included a wide range of political systems (democracies,
autocracies, monarchies).
5. Cultural Diversity: Enormous cultural, ethnic, and religious diversity.
• Evolution of the Term:
o Initially a political term related to Cold War alignment.
o Later, often used interchangeably with "developing countries," "Global South,"
or "Less Developed Countries (LDCs)."
o Some find the term outdated or pejorative today due to its hierarchical
implications and the vast differences among these countries.
C. Impact of Decolonization and the Emergence of the Third World on the International
System
1. Expansion of State Membership:
o Dramatic increase in the number of sovereign states in the international
system (UN membership grew from 51 in 1945 to over 190 today).
o Made the international system more diverse and complex.
2. Shift in Global Power Dynamics (to some extent):
o Weakened European powers.
o Created new arenas for Cold War competition as superpowers vied for
influence in newly independent states.
o Increased the numerical strength of developing countries in international
forums like the UN General Assembly.
3. Rise of New Agendas and Issues:
o Issues of economic development, poverty reduction, post-colonial
grievances, racial discrimination (apartheid), and North-South inequality
became central to international discourse.
o Demands for a New International Economic Order (NIEO).
4. Formation of New Alliances and Blocs:
o Non-Aligned Movement (NAM): Provided a collective voice for Third World
countries.

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o Group of 77 (G77): A coalition of developing nations in the UN, focused on

promoting their collective economic interests.
o Regional organizations in the developing world (e.g., OAU/AU, ASEAN).
5. Challenges to Existing Norms and Institutions:
o Newly independent states often questioned the legitimacy of international
laws and institutions created during the colonial era without their
participation.
o Advocated for reforms in the UN system and global economic governance.
6. Increased Instability and Conflict (in some regions):
o Arbitrary colonial borders often led to ethnic conflicts and border disputes in
newly independent states.
o Weak state capacity, internal power struggles, and Cold War proxy wars
contributed to instability.
7. Focus on Sovereignty and Non-Intervention:
o Having experienced colonial domination, newly independent states became
staunch defenders of national sovereignty and the principle of non-
intervention in internal affairs.

2. Neo-Colonialism: Meaning and Nature, Politics of Foreign Aid and Role of Multinational
Corporations
A. Neo-Colonialism
• Meaning:
o A term coined by Kwame Nkrumah (first President of Ghana) in his book Neo-
Colonialism, the Last Stage of Imperialism (1965).
o Refers to the indirect control and continued exploitation of developing
countries (former colonies) by developed countries (former colonial powers
and other major capitalist states) through economic, political, cultural, or
other means, despite formal political independence.
o It's a form of "imperialism without colonies."
• Nature of Neo-Colonialism:
1. Economic Dependence:
▪ Developing countries remain dependent on developed countries for
capital, technology, markets, and manufactured goods.
▪ Unequal terms of trade (primary commodities exported by developing
countries fetch low prices, while manufactured goods imported are
expensive).

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▪ Debt burden: Loans from international financial institutions (IFIs like

IMF, World Bank, often seen as controlled by Western powers) and
private banks can lead to debt traps and policy conditionalities.
2. Political Interference:
▪ Indirect influence on the political affairs of developing countries
through diplomatic pressure, support for favored regimes or elites,
covert operations, or intervention.
3. Cultural Domination (Cultural Imperialism):
▪ Spread of Western culture, values, media, and consumer patterns,
often at the expense of local cultures and traditions.
▪ Influence through education systems and language.
4. Technological Dependence:
▪ Reliance on technology imported from developed countries, which can
be expensive and tied to certain conditions.
5. Role of International Institutions:
▪ Critics argue that institutions like the IMF, World Bank, and WTO are
structured to serve the interests of powerful developed nations and
perpetuate neo-colonial relationships through policies like Structural
Adjustment Programs (SAPs).
B. Politics of Foreign Aid
• Definition of Foreign Aid: Transfer of resources (financial, technical, material) from
one country (donor) to another (recipient), or through multilateral institutions.
• Motivations for Giving Aid (often mixed):
1. Humanitarian Concerns: Alleviating poverty, responding to disasters.
2. Political/Strategic Interests:
▪ Strengthening alliances, gaining political influence.
▪ Supporting friendly regimes, countering rivals (e.g., Cold War aid).
▪ Promoting stability in strategically important regions.
3. Economic Interests:
▪ Promoting exports from the donor country (tied aid).
▪ Securing access to resources or markets.
▪ Creating long-term economic dependencies.
4. Moral/Ethical Obligations: Sense of responsibility to help less fortunate
nations.
5. Soft Power: Enhancing the donor country's image and influence.
• Politics of Foreign Aid (How it can be a tool of Neo-Colonialism):

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1. Conditionalities: Aid is often tied to specific economic or political conditions

(e.g., trade liberalization, privatization, democratic reforms) imposed by
donors, which can infringe on the recipient's sovereignty and reflect donor
interests.
2. Tied Aid: Recipient countries are required to spend the aid money on goods
and services from the donor country, reducing its effectiveness and benefiting
donor economies.
3. Debt Trap: Loans (even concessional ones) can lead to unsustainable debt
burdens, forcing countries to accept further conditionalities or cede control
over economic policies.
4. Fostering Dependence: Aid can create a culture of dependence rather than
promoting self-reliance.
5. Supporting Elites: Aid can sometimes prop up corrupt or unrepresentative
regimes that serve the interests of donors rather than their own people.
6. Uneven Distribution: Aid may not always reach the poorest or those most in
need, often influenced by political considerations.
C. Role of Multinational Corporations (MNCs / Transnational Corporations - TNCs)
• Definition: Large business enterprises that operate in multiple countries, with
headquarters in one (home) country and subsidiaries or operations in others (host
countries).
• Role in Neo-Colonialism (Critical Perspective):
1. Exploitation of Resources and Labor:
▪ Accused of extracting natural resources from developing countries at
low prices, with limited benefit to local communities.
▪ Exploiting cheap labor with poor working conditions and low wages.
2. Profit Repatriation: MNCs often repatriate profits to their home countries,
leading to a drain of capital from developing nations.
3. Market Domination and Stifling Local Industries: Powerful MNCs can
outcompete and stifle the growth of local industries in developing countries.
4. Political Influence (Lobbying and Interference):
▪ Can exert significant influence on host country governments through
lobbying, campaign contributions, or even bribery to secure favorable
policies (tax breaks, lax regulations).
▪ Sometimes accused of supporting coups or destabilizing governments
that threaten their interests (e.g., historical examples in Latin
America).
5. Transfer Pricing: Manipulating prices of goods and services traded between
subsidiaries to minimize tax liabilities in high-tax developing countries.
6. Cultural Impact: Promoting consumerism and Western lifestyles, potentially
eroding local cultures.

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7. Environmental Degradation: Sometimes accused of applying lower

environmental standards in developing countries.
• Potential Positive Contributions of MNCs (often highlighted by proponents):
o Capital investment, job creation, technology transfer, skills development,
infrastructure development, access to global markets.
o However, the extent and distribution of these benefits are often debated.

3. New International Economic Order (NIEO): Need, Nature and Challenges

A. Introduction: The New International Economic Order (NIEO) was a set of proposals put
forth during the 1970s by developing countries (often referred to as the "Global South" or
"Third World") through the United Nations Conference on Trade and Development (UNCTAD)
and the Non-Aligned Movement (NAM). It aimed to revise the international economic system
in favour of developing nations.
B. Need for NIEO (Why it was demanded):
1. Historical Injustice & Colonial Legacy:
o Newly independent nations argued that the existing economic order was a
relic of colonialism, designed to benefit former colonial powers.
o They sought reparations or at least a restructuring to compensate for
centuries of exploitation and resource drain.
2. Dependency Theory:
o Influential school of thought (e.g., Raul Prebisch, Andre Gunder Frank)
arguing that developing countries were locked in a dependent relationship
with developed countries ("core" vs. "periphery").
o The structure of global trade perpetuated this dependency, with developing
countries exporting cheap raw materials and importing expensive
manufactured goods.
3. Unfavourable Terms of Trade:
o Prices of primary commodities (exported by developing countries) were
volatile and often declined relative to the prices of manufactured goods
(exported by developed countries).
o This led to a continuous transfer of wealth from South to North.
4. Inequitable Bretton Woods System:
o Institutions like the IMF and World Bank were perceived as being dominated
by developed Western nations, with voting structures and policies that
favoured their interests.
o Developing countries had little say in global economic decision-making.
5. Limited Access to Technology & Capital:

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o Developing countries faced significant barriers in acquiring modern

technology and accessing affordable capital for development.
o Multinational Corporations (MNCs) often controlled technology and engaged
in practices seen as exploitative.
6. Widening North-South Gap:
o The economic disparity between rich (North) and poor (South) nations was
growing, leading to frustration and calls for systemic change.
7. Success of OPEC (1973 Oil Crisis):
o The Organization of Petroleum Exporting Countries (OPEC) successfully used
oil as an economic weapon, demonstrating the potential collective bargaining
power of commodity producers. This emboldened other developing countries.
C. Nature of NIEO (Core Demands & Principles):
The NIEO was formally articulated in the "Declaration for the Establishment of a New
International Economic Order" and the "Programme of Action," adopted by the UN General
Assembly in 1974 (Sixth Special Session). Key demands included:
1. Sovereignty over Natural Resources:
o The right of states to exercise full permanent sovereignty over their natural
resources and all economic activities, including the right to nationalize
foreign property.
2. Fair and Equitable Trade:
o Improved terms of trade for primary commodities.
o Indexation of prices: linking prices of raw materials to prices of manufactured
goods.
o Preferential and non-reciprocal treatment for developing countries' exports
in developed country markets (e.g., Generalised System of Preferences -
GSP).
3. Regulation of Multinational Corporations (MNCs):
o Establishment of a code of conduct for MNCs to ensure their activities aligned
with the development objectives of host countries.
4. Technology Transfer:
o Facilitating the transfer of technology to developing countries on favourable
terms.
5. Reform of International Financial Institutions:
o Increased participation and decision-making power for developing countries
in the IMF and World Bank.
o More development-oriented lending policies.
6. Increased Development Assistance:

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o Developed countries to meet the UN target of providing 0.7% of their GNP as

Official Development Assistance (ODA).
o Debt relief for developing countries.
7. Right to Development: Recognized as an inalienable human right.
8. Promotion of South-South Cooperation: Encouraging economic collaboration among
developing countries.
D. Challenges to and Decline of NIEO:
1. Resistance from Developed Countries (North):
o Major industrialized nations, particularly the US, UK, and West Germany,
were largely opposed to the radical restructuring implied by NIEO, seeing it
as a threat to their economic interests and free-market principles.
2. Lack of Unity among Developing Countries (South):
o The G-77 (group of developing countries) was diverse, with varying economic
interests and political alignments. OPEC nations, for example, had different
priorities than non-oil exporting developing countries.
3. Oil Crises & Economic Recession (1970s-1980s):
o While the 1973 oil crisis initially boosted NIEO's momentum, subsequent oil
shocks and global recession in the late 1970s and early 1980s shifted focus in
developed countries towards domestic economic problems.
4. Debt Crisis (Early 1980s):
o Many developing countries became heavily indebted, making them more
reliant on the IMF and World Bank, which imposed structural adjustment
programs (SAPs) often contrary to NIEO principles.
5. Rise of Neoliberalism (Washington Consensus):
o The ascent of leaders like Margaret Thatcher (UK) and Ronald Reagan (US)
promoted free-market ideologies, deregulation, privatization, and fiscal
austerity – directly opposing the statist and interventionist approach of NIEO.
6. End of the Cold War:
o The collapse of the Soviet Union reduced the geopolitical leverage of the
Non-Aligned Movement and some developing countries, as the bipolar rivalry
that allowed them some maneuvering space disappeared.
7. Practical Difficulties:
o Implementing complex proposals like price indexation proved technically
challenging and politically unfeasible.
E. Legacy and Relevance Today:
While NIEO as a comprehensive program largely failed to materialize, its spirit and some of
its demands continue to resonate:
• Discussions on fair trade, debt relief, reform of global financial institutions, and
sustainable development echo NIEO concerns.

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• South-South cooperation has gained significant traction (e.g., BRICS).

• The concept of the "Right to Development" remains important in human rights
discourse.
• Climate justice debates often draw parallels to the historical inequities NIEO sought
to address.

4. New Thrust on International Cooperation and Emergence of IGOS (Inter-Governmental

Organizations)
A. Introduction: New Thrust on International Cooperation
The post-Cold War era, and increasingly the 21st century, witnessed a "new thrust" on
international cooperation. This was driven by:
• Globalization: Increased interconnectedness in economic, social, and cultural
spheres.
• Transnational Challenges: Issues like climate change, terrorism, pandemics,
financial crises, and migration that transcend national borders and require collective
action.
• End of Cold War (initially): Opened space for broader cooperation, though new
geopolitical tensions have emerged.
• Rise of New Powers: Countries like China, India, Brazil, etc., seeking a greater role
in global governance.
• Increased awareness of interdependence.
B. Emergence and Role of Inter-Governmental Organizations (IGOs):
IGOs are formal organizations established by treaties between two or more sovereign states.
They serve as platforms for cooperation, norm-setting, dispute resolution, and collective
action.
• Purpose: Address shared problems, promote common interests (peace, security,
economic development, human rights, environmental protection, etc.).
• Functions: Information sharing, policy coordination, resource pooling, monitoring
compliance, operational activities (e.g., peacekeeping, development aid).
C. UN’s Changing Role:
1. Original Mandate (1945):
o Maintain international peace and security (primary).
o Develop friendly relations among nations.
o Achieve international cooperation in solving economic, social, cultural, or
humanitarian problems.
o Promote respect for human rights.
2. Cold War Era (1945-1991):
o Security Council Paralysis: Often stymied by US-Soviet vetoes.

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o Peacekeeping: Emerged as a key ad-hoc tool (e.g., Suez, Congo), often in

decolonization contexts or buffer zones.
o Decolonization: Played a significant role through the Trusteeship Council and
support for self-determination.
o Norm-Setting: Development of international law, human rights conventions.
o Forum for Dialogue: Provided a platform for North-South and East-West
dialogue.
3. Post-Cold War Era (1990s onwards):
o Expanded Peace Operations: More complex and ambitious mandates –
peacebuilding, state-building, humanitarian intervention ("Agenda for Peace"
by Boutros Boutros-Ghali). Examples: Somalia, Yugoslavia, Rwanda (with
mixed success and notable failures).
o Focus on Human Security: Broader understanding of security beyond state
security, including individual well-being.
o Counter-Terrorism: Increased role after 9/11 (e.g., UNSC Resolution 1373,
Counter-Terrorism Committee).
o Sustainable Development: Millennium Development Goals (MDGs) and
Sustainable Development Goals (SDGs) as frameworks for global development
efforts.
o Climate Change: UNFCCC and subsequent conferences (Kyoto, Paris) under
UN auspices.
o International Justice: Support for International Criminal Court (ICC) and ad-
hoc tribunals (ICTY, ICTR).
4. Contemporary Challenges & Transformations:
o Resurgence of Great Power Rivalry: New tensions (US-China, US/West-
Russia) impact Security Council effectiveness.
o Reform Demands: Ongoing calls for Security Council reform (membership,
veto power), General Assembly revitalization, and better funding.
o Funding Issues: Over-reliance on voluntary contributions for many agencies.
o Effectiveness and Legitimacy Questions: Criticisms regarding bureaucracy,
accountability, and impact in certain crises.
o Rise of Non-State Actors: Engaging with NGOs, civil society, private sector.
o Digital Cooperation: Addressing challenges and opportunities of the digital
age.
o Global Health Governance: Enhanced role, particularly evident with WHO
during pandemics like COVID-19, but also subject to scrutiny.
D. Regional Organizations:
Regional IGOs play a crucial role in addressing issues specific to a geographical area, often
complementing or sometimes challenging global IGOs.

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1. EU (European Union):
o Establishment: Evolved from European Coal and Steel Community (1951),
European Economic Community (EEC, Treaty of Rome 1957) to EU (Maastricht
Treaty 1992).
o Key Objectives: Economic integration (single market, Euro currency for many
members), political cooperation (Common Foreign and Security Policy -
CFSP), cooperation in justice and home affairs, promoting peace, EU values,
and citizens' well-being.
o Nature: Supranational elements (EU law primacy, European Parliament,
Commission, Court of Justice) mixed with intergovernmental decision-making
(Council of the EU).
o Achievements: Largest single market, long period of peace among members,
significant global trade actor, high living standards.
o Challenges: Brexit, democratic deficit concerns, migration crisis, economic
disparities, unanimity requirements in some areas, foreign policy coherence.
2. SAARC (South Asian Association for Regional Cooperation):
o Establishment: 1985, Dhaka. Members: Afghanistan, Bangladesh, Bhutan,
India, Maldives, Nepal, Pakistan, Sri Lanka.
o Key Objectives: Promote welfare, accelerate economic growth, social
progress, cultural development, strengthen collective self-reliance, promote
mutual trust and understanding.
o Nature: Strictly intergovernmental, decisions by unanimity, bilateral
contentious issues excluded from charter.
o Achievements: SAFTA (South Asian Free Trade Area), some cooperation in
specific sectors (agriculture, health, counter-terrorism).
o Challenges:
▪ India-Pakistan Conflict: Dominant and debilitating factor.
▪ Lack of trust among members.
▪ Asymmetry of power (India's dominance).
▪ Low intra-regional trade compared to potential.
▪ Slow implementation of agreements.
▪ Summit meetings often postponed.
▪ Rise of alternative groupings (e.g., BIMSTEC gaining prominence for
India).
3. OIC (Organisation of Islamic Cooperation):
o Establishment: 1969, Rabat, Morocco (after arson attack on Al-Aqsa Mosque).
Second largest IGO after UN.

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o Key Objectives: Safeguard and protect the interests of the Muslim world,
promote solidarity among member states, support Palestinian cause, combat
Islamophobia, enhance cooperation in economic, social, cultural, scientific
fields.
o Nature: Intergovernmental.
o Achievements: Provides a collective voice for Muslim countries,
humanitarian aid, cultural exchange, Islamic Development Bank.
o Challenges:
▪ Internal divisions (Sunni-Shia, political rivalries like Saudi Arabia-
Iran).
▪ Effectiveness in resolving conflicts involving member states.
▪ Varying levels of secularism and religious influence among members.
▪ Often criticized for not doing enough on human rights issues within
member states.
4. ASEAN (Association of Southeast Asian Nations):
o Establishment: 1967, Bangkok Declaration. Founding members: Indonesia,
Malaysia, Philippines, Singapore, Thailand. Now 10 members.
o Key Objectives: Accelerate economic growth, social progress, cultural
development; promote regional peace and stability based on rule of law and
UN Charter.
o Nature: "ASEAN Way" – emphasis on non-interference, consensus-building,
consultation, quiet diplomacy. Three pillars: ASEAN Political-Security
Community, ASEAN Economic Community (AEC), ASEAN Socio-Cultural
Community.
o Achievements: AEC, significant intra-ASEAN trade, maintained regional
peace for decades, central role in East Asian regional architecture (ASEAN+3,
East Asia Summit).
o Challenges:
▪ South China Sea disputes (differing approaches to China).
▪ Human rights issues (e.g., Myanmar).
▪ Consensus principle can slow decision-making.
▪ Economic disparities among members.
▪ Balancing relations with major powers (US, China).
5. BRICS (Brazil, Russia, India, China, South Africa; expanded in 2024):
o Establishment: Acronym coined in 2001 by Jim O'Neill (Goldman Sachs). First
summit 2009 (BRIC); South Africa joined 2010. Expanded in 2024 to include
Egypt, Ethiopia, Iran, Saudi Arabia, UAE.

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o Key Objectives: Reforming global governance institutions (IMF, WB) to reflect

growing weight of emerging economies, enhancing economic cooperation
among members, promoting peace, security, development, and cooperation.
o Nature: Intergovernmental forum, not a formal treaty-based organization
with a secretariat (though discussions on formalization exist). Operates
through annual summits.
o Achievements:
▪ New Development Bank (NDB): Headquartered in Shanghai, finances
infrastructure and sustainable development projects.
▪ Contingent Reserve Arrangement (CRA): Provides short-term
liquidity support.
▪ Coordination on G20 issues, climate change.
o Challenges:
▪ Internal diversity (economic models, political systems).
▪ Bilateral tensions (e.g., India-China).
▪ Dominance of China within the group.
▪ Defining a coherent geopolitical agenda beyond reforming existing
structures.
▪ Integrating new members and managing diverse interests.
6. SCO (Shanghai Cooperation Organisation):
o Establishment: 2001 (evolved from Shanghai Five – China, Russia,
Kazakhstan, Kyrgyzstan, Tajikistan, established 1996). Now includes India,
Pakistan, Iran (full members), and others as observers/dialogue partners.
o Key Objectives: Strengthening mutual trust and good-neighborliness;
promoting cooperation in politics, trade, economy, science, technology,
culture, education, energy, transport, tourism, environmental protection;
joint efforts to maintain regional peace, security, and stability; combating
"three evils" – terrorism, separatism, and extremism. RATS (Regional Anti-
Terrorist Structure) is a key component.
o Nature: Intergovernmental. Security-focused, but increasingly expanding
economic and cultural cooperation.
o Achievements: RATS, joint military exercises, some economic projects
(though security remains primary).
o Challenges:
▪ Balancing interests of major powers (China, Russia, India).
▪ Potential for it to be seen as an anti-Western bloc.
▪ Effectiveness in truly countering terrorism beyond declarations.
▪ India-Pakistan and India-China tensions within the group.

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7. OPEC (Organization of the Petroleum Exporting Countries):

o Establishment: 1960, Baghdad. Founding Members: Iran, Iraq, Kuwait, Saudi
Arabia, Venezuela.
o Key Objectives: Coordinate and unify petroleum policies of member
countries; ensure stabilization of oil markets to secure an efficient,
economic, and regular supply of petroleum to consumers, a steady income to
producers, and a fair return on capital for investors in the petroleum industry.
o Nature: Intergovernmental cartel that seeks to manage oil supply to
influence prices.
o Mechanisms: Sets production quotas for members.
o OPEC+: Since 2016, an expanded group including OPEC members and other
major non-OPEC oil exporters (like Russia) to coordinate production.
o Achievements: Significant influence on global oil prices, especially in 1970s.
o Challenges:
▪ Internal disagreements on production levels.
▪ Rise of non-OPEC producers (e.g., US shale oil).
▪ Pressure from consuming nations.
▪ Global shift towards renewable energy.
▪ Geopolitical tensions affecting member states.
8. African Union (AU):
o Establishment: 2002, Durban (succeeded the Organisation of African Unity -
OAU, est. 1963).
o Key Objectives: Achieve greater unity and solidarity between African
countries and peoples; defend sovereignty, territorial integrity, and
independence of members; accelerate political and socio-economic
integration; promote peace, security, and stability; promote democratic
principles, human rights, rule of law. Key framework: Agenda 2063 ("The
Africa We Want").
o Nature: Intergovernmental, with aspirations for deeper integration. Key
organs: Assembly, Executive Council, Pan-African Parliament, Court of
Justice, Peace and Security Council (PSC).
o Achievements:
▪ Peacekeeping and mediation efforts (e.g., AMISOM in Somalia).
▪ Norm-setting on democracy and governance (though enforcement is a
challenge).
▪ African Continental Free Trade Area (AfCFTA) – a flagship project.
▪ Developing common African positions on global issues.

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o Challenges:
▪ Funding dependency on external partners for many programs.
▪ Political instability, coups, and conflicts in member states.
▪ Implementation gap between decisions and actions.
▪ Overlapping memberships with Regional Economic Communities
(RECs).
▪ Ensuring effective functioning of its institutions.
▪ Addressing diverse economic and political interests of 55 member
states.

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GOVERNMENT AND POLITICS OF JAMMU AND

KASHMIR
UNIT 1: Historical and Constitutional Bases
1. Formation of National Conference (1938-39) and Adoption of the New Kashmir
Manifesto, Praja Parishad Movement
A. Formation of National Conference (NC):
1. Background:
o The early 20th century in Jammu & Kashmir (J&K) was marked by Dogra
autocratic rule, socio-economic backwardness, and limited political rights for
the majority Muslim population.
o The All Jammu and Kashmir Muslim Conference was formed in 1932 under
the leadership of Sheikh Mohammed Abdullah, primarily to advocate for the
rights of Muslims in the state.
o Influence of the Indian National Congress (INC) and growing secular, anti-
feudal sentiments.
2. Transformation to National Conference:
o Sheikh Abdullah and his close associates (e.g., Mirza Afzal Beg, Bakshi Ghulam
Mohammad, GM Sadiq) realized the need for a broader, secular platform to
unite all communities (Muslims, Hindus, Sikhs) against Dogra rule and for
responsible government.
o In June 1938, the working committee of the Muslim Conference, under
Sheikh Abdullah's influence, recommended changing its name and
constitution to allow non-Muslims to join.
o The resolution was formally adopted in June 1939 at a special session in
Srinagar, and the Muslim Conference was renamed the All Jammu and
Kashmir National Conference.
o Ideology: Secularism, democratic rights, responsible government, land
reforms, and socio-economic upliftment. Aligned closely with the INC's
nationalist and anti-colonial struggle.
B. Adoption of the "Naya Kashmir" (New Kashmir) Manifesto (1944):
1. Context: Adopted by the National Conference at its annual session in Sopore in 1944.
2. Nature and Content:
o A comprehensive socio-economic and political program for the future of J&K.
o Heavily influenced by socialist ideas and the Soviet model.
o Key Proposals:
▪ Abolition of landlordism ("Land to the Tiller").

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▪ Planned economy.
▪ Universal suffrage and a democratically elected legislature.
▪ Fundamental rights, including freedom of speech, press, and
association.
▪ Rights for women, including equal pay and political participation.
▪ Right to work, education, and social security.
▪ State control over key industries and resources.
o It had two parts:
▪ Constitutional framework for J&K.
▪ National Economic Plan.
3. Significance:
o Showcased the progressive and radical vision of the National Conference.
o Became the ideological cornerstone of the NC's struggle and post-accession
policies.
o Strengthened its popular base, especially among peasants and working
classes.
C. Praja Parishad Movement:
1. Formation and Base:
o Formed in 1947 in Jammu by Balraj Madhok (later prominent in Jana Sangh),
with Pandit Prem Nath Dogra becoming its most prominent leader.
o Primarily represented the interests of Jammu Hindus, particularly Dogras.
o Received support from right-wing Hindu nationalist groups in India, like the
Bharatiya Jana Sangh (later BJP) and RSS.
2. Ideology and Demands:
o Advocated for the full and unconditional integration of J&K with India.
o Strongly opposed the special status granted under Article 370 and the
leadership of Sheikh Abdullah.
o Slogan: "Ek Vidhan, Ek Nishan, Ek Pradhan" (One Constitution, One Flag, One
Premier/Head of State for the whole country, including J&K).
o Accused Sheikh Abdullah of harbouring secessionist ambitions and
discriminating against the Jammu region.
3. Key Agitations:
o Launched major agitations in the early 1950s (especially 1952-53) against
the policies of the Sheikh Abdullah government and the special status.
o Demanded abrogation of Article 370, application of the Indian Constitution in
entirety, and removal of customs barriers between J&K and the rest of India.

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o Dr. Syama Prasad Mookerjee, founder of the Jana Sangh, died in detention in
Srinagar in 1953 during this agitation, which further intensified the movement
and created a major political crisis.
4. Impact:
o Highlighted the regional and communal fault lines within J&K.
o Contributed to the growing rift between Sheikh Abdullah and the Central
Government in New Delhi.
o Kept the issue of J&K's "full integration" alive in Indian political discourse.

2. Accession of J&K to India: Terms, Conditions and Controversies

A. Context of Accession:
1. Indian Independence Act 1947: Provided for the partition of British India into India
and Pakistan. Princely states (around 565) were given the option to accede to either
India or Pakistan, or theoretically, remain independent (though the last was
discouraged by Lord Mountbatten).
2. Maharaja Hari Singh's Indecision: The ruler of J&K, Maharaja Hari Singh, initially
desired independence for his state. He offered a "Standstill Agreement" to both India
and Pakistan to maintain existing arrangements. Pakistan signed, India sought further
discussion.
3. Tribal Invasion (October 1947): Pathan tribesmen, supported and instigated by
Pakistan ("Operation Gulmarg"), invaded J&K from the North-West Frontier Province
on October 22, 1947, aiming to capture Srinagar and force accession to Pakistan.
They engaged in widespread looting and violence.
B. The Instrument of Accession (IoA):
1. Maharaja's Appeal: Facing the rapidly advancing invaders and the collapse of his
state forces, Maharaja Hari Singh appealed to India for military assistance.
2. India's Stance: India insisted on formal accession before sending troops, as
intervention in an independent state would be an act of aggression. V.P. Menon
(Secretary, Ministry of States) flew to Srinagar.
3. Signing of IoA: Maharaja Hari Singh signed the Instrument of Accession on October
26, 1947. Lord Mountbatten, as Governor-General of India, accepted it on October
27, 1947.
4. Terms of Accession (as per IoA):
o J&K acceded to the Dominion of India.
o The Indian Parliament would have power to make laws for J&K only on three
subjects: Defence, External Affairs, and Communications.
o For all other matters, the state legislature would retain residuary powers.

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o This was standard for all princely states initially, but for others, it was a
stepping stone to full integration. For J&K, this limited scope of federal
jurisdiction became a defining feature.
C. Conditions and Commitments (Often sources of controversy):
1. Mountbatten's Accompanying Letter: While accepting the IoA, Lord Mountbatten
wrote a separate letter to Maharaja Hari Singh on October 27, 1947, stating:
"...consistently with their policy that in the case of any State where the issue of
accession has been the subject of dispute, the question of accession should be
decided in accordance with the wishes of the people of the State, it is my
Government's wish that as soon as law and order have been restored in Kashmir and
her soil cleared of the invader, the question of the State's accession should be settled
by a reference to the people."
2. Nehru's Pledges: Prime Minister Jawaharlal Nehru repeatedly stated in Parliament
and international forums (including the UN) that the final decision on J&K's accession
would be made by its people through a plebiscite or referendum, once peace was
restored.
3. Support of Sheikh Abdullah: Sheikh Abdullah, the most popular leader in Kashmir,
supported accession to India over Pakistan, preferring India's secular democracy to
Pakistan's anocratic setup. His support was crucial for India.
D. Controversies:
1. Legality vs. Legitimacy:
o India's Stance: Accession was legally and constitutionally valid as per the
Indian Independence Act, signed by the legitimate ruler. The subsequent
ratification by the J&K Constituent Assembly further cemented this.
o Pakistan's Stance: Argued the accession was fraudulent, coerced, and against
the will of the Muslim-majority population. Claimed the Maharaja had no right
to sign after the popular revolt (in Poonch) and tribal invasion. Insisted on a
UN-supervised plebiscite.
2. The Plebiscite Issue:
o UN Security Council resolutions (e.g., Resolution 47 of 1948) called for a
plebiscite after Pakistan withdrew its troops and tribesmen, and India
reduced its forces to a minimum.
o Pakistan never fully withdrew, leading India to argue that the conditions for
a plebiscite were not met.
o India later contended that the J&K Constituent Assembly's ratification of
accession in 1954 and subsequent elections expressed the will of the people,
making a plebiscite unnecessary.
3. Timing of Indian Troop Deployment: Pakistan alleged Indian troops landed before
the IoA was signed; India maintained troops were sent only after the formal signing.
4. Standstill Agreement: Pakistan argued India violated the spirit of seeking further
discussion on the Standstill Agreement.

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3. Article 370 and 35A and Special Status for J&K

A. Article 370 of the Indian Constitution:
1. Origin and Purpose:
o Drafted as Article 306A, it became Article 370 in the final Constitution.
o A result of negotiations between the Indian leadership (Nehru, Patel,
Gopalaswami Ayyangar) and Sheikh Abdullah's J&K leadership.
o Designed to accommodate J&K's unique circumstances of accession and
preserve its autonomy within the Indian Union, as per the terms of the IoA.
o Titled: "Temporary provisions with respect to the State of Jammu and
Kashmir."
2. Key Provisions of Article 370 (prior to Aug 2019):
o Clause 1(b): Limited Parliament's power to make laws for J&K.
▪ For matters specified in the IoA (Defence, External Affairs,
Communications), Parliament could make laws after "consultation"
with the State Government.
▪ For other matters in the Union and Concurrent Lists, Parliament could
make laws only with the "concurrence" of the State Government. This
concurrence would then need to be ratified by the Constituent
Assembly of J&K.
o Clause 1(c): Articles 1 and 370 of the Indian Constitution applied to J&K
automatically.
o Clause 1(d): Other provisions of the Indian Constitution could be applied to
J&K by Presidential Order, with such "exceptions and modifications" as
specified by the President, and in consultation or with the concurrence of the
State Government (depending on the subject matter, similar to 1(b)).
o Clause 2: If concurrence was given by the State Government before the J&K
Constituent Assembly was convened, it had to be placed before such Assembly
for its decision.
o Clause 3: The President could, by public notification, declare that Article 370
shall cease to be operative or shall be operative only with specified
exceptions and modifications. Crucially, this required the "recommendation
of the Constituent Assembly of the State."
3. Special Status Conferred:
o J&K was allowed to have its own Constitution (adopted 1956, came into force
Jan 26, 1957).
o J&K had its own flag and penal code (Ranbir Penal Code).
o Residuary legislative powers rested with the State Legislature, not Parliament
(unlike other states).

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o Certain provisions of the Indian Constitution were applied in a modified form

or not at all.
o Emergency provisions: Internal disturbance couldn't be a ground for
proclaiming national emergency without state concurrence (unless it was due
to war or external aggression). Financial emergency provisions didn't apply.
B. Article 35A:
1. Origin:
o Not part of the original Constitution. It was added via a Presidential Order,
"The Constitution (Application to Jammu and Kashmir) Order, 1954,"
issued by President Rajendra Prasad on the advice of Nehru's cabinet.
o This order was issued under Article 370(1)(d) of the Constitution, based on
the recommendation of the J&K Constituent Assembly.
2. Purpose and Provisions:
o Empowered the J&K State Legislature to define "Permanent Residents" of the
state.
o Allowed the State Legislature to confer special rights and privileges upon
these Permanent Residents, and impose restrictions on others, with respect
to:
▪ Employment under the State Government.
▪ Acquisition of immovable property in the State.
▪ Settlement in the State.
▪ Right to scholarships and such other forms of aid as the State
Government may provide.
o It also protected such laws from being challenged on the ground that they
were inconsistent with fundamental rights provided to other Indian citizens
(e.g., equality, freedom of movement/residence).
3. Rationale:
o Stemmed from the Maharaja's pre-1947 State Subject laws (1927 and 1932)
designed to protect the interests of local inhabitants against outsiders.
o Intended to preserve the distinct identity and rights of the people of J&K.
4. Controversies surrounding Article 35A:
o Mode of Introduction: Criticized for being introduced via a Presidential Order
rather than a constitutional amendment passed by Parliament under Article
368, thus bypassing parliamentary scrutiny.
o Discrimination: Accused of being discriminatory on grounds of gender (e.g.,
J&K women marrying non-Permanent Residents could lose property rights,
though a J&K HC ruling in 2002 partially addressed this for the woman herself,
but not her children). Also discriminatory against other Indian citizens.

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o Economic Impact: Argued to have hindered private investment and economic

development in J&K due to restrictions on property ownership by outsiders.
o Legal Challenges: Petitions were filed in the Supreme Court challenging its
constitutionality.

4. Abrogation of Article 370 and Its Implications

A. The Abrogation Process (August 5-6, 2019):
1. Presidential Order C.O. 272 (The Constitution (Application to Jammu and
Kashmir) Order, 2019):
o Issued on August 5, 2019, by President Ram Nath Kovind.
o This order, using powers under Article 370(1), superseded the 1954
Presidential Order.
o It stated that all provisions of the Indian Constitution would now apply to
J&K.
o Crucially, it amended Article 367 (Interpretation clause) of the Indian
Constitution in its application to J&K. It added a new clause (4) stipulating
that:
▪ References to "Sadar-i-Riyasat" of J&K shall be construed as references
to the Governor of J&K.
▪ References to the "Government of the said State" shall be construed
as including references to the Governor of J&K acting on the advice
of his Council of Ministers.
▪ Most importantly: The expression "Constituent Assembly of the State"
referred to in Article 370(3) shall be read as "Legislative Assembly of
the State."
2. Statutory Resolution in Parliament:
o Since J&K was under President's Rule (State Legislative Assembly
dissolved/suspended), the powers of the State Legislative Assembly were
vested in the Indian Parliament.
o Home Minister Amit Shah moved a resolution in Rajya Sabha (August 5) and
Lok Sabha (August 6) recommending that the President issue an order under
Article 370(3) making all clauses of Article 370 inoperative except clause (1),
which would be modified to state that all provisions of the Indian Constitution
apply to J&K.
3. Presidential Order C.O. 273 (Declaration under Article 370(3) of the
Constitution):
o Following the parliamentary resolution (acting as the "recommendation of the
Legislative Assembly"), the President issued this notification on August 6,
2019.

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o It declared that from August 6, 2019, all clauses of Article 370 shall cease to
be operative except for the following, which shall read: "All provisions of this
Constitution, as amended from time to time, without any modifications or
exceptions, shall apply to the State of Jammu and Kashmir notwithstanding
anything contrary contained in article 152 or article 308 or any other article
of this Constitution or any other provision of the Constitution of Jammu and
Kashmir or any law, document, judgement, ordinance, order, by-law, rule,
regulation, notification, custom or usage having the force of law in the
territory of India, or any other instrument, treaty or agreement as envisaged
under article 363 or otherwise."
o Effectively, this rendered Article 370 a dead letter, and by extension, Article
35A (which derived its existence from the 1954 order under Art 370) also
became void.
B. Stated Rationale by the Government:
• Full integration of J&K with India.
• Ending separatism, terrorism, and corruption.
• Bringing economic development and investment.
• Ensuring application of all rights and laws enjoyed by other Indian citizens to J&K
residents.
• Removing discriminatory provisions (like those under 35A affecting women and
certain communities like West Pakistan Refugees, Valmikis, Gorkhas).
C. Implications:
1. Constitutional & Legal:
o End of J&K's separate Constitution and Ranbir Penal Code (RPC); Indian Penal
Code (IPC) and Indian Constitution now fully applicable.
o End of dual citizenship.
o The term "Permanent Resident" became legally defunct; Article 35A ceased
to exist.
o Central laws became automatically applicable.
2. Political:
o Massive political outcry in Kashmir Valley; detention of mainstream political
leaders (including former CMs).
o Communications blackout (internet, phone lines) and security clampdown.
o Shift in the political landscape of J&K.
3. Socio-Economic:
o Potential for non-locals (now defined by new domicile rules) to buy land and
get government jobs, raising fears of demographic change in the Valley.
o Government claims of increased investment and development (long-term
impact yet to be fully seen).

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4. Security:
o Government claimed it would reduce terrorism; situation remains complex.
o Increased security presence.
5. International:
o Strong reactions from Pakistan, which raised the issue at various international
forums.
o Concerns expressed by China (especially regarding Ladakh).
o Most countries viewed it as India's internal matter but called for restraint and
upholding human rights.
6. Supreme Court's Verdict (December 2023):
o The Supreme Court upheld the abrogation of Article 370 as constitutionally
valid.
o It stated that Article 370 was a temporary provision.
o It did not rule on the validity of the J&K Reorganisation Act 2019 (bifurcation)
as it was not directly challenged on that ground in the primary pleas.
o Directed the Election Commission to hold elections to the J&K Legislative
Assembly by September 30, 2024, and called for restoration of statehood "at
the earliest."

5. J&K Reorganization Act 2019: Internal & External Dynamics, Domicility

A. Jammu and Kashmir Reorganisation Act, 2019:
• Passed by Parliament on August 5-6, 2019, alongside the abrogation resolutions.
Came into effect on October 31, 2019 (birth anniversary of Sardar Patel).
1. Key Provisions:
o Bifurcation of the State: The State of Jammu and Kashmir was reorganized
into two Union Territories (UTs):
▪ UT of Jammu and Kashmir: With a Legislative Assembly (like
Puducherry/Delhi). Seats: 107, to be increased to 114 after
delimitation. 24 seats remain reserved for areas under Pakistan's
occupation (PoJK).
▪ UT of Ladakh: Without a Legislative Assembly (directly administered
by the Centre, like Chandigarh). Comprises Kargil and Leh districts.
o Lieutenant Governor (LG): Both UTs to be headed by LGs appointed by the
President.
o Legislative Assembly for UT of J&K: Will have a term of 5 years (previously
6). LG has significant powers, including over police and public order. Council
of Ministers to aid and advise LG, but LG's decision final in case of difference.

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o Representation in Parliament: UT of J&K allocated 5 Lok Sabha seats, UT of

Ladakh 1 seat. Existing Rajya Sabha seats for J&K (4) continue for UT of J&K.
o High Court: Common High Court for both UTs.
o Application of Central Laws: Around 106 central laws made applicable to the
UTs; many state laws repealed or amended.
o Delimitation: Delimitation of Assembly and Parliamentary constituencies in
UT of J&K based on the 2011 census. The Delimitation Commission submitted
its report in May 2022, increasing assembly seats from 83 to 90 (Jammu region
from 37 to 43, Kashmir region from 46 to 47). Also reserved 9 seats for STs
and 7 for SCs.
B. Internal Dynamics:
1. Varied Reactions:
o Kashmir Valley: Largely met with anger, resentment, and a sense of betrayal
and disempowerment. Concerns over loss of identity, land, jobs, and political
voice.
o Jammu Region: Mixed reactions. Some sections (especially BJP supporters)
welcomed the move, hoping for better development and an end to perceived
Kashmiri dominance. Others expressed concerns about loss of statehood and
protections for land/jobs.
o Ladakh Region: Celebrations, particularly in Leh (Buddhist majority), as UT
status was a long-standing demand. Kargil (Muslim majority) had mixed
feelings, with some preferring to remain with Kashmir or wanting a UT with
a legislature.
2. Political Impact:
o Mainstream political parties (NC, PDP, etc.) initially boycotted some political
processes.
o Emergence of new political outfits like the J&K Apni Party.
o Gupkar Alliance (PAGD) formed by major Kashmiri parties to fight for
restoration of Article 370 and statehood.
o Local body elections (DDC elections in 2020) saw participation, with PAGD
emerging as the largest bloc.
3. Socio-Economic Concerns:
o Anxiety about demographic change due to new domicile rules.
o Impact on local businesses and employment.
o Government focus on new development projects and attracting investment.
4. Security Situation: Continued presence of security forces. While the government
claims a reduction in stone-pelting and large-scale protests, targeted killings of
civilians and security personnel have occurred.
C. External Dynamics:

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1. Pakistan:
o Strongly condemned the abrogation and reorganization as a violation of
international law, UN resolutions, and bilateral agreements (Simla
Agreement).
o Downgraded diplomatic ties with India, suspended bilateral trade.
o Actively tried to internationalize the issue at the UN, OIC, and other forums,
but received limited traction beyond statements of concern from some.
2. China:
o Objected to the formation of the UT of Ladakh, claiming it involved Chinese
territory (Aksai Chin).
o Stated that India's move unilaterally changed the status quo and undermined
China's territorial sovereignty.
o The move is seen by some analysts as one of the factors contributing to
increased Sino-Indian border tensions from 2020 onwards.
3. United Nations & Other Countries:
o UN Secretary-General called for restraint and urged parties to refrain from
steps that could affect J&K's status.
o Some informal UNSC discussions were held at Pakistan's and China's behest,
but no formal statement or resolution emerged.
o Most Western countries acknowledged India's position that it was an internal
matter but expressed concerns about human rights, detentions, and
communication restrictions, urging a return to normalcy and dialogue.
o Islamic countries (OIC) expressed concern but were largely measured in their
official responses, reflecting complex geopolitical and economic ties with
India.
D. Domicility (Domicile Rules):
1. Introduction: Following the abrogation, the Union Ministry of Home Affairs issued
the Jammu and Kashmir Reorganisation (Adaptation of State Laws) Order, 2020
in March, and the Jammu and Kashmir Grant of Domicile Certificate (Procedure)
Rules, 2020 in May 2020.
2. Definition of Domicile: An individual can be granted a domicile certificate if they
satisfy any of the following conditions:
o Has resided in J&K for 15 years, or has studied for 7 years and appeared in
Class 10th/12th examination in an educational institution located in J&K.
o Is registered as a migrant by the Relief and Rehabilitation Commissioner
(Migrants) in J&K.
o Is a child of Central Government officials, All India Services officers, officials
of PSUs and autonomous bodies of Central Government, public sector banks,
officials of statutory bodies, Central Universities, and recognized research

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institutes of Central Government who have served in J&K for a total period
of 10 years.
o Is a child of such residents of J&K who reside outside J&K in connection with
their employment or business or other professional or vocational reasons, but
their parents fulfill any of the conditions provided above.
o Children of those who fulfill the 15-year residency criteria.
3. Implications of Domicile Status:
o Essential for appointment to any government post in the UT of J&K.
o Likely to become a prerequisite for land purchase and other benefits
previously reserved for "Permanent Residents."
4. Controversies and Concerns:
o Fears of Demographic Change: Many in the Kashmir Valley and parts of
Jammu fear that these rules will lead to a significant influx of outsiders,
altering the demographic composition and cultural identity of the region,
particularly the Valley.
o Dilution of Protections: Seen as diluting the protections previously available
to locals regarding land and jobs.
o Ease of Acquisition: Critics argue that the criteria are too broad and make it
relatively easy for non-locals who have served or studied in J&K to acquire
domicile.
o The rules have been challenged, but the policy remains in place.

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UNIT 2: Political Structures

1. Centre-State Relations: Delhi Agreement (1952), Indira-Sheikh Accord (1975), and
Rajiv-Farooq Accord (1986)
These agreements are crucial milestones in defining the evolving relationship between the
Union Government (Centre) and the State of Jammu & Kashmir, particularly within the
framework of Article 370 (prior to its 2019 modification).
A. Delhi Agreement (1952):
1. Background:
o Negotiated between Prime Minister Jawaharlal Nehru and Sheikh Mohammed
Abdullah (then Prime Minister of J&K).
o Aimed to clarify the extent of Union jurisdiction and the nature of J&K's
autonomy following the accession and the initial application of the Indian
Constitution.
o J&K Constituent Assembly was in the process of drafting the state's
constitution.
2. Key Provisions/Understandings:
o Residuary Powers: Confirmed that residuary powers of legislation would
remain with the State of J&K (unlike other states where they vest with
Parliament).
o Indian Citizenship: Persons domiciled in J&K would be Indian citizens, but
the State Legislature would have the power to define and regulate the rights
and privileges of "Permanent Residents" regarding acquisition of property,
settlement, and employment (this understanding later paved the way for
Article 35A).
o Fundamental Rights: Fundamental Rights from the Indian Constitution would
apply to J&K, but the State Legislature could make laws concerning
Permanent Residents without these laws being challenged as discriminatory.
It was also agreed that the State Legislature could legislate on land reforms
without compensation.
o Supreme Court Jurisdiction: The Supreme Court of India would have original
jurisdiction in respect of disputes mentioned in Article 131 of the Indian
Constitution. Its appellate jurisdiction would also extend to J&K.
o National Flag: The State would have its own flag, but the National Flag of
India would have a supremely distinctive place in the State.
o Head of State: The Head of State (Sadar-i-Riyasat) would be elected by the
State Legislature but would need recognition from the President of India. (Dr.
Karan Singh was the first Sadar-i-Riyasat).
o Emergency Powers: Article 352 (National Emergency) could be applied by the
President to J&K, but only at the request or with the concurrence of the State
Government if the emergency was due to internal disturbance (not external
aggression).

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o Financial Integration: Discussions on financial integration were to continue.

3. Significance:
o Reaffirmed J&K's special position and autonomy within the Indian Union.
o Provided a framework for the J&K Constituent Assembly to draft its
constitution.
o However, many of its provisions were subsequently diluted or altered through
Presidential Orders, leading to mistrust.
B. Indira-Sheikh Accord (1975) / Kashmir Accord:
1. Background:
o Sheikh Abdullah had been dismissed and arrested in 1953, and J&K politics
was dominated by leaders more amenable to New Delhi (Bakshi Ghulam
Mohammad, GM Sadiq).
o The Plebiscite Front, led by Mirza Afzal Beg (on behalf of Sheikh Abdullah),
continued to demand self-determination.
o After the 1971 Indo-Pak war and the creation of Bangladesh, the geopolitical
situation changed, and Sheikh Abdullah showed willingness to negotiate
within the Indian framework.
o Prolonged negotiations between G. Parthasarathy (representing Indira
Gandhi) and Mirza Afzal Beg.
2. Key Provisions/Understandings (Announced February 24, 1975):
o Article 370: The relationship of J&K with the Union would continue to be
governed by Article 370.
o Residuary Powers: Residuary powers of legislation would remain with the
State.
o Review of Central Laws: Parliament would continue to have power to make
laws on matters in the Union List relating to prevention of activities directed
towards disclaiming, questioning or disrupting the sovereignty and territorial
integrity of India or bringing about secession. However, provisions of the
Constitution of India already applied to J&K without adaptation or
modification were deemed to be "unalterable." Regarding laws extended
after 1953 (covering subjects in the Concurrent List), the State Government
could review them and decide which of them might need amendment or
repeal.
o Nomenclature: The State Legislature could make recommendations for
changes in the nomenclature of Governor (from Sadar-i-Riyasat) and Chief
Minister (from Prime Minister), which had already been done via the J&K
Constitution (Sixth Amendment) Act, 1965.
o Sheikh Abdullah agreed to give up the demand for a plebiscite and accepted
J&K's accession to India as final.
3. Significance:

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o Marked Sheikh Abdullah's return to mainstream J&K politics (he became Chief
Minister again).
o Seemingly settled the "accession question" from Sheikh Abdullah's side.
o However, critics (including some within Abdullah's camp and hardliners) felt
it didn't fully restore the pre-1953 autonomy and legitimized the erosion that
had occurred.
o The provision for reviewing central laws extended after 1953 was never
seriously implemented.
C. Rajiv-Farooq Accord (1986):
1. Background:
o After Sheikh Abdullah's death in 1982, his son Farooq Abdullah became Chief
Minister.
o His government was controversially dismissed in 1984 by Governor Jagmohan,
with support from the Centre, leading to the installation of a defectors'
government led by G.M. Shah. This caused widespread resentment in Kashmir.
o The political situation was volatile, and militancy was beginning to take root.
2. The Accord (November 1986):
o An agreement between Prime Minister Rajiv Gandhi (Congress) and Farooq
Abdullah (National Conference).
o Key Outcomes:
▪ The G.M. Shah government was dismissed.
▪ The National Conference and Congress agreed to form a coalition
government with Farooq Abdullah as Chief Minister.
▪ They decided to contest the 1987 assembly elections together.
3. Significance and Consequences:
o Short-term: Restored Farooq Abdullah to power and ostensibly aimed to bring
political stability.
o Long-term (Negative):
▪ The 1987 Assembly elections, fought by the NC-Congress alliance,
were widely perceived as massively rigged to ensure their victory
against the rising Muslim United Front (MUF).
▪ This perceived electoral malpractice led to a profound loss of faith in
the democratic process among many Kashmiri youth.
▪ It is widely considered a key trigger for the full-blown armed
insurgency that erupted in J&K from 1989 onwards.
▪ The Accord, therefore, while intended to stabilize Centre-State
relations and J&K politics, paradoxically contributed to one of its most
turbulent phases.

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2. Presidential Orders of 1954, 1958, and 1965

These Presidential Orders, issued under Article 370(1)(d), progressively extended various
provisions of the Indian Constitution to J&K, often modifying or "eroding" the autonomy
originally envisaged.
A. The Constitution (Application to Jammu and Kashmir) Order, 1954 (C.O. 48):
• Date: May 14, 1954.
• Context: Issued on the recommendation of the J&K Constituent Assembly, following
the Delhi Agreement of 1952. Sheikh Abdullah had been dismissed and arrested in
1953.
• Key Provisions Extended/Modified:
o Citizenship: Made provisions of Part II of the Indian Constitution (Citizenship)
applicable.
o Fundamental Rights: Part III (Fundamental Rights) applied with certain
modifications. For example, for a period, preventive detention laws in J&K
were not subject to the same limitations as in the rest of India. The right to
property was also treated differently regarding land reforms.
o Directive Principles: Part IV (Directive Principles of State Policy) were not
made applicable (as J&K had its own vision in the Naya Kashmir manifesto).
o Union Executive: Jurisdiction of the President and Parliament expanded.
o Supreme Court: Jurisdiction extended as per the Delhi Agreement.
o Legislative Relations: Parliament given power to legislate on matters in the
Union List corresponding to the three subjects of the IoA (Defence, External
Affairs, Communications) and matters agreed in the Delhi Agreement.
o Article 35A Introduced: This order inserted Article 35A into the Constitution
in its application to J&K, empowering the State Legislature to define
"Permanent Residents" and confer special rights upon them (as discussed in
the previous section).
o Emergency Provisions: Provisions regarding financial emergency (Art 360)
were not applied. National emergency on grounds of internal disturbance
required state concurrence.
• Significance: This was the foundational order that detailed the application of the
Indian Constitution to J&K. While based on Constituent Assembly recommendation,
it also marked the beginning of extending central powers beyond the initial IoA
terms. The introduction of Article 35A was a major outcome.
B. The Constitution (Application to Jammu and Kashmir) Amendment Order, 1958 (C.O.
56):
• Context: Further integration efforts under the Bakshi Ghulam Mohammad
government.
• Key Provisions Extended/Modified:

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o All India Services: Provisions for IAS and IPS were extended to J&K, enabling
central cadres to serve in the state.
o Comptroller and Auditor General (CAG): Jurisdiction of CAG extended to
audit J&K government accounts.
o Census: Central government was empowered to conduct the census in J&K.
o Certain Union List Entries: More entries from the Union List were made
applicable to J&K with the "concurrence" of the State Government.
• Significance: Furthered the process of financial and administrative integration of
J&K with the Union, reducing the scope of state autonomy in these areas.
C. The Constitution (Application to Jammu and Kashmir) Amendment Order, 1965 (C.O.
74):
• Context: Under the G.M. Sadiq government, which was seen as more pro-integration.
This period saw significant changes.
• Key Provisions Extended/Modified (via this and other orders around this time):
o Nomenclature Change: Through amendments to the J&K Constitution (Sixth
Amendment Act, 1965), facilitated by enabling Presidential Orders, the
"Sadar-i-Riyasat" was replaced by "Governor" (appointed by President) and
"Prime Minister" by "Chief Minister." This was a major symbolic and substantive
shift towards aligning J&K's political structure with other Indian states.
o Direct Elections for Lok Sabha: Provisions for direct election to Lok Sabha
seats from J&K (previously representatives were nominated by the State
Legislature).
o Extension of Articles 356 and 357: Provisions related to President's Rule in
case of failure of constitutional machinery in the state were made applicable
to J&K. This was a very significant extension of Central power.
o Labour Legislation & Social Welfare: Many central laws related to labour
welfare, social security, and trade unions were extended.
• Significance: Marked a substantial dilution of Article 370's original spirit. The
changes in nomenclature and the application of Articles 356 & 357 deeply impacted
the Centre-State power balance in J&K, making it more susceptible to central
intervention.
Overall Impact of Presidential Orders (Pre-2019):
Successive Presidential Orders (over 40 of them) gradually extended most of the Indian
Constitution and central laws to J&K. While done under the procedural cover of
"concurrence" of the State Government (often compliant governments), this process was
seen by many in Kashmir as an erosion of the promised autonomy and a breach of faith,
contributing to alienation.

3. Government Structures: Legislature, Executive and Judiciary (Pre-2019, and as

envisaged for UT of J&K)
A. Pre-2019 (Under J&K Constitution and Article 370):

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1. Legislature (Bicameral):
o Legislative Assembly (Lower House):
▪ Directly elected by the people.
▪ Term: 6 years (unlike 5 years in other Indian states).
▪ Strength: 111 members (87 elected from J&K territory, 24 reserved
for PoJK). Further included 2 nominated women members if
representation was inadequate.
o Legislative Council (Upper House):
▪ Strength: 36 members.
▪ Elected indirectly by various constituencies (Assembly members, local
bodies, teachers, graduates) and some nominated by the Governor.
▪ A permanent body, one-third of members retiring every two years.
o Powers: Law-making on matters in the State List and Concurrent List (with
limitations imposed by extended central laws). Control over the executive.
Passed the state budget.
2. Executive:
o Governor:
▪ Constitutional head of state (post-1965, previously Sadar-i-Riyasat).
▪ Appointed by the President of India.
▪ Acted on the aid and advice of the Council of Ministers, but had
certain discretionary powers.
o Chief Minister and Council of Ministers:
▪ CM was the head of government, leader of the majority
party/coalition in the Legislative Assembly.
▪ Council of Ministers was collectively responsible to the Legislative
Assembly.
▪ Exercised real executive power.
3. Judiciary:
o High Court of Jammu and Kashmir:
▪ Highest judicial body in the state.
▪ Headed by a Chief Justice. Judges appointed by the President after
consultation.
▪ Had original, appellate, and writ jurisdiction.
o Subordinate Judiciary: District courts and other lower courts.
o Supreme Court of India: Had appellate jurisdiction over High Court decisions.

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B. Post-2019 (As per J&K Reorganisation Act, 2019 for UT of Jammu and Kashmir):
1. Legislature (Unicameral for UT of J&K):
o Legislative Assembly:
▪ Provision for a Legislative Assembly. (UT of Ladakh has no legislature).
▪ Term: 5 years.
▪ Strength: Initially 107 (increased to 114 after delimitation – 90
elected + 24 for PoJK). (Actual elected strength will be 90 from UT of
J&K).
▪ Includes reservation for SCs (7) and STs (9).
▪ LG can nominate two women members if representation is
inadequate.
o Legislative Council: Abolished.
o Powers: Can make laws on matters in the State List (except "Public Order"
and "Police," which are with the LG/Centre) and Concurrent List. Laws made
by Parliament will prevail in case of repugnancy.
2. Executive:
o Lieutenant Governor (LG):
▪ Appointed by the President of India.
▪ Head of the UT of J&K.
▪ Has more extensive powers compared to a Governor of a State,
particularly over Police, Public Order, and All India Services.
▪ Can act in his discretion on these matters.
▪ In case of difference of opinion with the Council of Ministers on any
matter, the LG shall refer it to the President for decision and act
accordingly. The LG can also issue interim directions.
o Chief Minister and Council of Ministers:
▪ CM to be appointed by the LG. Other ministers appointed by LG on
CM's advice.
▪ To aid and advise the LG in the exercise of functions, except those
where LG acts in discretion.
▪ Council of Ministers collectively responsible to the Legislative
Assembly.
3. Judiciary:
o High Court of Jammu and Kashmir and Ladakh:
▪ Continues as the common High Court for the UT of J&K and UT of
Ladakh.

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▪ Its powers and jurisdiction largely remain the same.

o Subordinate Judiciary: Continues as before.
o Supreme Court of India: Continues to have appellate jurisdiction.

4. Local Self Government (Pre and Post-2019)

A. Pre-2019:
1. Constitutional Status:
o The 73rd and 74th Constitutional Amendment Acts (1992) concerning
Panchayati Raj Institutions (PRIs) and Urban Local Bodies (ULBs) were not
directly applicable to J&K due to Article 370.
o J&K had its own Panchayati Raj Act (initially 1935, revised in 1951, 1958, and
significantly with the Jammu and Kashmir Panchayati Raj Act, 1989).
2. Structure under J&K Panchayati Raj Act, 1989:
o Envisaged a three-tier system:
▪ Halqa Panchayat: At the village level (a Halqa could consist of one or
more villages).
▪ Block Development Council (BDC): At the block level.
▪ District Planning and Development Board (DPDB): At the district
level. (Though the 1989 Act initially provided for this, the focus was
more on Halqa Panchayats and later BDCs).
3. Elections and Functioning:
o Panchayat elections were held irregularly. For long periods, these bodies were
either non-functional or superseded.
o Elections were held in 2001 (after a long gap), 2011, and 2018 (Panchayats)
and 2018 (ULBs).
o The 2018 Panchayat elections were held on a non-party basis.
o Financial and administrative devolution to these bodies was often weak.
4. Urban Local Bodies (ULBs):
o Governed by the Jammu and Kashmir Municipal Act, 2000.
o Included Municipal Corporations (Srinagar, Jammu), Municipal Councils, and
Municipal Committees.
o Elections to ULBs were also infrequent. Elections were held in 2005 and then
in 2018.
B. Post-2019:
1. Application of 73rd and 74th Amendments:

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o With the abrogation of Article 370 and the reorganization, the provisions of
the 73rd and 74th Constitutional Amendment Acts became applicable to the
UT of J&K.
o This implies a more standardized structure and empowerment for local bodies
as in the rest of India, including reservations for SCs, STs, and women.
2. District Development Councils (DDCs):
o A new tier of local governance was introduced in J&K through amendments
to the J&K Panchayati Raj Act, 1989, in October 2020.
o DDCs are the principal elected bodies at the district level, replacing the
District Planning and Development Boards.
o Each district is divided into 14 territorial constituencies for DDC elections.
o DDC members are directly elected.
o The Chairperson of the DDC is elected from amongst the directly elected DDC
members.
o Members of Parliament (MPs) and Members of Legislative Assembly (MLAs)
from the district are also members of the DDC but do not have voting rights
for election/removal of Chairperson/Vice-Chairperson.
o DDC Elections 2020: First DDC elections were held in November-December
2020 on a party basis.
3. Strengthening PRIs and ULBs:
o The central government has emphasized empowering these local bodies with
funds, functions, and functionaries as per the 73rd/74th amendments.
o BDC elections (for chairpersons) were held in 2019 after the reorganization.
o The aim is to foster grassroots democracy and development.
4. Challenges:
o Ensuring genuine devolution of power and finances.
o Capacity building of elected representatives and officials.
o Security concerns for elected local representatives.
o Coordinating between DDCs, BDCs, Halqa Panchayats, and the UT
administration.

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UNIT 3: Representative Politics

1. Evolution of the Party System in J&K: One Party Dominant System – Causes and
Consequences
A. Evolution of the Party System in J&K:
1. Early Phase (Pre-1947):
o Dominated by movements against Dogra autocracy rather than formal parties
in the modern sense.
o All Jammu and Kashmir Muslim Conference (1932): Primarily represented
Muslim interests, led by Sheikh Abdullah.
o Transformation to All Jammu and Kashmir National Conference (NC)
(1939): Broadened base, secular ideology, aligned with INC. Became the
dominant political force.
o Minor regional/community-based groups existed but lacked mass appeal
compared to NC.
2. Post-Accession Era & Rise of NC Dominance (1947-1970s):
o National Conference (NC): Emerged as the undisputed dominant party under
Sheikh Abdullah.
▪ Played a key role in accession and resisting tribal invasion.
▪ Formed the first government, implemented land reforms ("Naya
Kashmir").
▪ Its mass appeal, particularly in the Kashmir Valley, was immense.
o Praja Parishad (Jammu): Represented Jammu Hindu interests, opposed NC's
autonomy stance, later merged into Bharatiya Jana Sangh.
o Plebiscite Front (1955-1975): Formed by supporters of Sheikh Abdullah after
his 1953 arrest, advocating for self-determination/plebiscite. Kept NC's
popular base alive even when Abdullah was out of power. Functioned more as
a movement than an electoral party during this phase.
o Indian National Congress (INC): Initially had a limited independent presence,
often operating through or in alliance with factions of the NC or other local
leaders who acceded to power with central backing after 1953 (e.g., Bakshi
Ghulam Mohammad, G.M. Sadiq). The NC led by Sadiq formally merged with
Congress in 1965, but a faction of NC continued.
o Limited Opposition: Opposition parties struggled to gain traction due to NC's
popularity, state patronage, and sometimes, restrictive political
environment.
3. Return of Sheikh Abdullah and NC Revival (1975-1980s):
o Indira-Sheikh Accord (1975) led to Sheikh Abdullah's return as CM. NC re-
emerged as the primary political force.

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o Congress maintained a presence, sometimes in alliance, sometimes in

opposition.
o The 1987 NC-Congress alliance and subsequent allegedly rigged elections
significantly impacted the political landscape.
4. Era of Militancy and Political Flux (1989-Late 1990s):
o Rise of armed insurgency led to a near-collapse of mainstream electoral
politics.
o Mainstream parties, especially NC, were targeted. Many leaders went
underground or were assassinated.
o Political vacuum, Governor's Rule/President's Rule for extended periods.
o Separatist groups (Hurriyat Conference formed in 1993) gained prominence,
advocating election boycotts.
5. Re-emergence of Multi-Party System (Late 1990s onwards):
o National Conference (NC): Returned to power in 1996 elections (though
participation was low and controversial). Led by Farooq Abdullah and later
Omar Abdullah.
o Indian National Congress (INC): Re-established itself as a significant player,
often forming coalition governments (e.g., with PDP).
o Peoples Democratic Party (PDP): Emerged in 1999 under Mufti Mohammad
Sayeed (a former Congressman and NC leader).
▪ Positioned itself as a regional alternative to NC, advocating "healing
touch," self-rule, and dialogue with separatists and Pakistan.
▪ Gained significant support in the Kashmir Valley.
o Bharatiya Janata Party (BJP): Gradually increased its influence, primarily in
the Jammu region. Formed a coalition government with PDP in 2015.
o Smaller parties: J&K Panthers Party (stronghold in Udhampur), Peoples
Conference (Sajad Lone), CPI(M) (localized influence), Awami Ittehad Party
(Er. Rashid), etc.
o Post-2019: New formations like J&K Apni Party.
B. One Party Dominant System (Primarily NC):
1. Definition: A party system where one party holds power continuously for a long
period, and other parties exist but are not strong enough to form a government. J&K,
especially in the Kashmir Valley, exhibited strong tendencies towards NC dominance
for decades.
2. Causes of NC Dominance (especially pre-1989):
o Charismatic Leadership: Sheikh Abdullah's towering personality and his role
in the "freedom struggle" against Dogra rule and for land reforms.
o Historical Legacy: NC's role in accession and its initial popular mandate.

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o "Naya Kashmir" Ideology: Its progressive socio-economic program resonated

with the masses.
o Patronage Networks: Control over state resources and employment.
o Weak and Fragmented Opposition: Opposition parties often lacked a broad
base, resources, or a unifying leader comparable to Sheikh Abdullah.
o Central Government Support (at times): While the Centre also engineered
changes in NC leadership, it often preferred a stable (even if dominant) NC
government that broadly aligned with national interests.
o Regional Identity: NC effectively projected itself as the guardian of Kashmiri
identity and autonomy.
o Limited Penetration of National Parties (initially): National parties like
Congress took time to establish deep roots independently.
o Electoral Practices: Allegations of electoral malpractices in some elections
(e.g., 1951, 1987) also contributed to maintaining dominance by stifling
genuine opposition.
3. Consequences of One Party Dominance:
o Positive (arguable):
▪ Political stability (at least on the surface for periods).
▪ Ability to implement policies with less obstruction (e.g., land
reforms).
▪ Strong articulation of regional aspirations.
o Negative:
▪ Erosion of Internal Democracy: Within the dominant party, dissent
might be suppressed.
▪ Complacency and Lack of Accountability: Reduced pressure to
perform due to weak opposition.
▪ Stifling of Opposition: Opposition parties faced an uneven playing
field.
▪ Alienation: Groups feeling unrepresented or marginalized by the
dominant party could become alienated from the political system.
▪ Authoritarian Tendencies: Potential for misuse of state machinery.
▪ Corruption: Unchecked power can lead to increased corruption.
▪ Political Stagnation: Lack of fresh ideas or leadership renewal.
▪ Contribution to Conflict (Indirectly): When legitimate avenues for
dissent and opposition are perceived to be closed (as after the 1987
elections), it can push people towards extra-parliamentary or violent
means.

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2. Ideologies and Programmes of National Conference, BJP, PDP, and Congress

A. National Conference (NC):
1. Core Ideology:
o Kashmiri Regionalism/Nationalism: Strong emphasis on protecting the
distinct identity and interests of Jammu & Kashmir.
o Autonomy: Historically, its central plank. Advocates for the restoration of
pre-1953 autonomy or maximum possible autonomy within the Indian
Constitution (as per Article 370's original spirit).
o Secularism: Committed to the secular fabric of the state and India.
o Socialism (Historically): Influenced by socialist ideals (Naya Kashmir
Manifesto), advocating social justice, land reforms, and state intervention in
the economy. This aspect has moderated over time towards a more mixed-
economy approach.
2. Programmes (Often Evolving):
o Restoration of Article 370 and statehood (post-2019).
o Dialogue with all stakeholders, including separatists and Pakistan, for
resolution of the Kashmir issue.
o Economic development, employment generation, infrastructure
improvement.
o Protection of land and job rights for locals.
o Good governance and administrative reforms.
o Preservation of cultural heritage.
B. Bharatiya Janata Party (BJP):
1. Core Ideology:
o Integral Humanism (Deen Dayal Upadhyaya): Official philosophy.
o Nationalism: Strong emphasis on Indian national unity and integrity.
o Cultural Nationalism (Hindutva): Believes in a common cultural heritage
rooted in Indian traditions.
o Full Integration of J&K: Historically opposed Article 370 and special status,
advocating complete merger. This goal was largely achieved in 2019.
2. Programmes (in J&K context):
o Consolidation of J&K's integration with India post-abrogation of Article 370.
o Development and economic growth, attracting investment.
o Combating terrorism and separatism with a firm hand.
o Empowerment of marginalized sections (SCs, STs, women, West Pakistan
Refugees).

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o Delimitation of constituencies to ensure "fair representation" (seen by critics

as benefiting Jammu).
o Return and rehabilitation of Kashmiri Pandits.
o Promoting nationalist narratives and symbols.
C. Peoples Democratic Party (PDP):
1. Core Ideology:
o Regionalism with a focus on "Self-Rule": Advocates for a model of
governance that gives J&K significant autonomy over its internal affairs, short
of secession, but more expansive than pre-1953 autonomy (e.g., joint
consultative mechanisms with PoJK).
o "Healing Touch": Policy initiated when in power (2002-2005) aimed at
reconciliation, reducing human rights violations, and creating a more humane
security environment.
o Dialogue and Reconciliation: Emphasis on resolving the Kashmir issue
through unconditional dialogue with separatists and Pakistan.
o Soft Separatism (accusation by critics): Its rhetoric sometimes veers close
to separatist demands, though it operates within the Indian constitutional
framework.
2. Programmes:
o Restoration of Article 370 and statehood (post-2019).
o Revocation of controversial laws like AFSPA.
o Opening of more cross-LoC trade and travel routes.
o Demilitarization.
o Economic self-reliance for J&K.
o Protection of unique identity, resources, and environment.
D. Indian National Congress (INC):
1. Core Ideology (National Level, applied to J&K):
o Secularism: Core tenet.
o Inclusive Nationalism: Believes in unity in diversity.
o Democratic Socialism (Historically): Mixed economy with a strong role for
the public sector and social welfare, though has embraced market reforms
since the 1990s.
o Federalism: Supports a strong Centre but with adequate powers for states.
In J&K, historically supported Article 370 as a bridge, though its governments
also presided over its dilution.
2. Programmes (in J&K context):

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o Restoration of statehood for J&K (post-2019 position). Stance on Article 370

restoration is more nuanced, often calling for discussion and respecting
people's aspirations.
o Peace, development, and employment.
o Dialogue with all stakeholders.
o Protection of minority rights and upholding secular values.
o Strengthening democratic institutions and local self-government.
o Often adopts a pragmatic approach, forming alliances to gain/share power.

3. Politics of Marginal Groups: Women, Dalits, and Tribes

The politics and issues of marginal groups in J&K are complex, often overshadowed by the
larger conflict, but critically important.
A. Women:
1. Pre-2019 Challenges:
o Impact of Conflict: Women disproportionately affected by violence – as
widows, "half-widows" (husbands disappeared), victims of sexual violence
(allegations against both militants and security forces), psychological trauma.
o Social Conservatism: Patriarchal norms impacting education, employment,
mobility, and political participation, particularly in rural and conservative
areas.
o Discriminatory Laws/Interpretations (related to Permanent Residency):
Women marrying non-Permanent Residents faced loss of property rights for
themselves and their children (Article 35A impact). While a J&K HC ruling
(2002) provided some relief for the woman's own rights, her children couldn't
inherit.
o Political Underrepresentation: Low representation in legislature and
decision-making bodies, despite some prominent women leaders.
o Economic Disempowerment: Limited access to resources, credit, and skilled
jobs.
2. Post-2019 Changes & Ongoing Issues:
o Domicile Rules: Removal of gender discrimination related to property rights
for women marrying outside J&K (as Article 35A is gone).
o Reservation: Provisions for reservation for women in Panchayats and DDCs
(as per 73rd/74th Amendments now applicable).
o Continued Challenges: Deep-seated patriarchy, impact of securitization on
daily life, access to justice, economic opportunities.
o Focus Areas: Need for targeted schemes for economic empowerment,
healthcare (especially mental health), legal aid, and greater political
representation at higher levels.

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B. Dalits (Scheduled Castes - SCs):

1. Demographics: Primarily concentrated in the Jammu region.
2. Pre-2019 Situation:
o Application of Reservation: Indian constitutional provisions for SC
reservation in government jobs and education were applicable in J&K.
However, reservation in political bodies (legislature) was not implemented in
the same way as other states due to Article 370 and J&K's own constitution.
o Valmiki Community Issue: Valmikis (a Dalit community) brought to J&K in
1957 for sanitation work were denied Permanent Resident Certificates (PRCs)
for decades, despite living there. This meant they could only get jobs as
sweepers and their children couldn't access higher education or other
government jobs, even if qualified. This was a major human rights issue.
o Socio-Economic Marginalization: Faced caste-based discrimination,
landlessness, limited access to quality education and healthcare.
3. Post-2019 Changes & Ongoing Issues:
o Domicile for Valmikis: With the abrogation of Article 370 and new domicile
rules, Valmikis and West Pakistan Refugees are now eligible for domicile and
associated rights.
o Political Reservation: Delimitation Commission (2022) has reserved 7
assembly seats for SCs in the UT of J&K.
o Continued Challenges: Combating social discrimination, ensuring effective
implementation of welfare schemes, land rights, economic upliftment.
C. Tribes (Scheduled Tribes - STs):
1. Major Tribes: Gujjars, Bakarwals (largest ST groups, nomadic/semi-nomadic
pastoralists), Gaddis, Sippis, etc. Predominantly Muslim, but also some Hindu tribes.
2. Pre-1991: No ST status for these communities in J&K. They were granted ST status
in 1991 through an Act of Parliament extending the Constitution (Scheduled Tribes)
Order, 1950 to J&K.
3. Pre-2019 Challenges:
o Nomadic Lifestyle Issues: Lack of permanent settlements, leading to
difficulties in accessing education, healthcare, PDS, and political
participation.
o Forest Rights: Traditional dependence on forests for grazing, often leading
to conflict with forest department regulations. The Forest Rights Act, 2006
(India) was not applicable.
o Political Marginalization: Despite significant numbers, their political
representation was low. No reserved seats in the legislature.
o Socio-Economic Backwardness: High poverty levels, low literacy rates, poor
health indicators.
o Impact of Conflict: Movement restricted, livestock lost, caught in crossfire.

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4. Post-2019 Changes & Ongoing Issues:

o Political Reservation: Delimitation Commission (2022) has reserved 9
assembly seats for STs for the first time in J&K UT Assembly. This is a major
step towards their political empowerment.
o Forest Rights Act (FRA) Implementation: The FRA, 2006 is now applicable to
J&K. Implementation process for recognizing individual and community forest
rights is underway, but faces challenges.
o Focus on Development: Special schemes for tribal welfare, education (e.g.,
Eklavya Model Residential Schools), healthcare.
o Continued Challenges: Effective implementation of FRA, addressing
landlessness, improving educational and health outcomes, preserving unique
cultural identity, ensuring their voice in development planning, tensions with
some non-tribal communities over reservation.

4. Displacement and Resettlement: State Response

J&K has witnessed multiple waves of displacement due to conflict, partition, and militancy.
A. Major Groups of Displaced Persons:
1. 1947 Partition Refugees (from PoJK):
o Hindus and Sikhs who fled areas of J&K that came under Pakistani occupation
(PoJK) during the 1947-48 conflict.
o Settled mainly in Jammu, Kathua, and other parts of India.
o Status: Indian citizens, received some ex-gratia relief, but their claims for
property left behind in PoJK remain largely unsettled. They were Permanent
Residents of J&K.
2. West Pakistan Refugees (WPRs):
o Those who migrated from areas that became West Pakistan (not PoJK) during
partition and settled in J&K (Jammu, Samba, Kathua).
o Pre-2019 Status: Indian citizens (could vote in Lok Sabha elections) but were
not considered Permanent Residents of J&K. This denied them voting rights
in state assembly/local body elections, state government jobs, professional
college admissions, and land ownership. This was a major human rights and
discrimination issue for decades.
o Post-2019: Now eligible for Domicile Certificates, granting them these rights.
3. Kashmiri Pandits (Hindus):
o Mass exodus from the Kashmir Valley starting late 1989 and early 1990 due to
targeted killings, threats, and intimidation by Islamist militants at the onset
of insurgency.
o Majority displaced to Jammu, Delhi, and other parts of India. Live in camps
or rented accommodations.

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o Issues: Loss of homes, property, cultural heritage, livelihoods; trauma;

challenges of integration in new places; demand for justice and return to the
Valley with security and dignity.
4. Muslims Displaced from Jammu Region (1947): Significant numbers of Muslims were
killed or displaced from parts of Jammu region during the 1947 violence. Many went
to Pakistan or PoJK. This aspect is often less highlighted in mainstream Indian
discourse.
5. Families Displaced due to Border Firing/Shelling: People living along the Line of
Control (LoC) and International Border (IB) frequently displaced due to cross-border
shelling between India and Pakistan. They require temporary shelters and relief.
6. Internal Displacement due to Militancy (other than Pandits): Some Muslim and Sikh
families also displaced from militancy-hit areas within the Valley or from remote
areas to safer locations.
B. State Response (Government of India and J&K Administration):
1. Kashmiri Pandits:
o Relief and Rehabilitation:
▪ Setting up of migrant camps (e.g., in Jammu, Delhi).
▪ Cash assistance (dole) and ration supplies.
▪ Prime Minister's Packages for Return and Rehabilitation (announced in
2008 and enhanced later) include:
▪ Financial assistance for reconstruction of damaged
houses/new houses.
▪ Transit accommodations.
▪ Creation of government jobs for migrant youth.
▪ Assistance for self-employment.
▪ Waiver of interest on loans.
o Challenges in Return: Security concerns remain paramount. Lack of a
conducive social environment in the Valley. Many properties are dilapidated,
encroached, or sold under distress. Limited economic opportunities in the
Valley for returnees. Many younger Pandits have established lives elsewhere.
o Political Demands: Calls for a "homeland" within Kashmir, justice for victims
of violence, inquiry into the exodus.
2. PoJK Refugees (1947):
o One-time central assistance package announced in 2016 for families from
PoJK and Chhamb displaced in 1947, 1965, and 1971.
o Issues persist regarding full compensation for lost properties.
3. West Pakistan Refugees (WPRs):
o Pre-2019: Limited central assistance, but major issue was lack of state rights.

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o Post-2019: Eligibility for Domicile is the biggest state response, addressing

their long-standing grievance. Also included in the 2016 central assistance
package.
4. Border Migrants:
o Construction of community and individual bunkers in border areas.
o Temporary shelters and relief during periods of intense shelling.
o Compensation for loss of life, injury, and property/livestock.
5. General Approach and Criticisms:
o Focus on Relief over Rights (Historically): Often, the response has been
more about providing immediate relief rather than addressing long-term
rights, justice, and comprehensive rehabilitation.
o Inconsistent Policies: Policies have varied over time and across different
groups of displaced people.
o Implementation Gaps: Schemes announced often face bureaucratic hurdles
and slow implementation.
o Lack of a Comprehensive Policy: Critics argue for a unified, rights-based
national policy on internal displacement.
o Politicization: Displacement issues often get politicized, hindering effective
solutions.
o Consultation: Lack of adequate consultation with the displaced communities
themselves in designing rehabilitation packages.

NEW RESERVATION POLICY 2023

In December 2023, the Parliament enacted the Jammu & Kashmir Reservation (Amendment)
Act, 2023, which came into effect on December 26, 2023. This legislation replaced the term
"weak and under-privileged classes" with "Other Backward Classes (OBC)" in official
nomenclature, thereby expanding the scope of reservations to include more communities.
Subsequently, in March 2024, the Administrative Council, led by Lieutenant Governor Manoj
Sinha, approved amendments to the Jammu and Kashmir Reservation Rules, 2005. These
changes were based on recommendations from the Jammu and Kashmir Socially and
Educationally Backward Classes Commission.

🧑‍🤝‍🧑 Introduction of ST1 and ST2 Categories

A notable aspect of the revised policy is the division of the Scheduled Tribe (ST) category
into two subcategories: ST1 and ST2.
• ST1: Comprises the previously recognized ST communities, such as the Gujjar and
Bakarwal groups.

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• ST2: Includes newly added tribes like the Pahari Ethnic Group, Paddari Tribe, Kolis,
and Gadda Brahmins.
Each subcategory has been allocated a 10% reservation, effectively doubling the total ST
reservation from 10% to 20%. This bifurcation aims to ensure that the inclusion of new tribes
does not dilute the benefits available to the existing ST communities.

📊 Updated Reservation Structure

Following the amendments, the reservation percentages in Jammu and Kashmir are as
follows:
• Scheduled Castes (SC): 8%
• Scheduled Tribes (ST1): 10%
• Scheduled Tribes (ST2): 10%
• Other Backward Classes (OBC): 8% (previously 4%)
• Residents of Backward Area (RBA): 10%
• Residents along Line of Actual Control/International Border: 4%
• Economically Weaker Sections (EWS): 10%
This brings the total reservation to approximately 60%, reducing the Open Merit (OM)
category to around 40%.

⚖️ Public Response and Controversy

The revised reservation policy has sparked considerable debate and protests, particularly
concerning the reduction in OM seats. For instance, in recent recruitment for 575 lecturer
positions, only 238 were allocated to the OM category, with the remainder distributed among
various reserved categories.
Medical students have also expressed concerns, especially regarding postgraduate
admissions. The rollback of SRO 49 (2018), which previously allocated 75% of PG seats to OM
candidates, has been a significant point of contention.
Political figures, including National Conference MP Aga Syed Ruhullah Mehdi, have demanded
a review of the policy, emphasizing the need to maintain meritocracy and equitable
opportunities for all communies.

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UNIT 4: Issues in J&K Politics

1. Land Reforms and Their Impact
Land reforms in Jammu & Kashmir were among the most radical in India and had a profound
impact on its socio-economic and political landscape.
A. Context and Rationale:
1. Feudal Agrarian Structure: Before 1947, J&K had a deeply feudal agrarian system.
o Large landholdings (jagirs, muafis) were concentrated in the hands of a few
landlords (many of whom were Dogra Rajputs or Kashmiri Pandits, though
some Muslim landlords also existed).
o The majority of the cultivating peasantry (largely Muslim in Kashmir, and
mixed in Jammu) were tenants-at-will, sharecroppers, or landless laborers,
suffering under oppressive conditions, high rents, and debt.
2. "Naya Kashmir" Manifesto (1944): The National Conference's vision document
explicitly called for "Land to the Tiller" and the abolition of landlordism as a
cornerstone of socio-economic justice.
3. Political Imperative: For Sheikh Abdullah's government post-1947, land reforms were
crucial to:
o Fulfill promises made to the peasantry, its primary support base.
o Break the economic power of the old feudal elite.
o Address widespread rural poverty and inequality.
o Consolidate popular support for the new regime and for accession to India.
B. Key Land Reform Legislations:
1. Abolition of Big Landed Estates Act, 1950:
o Most significant land reform measure.
o Ceiling on Land Ownership: Imposed a ceiling of 182 kanals (approximately
22.75 acres) on proprietary land holdings. Land in excess of this ceiling was
expropriated by the state.
o No Compensation: Crucially, and uniquely in India at the time, land
expropriated from landlords was done without paying any compensation.
This was justified on grounds of historical injustice and the exploitative
nature of landlordism. (This was possible because Fundamental Rights,
including the right to property and compensation, were not fully applicable
to J&K in the same way at that time, and the J&K Constituent Assembly
supported it).
o Distribution to Tillers: Expropriated land was transferred to the actual tillers
(tenants) who were cultivating it, making them owners.
o Abolished exploitative intermediaries like jagirdars.
2. Jammu and Kashmir Tenancy (Amendment) Act, 1948 & Subsequent Acts:

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o Provided security of tenure to tenants.

o Regulated rents payable by tenants to landlords.
o Further amendments aimed to strengthen tenant rights.
3. Jammu and Kashmir Agrarian Reforms Act, 1976:
o Aimed to address remaining issues and further rationalize land relations.
o Imposed a lower ceiling of 12.5 standard acres (varied based on land
quality).
o Provided for payment of nominal compensation (levy) for land taken above
the new ceiling, payable by the beneficiary to the ex-owner.
o Aimed to eliminate absentee landlordism completely.
o Restricted alienation of land to non-agriculturists.
C. Impact of Land Reforms:
1. Positive Impacts:
o Empowerment of Peasantry: Millions of landless tillers became landowners,
leading to a significant improvement in their socio-economic status and
dignity. This was especially true for the Muslim peasantry in Kashmir.
o Reduction in Rural Inequality: Drastically reduced the concentration of land
and power in the hands of a few landlords.
o Increased Agricultural Productivity (initially): Owner-cultivators had
greater incentive to invest in and improve their land.
o Political Consolidation: Hugely boosted the popularity of Sheikh Abdullah and
the National Conference, solidifying their support base and legitimizing the
post-accession government. It was a key factor in integrating the rural masses
with the new political order.
o Weakening of Feudal Elite: Broke the economic and political dominance of
the old feudal class.
o Social Change: Contributed to greater social mobility and reduced traditional
forms of bondage.
2. Negative Impacts and Criticisms:
o Economic Hardship for Ex-Landlords: Many expropriated landlords,
particularly smaller ones or those solely dependent on land income, faced
economic hardship due to lack of compensation (especially under the 1950
Act). This created some resentment among them.
o Land Fragmentation: Over generations, distribution and inheritance led to
fragmentation of landholdings, making them economically unviable in some
cases.
o Implementation Issues: Some allegations of corruption, favoritism, or
improper implementation in certain areas.

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o Did Not Solve All Agrarian Problems: Issues like access to credit, irrigation,
marketing, and modern inputs remained challenges for new smallholders.
o Impact on Specific Communities: Some Kashmiri Pandit landlords were
significantly affected, which, according to some narratives, contributed to
their later sense of grievance (though many Pandits were not large
landowners).
o Focus on Ownership, Less on Cooperativization: While "Naya Kashmir"
envisaged cooperatives, the primary focus remained on individual peasant
proprietorship.
3. Long-term Significance:
o Fundamentally reshaped J&K's rural class structure.
o Created a large base of small, independent peasant proprietors.
o Considered a major achievement of the early NC government and a key reason
for relatively lower rural poverty in J&K compared to some other Indian states
for a period.
o The "no compensation" clause was a bold and radical step, unique in the
Indian context.

2. Regional Imbalances, Autonomy and Integration: Aspirations and Challenges

This is a central and enduring theme in J&K politics, reflecting the diverse geography,
demography, and political aspirations within the former state.
A. Regional Imbalances:
J&K comprised three distinct regions: Kashmir Valley, Jammu, and Ladakh (now a separate
UT).
1. Nature of Imbalances (Perceived and Real):
o Political Dominance:
▪ Kashmir Valley: Historically perceived as politically dominant due to
larger population, concentration of political leadership (especially
NC), and focus of the "Kashmir issue."
▪ Jammu & Ladakh: Often felt politically marginalized, with grievances
that their specific needs and aspirations were neglected by Srinagar-
centric governments.
o Economic Development:
▪ Allegations from Jammu and Ladakh that the Kashmir Valley received
a disproportionate share of development funds, infrastructure
projects, and employment opportunities.
▪ Kashmir Valley also had its own grievances regarding overall economic
neglect by the Centre.

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o Administrative Representation: Claims from Jammu and Ladakh of

underrepresentation in state government services and decision-making
bodies.
o Cultural and Linguistic Identity: Concerns in Jammu (Dogri culture) and
Ladakh (Buddhist/Balti culture) about the perceived imposition or dominance
of Kashmiri language and culture.
2. Manifestations and Demands:
o Jammu:
▪ Demand for equitable share in resources and political power.
▪ Historical support for full integration with India (Praja Parishad).
▪ Sometimes, demands for separate statehood for Jammu or regional
councils with more powers.
▪ Grievances over delimitation of assembly constituencies.
o Ladakh:
▪ Long-standing demand for Union Territory (UT) status, particularly
from Buddhist-majority Leh, to free itself from Kashmiri political
dominance and pursue its own development path. This was achieved
in 2019.
▪ Kargil (Muslim-majority) had more mixed views, some preferring to
remain with Kashmir or demanding a UT with a legislature.
▪ Concerns over protection of distinct cultural and ecological heritage.
Post-UT status, demands for constitutional safeguards under the Sixth
Schedule.
B. Autonomy:
1. Core Aspiration (Primarily in Kashmir Valley):
o Rooted in the terms of the Instrument of Accession and Article 370.
o Desire to preserve J&K's unique identity and decision-making power over its
internal affairs.
o NC's demand for restoration of pre-1953 autonomy (when Union jurisdiction
was strictly limited to Defence, External Affairs, Communications).
o PDP's concept of "Self-Rule," envisaging even greater autonomy, including
joint mechanisms with PoJK.
2. Arguments for Autonomy:
o Historical commitment made at the time of accession.
o Seen as essential for addressing the political aspirations of the Kashmiri
people and resolving the conflict.
o Belief that greater autonomy would lead to better governance tailored to
local needs.

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3. Challenges to Autonomy:
o Erosion over Time: Progressive extension of central laws and constitutional
provisions to J&K (via Presidential Orders) significantly diluted the original
scope of autonomy.
o Security Concerns: The Centre often viewed strong autonomy demands with
suspicion, fearing they could fuel secessionism, especially given the ongoing
insurgency and Pakistan's role.
o Opposition from Jammu and Ladakh: These regions often viewed Kashmir-
centric autonomy demands as a means for the Valley to dominate them
further. They preferred stronger integration with the Union.
o Abrogation of Article 370 (2019): Effectively ended the constitutional basis
for J&K's special autonomous status. Current demands focus on restoration
of this status.
C. Integration:
1. Core Aspiration (Primarily in Jammu, parts of Ladakh, and nationalist sections
across India):
o Belief that J&K is an integral and inseparable part of India.
o Advocacy for the full application of the Indian Constitution and laws to J&K,
removing any special status.
o Argument that Article 370 was a temporary provision that hindered complete
integration, fostered separatism, and created a sense of "otherness."
2. Arguments for Fuller Integration:
o National unity and integrity.
o Uniform rights and laws for all Indian citizens.
o Belief that it would bring J&K into the national mainstream, leading to better
development and governance.
o Seen as a counter to separatism and Pakistani claims.
3. Challenges to Integration (from Kashmiri perspective):
o Breach of Trust: Seen by many Kashmiris as a violation of the terms of
accession and promises of autonomy.
o Fear of Demographic Change and Loss of Identity: Concerns that full
integration without safeguards would erode J&K's unique cultural, social, and
demographic character (especially with changes to land ownership rules).
o Alienation: Forced integration without addressing underlying political
aspirations can deepen alienation and resentment.
D. Interplay and Tension:
The issues of regional imbalances, autonomy, and integration are deeply intertwined.
• Autonomy demands from Kashmir often fueled integrationist sentiments in
Jammu/Ladakh and vice-versa.

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• Regional imbalances provided fertile ground for political mobilization along regional
and sometimes communal lines.
• The challenge has always been to find a framework that addresses the legitimate
aspirations of all regions and communities while maintaining peace and stability.
• The 2019 changes represented a decisive push towards integration, but the
underlying aspirations for autonomy and concerns about regional identity persist.

3. Separatist Politics: Organisation, Leadership and Strategy

Separatist politics in J&K refers to movements and groups advocating for the region's
separation from India, either as an independent state or for accession to Pakistan.
A. Organisations:
1. All Parties Hurriyat Conference (APHC):
o Formed in 1993 as an umbrella organization of various political, social, and
religious groups advocating separatism.
o Factions:
▪ Moderate Faction: Generally led by figures like Mirwaiz Umar Farooq.
Advocated dialogue with India and Pakistan for a negotiated
settlement.
▪ Hardline Faction: Previously led by Syed Ali Shah Geelani (who later
formed his own Tehreek-e-Hurriyat and then quit Hurriyat altogether
before his death). Advocated for J&K's accession to Pakistan and often
shunned dialogue with India under existing terms.
o The APHC itself has seen multiple splits and realignments over the years.
2. Jammu Kashmir Liberation Front (JKLF):
o One of the earliest militant separatist groups, formed in the late 1970s
(founded by Amanullah Khan and Maqbool Bhat).
o Advocated for complete independence of J&K (including PoJK).
o Pioneered the armed insurgency in 1988-89. Yasin Malik became a prominent
leader.
o Declared a ceasefire in 1994 and nominally shifted to political struggle,
though its leaders faced frequent detentions. Banned by India in 2019.
3. Hizbul Mujahideen (HM):
o Pro-Pakistan militant group, emerged as the largest indigenous militant
outfit. Considered the armed wing of Jamaat-e-Islami Kashmir.
o Advocates J&K's merger with Pakistan.
4. Jamaat-e-Islami Kashmir:
o Socio-religious and political organization with a strong Islamist ideology.

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o Historically advocated for an Islamic state and self-determination, often seen

as ideologically aligned with pro-Pakistan separatism. Banned by India in
2019.
5. Other Groups: Dukhtaran-e-Millat (women's separatist group led by Asiya Andrabi,
pro-Pakistan), various smaller militant outfits (Lashkar-e-Taiba, Jaish-e-Mohammed
– primarily Pakistan-based but operating in Kashmir).
B. Leadership (Key Figures, Past and Present):
• Syed Ali Shah Geelani (d. 2021): Veteran hardline leader, former chairman of
Tehreek-e-Hurriyat. Consistently pro-Pakistan, rejected dialogue without Pakistan's
inclusion and UN resolutions as a basis.
• Mirwaiz Umar Farooq: Chairman of his APHC faction, hereditary Mirwaiz (chief
preacher) of Kashmir. Generally seen as a moderate, open to dialogue.
• Yasin Malik: JKLF chairman, advocated independence. Currently imprisoned.
• Shabir Shah: Prominent separatist leader, spent many years in jail.
• Masarat Alam Bhat: Hardline leader, often seen as Geelani's successor in terms of
ideology.
• Asiya Andrabi: Head of Dukhtaran-e-Millat.
• Militant Commanders: Various figures leading armed groups (e.g., Syed Salahuddin
of Hizbul Mujahideen, based in Pakistan).
C. Strategy:
1. Armed Militancy (Late 1980s - Present, though intensity has varied):
o Attacks on security forces, political workers, civilians perceived as pro-India.
o Use of IEDs, grenade attacks, suicide bombings (less common now for
indigenous groups).
o Aim: To make J&K ungovernable, force Indian withdrawal, internationalize
the issue.
2. Political Mobilization and Propaganda:
o Hartals (strikes), protests, demonstrations, rallies.
o Boycott calls for elections (to delegitimize the Indian democratic process in
J&K).
o Use of religious rhetoric and Kashmiri identity/nationalism.
o International lobbying and attempts to garner support from international
organizations and foreign governments.
o Social media used extensively for propaganda and mobilization.
3. Civil Disobedience: Stone-pelting (especially prominent in 2008, 2010, 2016
uprisings), refusal to cooperate with state authorities.
4. Dialogue (Selective and Conditional):

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o Some factions (moderates) have engaged in dialogue with the Indian

government at times, but often with preconditions (e.g., trilateral talks
involving Pakistan, release of prisoners).
o Hardliners often reject dialogue unless it's on their terms (e.g., accepting
J&K as disputed territory).
5. Exploiting Grievances: Highlighting human rights violations, lack of political
freedoms, economic issues to fuel anti-India sentiment.
6. Seeking External Support: Primarily from Pakistan (diplomatic, moral, and allegedly
material support for militant groups). Attempts to engage OIC, UN, etc.
7. Post-2019 Challenges for Separatists:
o Intensified crackdown by Indian authorities: arrests of leaders, banning of
organizations (JKLF, Jamaat-e-Islami), NIA investigations into terror funding.
o Communication blockades (intermittent) hampering mobilization.
o Loss of Article 370 has altered the political landscape they operated in.
o Increased surveillance and security presence.
o Divisions within separatist ranks.

4. Process of Development Post Abrogation of Article 370

The Indian government has projected the abrogation of Article 370 and the reorganization
of J&K as a move to usher in a new era of development, peace, and prosperity by fully
integrating the region with the rest of India.
A. Stated Objectives and Focus Areas of Development:
1. Economic Integration and Investment:
o Attracting private investment (domestic and foreign) by removing barriers
like Article 35A which restricted land ownership.
o Organizing investor summits and promoting J&K as an investment destination.
o Focus on sectors like tourism, horticulture, handicrafts, IT, and renewable
energy.
2. Infrastructure Development:
o Fast-tracking key infrastructure projects: highways, tunnels (e.g., ZojiLa
tunnel), railways, power projects, health infrastructure (AIIMS), educational
institutions (IIT, IIM).
o Improving connectivity within J&K and with the rest of India.
3. Employment Generation:
o Creating jobs through industrial development, government recruitment
drives (often with an emphasis on transparency), and promoting self-
employment schemes.

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4. Good Governance and Transparency:

o Application of central laws related to anti-corruption (e.g., Prevention of
Corruption Act), Right to Information.
o Emphasis on e-governance and digitisation of services.
5. Social Sector Development:
o Ensuring full implementation of central welfare schemes (e.g., Ayushman
Bharat, PM Awas Yojana).
o Focus on education, healthcare, skill development.
o Empowerment of marginalized sections (SCs, STs, women, refugees) by
extending rights and benefits previously denied.
6. Strengthening Grassroots Democracy:
o Empowering Panchayati Raj Institutions (PRIs) and Urban Local Bodies (ULBs)
through elections (DDCs, BDCs) and devolution of funds, functions, and
functionaries as per 73rd/74th Amendments.
B. Initiatives and Measures Taken:
1. New Industrial Policy (2021-2030 for J&K): Aims to attract significant investment
with incentives like capital investment subsidy, GST-linked incentives, interest
subvention.
2. Land Law Changes: Notification of rules allowing transfer of agricultural land for
non-agricultural purposes (with permissions) to facilitate industrial and
developmental projects. New Domicile Rules allowing outsiders to buy non-
agricultural land.
3. Expedited Project Clearances: Single-window clearance mechanisms.
4. Skill Development Programs: Initiatives to enhance employability of youth.
5. Tourism Promotion: Aggressive campaigns to revive tourism, including new circuits
and destinations.
6. Digital J&K: Focus on improving digital infrastructure and online delivery of services.
7. Recruitment Drives: For government jobs in various departments.
8. Implementation of Central Schemes: Vigorous push to saturate central welfare
schemes.
C. Perceived Progress and Government Claims (as of early 2024):
• Increased Investment Proposals: Government reports significant investment
proposals received post-2019.
• Infrastructure Milestones: Completion/progress on several key infra projects.
• Improved Governance Metrics: Claims of reduced corruption and increased
transparency.

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• Successful Conduct of Local Elections: DDC elections cited as a sign of

strengthening grassroots democracy.
• Increased Tourist Footfall: Reports of record tourist arrivals in certain seasons.
• Reduction in Stone-Pelting and Large-Scale Protests: Government attributes this
to development and security measures.
D. Challenges, Criticisms, and Ground Realities:
1. Security Situation: While large-scale violence has reduced, targeted killings of
civilians (minorities, non-locals, political workers) and encounters with militants
continue, creating an environment of fear that can deter investment and normalcy.
2. Economic Impact on Locals:
o Concerns that benefits of new development might not reach locals, or that
local businesses might be out-competed by larger outside players.
o Job creation on the ground versus official claims is a point of debate.
o Impact of prolonged internet shutdowns (especially in the initial phase) on
businesses, education, and healthcare.
3. Land and Demographic Concerns: Widespread anxiety in the Kashmir Valley about
potential demographic change and loss of land to outsiders due to new land and
domicile laws.
4. Political Climate: Continued political uncertainty, detention of some leaders, and
restrictions on political activity can affect the overall environment for development
and trust-building. Lack of a popularly elected state government (as of early 2024
for UT of J&K) means decisions are largely bureaucratic or centrally driven.
5. Implementation Challenges: Bureaucratic hurdles, capacity issues, and ground-level
execution of schemes remain challenges.
6. Data Discrepancies and Skepticism: Some independent analysts and local observers
question the extent of development claimed by the government, pointing to a need
for more granular and verifiable data.
7. Environmental Concerns: Fast-tracked development projects need to be balanced
with environmental sustainability in an ecologically fragile region.
8. Inclusivity: Ensuring that development is inclusive and benefits all regions and
communities equitably, addressing historical imbalances rather than creating new
ones.
9. Trust Deficit: A significant trust deficit between the government and a large section
of the population in Kashmir can hinder the genuine success of development
initiatives if they are perceived as being imposed.
Conclusion on Development Post-Abrogation:
The development process post-Article 370 abrogation is a work in progress, with the
government heavily invested in showcasing it as a success. While there are visible efforts in
infrastructure and policy changes, the long-term impact, sustainability, and inclusivity of
this development model, especially in the context of the region's complex political and
security environment, remain to be seen and are subjects of ongoing debate and scrutiny.

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These notes should provide a solid foundation for this unit. Keep an eye on current affairs
for the latest developments, especially regarding the post-abrogation scenario.

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PUBLIC ADMINISTRATION
UNIT 1: Introduction to Public Administration
1. Public Administration: Meaning, Nature, and Scope
A. Meaning of Public Administration:
• Etymology: "Administration" derives from the Latin words "ad" (to) and "ministrare"
(to serve or manage). Thus, administration means to serve, manage, or look after
people. "Public" refers to government or pertaining to the people/community as a
whole.
• Core Definition: Public Administration (PA) is centrally concerned with the
implementation of government policies and laws. It is the action part of
government, the means by which the purposes and goals of government are realized.
• Key Definitions by Scholars:
o Woodrow Wilson (often called the "Father of Public Administration"):
"Public administration is detailed and systematic execution of public law.
Every particular application of general law is an act of administration." (From
his essay "The Study of Administration," 1887). He also emphasized the
politics-administration dichotomy.
o L.D. White: "Public administration consists of all those operations having for
their purpose the fulfillment or enforcement of public policy." He viewed it
broadly, including managerial, technical, clerical, and other operations.
o Dwight Waldo: "Public administration is the art and science of management
as applied to the affairs of State." He highlighted its interdisciplinary nature.
o Herbert Simon: Equated administration with decision-making.
"Administration can be defined as the activities of groups cooperating to
accomplish common goals."
o Nicholas Henry: Defines PA in terms of its relationship with several "Big
Questions": How do we organize? How do we manage? How do we lead? What
are the proper relationships between citizens and their governments?
• Two Views of "Public Administration":
o Integral View: Considers PA as the sum total of all activities undertaken in
pursuit of public policy – manual, clerical, managerial, technical, etc.,
performed by all levels of government employees. (Supported by L.D. White,
Dimock).
o Managerial View: Restricts PA to only the managerial activities of those at
the top of the hierarchy involved in planning, organizing, commanding,
coordinating, and controlling (POSDCORB functions). (Supported by Simon,
Smithburg, Thompson, Luther Gulick).
B. Nature of Public Administration:
The nature of PA has been a subject of debate – is it an Art, a Science, or both?

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1. PA as an Art:
o Emphasizes the practical application of knowledge, skills, creativity, and
judgment in managing public affairs.
o Requires qualities like leadership, communication, negotiation, intuition, and
adaptability – which are not easily quantifiable or reducible to universal
principles.
o Administrators often deal with unique situations and human complexities that
require tailored, artful responses.
o Effectiveness often depends on experience and personal qualities.
2. PA as a Science:
o Proponents argue for a systematic body of knowledge, principles, and
theories that can be universally applied to improve administrative efficiency
and effectiveness.
o Early writers (e.g., Wilson, Taylor's Scientific Management) sought to discover
scientific principles of administration.
o Emphasizes rationality, objectivity, empirical research, and the development
of predictive models.
o Techniques like operations research, systems analysis, and data analytics lend
a scientific character.
o Challenges to being a "Pure Science":
▪ Normative Concerns: PA is deeply value-laden; decisions involve
ethical choices and public interest considerations, which are not
purely objective.
▪ Human Element: Human behavior is complex and less predictable
than natural phenomena.
▪ Environmental Context: Administrative practices are influenced by
cultural, social, political, and economic contexts, making universal
principles difficult to apply without modification.
▪ Lack of a universally agreed-upon paradigm or set of laws like in
natural sciences.
3. PA as Both Art and Science (Prevailing View):
o It involves a systematic body of knowledge and principles (science aspect)
that must be applied skillfully and creatively in specific contexts (art
aspect).
o It uses scientific methods for research and analysis but also relies on
judgment, experience, and ethical considerations in practice.
4. Evolving Nature:
o Traditional PA: Focus on efficiency, hierarchy, rules, politics-administration
dichotomy.

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o New Public Administration (NPA): Emphasis on relevance, values, social

equity, change, client focus.
o New Public Management (NPM): Incorporation of market principles,
efficiency, customer orientation, managerialism.
o Governance Approach: Focus on networks, collaboration, participation, and
the blurring of boundaries between public, private, and civil society sectors.
C. Scope of Public Administration:
The scope of PA is vast and ever-expanding, especially in modern welfare states and
developing countries.
1. POSDCORB View (Luther Gulick): Narrow, managerial view of scope. Focuses on the
techniques of administration:
o Planning: Working out in broad outline the things that need to be done.
o Organizing: Establishment of the formal structure of authority.
o Staffing: The whole personnel function of bringing in and training the staff.
o Directing: Continuous task of making decisions and embodying them in
specific and general orders.
o COordinating: Inter-relating the various parts of the work.
o Reporting: Keeping those to whom the executive is responsible informed.
o Budgeting: Fiscal planning, accounting, and control.
o Criticism: Too mechanistic, neglects substantive aspects and socio-economic
context.
2. Subject-Matter View / Broader View:
o Encompasses the substantive areas or services provided by the government.
o Includes administration of:
▪ Law and Order (Police Administration)
▪ Defence
▪ Foreign Affairs (Diplomacy)
▪ Finance (Financial Administration, Taxation)
▪ Justice (Judicial Administration)
▪ Social Welfare (Health, Education, Housing)
▪ Economic Development (Industrial policy, Agriculture, Infrastructure)
▪ Environmental Protection
▪ Public Utilities
o This view emphasizes that PA is not just about techniques but also about what
is being administered.

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3. As a Discipline / Field of Study:

o Organizational Theory and Behavior
o Public Personnel Administration (HRM)
o Public Financial Administration (Budgeting, Accounting, Audit)
o Comparative Public Administration
o Development Administration
o Public Policy Analysis
o Ethics in Public Administration
o Local Government Administration
o E-Governance
4. Contemporary Scope in the Era of Governance:
o Policy Formulation: Increasingly involved in policy advice and formulation,
not just implementation (blurring of politics-administration dichotomy).
o Regulatory Role: Regulating private sector activities to protect public
interest.
o Facilitative Role: Enabling and supporting private and non-profit sectors in
service delivery.
o Network Management: Collaborating with various actors (NGOs, private
firms, community groups) in governance networks.
o Citizen Engagement and Participation: Focus on responsive and accountable
administration.
o Crisis Management: Dealing with natural disasters, pandemics, economic
crises.
o International Public Administration: Cooperation with international
organizations and other countries.
In summary, Public Administration is a dynamic field concerned with managing public
affairs, implementing policies, and delivering services to citizens, using both scientific
principles and artful practice, with an ever-widening scope in response to societal needs
and changing governance paradigms.

2. New Public Administration (NPA)

NPA emerged in the late 1960s and early 1970s in the USA, primarily as a response to the
perceived failures and limitations of traditional Public Administration. It was a call for a
more relevant, value-driven, and socially conscious public administration.
A. Background and Genesis:
1. Socio-Political Context (USA, 1960s):

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o Vietnam War and widespread anti-war protests.

o Civil Rights Movement and urban riots.
o Increased awareness of poverty, inequality, and social injustices.
o General disillusionment with government's ability to solve pressing social
problems.
2. Critique of Traditional PA:
o Irrelevance: Seen as too focused on efficiency, economy, and internal
management (structures, processes) while ignoring urgent social issues.
o Value Neutrality: The traditional claim of value neutrality was seen as a myth
and an abdication of responsibility. PA was inherently value-laden.
o Status Quo Orientation: Accused of being resistant to change and supportive
of existing power structures.
o Politics-Administration Dichotomy: Criticized as unrealistic and undesirable.
Administrators inevitably involved in policy.
o Hierarchical and Elitist: Seen as out of touch with citizens, especially
marginalized groups.
3. Key Events Shaping NPA:
o Honey Report on Higher Education for Public Service (1967): Pointed out
the inadequacies in PA education.
o Philadelphia Conference on the Theory and Practice of Public
Administration (1967): Highlighted the need for PA to address social
problems.
o Minnowbrook Conference I (1968):
▪ Convened by Dwight Waldo at Syracuse University.
▪ Attended by young scholars and practitioners who were critical of the old PA.
▪ Considered the birthplace of NPA.
▪ Frank Marini's edited volume "Towards a New Public Administration: The
Minnowbrook Perspective" (1971) consolidated its ideas.
B. Core Themes and Goals of NPA (often summarized as "4 Rs" or similar):
1. Relevance:
o PA should address contemporary social problems and be relevant to the needs
of society.
o Move beyond mere efficiency and economy to tackle issues like poverty,
discrimination, urban decay, environmental degradation.
2. Values (Social Equity):
o Explicitly embrace social equity as a core value and goal of PA.

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o Advocate for a proactive role for administrators in promoting fairness,

justice, and equality, especially for disadvantaged and minority groups.
o Challenge the notion of value neutrality; PA should be ethically and morally
driven.
o H. George Frederickson is a key proponent of social equity as the "third
pillar" (after efficiency and economy).
3. Change (and Client Focus):
o PA should be an agent of social change, not a preserver of the status quo.
o Adaptability and responsiveness to changing societal needs.
o Client-centered approach: Focus on the needs and satisfaction of citizens
(clients), not just internal organizational procedures.
o Advocacy for citizen participation and empowerment.
4. Rejection of Politics-Administration Dichotomy:
o Recognized that administrators are involved in policy-making and should use
their discretion to promote social equity.
o Less emphasis on rigid hierarchy and more on participative and democratic
organizational structures.
C. Anti-Goals of NPA (What it opposed):
• Anti-positivist (questioned the purely scientific, value-neutral approach).
• Anti-bureaucratic (criticized rigid, hierarchical structures).
• Anti-technical (argued that technical efficiency alone is insufficient).
• Anti-hierarchical.
D. Key Proponents:
• Dwight Waldo (convenor, intellectual guide)
• Frank Marini (editor of the seminal volume)
• H. George Frederickson (champion of social equity)
• Larry Kirkhart, Orion White, Michael M. Harmon (focused on phenomenological
approaches, organizational humanism).
E. Impact and Legacy of NPA:
1. Shift in Focus: Brought social equity and normative concerns to the forefront of PA
theory and practice.
2. Curriculum Changes: Influenced PA education, making it more interdisciplinary and
socially aware.
3. Increased Awareness of Ethics: Heightened the importance of ethical considerations
in public service.

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4. Client-Centered Administration: Paved the way for later movements like New Public
Management (NPM) in its emphasis on citizen/customer focus, though NPA's
motivation was equity, while NPM's was efficiency.
5. Public Policy Emphasis: Strengthened the link between PA and public policy analysis.
6. Criticisms of NPA:
o Lack of Clear Methodology: Accused of being more of a normative protest
movement than a coherent theory with practical tools.
o Potential for Administrative Overreach: Giving administrators too much
discretion to pursue social equity could undermine democratic accountability
and lead to an "administrative state."
o Vagueness of "Social Equity": Defining and measuring social equity can be
challenging.
o Internal Contradictions: Some of its ideas were diverse and not always
consistent.
F. Minnowbrook II (1988) and Minnowbrook III (2008):
These follow-up conferences reassessed the state of PA and the legacy of NPA, reflecting
new challenges like globalization, NPM, governance, and information technology, while
reaffirming the importance of values and public service.
NPA was a critical turning point, urging public administration to be more than just an
efficient machine, but a proactive force for social justice and positive change.

3. New Public Management (NPM) and Public-Private Partnership (PPP)

NPM emerged in the late 1970s and gained prominence in the 1980s and 1990s, representing
a significant paradigm shift in public administration, driven by a desire to make the public
sector more efficient, effective, and responsive, often by adopting private sector
management techniques.
A. New Public Management (NPM):
1. Background and Drivers:
o Economic Crises (1970s): Oil shocks, stagflation, growing public debt in
many OECD countries.
o Fiscal Stress: Pressure to reduce government spending and improve
efficiency.
o Disillusionment with Traditional Bureaucracy: Perceived as rigid,
inefficient, unresponsive, and rule-bound.
o Rise of Neoliberal Ideology: Advocating for free markets, deregulation,
privatization, and a smaller state (e.g., Thatcherism in UK, Reaganomics in
US).
o Influence of Public Choice Theory: Assumes public officials are self-
interested utility maximizers, leading to bureaucratic oversupply and
inefficiency. Advocated for competition and market-like mechanisms.

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o Managerialism: Belief that generic management principles can be applied to

both public and private sectors.
2. Core Tenets and Characteristics (Christopher Hood's "A Public Management for All
Seasons?" (1991) is influential):
o Focus on Results/Outcomes, not just Processes: "Let managers manage" –
giving them autonomy and holding them accountable for performance.
o Adoption of Private Sector Management Practices: Techniques like strategic
planning, performance measurement, Total Quality Management (TQM),
customer service orientation.
o Market-Oriented Mechanisms: Introducing competition, contracting out
services, user fees, quasi-markets.
o Disaggregation of Units: Breaking down large public organizations into
smaller, more manageable, specialized agencies.
o Emphasis on Efficiency and Economy: "Doing more with less."
o Hands-on Professional Management: Shift from traditional civil service
administration to professional managers with more discretion.
o Explicit Standards and Measures of Performance: Use of performance
indicators, targets, and evaluations.
o Greater Emphasis on Output Controls: Rewarding success and penalizing
failure based on achieved results.
o Shift to Greater Competition in Public Sector: Between public agencies and
with private providers.
o Stress on Private Sector Styles of Management Practice: More flexible
hiring, performance-related pay.
o Citizen as "Customer": Viewing citizens as customers whose needs and
preferences should be prioritized.
3. Key NPM Reforms/Techniques:
o Privatization: Transferring ownership of state-owned enterprises to the
private sector.
o Contracting Out (Outsourcing): Government pays private or non-profit
organizations to deliver public services.
o Performance Management: Setting targets, measuring performance, linking
rewards to results.
o Agencification (Next Steps Agencies in UK): Creating semi-autonomous
executive agencies responsible for specific operational tasks.
o Decentralization and Devolution: Shifting power and responsibility to lower
levels of government or management.
o Deregulation: Reducing government rules and controls.
o Public-Private Partnerships (PPPs): (Discussed separately below).

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4. Impact and Criticisms of NPM:

o Positive Impacts (claimed):
▪ Increased efficiency and cost savings in some areas.
▪ Greater responsiveness to citizens/customers.
▪ Improved service quality in some instances.
▪ More innovation and flexibility.
o Criticisms/Negative Impacts:
▪ Erosion of Public Service Ethos: Focus on market values over public
interest, equity, and accountability.
▪ Fragmentation of Services: Disaggregation can lead to coordination
problems and a "hollow state."
▪ Accountability Deficits: Difficult to hold private contractors or
dispersed agencies accountable.
▪ Increased Inequality: Market mechanisms may favor those who can
pay, neglecting vulnerable groups (NPA concerns re-emerge).
▪ Transaction Costs: Managing contracts and monitoring performance
can be costly.
▪ "Gaming" of Performance Indicators: Focus on easily measurable
targets, neglecting qualitative aspects or more complex goals.
▪ Demoralization of Public Servants: Perceived devaluing of traditional
public service.
▪ Not Universally Applicable: Success varied across countries and
sectors; context matters.
B. Public-Private Partnership (PPP):
PPP is a specific mechanism often associated with NPM, representing a collaborative venture
between government and private sector entities for the delivery of public infrastructure or
services.
1. Definition: A long-term contractual arrangement between a public agency (federal,
state, or local) and a private sector entity, where skills and assets of each sector
(public and private) are shared in delivering a service or facility for the use of the
general public. In a PPP, the private sector typically assumes substantial financial,
technical, and operational risk in the design, financing, building, and operation of a
project.
2. Rationale for PPPs:
o Access to Private Sector Capital: To overcome public budget constraints for
large infrastructure projects.
o Efficiency and Innovation: Belief that private sector can deliver projects
more efficiently, on time, and with greater innovation.

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o Risk Transfer: Transferring certain project risks (design, construction,

operational) to the private sector.
o Improved Service Quality: Leveraging private sector expertise and customer
focus.
o Focus on Core Public Sector Roles: Allows government to focus on policy,
planning, and regulation, rather than direct service delivery.
3. Common Sectors for PPPs:
o Transportation (roads, bridges, airports, ports, railways)
o Water and Sanitation
o Healthcare facilities
o Education facilities
o Public buildings (e.g., convention centers, stadiums)
o Energy
4. Types of PPP Models (vary in terms of risk allocation, ownership, and
responsibility):
o Build-Operate-Transfer (BOT): Private entity builds, operates for a
concession period, then transfers to public sector.
o Build-Own-Operate (BOO): Private entity builds, owns, and operates the
facility indefinitely.
o Build-Own-Operate-Transfer (BOOT): Similar to BOT, but private sector owns
during concession.
o Design-Build-Finance-Operate (DBFO): Private partner responsible for all
phases.
o Lease-Develop-Operate (LDO): Public asset leased to private sector for
development and operation.
o Management Contracts: Private sector manages a public facility for a fee.
o Concessions: Private sector operates and maintains a public asset for a
specified period, often collecting user fees.
5. Advantages of PPPs (claimed):
o Faster project completion.
o Access to finance and expertise.
o Innovation in design and technology.
o Potential for cost savings (life-cycle costing).
o Improved service quality.
6. Disadvantages and Challenges of PPPs:
o Complexity: PPP contracts are complex to design, negotiate, and manage.

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o Higher Cost of Capital: Private finance is often more expensive than public
borrowing.
o Risk of Private Partner Failure: Can lead to project delays or service
disruption.
o Accountability and Transparency Concerns: Ensuring public interest is
protected.
o Potential for Cherry-Picking: Private sector may focus on profitable services,
neglecting others.
o Loss of Public Control: Over strategic assets or services.
o Long-Term Commitments: Can lock governments into inflexible
arrangements.
o Value for Money (VfM) Assessment: Difficult to accurately assess if PPP truly
offers better value than traditional public procurement.
o Social Equity Concerns: User fees may disproportionately affect low-income
groups.
Conclusion on NPM and PPP:
NPM represented a major shift towards market-oriented public administration. PPPs are a
key tool within this framework. While they offer potential benefits in terms of efficiency
and leveraging private resources, they also bring significant challenges related to
accountability, equity, and ensuring genuine public value. The trend now is often towards a
"post-NPM" era or "New Public Governance," which seeks to balance market mechanisms with
traditional public service values and collaborative network approaches.

4. Comparative Public Administration (CPA)

CPA is a subfield of Public Administration that involves the systematic comparison of
administrative systems, processes, and behaviors across different countries, cultures, or
levels of government to identify similarities, differences, and patterns, and to develop
theories and improve administrative practices.
A. Meaning and Definition:
• Core Idea: Studying public administration in different settings to understand how
context (cultural, political, economic, social) shapes administrative structures and
practices.
• Nimrod Raphaeli: "Comparative Public Administration is that quest for patterns and
regularities in administrative action and behavior."
• Ferrel Heady: Defined CPA as "the theory of public administration as applied to
diverse cultures and national settings and the body of factual data, by which it can
be examined and tested."
• Robert Dahl (early critique): Argued in 1947 that a "science of public administration"
was impossible without comparative studies, as principles derived from one national
context might not be universally valid.

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B. Genesis and Evolution:

1. Early Impulses (Post-WWII):
o Increased interaction between nations.
o US involvement in providing technical assistance for administrative reform in
developing countries (e.g., under Truman's Point Four Program). This
highlighted the inadequacy of simply transplanting Western models.
o Need for a better understanding of administrative systems in newly
independent nations.
2. Comparative Administration Group (CAG) (1960-1971):
o The most significant impetus for the development of CPA as a distinct field.
o Established under the auspices of the American Society for Public
Administration (ASPA).
o Generously funded by the Ford Foundation.
o Chaired by Fred W. Riggs.
o Objectives: To encourage research, teaching, and theory-building in
comparative and development administration.
o Produced a vast amount of literature, including influential Riggsian models.
3. Key Figures Associated with CAG and CPA:
o Fred W. Riggs: Pioneer and leading theorist (Agraria-Industria model,
Prismatic-Sala model, theory of "formalism").
o Ferrel Heady (Bureaucracies in developing countries)
o Dwight Waldo (Supported CPA through his writings)
o John Montgomery, Milton Esman, William J. Siffin.
4. Decline of CAG (Early 1970s):
o Withdrawal of Ford Foundation funding.
o Criticism of its models as too abstract, complex, and difficult to apply
empirically ("Riggsian trap").
o Shift in focus within PA towards New Public Administration and policy analysis.
5. Revival and Contemporary CPA:
o Renewed interest due to globalization, rise of NPM (which was adopted and
adapted differently across countries), transition of former communist states,
and increasing international cooperation.
o Focus on more specific, middle-range theories and empirical studies.
o Concern with issues like governance, corruption, administrative reform in
different contexts, impact of international organizations.
C. Approaches to Comparative Public Administration:

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1. Bureaucratic Approach (Max Weber):

o Uses Weber's ideal-type bureaucracy as a benchmark for comparing
administrative systems (presence/absence of hierarchy, rules, impersonality,
merit, etc.).
o Ferrel Heady used this to classify administrative systems.
2. Structural-Functional Approach (Almond, Riggs):
o Views administrative systems as structures performing certain functions
(e.g., rule-making, rule-application, interest articulation) for the larger
political system.
o Examines how different structures in different countries perform these
functions.
o Riggs's "Sala" model is a prime example, analyzing structures and functions in
"prismatic" (developing) societies.
3. Ecological Approach (Fred Riggs, John Gaus):
o Emphasizes the interaction between the administrative system and its
environment (ecology) – social, cultural, political, economic factors.
o Argues that administrative systems can only be understood in relation to their
specific contexts.
o Riggs's Prismatic-Sala model is heavily ecological.
4. Behavioral Approach:
o Focuses on the actual behavior of administrators and individuals within
organizations, rather than just formal structures.
o Uses methods like surveys, interviews, case studies.
5. Development Administration Focus:
o Compares administrative systems in terms of their capacity to achieve socio-
economic development goals.
o Examines issues like institution-building, planning, project management in
developing countries.
6. Public Policy Approach:
o Compares policy-making processes, policy implementation, and policy
outcomes across different countries.
7. NPM/Governance Approach:
o Compares the adoption and impact of NPM reforms (privatization, contracting
out, performance management) and governance models (networks, PPPs) in
various national settings.
D. Scope of CPA:

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1. Cross-National/Cross-Cultural Comparison: Comparing entire administrative

systems or specific aspects across different countries (e.g., civil service systems in
UK vs. France vs. India).
2. Intra-National Comparison: Comparing administrative units within a single country
(e.g., state-level administration, local governments).
3. Cross-Temporal Comparison: Comparing administrative systems of the same country
at different points in time.
4. Focus Areas:
o Administrative structures and organizations.
o Personnel administration (recruitment, training, promotion).
o Financial administration (budgeting, audit).
o Policy implementation processes.
o Relationship between bureaucracy and political system.
o Role of administration in development.
o Impact of administrative reforms.
o Ethics and corruption.
o Citizen-administration interface.
E. Significance of CPA:
1. Theory Building: Helps develop more generalizable and robust theories of public
administration by testing hypotheses in diverse settings. Overcomes parochialism.
2. Understanding Administrative Systems: Provides deeper insights into why
administrative systems function the way they do in different contexts.
3. Administrative Reform: Offers lessons and best practices from other countries that
can inform administrative reform efforts (though direct transplantation is cautioned
against).
4. International Cooperation: Facilitates understanding and cooperation among
nations in administrative matters.
5. Improving Public Administration Education: Broadens the curriculum and provides
a wider perspective to students.
6. Policy Learning: Enables policymakers to learn from the policy experiences of other
countries.
F. Challenges in CPA:
1. Data Collection: Difficulty in obtaining reliable and comparable data across different
countries due to variations in record-keeping, language barriers, and political
sensitivities.
2. Ethnocentrism/Cultural Bias: Risk of researchers imposing their own cultural values
and assumptions when studying other systems.

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3. Complexity of Variables: Numerous interacting variables (cultural, social, economic,

political) make it hard to isolate causes and effects.
4. Lack of Universal Terminology: Concepts and terms may have different meanings in
different contexts.
5. Over-Emphasis on Grand Theory vs. Practical Application: Early CPA (especially
Riggs) was criticized for being too abstract.
6. Methodological Issues: Finding appropriate units of analysis and robust comparative
methodologies.

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UNIT 2: Organization Theory

Introduction: Organization theory is the study of how organizations function and how they
affect and are affected by the environment in which they operate. It explores different
perspectives on how to structure and manage organizations for efficiency, effectiveness,
and adaptability.

1. Classical Organization Theory (Henri Fayol, Lyndall Urwick, and Luther Gulick)
• Core Idea: This theory emerged in the early 20th century and focuses on the formal
structure of organizations, aiming to find the "one best way" to organize and manage.
It emphasizes efficiency, hierarchy, rules, and specialization. It's often called the
"Administrative Management" school.
• A. Henri Fayol (1841-1925) - "Father of Modern Operational Management Theory"
o Background: French mining engineer and director of mines. Based his
theories on his practical experience.
o Key Work: General and Industrial Management (1916)
o Major Contributions:
1. Universality of Management: Argued that management principles are
applicable to all types of organizations (business, government,
military, etc.).
2. Distinction between Technical & Managerial Skills: Highlighted that
managerial skills become more important as one moves up the
hierarchy.
3. Five Functions of Management (POCCC):
▪ Planning: Devising a course of action.
▪ Organizing: Providing resources (human and material) to
implement the plan.
▪ Commanding (Directing): Guiding and supervising
subordinates.
▪ Coordinating: Harmonizing all activities and efforts.
▪ Controlling: Ensuring activities conform to plans and
correcting deviations.
4. Fourteen Principles of Management:
▪ Division of Work: Specialization increases efficiency.
▪ Authority and Responsibility: Right to give orders and the
power to exact obedience; responsibility is a corollary of
authority.
▪ Discipline: Obedience, application, energy, and respect for
agreements.

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▪ Unity of Command: An employee should receive orders from

one superior only.
▪ Unity of Direction: One head and one plan for a group of
activities having the same objective.
▪ Subordination of Individual Interest to General Interest: The
interests of the organization should take precedence over
individual interests.
▪ Remuneration of Personnel: Fair pay for services rendered.
▪ Centralization: Degree to which authority is concentrated at
the top. Finding the optimal balance.
▪ Scalar Chain (Hierarchy): Line of authority from top to
bottom. Communication should follow this chain, but
"gangplank" (direct horizontal communication) is allowed if
necessary and approved.
▪ Order: A place for everything and everyone, and everything
and everyone in its place (material and social order).
▪ Equity: Kindness and justice in dealing with employees.
▪ Stability of Tenure of Personnel: Minimizing employee
turnover; high turnover is inefficient.
▪ Initiative: Allowing employees to think out and execute plans.
▪ Esprit de Corps: Harmony and union among personnel; "union
is strength."
• B. Lyndall Urwick (1891-1983) & Luther Gulick (1892-1993)
o Background: Both were influential in applying classical principles, especially
in public administration. They synthesized and expanded Fayol's ideas.
o Key Work (Gulick & Urwick, eds.): Papers on the Science of
Administration (1937)
o Lyndall Urwick:
▪ Further elaborated on principles of organization, emphasizing
structure and coordination.
▪ Formulated 8 principles of organization (e.g., Principle of Objective,
Principle of Specialization, Principle of Coordination, Principle of
Authority, etc.).
▪ Stressed the importance of matching individuals to the structure.
o Luther Gulick:
▪ Famous for the acronym POSDCORB, representing the functions of an
executive:
▪ Planning

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▪ Organizing
▪ Staffing (recruiting, training, and maintaining personnel)
▪ Directing
▪ Coordinating
▪ Reporting (keeping superiors and subordinates informed)
▪ Budgeting (fiscal planning, accounting, and control)
▪ Emphasized principles like "Unity of Command" and "Span of Control"
(the number of subordinates a manager can effectively supervise).
• Strengths of Classical Theory:
o Provided a systematic framework for understanding management.
o Emphasized efficiency and productivity.
o Offered clear guidelines for structuring organizations.
• Criticisms of Classical Theory:
o Too mechanistic, viewing organizations as machines and employees as cogs.
o Neglects the human element, social-psychological aspects, and informal
organization.
o Principles are often seen as too rigid, vague, or contradictory (e.g.,
specialization vs. unity of command).
o Based on a "closed system" perspective, not adequately considering the
external environment.
o Herbert Simon called the principles "proverbs" due to their lack of empirical
validation and contradictory nature.

2. Scientific Management Theory (F.W. Taylor)

• Core Idea: Developed by Frederick Winslow Taylor, this theory focuses on improving
efficiency and productivity at the shop-floor level by applying scientific methods to
analyze and standardize work.
• Frederick Winslow Taylor (1856-1915) - "Father of Scientific Management"
o Background: American mechanical engineer. Concerned with inefficiencies
in industrial work.
o Key Work: The Principles of Scientific Management (1911)
o Philosophy: To secure maximum prosperity for the employer, coupled with
maximum prosperity for each employee, through the application of scientific
methods.
o Key Principles/Elements:

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1. Science, Not Rule of Thumb: Replace old, traditional work methods

with scientifically determined methods for each element of a man's
work.
2. Harmony, Not Discord: Foster cooperation and understanding
between management and workers, rather than conflict. Mental
revolution for both sides.
3. Cooperation, Not Individualism: Encourage teamwork and
collaboration to achieve organizational goals.
4. Development of Each and Every Person to His/Her Greatest
Efficiency and Prosperity: Scientifically select, train, teach, and
develop workers. Match workers to jobs they are suited for.
5. Division of Responsibility: Management takes over all work for which
it is better fitted than the workmen (e.g., planning, designing work).
o Techniques of Scientific Management:
▪ Time Study: Determining the standard time required to perform a
job.
▪ Motion Study (Frank & Lillian Gilbreth): Analyzing and eliminating
wasteful motions.
▪ Standardization of Tools and Equipment: Using standardized,
efficient tools.
▪ Functional Foremanship: Dividing supervisory tasks among several
specialized foremen (e.g., route clerk, instruction card clerk, time
and cost clerk, shop disciplinarian, gang boss, speed boss, repair boss,
inspector). This violates "unity of command."
▪ Differential Piece-Rate System: Paying workers based on their
output; higher rates for those exceeding standard output, lower for
those below.
▪ Scientific Selection and Training of Workers.
• Contributions of Scientific Management:
o Significant increases in productivity and efficiency.
o Laid the foundation for modern industrial engineering and work study.
o Emphasized systematic analysis and measurement.
o Improved working conditions and wages for some workers.
• Criticisms of Scientific Management:
o Dehumanizing: Treated workers as machines, ignoring their social and
psychological needs.
o Exploitative: Seen by unions as a way to extract more work for less pay.
o Oversimplification: Assumed "economic man" motivated solely by money.

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o Authoritarian: Increased management control and reduced worker

autonomy.
o Limited Scope: Focused primarily on shop-floor operations.
o Opposition from Management: Some managers resisted the loss of their
traditional authority.

3. Bureaucratic Theory (Max Weber) and Post-Bureaucratic Theory

• A. Bureaucratic Theory (Max Weber, 1864-1920)
o Background: German sociologist, economist, and political scientist. Studied
power, authority, and large-scale organizations.
o Core Idea: Bureaucracy is an "ideal type" of organization characterized by
rationality, impersonality, and efficiency, designed to achieve organizational
goals in the most effective manner. It's based on rational-legal authority.
o Weber's Three Types of Legitimate Authority:
1. Traditional Authority: Legitimacy based on custom, tradition, or
established belief in the sanctity of a ruler (e.g., monarchy).
2. Charismatic Authority: Legitimacy based on the exceptional personal
qualities, heroism, or sanctity of a leader (e.g., religious prophet,
revolutionary leader).
3. Rational-Legal Authority: Legitimacy based on a belief in the legality
of enacted rules and the right of those elevated to authority under
such rules to issue commands (found in bureaucracy).
o Characteristics of Weber's Ideal Bureaucracy:
1. Hierarchy of Authority: Clearly defined chain of command.
2. Division of Labor/Specialization: Tasks are divided into specialized
jobs.
3. Formal Rules and Regulations: Written rules govern actions and
decisions, ensuring uniformity and predictability.
4. Impersonal Relationships: Officials conduct business impersonally,
without personal bias or favoritism.
5. Career Orientation/Merit-Based Employment &
Promotion: Selection and promotion based on technical qualifications
and performance, not personal connections.
6. Written Documentation (Files): Decisions and actions are recorded in
writing, ensuring continuity and accountability.
7. Separation of Official and Personal Property: Officials do not own
the means of administration.
o Strengths of Bureaucracy:

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▪ Efficiency and precision.

▪ Predictability and consistency.
▪ Fairness and impartiality (in theory).
▪ Stability and continuity.
▪ Reduces arbitrariness in decision-making.
o Criticisms of Bureaucracy (Weber's Critics & Dysfunctions):
▪ Robert Merton: "Bureaucratic Personality" – over-conformity to rules,
rigidity, goal displacement (rules become ends in themselves),
impersonality leading to poor client relations.
▪ Philip Selznick: Co-optation (informal incorporation of external
elements into an organization's decision-making to avert threats), sub-
unit goals conflicting with organizational goals, informal structures.
▪ Alvin Gouldner: Identified different patterns of bureaucracy (mock,
representative, punishment-centered) based on how rules are
perceived and enforced. Rules can create tensions.
▪ Michel Crozier: Bureaucracy as a "vicious cycle"; impersonal rules and
centralization lead to limited discretion, but areas of uncertainty
become sources of power, hindering change.
▪ General Criticisms:
▪ Red Tape/Rigidity: Slows down decision-making and
adaptation.
▪ Alienation of Employees: Due to strict rules and
impersonality.
▪ Resistance to Change: Bureaucracies are often inflexible.
▪ Neglect of Informal Organization: Focuses solely on formal
structure.
▪ Not always efficient: Can become bogged down in procedures.
• B. Post-Bureaucratic Theory
o Context: Emerged in response to the limitations of classical bureaucratic
models in a rapidly changing, complex, and globalized world (information
age, knowledge economy).
o Core Idea: Organizations need to be more flexible, adaptive, decentralized,
and participative than traditional bureaucracies allow. Focus on outcomes,
empowerment, and continuous learning.
o Key Characteristics (Contrasting with Bureaucracy):
▪ Flexibility and Adaptability: vs. Rigidity.
▪ Decentralization and Empowerment: vs. Centralized Hierarchy.

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▪ Team-Based Structures/Networks: vs. Strict Division of Labor.

▪ Focus on Customers/Clients: vs. Internal Focus.
▪ Emphasis on Skills and Expertise: vs. Position/Rank.
▪ Open Communication and Information Sharing: vs. Restricted
Channels.
▪ Results-Oriented Control: vs. Rule-Based Control.
▪ Continuous Learning and Innovation: vs. Stability and Routine.
o Examples of Post-Bureaucratic Forms:
▪ Network Organizations: Loosely coupled entities collaborating for
specific projects.
▪ Virtual Organizations: Geographically dispersed members linked by
ICT.
▪ Learning Organizations (Peter Senge): Organizations that facilitate
the learning of their members and continuously transform themselves.
▪ Team-based structures, Matrix organizations (partially).
o Challenges of Post-Bureaucratic Models:
▪ Maintaining accountability and control.
▪ Potential for role ambiguity and stress.
▪ Requires a high degree of trust and skilled workforce.
▪ May not be suitable for all types of tasks or environments.

4. Human Relations Theory (Elton Mayo) and Ecological Approach (Fred Riggs)
• A. Human Relations Theory (Elton Mayo, 1880-1949)
o Context: Emerged as a reaction to the perceived failures of classical theories
(Scientific Management, Classical Administrative Theory) to fully account for
worker behavior and productivity. Gained prominence with the Hawthorne
Studies.
o Elton Mayo: Australian psychologist, key figure associated with the
Hawthorne Studies.
o Core Idea: Social and psychological factors in the workplace are major
determinants of employee morale and productivity, often more important
than physical conditions or economic incentives. Focus on the "social man"
rather than the "economic man."
o Hawthorne Studies (conducted at Western Electric Company's Hawthorne
plant in Cicero, Illinois, 1924-1932):
1. Illumination Experiments (1924-1927):

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▪ Aim: To study the effect of lighting levels on productivity.

▪ Finding: Productivity increased not only when light was
increased but also when it was decreased, and even in the
control group. Concluded that factors other than illumination
were at play.
2. Relay Assembly Test Room Experiments (1927-1932):
▪ Small group of women assembly workers observed under
varying conditions (rest periods, shorter workdays,
refreshments, pay incentives).
▪ Finding: Productivity generally increased regardless of
changes. Attributed to factors like:
▪ Feeling of importance due to being selected and
observed.
▪ Friendly supervision and greater freedom.
▪ Development of a cohesive social group.
3. Mass Interviewing Program (1928-1930):
▪ Over 21,000 interviews to understand employee attitudes and
sentiments.
▪ Finding: Workers' complaints often reflected underlying
personal or social issues rather than objective problems.
Revealed the importance of employee attitudes and the
opportunity to be heard.
4. Bank Wiring Observation Room Study (1931-1932):
▪ Observation of a group of 14 male workers in a natural setting.
▪ Finding: Existence of informal group norms that restricted
output (e.g., not working too fast - "rate buster," not working
too slow - "chiseler"). Social pressures were more powerful
than management incentives.
o Key Contributions/Principles of Human Relations Theory:
▪ Importance of Informal Groups: Organizations are social systems
with informal groups that significantly influence behavior.
▪ Social and Psychological Needs: Workers are motivated by more than
just money; they seek belonging, recognition, and good interpersonal
relations.
▪ Non-Economic Rewards and Sanctions: Group acceptance and social
rewards are powerful motivators.
▪ Participative Management & Communication: Involving employees in
decision-making and maintaining open communication can improve
morale and productivity.

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▪ "Hawthorne Effect": The phenomenon where subjects in an

experiment modify their behavior simply because they are being
observed or are receiving special attention.
o Criticisms of Human Relations Theory:
▪ Methodological Flaws: Hawthorne studies criticized for lack of
scientific rigor, poor research design, and biased interpretation.
▪ Overemphasis on Social Factors: Neglected economic and structural
factors.
▪ "Cow Sociology": Accused of being a tool for management to
manipulate workers and prevent unionization by keeping them
"happy."
▪ Limited View of Conflict: Assumed harmony was always ideal and
conflict was always bad.
▪ Simplistic View of Human Motivation: Still a somewhat limited view,
though an improvement over "economic man."
• B. Ecological Approach (Fred W. Riggs, 1917-2008)
o Context: Developed within the field of Comparative Public Administration
(CPA), particularly in the post-World War II era when Western scholars began
studying administrative systems in newly independent developing countries.
o Fred W. Riggs: Leading theorist in CPA.
o Core Idea: Administrative systems cannot be understood in isolation; they
are deeply influenced by and interact with their external environment
(ecology – i.e., social, cultural, economic, political, and historical factors).
Administrative models successful in one context (e.g., the West) may not be
effective in another.
o Key Concepts and Models:
1. Agraria-Industria Model (Early Model):
▪ Agraria: Traditional, agricultural societies with ascriptive
values, particularism, and diffuse social structures.
▪ Industria: Modern, industrial societies with achievement-
oriented values, universalism, and specific, differentiated
social structures.
▪ This model was later found too simplistic (dichotomous).
2. Fused-Prismatic-Diffracted Model (More Developed Model):
▪ Fused Society: (Corresponds to Agraria) Traditional society
where a single structure performs many functions (e.g., family
handles economic, political, social, religious functions). Low
degree of differentiation and specialization.
▪ Diffracted Society: (Corresponds to Industria) Modern,
developed society with a high degree of structural

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differentiation and functional specificity. Each structure

performs a limited, specialized set of functions (e.g., separate
economic, political, educational institutions).
▪ Prismatic Society: (Transitional Societies – Riggs' main focus,
e.g., developing countries)
▪ Exhibits a mix of fused and diffracted characteristics.
▪ Heterogeneity: Coexistence of modern and traditional
norms, structures, and practices.
▪ Formalism: A wide gap exists between formally
prescribed rules/norms (often borrowed from
diffracted societies) and actual practices/behavior
(often rooted in traditional norms). "What is said is not
what is done."
▪ Overlapping: New, diffracted-like structures are
established, but older, fused structures continue to
perform similar functions, leading to confusion and
inefficiency. For example, a modern bureaucracy
(formal structure) exists alongside traditional
kinship/patronage networks (informal influence).
3. "Sala" Model: The administrative sub-system or bureau within a
prismatic society.
▪ Characterized by nepotism, corruption, inefficiency,
preferment based on ascriptive criteria (family, caste,
ethnicity) rather than merit.
▪ Power is often centralized, but control is weak due to
formalism.
▪ Focus on self-interest rather than public interest.
4. Bazaar-Canteen Model: Economic subsystem in prismatic societies.
▪ "Bazaar" represents market-like elements with price
indeterminacy and bargaining.
▪ "Canteen" represents elements where prices are fixed by
administrative or political influence (subsidies, controlled
prices).
o Contributions of Ecological Approach:
▪ Highlighted the importance of the environment in shaping
administrative systems.
▪ Provided a framework for understanding administrative challenges in
developing countries.
▪ Challenged the universal applicability of Western administrative
theories.

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▪ Pioneered comparative analysis in public administration.

o Criticisms of Ecological Approach:
▪ Overly Complex Terminology: Riggs' jargon (e.g., "clects," "poly-
functionalism") made the theory difficult to understand and apply.
▪ Deterministic: Seen by some as suggesting that developing countries
are trapped by their environment.
▪ Negative Portrayal: Criticized for focusing too much on the negative
aspects of prismatic societies.
▪ Limited Prescriptive Value: While good at explaining, it offered few
concrete solutions for administrative reform.
▪ Ethnocentric Bias: Some argue that the "diffracted" model
(representing the West) was implicitly presented as the ideal
endpoint.

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UNIT 3: Principles of Organization

Introduction: Principles of organization are guidelines for designing an organizational
structure and managing it effectively. They help in achieving objectives by providing a
framework for the systematic arrangement of work, authority, and resources.

1. Hierarchy, Authority, and Span of Control

• A. Hierarchy (Scalar Principle)
o Concept: Hierarchy refers to a graded chain of command or levels of
authority in an organization, from the highest to the lowest. It involves a
vertical division of authority and responsibility.
o Scalar Principle (Fayol): This principle states that there should be a clear
and unbroken line of authority and command running from the top to the
bottom of the organization. It defines the path through which communication
flows and decisions are made.
o Characteristics/Features:
1. Chain of Command: Orders and instructions flow downwards, while
accountability and reports flow upwards.
2. Levels of Management: Top, middle, and lower levels, each with
distinct responsibilities.
3. Unity of Command (Related Principle): Each subordinate should
report to and receive orders from only one superior. This avoids
confusion and conflicting instructions.
4. Pyramidal Structure: Typically, fewer positions at the top and more
at the bottom.
o Advantages:
▪ Ensures clear lines of authority and responsibility.
▪ Promotes discipline and order.
▪ Facilitates coordination by linking different levels.
▪ Provides clear channels for communication (though sometimes slow).
▪ Systematic decision-making.
o Disadvantages:
▪ Can lead to rigidity and inflexibility.
▪ Communication can be slow and distorted as it passes through
multiple levels.
▪ May stifle initiative and creativity at lower levels.
▪ Can create distance between top management and lower-level
employees.

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▪ "Red-tapism" or excessive procedural delays.

• B. Authority
o Concept: Authority is the legitimate right or power to give orders, make
decisions, and enforce obedience within an organization. It is vested in a
position and is accepted by subordinates.
o Relationship with Power & Responsibility:
▪ Power: The ability to influence behavior, with or without legitimate
right. Authority is a form of power, but it's legitimized power.
▪ Responsibility: The obligation to perform assigned tasks and achieve
certain results. Authority should be commensurate with responsibility
(Parity Principle).
o Types/Sources of Authority (Max Weber):
1. Traditional Authority: Based on established customs, traditions, and
belief in the sanctity of a position (e.g., monarch).
2. Charismatic Authority: Based on the exceptional personal qualities,
heroism, or appeal of a leader.
3. Rational-Legal Authority: Based on a system of established laws,
rules, and procedures. Authority is vested in the office or position, not
the person (characteristic of bureaucracy).
o Other Perspectives on Authority:
▪ Formal Authority Theory: Authority flows downwards from the top of
the hierarchy.
▪ Acceptance Theory of Authority (Chester Barnard): Authority
depends on its acceptance by subordinates. A subordinate accepts an
order if:
▪ They understand the communication.
▪ They believe it is consistent with organizational purposes.
▪ They believe it is compatible with their personal interests.
▪ They are mentally and physically able to comply.
▪ Authority of the Situation (Mary Parker Follett): Authority arises
from the demands of a particular situation or expertise, rather than
just position.
o Characteristics of Authority:
▪ Legitimacy.
▪ Right to make decisions.
▪ Right to get things done through others.
▪ Enforceable.

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o Limits to Authority:
▪ Legal and constitutional limits.
▪ Social norms and values.
▪ Technical competence of the authority holder.
▪ Physical and mental limitations of subordinates.
▪ Informal group pressures.
• C. Span of Control (Span of Management)
o Concept: Refers to the number of subordinates that a manager or supervisor
can directly and effectively manage.
o V.A. Graicunas: A management consultant who mathematically demonstrated
that as the number of subordinates increases arithmetically, the number of
potential relationships (direct single, direct group, cross-relationships) a
manager has to manage increases geometrically. This highlighted the
complexity involved in managing more subordinates.
o Types of Spans:
1. Narrow Span of Control: A manager supervises few subordinates.
▪ Leads to a tall organizational structure (many hierarchical
levels).
▪ Advantages: Close supervision, better communication
between superior and immediate subordinates, tight control.
▪ Disadvantages: More levels, slower decision-making, higher
administrative costs, can demotivate subordinates due to over-
supervision.
2. Wide Span of Control: A manager supervises many subordinates.
▪ Leads to a flat organizational structure (few hierarchical
levels).
▪ Advantages: Faster decision-making, lower administrative
costs, more autonomy and empowerment for subordinates,
better communication across levels.
▪ Disadvantages: Less direct supervision, potential for loss of
control, risk of overburdening managers, requires highly
competent subordinates.
o Factors Influencing Span of Control:
1. Nature of Work: Routine and standardized work allows for a wider
span; complex and varied work requires a narrower span.
2. Capacity/Skill of the Superior: More competent and experienced
managers can handle a wider span.

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3. Capacity/Skill of Subordinates: Well-trained and self-motivated

subordinates allow for a wider span.
4. Degree of Decentralization: More decentralization allows for a wider
span as subordinates have more decision-making authority.
5. Clarity of Plans and Policies: Clear plans and policies reduce the need
for frequent consultation, allowing a wider span.
6. Effectiveness of Communication Systems: Efficient communication
tools can support a wider span.
7. Geographical Dispersion: Widely dispersed subordinates may require
a narrower span.
8. Level of Organization: Top-level managers often have a narrower
span (dealing with policy) than lower-level supervisors (dealing with
operations).

2. Centralization, Decentralization, and Delegation

• A. Centralization
o Concept: The systematic and consistent reservation of authority at central
points within an organization. Decision-making power is concentrated in the
hands of top management. Lower levels have limited or no discretion.
o Characteristics:
▪ Decision-making authority rests with top executives.
▪ Limited autonomy for lower levels.
▪ Suitable for small organizations or in times of crisis requiring quick,
unified decisions.
o Advantages:
▪ Uniformity of policy and action.
▪ Strong control and coordination.
▪ Quick decision-making by a few individuals (especially in
emergencies).
▪ Avoids duplication of effort.
▪ Effective utilization of expertise concentrated at the top.
o Disadvantages:
▪ Overburdens top management.
▪ Slows down routine decision-making.
▪ Can demotivate lower-level employees and reduce initiative.
▪ Decisions may be made by those distant from the actual situation.

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▪ Less flexibility and adaptability at lower levels.

• B. Decentralization
o Concept: The systematic dispersal of decision-making authority throughout
the lower levels of an organization's hierarchy. It involves granting
subordinates significant autonomy to make decisions related to their areas of
responsibility.
o Note: Centralization and decentralization are a continuum; organizations are
rarely fully one or the other. The degree depends on the situation.
o Characteristics:
▪ Decision-making authority is pushed down to lower levels.
▪ Greater autonomy and responsibility for managers at various levels.
▪ Promotes employee participation.
o Advantages:
▪ Reduces burden on top management.
▪ Facilitates faster decision-making for routine matters.
▪ Develops skills and initiative of subordinates.
▪ Increases employee motivation and morale.
▪ Greater flexibility and adaptability to local conditions.
▪ Better decisions as they are made closer to the point of action.
o Disadvantages:
▪ Potential for lack of uniformity in policies and actions.
▪ Difficulties in coordination between different units.
▪ May lead to sub-unit goals overriding organizational goals.
▪ Requires highly competent personnel at lower levels.
▪ Can be expensive due to potential duplication of functions.
▪ Risk of loss of overall control if not managed properly.
• C. Delegation
o Concept: The process by which a manager assigns a portion of their authority
and responsibility to a subordinate to accomplish specific tasks. It is a
prerequisite for decentralization.
o Distinction from Decentralization: Delegation is a process between a
superior and a subordinate, while decentralization is a broader organizational
philosophy regarding the distribution of authority. Delegation can occur even
in a centralized structure.
o Elements of Delegation:

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1. Authority: Granting the right to make decisions and take actions.

2. Responsibility: Creating an obligation on the part of the subordinate to perform the
assigned duties.
3. Accountability: The subordinate's liability for the proper discharge of duties and use
of authority. Accountability cannot be delegated; the manager remains ultimately
accountable for the subordinate's performance.
o Importance/Advantages of Delegation:
▪ Reduces workload of managers, allowing them to focus on strategic
tasks.
▪ Develops skills and capabilities of subordinates.
▪ Motivates subordinates and increases job satisfaction.
▪ Facilitates quicker decision-making.
▪ Foundation for effective functioning of the organization.
o Principles of Effective Delegation:
▪ Principle of Parity of Authority and Responsibility: Authority granted
should be equal to the responsibility assigned.
▪ Principle of Absoluteness of Accountability (or Responsibility): The
superior remains ultimately accountable for the tasks delegated.
▪ Principle of Clarity of Delegation: Duties, authority, and expected
results should be clearly defined.
▪ Principle of Unity of Command: Subordinates should receive
delegated authority from only one superior for a specific task.
▪ Authority Level Principle: Decisions should be made at the lowest
competent level where information is available.
o Barriers to Effective Delegation:
▪ On the part of the Superior (Reluctance to Delegate):
▪ "I can do it better myself" attitude.
▪ Lack of confidence in subordinates.
▪ Fear of losing control or importance.
▪ Fear of subordinates outshining them.
▪ Lack of ability to direct or train.
▪ On the part of the Subordinate (Reluctance to Accept Delegation):
▪ Fear of criticism or failure.
▪ Lack of confidence or skills.
▪ Feeling overloaded with work.

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▪ Lack of adequate information or resources.

▪ Lack of positive incentives.
▪ On the part of the Organization:
▪ Lack of clear delegation policies.
▪ Centralized culture.
▪ Poor control and communication systems.

3. Chief Executive: Concept, Types, and Roles

• A. Concept of Chief Executive (CE)
o Definition: The Chief Executive is the individual or body at the apex of an
organization's administrative hierarchy, vested with the ultimate authority
and responsibility for managing the organization and achieving its objectives.
o Key Aspects:
▪ Leader and head of the administration.
▪ Responsible for policy formulation (or contributing to it) and its
execution.
▪ Ensures coordination and control within the organization.
▪ Represents the organization to the external world.
▪ Holds ultimate accountability for organizational performance.
o Titles: Can vary (e.g., President, Prime Minister, Governor in government;
CEO, Managing Director, General Manager in business; Vice-Chancellor in
universities; Director in institutes).
• B. Types of Chief Executives
1. Based on Number:
▪ Single Chief Executive: Authority is vested in one individual (e.g.,
President of USA, Prime Minister of India, CEO of a company).
▪ Advantages: Unity of command, quick decision-making, decisiveness, clear
accountability, effective in emergencies.
▪ Disadvantages: Potential for autocracy, overburdening of a single
individual, decisions may lack diverse perspectives.
▪ Plural/Collegial/Commission Chief Executive: Authority is vested in
a group or body of individuals (e.g., Swiss Federal Council, Election
Commission of India, Board of Directors).
▪ Advantages: Deliberative decision-making, diverse perspectives, checks on
arbitrary power, continuity.

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▪ Disadvantages: Slower decision-making, diffusion of responsibility

(difficult to pinpoint accountability), potential for internal conflicts or
indecision.
2. Based on Mode of Appointment/Tenure:
▪ Political Chief Executive: Selected through political processes
(election or appointment by political head) and tenure is often fixed
or dependent on political support (e.g., President, Prime Minister,
Ministers). Their role involves political leadership and policy
direction.
▪ Non-Political/Career/Permanent Chief Executive: Rises through a
career service based on merit and seniority, with a more permanent
tenure (e.g., Cabinet Secretary, Secretaries of government
departments). Primarily responsible for administrative
implementation and advice.
▪ Hereditary Chief Executive: Position inherited based on birth (e.g.,
Monarchs). Less common in modern administrative systems but
historically significant.
3. Parliamentary vs. Presidential Chief Executive (in Government):
▪ Parliamentary CE (e.g., Prime Minister): Member of the legislature,
responsible to it, head of government (Head of State is often separate,
e.g., a President or Monarch).
▪ Presidential CE (e.g., President of USA): Head of State and Head of
Government, usually directly elected, separate from the legislature,
not directly responsible to it on a day-to-day basis.
• C. Roles of the Chief Executive
o The roles are multifaceted and vary depending on the type and nature of the
organization.
o General Roles (often overlapping):
1. Leader: Providing vision, direction, motivation, and inspiration.
2. Policy Maker/Formulator: Initiating, shaping, and deciding on organizational policies
(or significantly influencing them).
3. Chief Planner: Setting goals, objectives, and strategies for the future.
4. Chief Administrator/Organizer: Designing the organizational structure, allocating
resources, and establishing procedures.
5. Director/Commander: Issuing orders and instructions, guiding operations.
6. Coordinator: Ensuring harmonious functioning of different parts of the organization.
7. Controller/Supervisor: Monitoring performance, ensuring compliance with plans and
standards, taking corrective action.
8. Chief Communicator: Transmitting information internally and externally.

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9. Chief Spokesperson/Representative: Representing the organization to

stakeholders, the public, and other entities.
10. Chief Personnel Officer (Overseer): Overseeing recruitment, training, motivation,
and discipline of staff.
11. Chief Financial Officer (Overseer): Overseeing budgeting, financial control, and
resource management.
12. Problem Solver/Troubleshooter: Addressing crises and resolving conflicts.
o Gulick's POSDCORB Functions: These functions (Planning, Organizing,
Staffing, Directing, Coordinating, Reporting, Budgeting) are essentially the
core administrative roles performed or overseen by the Chief Executive.
o Mintzberg's Managerial Roles (Highly Important for NET): Henry Mintzberg
identified 10 managerial roles grouped into 3 categories, which are directly
applicable to Chief Executives:
1. Interpersonal Roles: (Stemming from formal authority)
▪ Figurehead: Performs symbolic, ceremonial duties (e.g., greeting visitors,
signing documents).
▪ Leader: Motivates and directs subordinates, responsible for staffing,
training.
▪ Liaison: Maintains a network of outside contacts and informers who provide
favors and information.
2. Informational Roles: (Related to receiving and transmitting information)
▪ Monitor: Seeks and receives a wide variety of information (internal and
external) to develop a thorough understanding of the organization and
environment.
▪ Disseminator: Transmits information received from outsiders or from other
subordinates to members of the organization.
3.Decisional Roles: (Related to making significant choices)
* Entrepreneur: Searches the organization and its environment for opportunities and
initiates improvement projects to bring about change; supervises design of certain
projects.
* Disturbance Handler: Responsible for corrective action when the organization faces
important, unexpected disturbances or crises.
* Resource Allocator: Responsible for the allocation of organizational resources of all
kinds – in effect, the making or approval of all significant organizational decisions (e.g.,
scheduling, budgeting, programming subordinates' work).
* Negotiator: Responsible for representing the organization at major negotiations (e.g.,
with unions, suppliers, clients).

4. Specific Roles in Public Administration:

▪ Political Roles: (For political CEs) Mobilizing support, managing political
relationships, responding to public opinion.

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▪ Administrative Roles: Implementing laws and policies, managing public

services, ensuring accountability.
▪ Mediator/Arbitrator: Resolving conflicts between different agencies or
interests.

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UNIT 4: Financial Administration

Core Concept: Financial Administration refers to the set of activities concerned with the
planning, raising, allocating, spending, controlling, and accounting of public funds to
achieve public policy objectives efficiently and effectively. It's the lifeblood of public
administration.

1. Importance and Role in Public Administration

• Importance:
o Resource Mobilization & Allocation: Essential for gathering funds (taxes,
loans, etc.) and distributing them to various government activities and
programs.
o Policy Implementation: Finance is the primary instrument for translating
government policies and plans into action. Without funds, policies remain on
paper.
o Accountability & Transparency: Ensures that public money is spent wisely,
for intended purposes, and that officials are answerable for financial
decisions. Promotes public trust.
o Economic Stability & Growth: Fiscal policies managed through financial
administration influence economic growth, inflation, employment, and
overall stability.
o Efficiency & Effectiveness: Promotes optimal use of scarce resources,
preventing waste and ensuring value for money in public services.
o Public Welfare: Enables the government to provide essential public services
(health, education, infrastructure, social security) and undertake
developmental activities.
o Control & Coordination: Acts as a mechanism for central control and
coordination of diverse governmental activities.
• Role in Public Administration:
o Financial Planning: Forecasting financial needs and resources.
o Budgeting: Preparing the annual financial plan (the budget).
o Revenue Administration: Collection of taxes and non-tax revenues.
o Expenditure Management: Controlling and regulating public spending.
o Accounting: Recording, classifying, and summarizing financial transactions.
o Auditing: Independent examination of accounts to ensure legality, propriety,
and efficiency of expenditure.
o Debt Management: Managing government borrowings and repayments.
o Reporting: Providing financial information to the legislature and the public.

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o Ensuring Fiscal Discipline: Maintaining a healthy balance between revenue

and expenditure.

2. Agencies of Financial Administration

• a) Legislature (Parliament/State Legislatures):
o Role: Ultimate authority over the public purse. "No taxation without
representation."
o Functions:
▪ Authorization of Taxation: Only legislature can levy taxes (via
Finance Act).
▪ Authorization of Expenditure: Approves the budget and authorizes
spending from the Consolidated Fund (via Appropriation Act).
▪ Scrutiny of Financial Performance: Through debates, questions, and
financial committees.
▪ Key Financial Committees:
▪ Public Accounts Committee (PAC): Examines CAG reports,
scrutinizes appropriation accounts. Ensures expenditure
conforms to authorization.
▪ Estimates Committee: Examines budget estimates for
economy and efficiency, suggests alternative policies.
"Continuous economy committee."
▪ Committee on Public Undertakings (CoPU): Examines reports
and accounts of PSUs and CAG reports on them.
o Constitutional Provisions (India):
▪ Article 112: Annual Financial Statement (Budget).
▪ Article 114: Appropriation Bills.
▪ Article 265: No tax shall be levied or collected except by authority of
law.
▪ Article 266: Consolidated Funds and Public Accounts.
• b) Executive (Government – Council of Ministers, Ministry of Finance):
o Role: Responsible for the formulation, execution, and day-to-day
management of finances.
o Functions:
▪ Budget Formulation: Prepares the budget for presentation to the
legislature.
▪ Policy Formulation: Develops fiscal, taxation, and expenditure
policies.

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▪ Revenue Collection: Oversees the machinery for tax collection.

▪ Expenditure Control: Implements the budget, manages spending, and
ensures adherence to financial rules.
▪ Debt Management: Manages public borrowing and repayment.
▪ Financial Reporting: Prepares accounts and reports for scrutiny.
o The Ministry of Finance is the nodal agency within the Executive. In India, it
comprises:
▪ Department of Economic Affairs (Budget Division is key here)
▪ Department of Expenditure
▪ Department of Revenue
▪ Department of Investment and Public Asset Management (DIPAM)
▪ Department of Financial Services
• c) Treasury (Ministry of Finance, specifically Budget Division/Dept. of Economic
Affairs & Dept. of Expenditure):
o Role: Historically, the treasury was the custodian of public funds. In modern
context, it refers to the core financial functions within the Ministry of
Finance.
o Functions:
▪ Central role in budget preparation and coordination.
▪ Control over public expenditure to ensure it's within authorized limits
and according to rules.
▪ Management of cash flows of the government.
▪ Formulation of financial rules and regulations.
▪ Advising government departments on financial matters.
▪ Often acts as a "gatekeeper" for spending proposals.
• d) Controller and Auditor General (CAG):
o Role: Supreme audit institution, acts as a watchdog over public finances.
Ensures financial accountability of the executive to the legislature.
o Constitutional Status (India): Independent constitutional authority (Articles
148-151).
▪ Article 148: Appointment, conditions of service of CAG (ensures
independence).
▪ Article 149: Duties and Powers of CAG.
▪ Article 150: Form of accounts of the Union and States (prescribed by
President on advice of CAG).

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▪ Article 151: Audit Reports (submitted to President/Governor, laid

before Parliament/State Legislature).
o Functions:
▪ Audits all receipts and expenditures of the Government of India and
State Governments, including those of bodies and authorities
substantially financed by government.
▪ Verifies whether money shown as disbursed was legally available,
applicable, and charged to the service or purpose for which it was
applied.
▪ Conducts:
▪ Financial Audit: Verifying accuracy of financial statements.
▪ Compliance Audit: Checking adherence to laws, rules, and
regulations.
▪ Performance Audit (Value for Money Audit): Examining
economy, efficiency, and effectiveness of programs and
projects.
▪ Acts as a "friend, philosopher, and guide" to the Public Accounts
Committee (PAC).
o Independence: Secured through fixed tenure, removal process similar to a
Supreme Court judge, salary charged on Consolidated Fund of India, not
eligible for further office under government.

3. Budget Formulation and Execution

• Budget: An annual financial statement containing estimates of anticipated revenue
and proposed expenditure of the government for a financial year (April 1 - March 31
in India). It's a tool for policy implementation, financial control, and accountability.
o Constitutional Basis (India): Article 112 (Union Budget) & Article 202 (State
Budget) – termed "Annual Financial Statement."
• Principles of Budgeting:
o Annuality: Budget is for one financial year.
o Comprehensiveness (Gross Budgeting): All revenues and expenditures
should be included.
o Accuracy: Estimates should be as precise as possible.
o Clarity: Easily understandable.
o Unity: All revenues and expenditures in a single budget.
o Rule of Lapse: Unspent balances lapse at the end of the financial year
(requires re-authorization).
o Budget should be balanced (or planned deficit/surplus): Ideally.

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o Publicity: Budget should be made public.

• Budget Formulation (Preparation & Enactment):
1. Preparation of Estimates: Administrative ministries/departments prepare estimates
of their expenditure needs and revenue projections.
2. Scrutiny by Ministry of Finance (MoF): MoF (Budget Division) scrutinizes these
estimates, holds discussions, and makes modifications based on policy priorities and
resource availability.
3. Consolidation by MoF: MoF consolidates all estimates into the budget document.
4. Cabinet Approval: The draft budget is presented to the Council of Ministers/Cabinet
for approval.
5. Presentation to Legislature: Finance Minister presents the Budget in Parliament (Lok
Sabha).
6. General Discussion: Overall budget proposals and principles are discussed. No
voting.
7. Scrutiny by Departmental Standing Committees: Demands for Grants of various
ministries are referred to these committees for detailed examination (usually for a fixed
period).
8. Voting on Demands for Grants: Lok Sabha votes on individual Demands for Grants.
Rajya Sabha can only discuss, not vote. Cut motions can be moved here.
9. Passing of Appropriation Bill: Consolidates all voted Demands for Grants and
Charged Expenditures. Its passage authorizes withdrawal of money from the Consolidated
Fund. (Article 114)
10. Passing of Finance Bill: Contains government's taxation proposals. Its passage gives
legal effect to these proposals. (Article 110 defines it as a Money Bill)
11. President's/Governor's Assent: Both bills become Acts after assent.
• Key Budget Documents:
o Annual Financial Statement (AFS)
o Demands for Grants (DG)
o Appropriation Bill
o Finance Bill
o Macro-Economic Framework Statement
o Fiscal Policy Strategy Statement
o Medium-Term Fiscal Policy Statement
o Expenditure Budget
o Receipt Budget
o Economic Survey (presented before the budget)

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• Types of Budget (Conceptual):

o Line-Item Budget: Focus on inputs/objects of expenditure (salaries, travel).
Traditional, easy to control.
o Performance Budget: Focus on activities/outputs. Links funds to measurable
performance.
o Programme Budget: Focus on objectives and programmes. Long-term view.
o Zero-Based Budgeting (ZBB): Justifies every item of expenditure from
scratch, not based on previous year's allocation.
o Outcome Budget: Focus on outcomes/impacts of government programs.
Measures results against funds. (India moving towards this)
o Gender Budgeting: Disaggregates budget by gender impact.
• Budget Execution:
1. Authorization of Expenditure: Once Appropriation Act is passed.
2. Distribution of Grants: MoF communicates allocated funds to controlling officers in
ministries/departments.
3. Collection of Revenue: Tax authorities (CBDT, CBIC) collect revenues as per Finance
Act.
4. Incurring Expenditure: Ministries/departments spend funds according to financial
rules, within allocated amounts, and for authorized purposes.
5. Treasury Control/Exchequer Control: Mechanisms to ensure spending is within
appropriations and for approved purposes (e.g., pre-audit of payments, withdrawal limits).
6. Accounting: Maintaining systematic records of all financial transactions (by
Controller General of Accounts - CGA - in India, under MoF).
7. Financial Reporting: Regular reports on revenue and expenditure.
8. Audit: Concurrent (during execution) and post-audit (by CAG) to ensure propriety
and legality.
9. Re-appropriation: Transfer of funds from one sub-head to another within the same
grant, with competent authority approval (not for new services).
10. Supplementary Grants (Art 115): If original grant is insufficient for a service or for
a new service not contemplated in the budget.
11. Vote on Account (Art 116): Advance grant to meet expenditure for part of a new
financial year until the budget is fully passed.
12. Vote of Credit / Exceptional Grant (Art 116): For unexpected demands on resources
where details cannot be stated.

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INTERNATIONAL LAW
UNIT I: Meaning, Sources and Subjects
1. Meaning, Nature, and Bases of International Law
• A. Meaning and Definition:
o Traditional Definition (Oppenheim): "Law of Nations or International Law is
the name for the body of customary and conventional rules which are
considered legally binding by civilized States in their intercourse with each
other."
▪ Critique: Outdated due to "civilized States" (colonial undertones) and
focus solely on states.
o Modern Definition (Starke): "International law may be defined as that body
of law which is composed for its greater part of the principles and rules of
conduct which states feel themselves bound to observe, and therefore, do
commonly observe in their relations with each other, and which includes also:
▪ (a) the rules of law relating to the functioning of international
institutions/organizations, their relations with each other, and their
relations with states and individuals; and
▪ (b) certain rules of law relating to individuals and non-state entities
so far as the rights or duties of such individuals and non-state entities
are the concern of the international community."
o Key Elements of Modern International Law:
▪ Regulates relations between states.
▪ Regulates relations between states and international organizations.
▪ Regulates relations between international organizations themselves.
▪ Increasingly addresses individuals and non-state actors (e.g., human
rights law, international criminal law).
o Public vs. Private International Law:
▪ Public International Law: Governs relations between sovereign states
and other international personalities. This is the primary focus here.
▪ Private International Law (Conflict of Laws): Deals with cases
involving a foreign element, determining which state's law applies to
a dispute between private individuals or entities.
• B. Nature of International Law (Is International Law "True Law"?):
o This has been a long-standing debate.
o Arguments Against International Law as "True Law" (Austinian View):
▪ John Austin (Positivist): Law is a command of a sovereign backed by
sanction.

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▪ No Sovereign Legislature: No global parliament to enact laws binding

on all states.
▪ No Effective Executive: No global police force to enforce
international law. UN Security Council's powers are limited by veto
and political will.
▪ No Compulsory Judiciary: The International Court of Justice (ICJ)
only has jurisdiction if states consent to it.
▪ Weak Sanctions: Sanctions are often political, economic, and
inconsistently applied.
o Arguments For International Law as "True Law" (Modern View):
▪ States Recognize it as Law: States conduct their relations based on
international law, invoke it in disputes, and incorporate it into their
domestic legal systems.
▪ Body of Rules: There is a vast and growing body of rules derived from
treaties, custom, etc.
▪ International Institutions: Existence of UN, ICJ, ICC, WTO, etc.,
which apply and develop international law.
▪ Enforcement Mechanisms:
▪ Self-help (retorsion, reprisals – though limited).
▪ UN Security Council actions (Chapter VII).
▪ Diplomatic protest, mediation, arbitration.
▪ Public opinion, shaming.
▪ National courts often apply international law.
▪ High Degree of Compliance: Most states obey most international law
most of the time, as it's in their mutual interest.
▪ Sanctions Exist: While different from domestic law, sanctions like
diplomatic isolation, economic embargoes, suspension from
international organizations, and even armed intervention (though
controversial) exist.
▪ H.L.A. Hart's View: Distinguished between primary rules (imposing
duties) and secondary rules (recognition, change, adjudication).
Argued international law possesses primary rules but has weaker,
decentralized secondary rules.
o Conclusion on Nature: International law is a distinct legal system, operating
in a horizontal (sovereign equality of states) rather than vertical (hierarchical
domestic) manner. While its enforcement mechanisms are different and
sometimes weaker than domestic law, it is widely accepted and functions as
law.
• C. Bases of International Law (Why is International Law Binding?):

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o 1. Theories:
▪ Natural Law Theory (Grotius, Pufendorf, Vattel): Law is derived from
reason, justice, morality, or divine law. States are bound because the
rules are inherently right and just. Modern human rights law has
natural law underpinnings.
▪ Positivist Theory (Bynkershoek, Zouche, Austin, Hart, Kelsen): Law
is what states make it to be. The binding force comes from the consent
of states.
▪ Voluntarism/Consent Theory: States are bound only by rules
they have consented to (e.g., through treaties).
▪ Pacta Sunt Servanda: (Agreements must be kept) – A
fundamental principle, itself arguably pre-legal or based on
consent to this meta-rule.
▪ Auto-limitation Theory (Jellinek): States can only be bound
by rules they have willingly imposed upon themselves.
▪ Theory of Common Will (Triepel): Binding force comes from
the common will of states, expressed explicitly (treaties) or
implicitly (custom).
▪ Eclectic/Grotian Theories: Combine elements of both natural law and
positivism. International law derives from both reason/justice and
state practice/consent.
o 2. Practical Bases:
▪ Common Interest/Interdependence: States recognize that
adherence to rules is necessary for orderly international relations,
peace, trade, communication, and addressing global problems (e.g.,
climate change, pandemics).
▪ Reciprocity: States comply because they expect other states to do
the same. If one state violates a rule, others might retaliate in kind.
▪ Habit of Obedience/Practice: International law has evolved over
centuries, and established practices become ingrained.
▪ World Public Opinion: Fear of international condemnation can
influence state behavior.
▪ Legitimacy: Rules perceived as legitimate (fair, created through
proper processes) are more likely to be obeyed.

2. Sources of International Law

• The authoritative statement on sources is Article 38(1) of the Statute of the
International Court of Justice (ICJ). It directs the Court to apply:
o a. International Conventions (Treaties):

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▪ Definition: "An international agreement concluded between States in

written form and governed by international law, whether embodied in
a single instrument or in two or more related instruments and
whatever its particular designation" (Vienna Convention on the Law of
Treaties, 1969 - VCLT, Art 2(1)(a)).
▪ Binding Force: Based on the principle of pacta sunt servanda (VCLT
Art 26).
▪ Types:
▪ Bilateral Treaties: Between two states.
▪ Multilateral Treaties: Between three or more states.
▪ Law-Making Treaties: Create general norms for future conduct
of parties (e.g., UN Charter, VCLT, Geneva Conventions).
▪ Treaty-Contracts: Address specific issues between a limited
number of states (e.g., a trade agreement between two
states).
▪ Primary source as they are a direct expression of state consent.
o b. International Custom (Customary International Law - CIL):
▪ Definition: Evidence of a general practice accepted as law.
▪ Two Key Elements:
1. State Practice (Objective Element - usus):
▪ Consistent and widespread conduct by states.
▪ Includes actions, omissions, statements, national
legislation, judicial decisions.
▪ Duration: No fixed time; can emerge rapidly ("instant
custom" in some areas like space law) or over a long
period.
▪ Uniformity and Consistency: Practice need not be
perfectly uniform but must be substantially consistent.
▪ Generality: Widespread participation, especially by
states whose interests are specially affected.
2. Opinio Juris Sive Necessitatis (Subjective Element - opinio juris):
▪ Belief that the practice is followed because it is legally
obligatory, not just out of courtesy, convenience, or
habit.
▪ Distinguishes legal custom from mere usage or comity.
▪ Evidenced by statements, voting in international fora,
national court decisions recognizing a rule as CIL.

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▪ Persistent Objector Rule: A state that has consistently and openly

objected to a rule of CIL from its inception may not be bound by it
(unless it's jus cogens).
o c. General Principles of Law Recognized by Civilized Nations:
▪ "Civilized nations" is now generally understood to mean all nations or
legal systems of the world.
▪ Purpose: To fill gaps where treaties or custom are silent and avoid
non liquet (a finding that there is no applicable law).
▪ Derived from: Principles common to major domestic legal systems
(e.g., common law, civil law).
▪ Examples:
▪ Res judicata (a matter already judged cannot be re-litigated).
▪ Good faith.
▪ Estoppel.
▪ Reparation for breach of an obligation.
▪ Impartiality of judges.
▪ Principle of proportionality.
o d. Subsidiary Means for the Determination of Rules of Law:
▪ These are not sources of law themselves but help identify and
interpret rules found in treaties, custom, or general principles.
▪ 1. Judicial Decisions:
▪ Decisions of the ICJ, other international tribunals (e.g., ITLOS,
ICC, ad hoc tribunals), and even national courts on questions
of international law.
▪ ICJ Statute Art 59: "The decision of the Court has no binding
force except between the parties and in respect of that
particular case" (no formal stare decisis).
▪ However, ICJ decisions are highly authoritative and contribute
to the clarification and development of international law.
▪ 2. Teachings of the Most Highly Qualified Publicists of the Various
Nations:
▪ Writings of eminent international law scholars.
▪ Historically important when law was less codified. Still useful
for identifying emerging norms, analyzing state practice, and
interpreting rules.
• Other Potential Sources (Not explicitly in Art 38(1) but influential):

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o Resolutions of International Organizations (e.g., UN General Assembly

Resolutions):
▪ Generally not legally binding per se.
▪ Can be evidence of opinio juris or state practice, thus contributing to
CIL formation.
▪ Some UN Security Council resolutions (under Chapter VII of UN
Charter) are legally binding.
o Unilateral Declarations of States:
▪ Public statements by state representatives intending to be bound can
create legal obligations (e.g., Nuclear Tests Cases - France's
declarations).
o Soft Law:
▪ Norms, principles, commitments, or standards that are not legally
binding but can influence state behavior and may harden into CIL or
treaties over time (e.g., codes of conduct, guidelines, declarations
from international conferences).
o Jus Cogens (Peremptory Norms):
▪ Not a source, but a type of norm. A fundamental principle of
international law that is accepted and recognized by the international
community of States as a whole as a norm from which no derogation
is permitted and which can be modified only by a subsequent norm of
general international law having the same character (VCLT Art 53).
▪ Examples: Prohibition of genocide, slavery, torture, aggression.
▪ A treaty conflicting with jus cogens is void.

3. Nationality, Extradition, and Asylum

• A. Nationality:
o Definition: The legal bond between an individual and a state, conferring
rights and imposing duties upon both. It determines the state to which an
individual belongs and which is entitled to exercise diplomatic protection on
their behalf.
o Importance:
▪ Determines jurisdiction over individuals.
▪ Right to diplomatic protection by the state of nationality.
▪ Rights (e.g., voting, holding office) and duties (e.g., military service,
taxation) within the state.
▪ Basis for extradition, application of certain laws.
o Modes of Acquisition (primarily determined by municipal/domestic law):

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▪ Jus Sanguinis (Right of Blood): By descent from a parent who is a

national.
▪ Jus Soli (Right of Soil): By birth within the territory of the state.
▪ Naturalization: Grant of nationality to a foreigner after fulfilling
certain conditions (e.g., residence, language, loyalty).
▪ By Marriage: Some states grant nationality to the spouse of a national.
▪ Adoption: Adopted child may acquire nationality of adoptive parents.
▪ Cession or Annexation of Territory: Inhabitants of the transferred
territory may acquire the nationality of the new sovereign.
o Modes of Loss:
▪ Renunciation: Voluntary act of giving up nationality.
▪ Deprivation/Denationalization: By state action, often for acts like
treason, serving a foreign government, or fraudulent acquisition (must
comply with human rights standards, e.g., avoiding statelessness).
▪ Acquisition of another nationality: Some states provide for
automatic loss.
▪ Long residence abroad: In some legal systems.
o Statelessness:
▪ Condition of an individual who is not considered a national by any
state under the operation of its law.
▪ Problematic as it leaves individuals without diplomatic protection and
often basic rights.
▪ Conventions:
▪ 1954 Convention relating to the Status of Stateless Persons.
▪ 1961 Convention on the Reduction of Statelessness.
o Dual/Multiple Nationality:
▪ Possession of two or more nationalities simultaneously.
▪ Can create complexities (e.g., military service, taxation, diplomatic
protection – a state cannot normally exercise diplomatic protection
for its national against another state of which that person is also a
national).
o International Law Limits on Nationality:
▪ While largely a domestic matter, international law imposes some
limits.
▪ Nottebohm Case (Liechtenstein v. Guatemala, ICJ 1955):
Established the "genuine link" or "effective nationality" principle. For
a state to exercise diplomatic protection, there must be a genuine

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connection between the state and the individual. Mere formal

nationality might not suffice on the international plane against
another state.
▪ Prohibition of discriminatory nationality laws (e.g., based on race or
gender, though practice is still evolving).
▪ Obligation to avoid statelessness.
• B. Extradition:
o Definition: The formal process whereby one state (the requested state)
surrenders a person found within its territory to another state (the requesting
state) for prosecution or, if already convicted, for punishment for a crime
committed within the jurisdiction of the requesting state.
o Purpose: To prevent criminals from escaping justice by fleeing to another
country. Promotes international cooperation in suppressing crime.
o Basis: Usually based on bilateral or multilateral extradition treaties. In
absence of a treaty, some states may extradite based on reciprocity or comity.
o Key Principles Governing Extradition:
▪ Principle of Double Criminality: The alleged crime must be an
offence under the laws of both the requesting and the requested
state.
▪ Principle of Speciality (or Specialty): The extradited person can only
be prosecuted or punished by the requesting state for the specific
offence(s) for which extradition was granted, and not for any other
pre-extradition crime.
▪ Non-Extradition of Political Offenders: Most treaties contain an
exception for "political offences." Defining "political offence" is
complex and controversial.
▪ Exception to the exception: Many modern treaties exclude
certain acts from the political offence exception, such as acts
of terrorism, war crimes, crimes against humanity (the
"attentat clause" for attacks on Heads of State is an older
example).
▪ Non-Extradition of Own Nationals: Many states (especially civil law
countries) refuse to extradite their own nationals, opting instead to
prosecute them domestically if the crime has an extraterritorial
dimension ("aut dedere aut judicare" – either extradite or prosecute).
Common law countries are generally more willing to extradite their
nationals.
▪ Prima Facie Evidence: The requesting state usually needs to provide
sufficient evidence to establish a prima facie case that the accused
committed the offence.
▪ Human Rights Considerations: Requested states may refuse
extradition if the person faces a risk of torture, inhuman or degrading

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treatment, unfair trial, or (in some states) the death penalty in the
requesting state.
▪ Non bis in idem (Double Jeopardy): Extradition may be refused if the
person has already been tried for the same offence.
• C. Asylum:
o Definition: The protection granted by a state to a foreign national on its
territory, or in some cases, on its diplomatic premises or warships, who is
fleeing persecution or serious danger in their home country or another
country.
o Distinction from Refugee Status:
▪ Refugee: Defined by 1951 Refugee Convention (well-founded fear of
persecution for reasons of race, religion, nationality, membership of
a particular social group or political opinion). Refugee status
determination is a legal process.
▪ Asylum: The actual grant of protection. A person found to be a
refugee is typically granted asylum. However, asylum can sometimes
be granted on broader humanitarian grounds not strictly covered by
the refugee definition.
o Types of Asylum:
▪ 1. Territorial Asylum:
▪ Granted by a state within its own territory.
▪ A state has the sovereign right to grant or refuse asylum to
individuals on its territory. This is an attribute of state
sovereignty.
▪ The Universal Declaration of Human Rights (Art 14) states that
"Everyone has the right to seek and to enjoy in other countries
asylum from persecution," but this is not generally considered
a binding right of the individual to receive asylum, rather a
right to seek it.
▪ Principle of Non-Refoulement: A core principle (Art 33, 1951
Refugee Convention, and CIL) prohibiting states from returning
a refugee to a territory where their life or freedom would be
threatened on account of race, religion, nationality, etc. This
is the most significant legal obligation regarding asylum
seekers.
▪ 2. Diplomatic Asylum (Extraterritorial Asylum):
▪ Asylum granted within diplomatic premises (embassies,
legations), consulates, or on warships in foreign territory.
▪ Highly controversial and not a generally recognized right under
international law.

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▪ There is no general right for an individual to be granted

diplomatic asylum, nor a general right for a state to grant it.
▪ Primarily a practice in Latin American countries, where it is
regulated by regional conventions (e.g., 1954 Caracas
Convention on Diplomatic Asylum).
▪ Generally opposed by most other states as it infringes on the
territorial sovereignty of the host state.
▪ May be tolerated in exceptional cases for temporary refuge
from imminent danger (e.g., mob violence) on humanitarian
grounds, but not as a means to evade lawful prosecution.
▪ Asylum Case (Colombia v. Peru, ICJ 1950): ICJ found no general
rule of CIL permitting diplomatic asylum beyond established
treaty provisions or clear local custom.

4. Types, Role, and Immunities and Privileges of Diplomats

• Governed primarily by the Vienna Convention on Diplomatic Relations, 1961
(VCDR), which largely codifies customary international law.
• A. Diplomatic Relations:
o Established by mutual consent between states (VCDR Art 2).
o Involve sending a diplomatic mission (embassy) headed by an ambassador or
other head of mission to the receiving state.
• B. Types (Ranks) of Heads of Mission (VCDR Art 14):
o 1. Ambassadors or Nuncios: Accredited to Heads of State, and other heads
of mission of equivalent rank.
o 2. Envoys, Ministers, and Internuncios: Accredited to Heads of State.
o 3. Chargés d'Affaires: Accredited to Ministers for Foreign Affairs. (Chargés
d'affaires ad interim are temporary heads of mission).
o There is no differentiation in legal status or immunities based on these
classes, only in precedence and etiquette.
o Other Diplomatic Staff: Include diplomatic staff (counsellors, secretaries,
attachés), administrative and technical staff, and service staff. Their
immunities may vary.
• C. Functions/Role of a Diplomatic Mission (VCDR Art 3):
o Representing the sending State in the receiving State.
o Protecting in the receiving State the interests of the sending State and of its
nationals, within the limits permitted by international law.
o Negotiating with the Government of the receiving State.

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o Ascertaining by all lawful means conditions and developments in the

receiving State, and reporting thereon to the Government of the sending
State.
o Promoting friendly relations between the sending State and the receiving
State, and developing their economic, cultural, and scientific relations.
o Consular functions may also be exercised by a diplomatic mission.
• D. Diplomatic Immunities and Privileges:
o Rationale: Not for the personal benefit of the individual, but to ensure the
efficient performance of the functions of diplomatic missions as
representatives of States (Preamble, VCDR) – this is the "functional
necessity" theory (ne impediatur legatio – that the mission may not be
hindered).
o Key Immunities and Privileges (for diplomatic agents, and to varying
degrees, their families and staff):
▪ Personal Inviolability (VCDR Art 29):
▪ A diplomatic agent shall not be liable to any form of arrest or
detention.
▪ The receiving State shall treat him with due respect and shall
take all appropriate steps to prevent any attack on his person,
freedom, or dignity.
▪ Inviolability of Mission Premises (VCDR Art 22):
▪ The premises of the mission (embassy building and land) are
inviolable.
▪ Agents of the receiving State may not enter them, except with
the consent of the head of the mission.
▪ The premises, their furnishings, property, and means of
transport are immune from search, requisition, attachment, or
execution.
▪ Receiving state has a special duty to protect mission premises.
▪ Inviolability of Private Residence, Papers, Correspondence, and
Property (VCDR Art 30):
▪ The private residence of a diplomatic agent enjoys the same
inviolability and protection as the premises of the mission.
▪ His papers, correspondence, and (with some exceptions for
civil jurisdiction) property also enjoy inviolability.
▪ Immunity from Criminal Jurisdiction (VCDR Art 31(1)):
▪ A diplomatic agent enjoys absolute immunity from the criminal
jurisdiction of the receiving State. They cannot be arrested,
prosecuted, or punished.

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▪ Immunity from Civil and Administrative Jurisdiction (VCDR Art

31(1)):
▪ Also enjoys immunity, except in three specific cases:
1. A real action relating to private immovable property
situated in the territory of the receiving State (unless
held on behalf of the sending State for mission
purposes).
2. An action relating to succession in which the diplomatic
agent is involved as a private person (executor, heir,
etc.).
3. An action relating to any professional or commercial
activity exercised by the diplomatic agent in the
receiving State outside his official functions.
▪ Exemption from Obligation to Give Evidence (VCDR Art 31(2)): A
diplomatic agent is not obliged to give evidence as a witness.
▪ Inviolability of Archives and Documents (VCDR Art 24): The archives
and documents of the mission are inviolable at all times and wherever
they may be.
▪ Freedom of Movement (VCDR Art 26): Subject to laws regarding
national security zones, diplomatic agents enjoy freedom of
movement and travel in the territory of the receiving State.
▪ Freedom of Communication (VCDR Art 27):
▪ Receiving State shall permit and protect free communication
on the part of the mission for all official purposes.
▪ The official correspondence of the mission is inviolable.
▪ The diplomatic bag shall not be opened or detained. It must
bear visible external marks of its character and may contain
only diplomatic documents or articles intended for official use.
(Controversies exist regarding scanning/abuse of diplomatic
bag).
▪ Exemption from Taxes and Customs Duties (VCDR Arts 23, 34, 36):
▪ Exemption from most national, regional, or municipal dues and
taxes (e.g., income tax on official salary). Not exempt from
indirect taxes normally incorporated in price of goods/services
or charges for specific services rendered.
▪ Exemption from customs duties on articles for the official use
of the mission and for the personal use of diplomatic agents or
their families.
o Family Members: Members of the family of a diplomatic agent forming part
of his household, if not nationals of the receiving State, enjoy the privileges
and immunities specified in Articles 29 to 36 (VCDR Art 37(1)).

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o Administrative and Technical Staff: If not nationals or permanent residents

of the receiving state, enjoy immunities under Arts 29-35, but immunity from
civil/administrative jurisdiction only extends to acts performed in the course
of their duties (VCDR Art 37(2)).
o Persona Non Grata (VCDR Art 9):
▪ The receiving State may at any time and without having to explain its
decision, notify the sending State that the head of the mission or any
member of the diplomatic staff is persona non grata (unwelcome
person) or that any other member of the staff of the mission is not
acceptable.
▪ The sending State shall then either recall the person concerned or
terminate their functions with the mission.
▪ This is the primary remedy for abuse of diplomatic privileges or
misconduct.
o Waiver of Immunity (VCDR Art 32):
▪ Immunity may be waived by the sending State (not by the individual
diplomat).
▪ Waiver must always be express.
▪ Waiver of immunity from jurisdiction in respect of civil or
administrative proceedings shall not be held to imply waiver of
immunity in respect of the execution of the judgment, for which a
separate waiver is necessary.
o Duration of Immunities (VCDR Art 39):
▪ Immunities begin from the moment the person enters the territory of
the receiving State to take up their post, or if already in the territory,
from when their appointment is notified.
▪ Immunities cease when the person leaves the country, or on expiry of
a reasonable period in which to do so. However, immunity continues
with respect to acts performed in the exercise of official functions
(ratione materiae).
o Duty to Respect Laws (VCDR Art 41):
▪ Diplomats have a duty to respect the laws and regulations of the
receiving State and not to interfere in its internal affairs. Immunity
does not mean they are above the law; it means they cannot be
subjected to the jurisdiction of the receiving state's courts.

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UNIT 2: Sate Recognition, Sovereignty and

Succession
1. Recognition of States: Theories, Modes, and Consequences
• A. Meaning of Recognition:
o Recognition is a formal acknowledgement by one state (the recognizing state)
that another entity possesses the attributes of statehood and is therefore a
subject of international law, or that a particular regime is the effective
government of a state.
o It is a political act with significant legal consequences.
o Primarily concerns the acceptance of a new state into the international
community.
• B. Criteria for Statehood (as background to recognition):
o The Montevideo Convention on the Rights and Duties of States (1933),
Article 1, lists the most widely accepted criteria for statehood:
1. A defined territory: Clearly demarcated borders are not strictly
necessary, as long as there's a coherent and stable territorial base.
2. A permanent population: No minimum number, but people must
reside permanently.
3. A government: Effective control over the territory and population;
able to exercise governmental functions.
4. Capacity to enter into relations with other states: Independence and
sovereignty; not subject to the legal control of another state.
• C. Theories of Recognition:
o 1. Constitutive Theory:
▪ View: Recognition by other states creates or constitutes the new state
as an international legal personality. An entity does not become a
state under international law until it is recognized by existing states.
▪ Proponents: Oppenheim, Lauterpacht.
▪ Implications: If unrecognized, an entity has no rights or duties under
international law. Recognition is a discretionary political act.
▪ Criticisms:
▪ Leads to uncertainty: Is an entity a state for those who
recognize it but not for others?
▪ Makes statehood dependent on political whims of existing
states.
▪ What if recognized by some but not others? (e.g., Taiwan,
Kosovo).

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▪ How many recognitions are needed?

o 2. Declaratory Theory (Evidentiary Theory):
▪ View: Recognition is merely a formal acknowledgement of an existing
fact that an entity already meets the criteria of statehood. Statehood
is a matter of fact and law, not dependent on the will of other states.
▪ Proponents: Brierly, Fischer Williams.
▪ Implications: An entity is a state if it meets the objective criteria of
statehood, regardless of recognition. Recognition simply "declares"
this fact.
▪ Advantages: More consistent with state practice; avoids relativity of
statehood.
▪ Modern Trend: The declaratory theory is generally preferred, though
recognition remains a politically significant act influencing practical
engagement. UN membership often serves as strong evidence of
statehood.
• D. Modes/Forms of Recognition:
o 1. Express Recognition:
▪ Formal and explicit declaration or statement by the recognizing state
(e.g., a note, public announcement, treaty provision).
o 2. Implied Recognition:
▪ Inferred from certain actions of the recognizing state that
unequivocally imply a willingness to treat the new entity as a state.
▪ Examples: Concluding a bilateral treaty, establishing formal
diplomatic relations, sending/receiving accredited diplomatic
representatives.
▪ Mere informal contacts, trade relations, or participation in
multilateral treaties alongside the entity do not necessarily imply
recognition.
o 3. De Jure Recognition:
▪ Full, complete, and permanent recognition, signifying that the
recognizing state believes the new state/government meets all legal
requirements and is established on a firm and permanent basis.
▪ It is irrevocable.
o 4. De Facto Recognition:
▪ Provisional and temporary recognition, indicating that the recognizing
state acknowledges the entity/government exercises effective factual
control over a territory, but there might be doubts about its
legitimacy, stability, or willingness to fulfill international obligations.

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▪ It is revocable and can be withdrawn. Often a precursor to de jure

recognition.
o 5. Conditional Recognition:
▪ Recognition granted subject to the fulfillment of certain conditions by
the new state (e.g., respect for minority rights, democratic
principles).
▪ Controversial, as it can be seen as interference in internal affairs. If
conditions are not met, the recognition may not be fully effective, or
the recognizing state may consider it void.
o 6. Collective Recognition:
▪ Recognition by a group of states acting together, often through an
international organization.
▪ Example: Admission to the United Nations is considered strong
evidence of statehood and often amounts to collective recognition by
member states who vote in favor (though some states might still
individually withhold full bilateral recognition).
• E. Legal Consequences of Recognition:
o For Recognized State/Government:
▪ Full status as a sovereign state in international law.
▪ Capacity to enter into diplomatic relations and conclude treaties.
▪ Right to sue and be sued in the courts of the recognizing state.
▪ Immunity from jurisdiction of foreign courts for itself and its property
(sovereign immunity).
▪ Its legislative, executive, and judicial acts are given effect in the
recognizing state.
▪ Entitlement to demand and receive possession of property belonging
to its predecessor located in the recognizing state.
o Consequences of Non-Recognition:
▪ Inability to establish diplomatic relations with non-recognizing states.
▪ May not be able to sue in the courts of non-recognizing states.
▪ Its laws and acts may not be given effect.
▪ May face difficulties in international trade and financial transactions.
▪ Does not mean the entity is entirely outside international law; it is
still bound by general international law, especially rules on use of
force, human rights, etc.
• F. Recognition of Governments:

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o Distinct from recognition of states. Arises when a new government comes to

power in an existing state through unconstitutional means (e.g., coup d'état,
revolution).
o The issue is whether to acknowledge this new regime as the lawful
representative of the state.
o Estrada Doctrine: Some states (like Mexico originally) follow a policy of not
formally recognizing governments, instead simply continuing or discontinuing
diplomatic relations, implying that recognition of states is sufficient.
o Modern practice often focuses on "effective control" and willingness to abide
by international obligations.

2. State Succession and State Responsibility

• A. State Succession:
o Definition: The replacement of one state (predecessor state) by another
state (successor state) in the responsibility for the international relations of
a territory.
o When it Occurs:
▪ Cession: Transfer of territory from one state to another (e.g., Alaska
from Russia to USA).
▪ Secession/Separation: Part of a state breaks away to form a new state
(e.g., South Sudan from Sudan, Eritrea from Ethiopia).
▪ Decolonization: Former colony becomes an independent state (e.g.,
India from UK).
▪ Merger/Unification: Two or more states merge to form a single new
state (e.g., North and South Yemen to form Yemen).
▪ Absorption: One state is absorbed by another existing state (e.g., East
Germany by West Germany).
▪ Dissolution/Dismemberment: A state breaks up into several new
states, and the predecessor state ceases to exist (e.g.,
Czechoslovakia, Yugoslavia, USSR).
o Key International Conventions (limited ratification but influential):
▪ Vienna Convention on Succession of States in Respect of Treaties
(1978)
▪ Vienna Convention on Succession of States in Respect of State
Property, Archives and Debts (1983)
o Succession to Treaties:
▪ General Rule/Traditional View: Highly contested area.
▪ Uti Possidetis Juris: Principle that newly formed sovereign states
should retain the internal and external borders they inherited from

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their predecessor. Important for boundary treaties, which generally

"run with the land" and bind successor states.
▪ Clean Slate Doctrine (Tabula Rasa): For newly independent states
(post-colonial context), the 1978 Convention favors a "clean slate"
approach, meaning they are not bound by treaties of the predecessor
colonial power, but may choose to accede to them (Art 16).
▪ Continuity Principle: For other cases like merger or separation
(where part of an existing state becomes a new state), there is often
a presumption of continuity of treaties, especially for the remaining
part of the predecessor state (Art 34-35).
▪ Human Rights & Humanitarian Treaties: Strong argument for
automatic succession due to their nature.
o Succession to State Property, Archives, and Debts:
▪ State Property: Immovable property located in the territory generally
passes to the successor state. Movable property is often divided by
agreement based on equity and connection to the territory.
▪ State Archives: Archives necessary for the administration of the
territory pass to the successor state. Other archives are usually
divided by agreement.
▪ State Debts: Complex.
▪ "Odious debts" (contracted against the interests of the
population of the territory) may be repudiated.
▪ National debt directly linked to the territory often passes to
the successor.
▪ General debt of the predecessor state is usually apportioned
equitably.
o Succession to Nationality: Inhabitants of the territory usually acquire the
nationality of the successor state, often with a right of option. International
law aims to prevent statelessness.
o Succession to Membership in International Organizations: Generally, no
automatic succession. The new state must apply for membership. (Exception:
if a state merely changes its name or government without altering its legal
identity, membership continues, e.g., Russian Federation succeeding USSR in
UN Security Council, though this was unique).
o Succession to Public Law and Private Rights: Public law of the predecessor
generally ceases to apply. Private rights acquired under the predecessor's law
are generally respected by the successor.
• B. State Responsibility:
o Definition: The legal consequences that arise when a state commits an
"internationally wrongful act" (IWA), i.e., breaches an international
obligation.

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o Basis: Every IWA entails the international responsibility of that state.

o Codification: Largely codified in the ILC Articles on Responsibility of States
for Internationally Wrongful Acts (ARSIWA), 2001 (not a treaty, but widely
regarded as reflecting customary international law).
o Elements of an Internationally Wrongful Act (Art 2, ARSIWA):
1. Attribution (Subjective Element): The conduct (act or omission) must be
attributable to the state under international law.
2. Breach (Objective Element): The conduct must constitute a breach of an
international obligation of the state (whether arising from treaty, custom, or general
principle).
o Attribution of Conduct to a State (ARSIWA Arts 4-11):
▪ Conduct of state organs (legislative, executive, judicial, or any other).
▪ Conduct of persons or entities exercising elements of governmental
authority.
▪ Conduct of organs placed at the disposal of a state by another state.
▪ Conduct directed or controlled by the state.
▪ Conduct carried out in the absence or default of official authorities
but exercising governmental authority.
▪ Conduct of an insurrectional or other movement which becomes the
new government of a state or succeeds in establishing a new state.
▪ Conduct acknowledged and adopted by a state as its own (e.g., Tehran
Hostages Case).
o Circumstances Precluding Wrongfulness (ARSIWA Arts 20-27): These
circumstances make an act, which would otherwise be wrongful, not
wrongful. They do not annul or terminate the obligation itself.
▪ Consent: Valid consent by a state to the commission of a given act by
another state.
▪ Self-Defence: Lawful measure of self-defence taken in conformity
with the UN Charter (Art 51).
▪ Countermeasures: An act that is normally illegal but becomes legal
when taken by a state in response to a prior illegal act by another
state, aimed at inducing compliance. Must be proportional.
▪ Force Majeure: Occurrence of an irresistible force or unforeseen
event, beyond the control of the state, making it materially
impossible to perform the obligation.
▪ Distress: Act committed when the author has no other reasonable
way, in a situation of distress, of saving their own life or the lives of
other persons entrusted to their care (e.g., aircraft landing without
permission due to emergency).

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▪ Necessity: Act is the only way for the state to safeguard an essential
interest against a grave and imminent peril, and does not seriously
impair an essential interest of the state(s) towards which the
obligation exists, or of the international community as a whole. (Very
narrowly interpreted, e.g., Gabčíkovo-Nagymaros Project Case).
o Consequences of an Internationally Wrongful Act (Content of
Responsibility, ARSIWA Arts 28-39):
▪ Continued Duty of Performance: The state must still perform the
obligation breached.
▪ Cessation and Non-Repetition: The state must cease the wrongful act
(if continuing) and offer appropriate assurances and guarantees of
non-repetition, if circumstances so require.
▪ Reparation: The responsible state is under an obligation to make full
reparation for the injury (material and moral damage) caused by the
IWA. Forms of reparation:
▪ Restitution (restitutio in integrum): Re-establish the
situation which existed before the wrongful act was
committed, if not materially impossible or disproportionately
burdensome.
▪ Compensation: Payment for any financially assessable
damage, including loss of profits, if restitution is not possible
or sufficient.
▪ Satisfaction: For injury that cannot be made good by
restitution or compensation (e.g., moral damage, insult to
state's dignity). May consist of an acknowledgement of the
breach, an expression of regret, a formal apology, or other
appropriate modalities. Must not be humiliating to the
responsible state.

3. Law of Sea, Air Space, and Outer Space

• A. Law of the Sea:
o Primary Source: United Nations Convention on the Law of the Sea (UNCLOS
III), 1982 (often called the "Constitution for the Oceans").
o Maritime Zones (from the coast seaward):
▪ Baselines: The line from which the breadth of maritime zones is
measured. Normally the low-water line along the coast. Straight
baselines may be used for heavily indented coastlines or fringes of
islands.
▪ Internal Waters: Waters on the landward side of the baseline (e.g.,
ports, rivers, bays). Full sovereignty, no right of innocent passage for
foreign ships.

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▪ Territorial Sea:
▪ Breadth: Up to 12 nautical miles (nm) from the baselines.
▪ Sovereignty: Coastal state has full sovereignty, subject to the
right of innocent passage for foreign ships. Passage is innocent
so long as it is not prejudicial to the peace, good order, or
security of the coastal State. Submarines must navigate on the
surface and show their flag.
▪ Contiguous Zone:
▪ Breadth: Up to 24 nm from the baselines (i.e., 12 nm beyond
the territorial sea).
▪ Rights: Coastal state may exercise control necessary to
prevent and punish infringement of its customs, fiscal,
immigration, or sanitary laws and regulations committed
within its territory or territorial sea.
▪ Exclusive Economic Zone (EEZ):
▪ Breadth: Up to 200 nm from the baselines.
▪ Rights: Coastal state has:
▪ Sovereign rights for exploring, exploiting, conserving,
and managing natural resources (living and non-living)
of the waters, seabed, and subsoil.
▪ Jurisdiction regarding artificial islands, marine
scientific research, and protection of the marine
environment.
▪ Other states enjoy freedoms of navigation, overflight, and
laying submarine cables/pipelines, subject to UNCLOS
provisions.
▪ Continental Shelf:
▪ Definition: Seabed and subsoil of submarine areas that extend
beyond its territorial sea throughout the natural prolongation
of its land territory to the outer edge of the continental
margin, or to 200 nm from baselines if the margin does not
extend that far. Can extend beyond 200 nm under specific
geological criteria (up to 350 nm or 100 nm from the 2,500-
meter isobath).
▪ Rights: Coastal state has exclusive sovereign rights for
exploring and exploiting its natural resources (mineral, other
non-living resources, and sedentary species). These rights are
inherent and do not depend on occupation or proclamation.
▪ High Seas:
▪ All parts of the sea not included in the EEZ, territorial sea,
internal waters of a state, or archipelagic waters.

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▪ Freedoms of the High Seas (for all states, coastal and land-
locked): Freedom of navigation, overflight, fishing (subject to
conservation duties), laying submarine cables/pipelines,
constructing artificial islands, marine scientific research.
▪ Jurisdiction: Primarily flag state jurisdiction (ships are subject
to the exclusive jurisdiction of the state whose flag they fly).
Exceptions: piracy, slave trade, unauthorized broadcasting,
hot pursuit, stateless vessels.
▪ The Area (Deep Seabed):
▪ Seabed, ocean floor, and subsoil thereof, beyond the limits of
national jurisdiction.
▪ Declared the "common heritage of mankind" (CHM).
▪ Activities in the Area shall be carried out for the benefit of
mankind as a whole.
▪ Governed by the International Seabed Authority (ISA).
▪ Special Regimes:
▪ Straits used for International Navigation: Right of transit
passage (similar to innocent passage but less restrictable,
includes overflight) for straits connecting one part of high
seas/EEZ to another (e.g., Strait of Gibraltar, Strait of
Malacca).
▪ Archipelagic States: May draw straight archipelagic baselines
around outermost islands, creating archipelagic waters
within, where they have sovereignty subject to right of
innocent passage and designated archipelagic sea lanes
passage.
• B. Law of Air Space:
o Primary Source: Convention on International Civil Aviation (Chicago
Convention), 1944.
o Core Principle (Art 1, Chicago Convention): Every state has complete and
exclusive sovereignty over the airspace above its territory (including land
areas and territorial waters).
o International Civil Aviation Organization (ICAO): Specialized UN agency
established by the Chicago Convention to manage the administration and
governance of international civil aviation. Develops Standards and
Recommended Practices (SARPs).
o Freedoms of the Air: Technical and commercial rights for scheduled
international air services, granted by states through bilateral or multilateral
agreements (e.g., International Air Services Transit Agreement - "Two
Freedoms Agreement"; International Air Transport Agreement - "Five
Freedoms Agreement").

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▪ First Freedom: Right to fly across its territory without landing.

▪ Second Freedom: Right to land for non-traffic purposes (e.g.,
refueling, maintenance).
▪ (Third, Fourth, Fifth freedoms relate to carrying passengers/cargo).
o No general right of innocent passage for aircraft analogous to ships in the
territorial sea. Aircraft require permission to enter foreign airspace.
o Regulation of issues like aircraft registration, airworthiness, hijacking (e.g.,
Tokyo, Hague, Montreal Conventions).
• C. Law of Outer Space:
o Primary Sources (UN "Space Treaties"):
▪ Treaty on Principles Governing the Activities of States in the
Exploration and Use of Outer Space, including the Moon and Other
Celestial Bodies (Outer Space Treaty), 1967.
▪ Agreement on the Rescue of Astronauts, the Return of Astronauts and
the Return of Objects Launched into Outer Space (Rescue Agreement),
1968.
▪ Convention on International Liability for Damage Caused by Space
Objects (Liability Convention), 1972.
▪ Convention on Registration of Objects Launched into Outer Space
(Registration Convention), 1975.
▪ Agreement Governing the Activities of States on the Moon and Other
Celestial Bodies (Moon Agreement), 1979 (limited ratification).
o Key Principles of the Outer Space Treaty (1967):
▪ Province of all Mankind: Exploration and use of outer space shall be
carried out for the benefit and in the interests of all countries,
irrespective of their degree of economic or scientific development,
and shall be the province of all mankind (Art I).
▪ Freedom of Exploration and Use: Outer space, including the Moon
and other celestial bodies, shall be free for exploration and use by all
States without discrimination, on a basis of equality and in accordance
with international law (Art I).
▪ Non-Appropriation: Outer space, including the Moon and other
celestial bodies, is not subject to national appropriation by claim of
sovereignty, by means of use or occupation, or by any other means
(Art II).
▪ Peaceful Purposes: States shall use the Moon and other celestial
bodies exclusively for peaceful purposes. Prohibition of placing
nuclear weapons or WMDs in orbit, on celestial bodies, or stationing
them in outer space (Art IV). Military personnel can be used for
scientific research or other peaceful purposes.

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▪ International Responsibility: States bear international responsibility

for national activities in outer space, whether carried out by
governmental agencies or non-governmental entities. Activities of
non-governmental entities require authorization and continuing
supervision by the appropriate State Party (Art VI).
▪ Liability: Launching state is internationally liable for damage caused
by its space objects on Earth, in air space, or in outer space (Art VII,
detailed in Liability Convention).
▪ Astronauts as Envoys of Mankind: Astronauts shall be regarded as
envoys of mankind and rendered all possible assistance in case of
accident, distress, or emergency landing (Art V).
▪ Jurisdiction and Control: State of registration retains jurisdiction and
control over its space objects and personnel thereof while in outer
space or on a celestial body (Art VIII).
o Delimitation of Airspace and Outer Space: No universally agreed boundary.
Some propose the Kármán line (approx. 100 km above sea level).
o UN Committee on the Peaceful Uses of Outer Space (COPUOS): Key UN body
for developing international space law and cooperation.

4. Settlement of International Disputes: Pacific and Coercive Methods

• A. Definition of Dispute: "A disagreement on a point of law or fact, a conflict of
legal views or of interests between two persons [international legal persons]" -
Mavrommatis Palestine Concessions Case (PCIJ).
• B. Obligation to Settle Disputes Peacefully:
o UN Charter Article 2(3): "All Members shall settle their international disputes
by peaceful means in such a manner that international peace and security,
and justice, are not endangered."
o UN Charter Article 33(1): Lists various peaceful means.
• C. Pacific (Peaceful) Methods of Dispute Settlement (UN Charter Art 33):
o I. Diplomatic Methods (Non-binding outcomes, based on consent):
▪ 1. Negotiation:
▪ Direct discussions between the parties involved.
▪ Most common, flexible, and preferred method. Prerequisite for
other methods.
▪ 2. Good Offices:
▪ A third party (state, individual, or international organization)
brings the disputing parties together to facilitate negotiation,
without actively participating in the substance of the
discussions or proposing solutions.

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▪ 3. Mediation:
▪ A third party actively participates in negotiations and proposes
non-binding terms of settlement. The mediator assists parties
in reaching a solution.
▪ 4. Inquiry (Fact-Finding):
▪ A commission or third party investigates and establishes the
facts underlying a dispute, without making recommendations
for settlement. Clarifying facts can often resolve the dispute
or pave the way for other methods.
▪ 5. Conciliation:
▪ A commission (conciliators chosen by parties) impartially
examines the dispute, clarifies facts, considers legal
arguments, and proposes formal, non-binding terms for
settlement. More formal than mediation.
o II. Legal/Adjudicative Methods (Binding outcomes, based on law and
consent):
▪ 6. Arbitration:
▪ Settlement of disputes by judges/arbitrators of the parties'
own choice, on the basis of respect for law.
▪ Parties agree on the arbitrators, the law to be applied, and the
procedure.
▪ The decision (award) is legally binding on the parties.
▪ Can be ad hoc (for a specific dispute) or institutional (e.g.,
Permanent Court of Arbitration - PCA, which provides a
framework and support).
▪ 7. Judicial Settlement:
▪ Settlement by a permanent international court, applying
international law.
▪ International Court of Justice (ICJ): Principal judicial organ
of the UN.
▪ Jurisdiction is based on consent of states (e.g., special
agreement/compromis, compromissory clause in a
treaty, optional clause declarations under Art 36(2) of
ICJ Statute, forum prorogatum).
▪ Gives binding judgments in contentious cases between
states.
▪ Gives advisory opinions on legal questions at the
request of UN organs/specialized agencies.

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▪ Other international courts: International Tribunal for the Law

of the Sea (ITLOS), regional courts (e.g., European Court of
Justice, European Court of Human Rights).
• D. Coercive Methods of Dispute Settlement (Use of pressure/force):
o These methods involve some form of compulsion.
o I. Non-Forcible Coercive Methods (Measures short of war):
▪ 1. Retorsion:
▪ Unfriendly but legal acts taken by a state in retaliation for an
unfriendly or illegal act of another state.
▪ Examples: Severance of diplomatic relations, withdrawal of
voluntary aid, imposition of travel restrictions (where no
treaty obligation exists to the contrary).
▪ 2. Reprisals / Countermeasures:
▪ Acts which are in themselves illegal but are justified as a
response to a prior internationally wrongful act by the target
state.
▪ Purpose is to induce the wrongdoing state to comply with its
international obligations.
▪ Conditions (ARSIWA): Must be directed against the responsible
state, preceded by a demand for cessation/reparation,
proportional to the injury suffered, and must be reversible and
cease once the wrongful act stops. Must not affect
fundamental human rights, jus cogens norms, or
diplomatic/consular inviolability.
▪ 3. Embargo:
▪ Preventing ships/goods of the offending state from entering or
leaving the ports/territory of the state imposing the embargo.
▪ Can also refer to a ban on trade (especially specific goods like
arms) with a particular country.
▪ 4. Boycott: Suspension of trade or other relations.
▪ 5. Pacific Blockade: Naval blockade during peacetime (legality
controversial if it affects third states).
o II. Forcible Coercive Methods (Use of Armed Force):
▪ General Prohibition (UN Charter Article 2(4)): "All Members shall
refrain in their international relations from the threat or use of force
against the territorial integrity or political independence of any state,
or in any other manner inconsistent with the Purposes of the United
Nations." This is a jus cogens norm.
▪ Exceptions to the Prohibition on Use of Force:

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▪ 1. Self-Defence (UN Charter Article 51):

▪ "Nothing in the present Charter shall impair the
inherent right of individual or collective self-defence if
an armed attack occurs against a Member of the United
Nations, until the Security Council has taken measures
necessary to maintain international peace and
security."
▪ Conditions (customary law, Caroline Case):
▪ An armed attack must occur (or be imminent,
though "anticipatory" or "pre-emptive" self-
defence is highly controversial).
▪ Response must be necessary (no other means
available).
▪ Response must be proportional to the attack.
▪ Measures taken must be immediately reported to the
Security Council.
▪ 2. UN Security Council Enforcement Actions (Chapter VII of
UN Charter):
▪ The Security Council can authorize measures, including
the use of armed force, to maintain or restore
international peace and security if it determines the
existence of a threat to the peace, breach of the
peace, or act of aggression (Art 39, 41, 42).
▪ Controversial Doctrines (limited acceptance):
▪ Humanitarian Intervention: Unilateral use of force by a state
(or group of states) to stop gross and systematic human rights
violations in another state without UNSC authorization. Highly
controversial due to potential for abuse.
▪ Responsibility to Protect (R2P): Endorsed by UN World
Summit 2005. Each state has a responsibility to protect its
populations from genocide, war crimes, ethnic cleansing, and
crimes against humanity. The international community has a
responsibility to assist states in this, and if a state manifestly
fails, to take collective action (preferably through UNSC) on a
case-by-case basis.

5. International Humanitarian Law (IHL)

• A. Definition and Aim:
o Also known as the Law of Armed Conflict (LOAC) or the Law of War.
o A set of rules which seek, for humanitarian reasons, to limit the effects of
armed conflict.

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o It protects persons who are not or are no longer participating in the hostilities
and restricts the means and methods of warfare.
o Aims to balance military necessity with considerations of humanity.
• B. Sources of IHL:
o 1. Treaties:
▪ Hague Conventions (1899 and 1907): Primarily concern the means
and methods of warfare (e.g., rules on conduct of hostilities,
permissible weapons).
▪ Geneva Conventions (1949) - Four Conventions: Focus on the
protection of victims of armed conflict:
▪ GC I: Wounded and Sick in Armed Forces in the Field.
▪ GC II: Wounded, Sick, and Shipwrecked Members of Armed
Forces at Sea.
▪ GC III: Prisoners of War (POWs).
▪ GC IV: Civilians in Times of War (especially in occupied
territory).
▪ Additional Protocols to the Geneva Conventions (1977):
▪ Additional Protocol I (AP I): Relates to the protection of
victims of international armed conflicts (IACs). Extends
protection and clarifies rules on conduct of hostilities.
▪ Additional Protocol II (AP II): Relates to the protection of
victims of non-international armed conflicts (NIACs). Provides
a more detailed regime than Common Article 3 for high-
intensity NIACs.
▪ Additional Protocol III (2005): Introduces an additional distinctive
emblem (the Red Crystal).
▪ Various treaties prohibiting or restricting specific weapons (e.g.,
Chemical Weapons Convention, Biological Weapons Convention,
Ottawa Landmines Convention, Convention on Cluster Munitions).
o 2. Customary International Law: Many rules in the Hague and Geneva
Conventions are now considered part of CIL, binding on all states, regardless
of treaty ratification. The ICRC has conducted a major study identifying
customary IHL rules.
• C. Key Principles of IHL:
o 1. Distinction:
▪ Parties to a conflict must at all times distinguish between civilians
and combatants, and between civilian objects and military
objectives.

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▪ Attacks may only be directed against combatants and military

objectives.
▪ Indiscriminate attacks are prohibited.
o 2. Military Necessity:
▪ Permits only that degree and kind of force, not otherwise prohibited
by IHL, required for the submission of the enemy with the minimum
expenditure of time, life, and resources.
▪ It does not justify acts prohibited by IHL.
o 3. Proportionality:
▪ Prohibits attacks which may be expected to cause incidental loss of
civilian life, injury to civilians, damage to civilian objects, or a
combination thereof, which would be excessive in relation to the
concrete and direct military advantage anticipated.
o 4. Humanity (Prevention of Unnecessary Suffering / Superfluous Injury):
▪ Prohibits the use of weapons, projectiles, and material and methods
of warfare of a nature to cause superfluous injury or unnecessary
suffering.
▪ All individuals must be treated humanely, without adverse distinction.
Those hors de combat (out of combat, e.g., wounded, surrendered)
must be respected and protected.
o 5. Precaution:
▪ In the conduct of military operations, constant care must be taken to
spare the civilian population, civilians, and civilian objects. All
feasible precautions must be taken.
• D. Scope of Application:
o International Armed Conflicts (IACs): Armed conflict between two or more
states. The full body of IHL (all four GCs, AP I, Hague law) applies.
o Non-International Armed Conflicts (NIACs): Armed conflict occurring within
the territory of a single state, between government forces and organized
armed groups, or between such groups.
▪ Minimum rules found in Common Article 3 to the four Geneva
Conventions apply to all NIACs. (Humane treatment, care for
wounded/sick, no violence to life/person, no hostage-taking, no
outrages upon personal dignity, fair trial).
▪ Additional Protocol II applies to higher-intensity NIACs where dissident
armed forces or other organized armed groups exercise such control
over a part of its territory as to enable them to carry out sustained
and concerted military operations and to implement this Protocol.

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o IHL applies from the initiation of armed conflict and extends beyond the
cessation of hostilities until a general conclusion of peace or, for occupied
territories, until the end of the occupation.
• E. Protected Persons and Objects:
o Protected Persons: Wounded, sick, shipwrecked, prisoners of war, civilians,
medical and religious personnel, humanitarian workers.
o Protected Objects: Civilian property, cultural property, medical units and
transports, objects indispensable to the survival of the civilian population
(e.g., food, water installations).
• F. Enforcement of IHL:
o National Level: States have an obligation to:
▪ Disseminate IHL.
▪ Adopt national legislation to implement IHL.
▪ Prosecute persons suspected of committing grave breaches (war
crimes) before their own courts (universal jurisdiction is recognized
for grave breaches).
o International Level:
▪ Protecting Powers: Neutral states designated to safeguard the
interests of parties to a conflict (rarely used).
▪ International Committee of the Red Cross (ICRC): A neutral and
independent organization with a special role under IHL to provide
protection and assistance to victims.
▪ International Fact-Finding Commission (Art 90, AP I).
▪ International Criminal Tribunals:
▪ Ad hoc tribunals (e.g., ICTY, ICTR).
▪ International Criminal Court (ICC): Has jurisdiction over
genocide, crimes against humanity, war crimes (including
grave breaches of GCs and other serious violations of IHL), and
the crime of aggression.
▪ UN Security Council actions.
• G. Relationship with International Human Rights Law (IHRL):
o Both IHL and IHRL aim to protect human life and dignity.
o IHRL applies at all times (peace and war), while IHL applies specifically during
armed conflict.
o In armed conflict, both bodies of law apply. IHL is generally considered lex
specialis (the more specific law governing the situation) for matters it
specifically regulates, but IHRL continues to apply, especially concerning
rights not covered by IHL or for individuals outside the direct conduct of
hostilities.

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COMPARATIVE POLITICS
UNIT 1: Comparative Politics
1. Comparative Politics: Meaning, Nature, and Scope
I. Meaning:
• Core Definition: Comparative Politics is a subfield of Political Science characterized
by an empirical approach based on the "comparative method." It involves the
systematic study and comparison of domestic politics (political institutions,
processes, behavior, and ideas) across different countries or within a single country
over time.
• Objective: To identify, explain, and understand similarities and differences in
political phenomena, leading to the development of generalizations, testable
theories, and a deeper understanding of the political world.
• Focus:
o "Who gets what, when, and how" (Harold Lasswell) across different political
systems.
o The study of power, authority, governance, and political behavior in various
settings.
o Examining how different societies manage conflict, make collective
decisions, and implement policies.
• Key Questions Addressed:
o Why are some countries democratic while others are authoritarian?
o What are the causes of political stability or instability?
o How do different electoral systems affect political outcomes?
o What factors contribute to economic development or underdevelopment?
o How do political cultures vary and impact governance?
II. Nature:
1. Empirical and Analytical: Relies on observable data, facts, and evidence rather than
solely on normative judgments (what ought to be). It aims to describe, explain, and
sometimes predict political phenomena.
2. Scientific Aspiration: Strives to develop systematic knowledge, test hypotheses, and
build theories with explanatory and predictive power. However, the "science" in
political science is debated due to the complexity of human behavior and the
difficulty in conducting controlled experiments.
3. Interdisciplinary: Draws insights and methods from other social sciences like
sociology, economics, history, anthropology, and psychology.

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4. Problem-Oriented: Often focuses on addressing specific political problems or

puzzles, such as democratization, political violence, ethnic conflict, or policy
effectiveness.
5. Evolving Field:
o Traditional Phase: Descriptive, formal-legalistic, focused on institutions of
Western European states.
o Behavioural Revolution (Post-WWII): Shift towards studying actual political
behavior, individual attitudes, informal processes, and a more scientific
methodology. Focus on non-Western areas increased.
o Post-Behaviouralism: Acknowledged limitations of pure behaviouralism,
seeking relevance and action-oriented research, combining empirical rigor
with normative concerns.
o Contemporary Phase: Characterized by diverse theoretical approaches
(rational choice, new institutionalism, political economy, constructivism) and
sophisticated methodologies.
6. Value-Conscious (Post-Behavioural Influence): While striving for objectivity,
recognizes that values inevitably influence research questions and interpretations.
7. Focus on Change and Development: Examines processes of political change,
modernization, development, and decay.
III. Scope:
The scope of Comparative Politics is vast and has expanded significantly over time.
1. Geographical Scope:
o Traditionally: Focused primarily on Western European countries (e.g., UK,
France, Germany).
o Modern: Encompasses all regions and countries of the world – developed,
developing, and underdeveloped; democratic and non-democratic. Includes
study of Asia, Africa, Latin America.
2. Thematic Scope:
o Political Institutions: Legislatures, executives, judiciaries, bureaucracies,
constitutions, electoral systems, party systems.
o Political Processes: Decision-making, policy-making, political participation
(voting, protests, lobbying), political communication, interest articulation
and aggregation.
o Political Behaviour: Voting behavior, political attitudes, leadership styles,
elite behavior, citizen engagement.
o Political Ideologies and Cultures: Liberalism, socialism, conservatism,
nationalism; political values, beliefs, and norms prevalent in a society.
o Political Development and Modernization: Processes of state-building,
nation-building, democratization, economic development, and social change.

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o Comparative Political Economy: Interaction of political and economic

forces, impact of economic factors on political systems, and vice-versa (e.g.,
globalization, inequality).
o Non-State Actors: Interest groups, social movements, NGOs, multinational
corporations, and their influence on politics.
o Contemporary Issues: Identity politics, ethnic conflict, terrorism,
environmental politics, human rights, governance, corruption.
o Levels of Analysis:
▪ System Level: Comparing entire political systems (e.g., democratic
vs. authoritarian).
▪ Sub-System Level: Comparing specific institutions (e.g.,
parliamentary vs. presidential executives).
▪ Individual Level: Comparing political behavior or attitudes of
individuals across contexts.
Significance:
• Helps us understand our own political system better by seeing it in a broader context.
• Allows for the development and testing of political theories.
• Provides insights for policy-making and political reform.
• Fosters cross-cultural understanding and tolerance.

2. Distinction Between Comparative Government and Comparative Politics

This distinction primarily reflects the evolution of the field.

Feature Comparative Government Comparative Politics (Modern

(Traditional Approach) Approach)

Primary Focus Formal institutions of Actual political processes,

government (legislature, behavior, functions, informal
executive, judiciary), legal structures, and the dynamics of
powers, constitutions. power.

Scope Primarily Western European Global scope, including developing

(and often major) states like nations of Asia, Africa, and Latin
UK, USA, France, Germany. America. Much wider.
Limited geographical scope.

Nature of Study Descriptive, historical, Empirical, analytical, explanatory,

legalistic, formalistic, scientific, value-neutral (strives for
normative (often evaluating objectivity).
"good" government).

Methodology Primarily descriptive, historical Uses systematic comparative

narratives, legal analysis. Less methods, statistical analysis, case
studies, surveys, modeling. Aims

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emphasis on explicit for theory building and hypothesis

comparison or theory building. testing.

Emphasis "What is the government?" "How does politics work and why?"
(Structure-oriented). (Process and behavior-oriented).

Interdisciplinary Largely confined to political Highly interdisciplinary, drawing

Nature science and law. from sociology, economics,
psychology, anthropology.

View of Politics Narrowly defined, often Broadly defined, including societal

equated with the state and its forces, interest groups, political
formal machinery. culture, non-state actors.

Goal Understanding the machinery Developing generalizable theories

of government, often for about political life, explaining
practical administrative political phenomena.
purposes or good governance.

Time Period Predominant until roughly Dominant since the behavioral

World War II. revolution (post-WWII).

Key Figures (Earlier thinkers) Aristotle, Gabriel Almond, Sidney Verba,

Montesquieu, Tocqueville (in David Easton, Karl Deutsch,
their descriptive aspects); Barrington Moore Jr., Samuel
Woodrow Wilson, James Bryce, Huntington.
A.L. Lowell.

Evolution, Not Complete Replacement:

It's important to note that Comparative Politics evolved from Comparative Government.
While the modern approach is dominant, the study of institutions (a key element of
traditional C.G.) remains crucial, albeit with new analytical tools and a broader perspective.
Modern Comparative Politics includes the study of government but goes far beyond it.
Example:
• Comparative Government approach to UK & USA: Would describe the powers of the
Queen vs. the President, the structure of Parliament vs. Congress, and the legal basis
of their powers.
• Comparative Politics approach to UK & USA: Might compare voter turnout and its
reasons, the role of interest groups in policy-making, the impact of political culture
on party systems, or the effectiveness of their welfare states.

3. System Approach (David Easton) and Structural Functionalism (Gabriel Almond)

These are two influential "grand theories" or "frameworks" that emerged during the
behavioral era, aiming to provide a comprehensive way to analyze political systems.
A. David Easton's Systems Approach (Political System Theory)
• Book: "The Political System" (1953), "A Framework for Political Analysis" (1965), "A
Systems Analysis of Political Life" (1965).

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• Core Idea: To conceptualize the political system as a distinct entity that interacts
with its environment, processing inputs and producing outputs to maintain its
persistence. It focuses on "the authoritative allocation of values for a society."
• Key Concepts:
1. Political System: A set of interactions abstracted from the totality of social
behavior, through which authoritative allocations of values (policies,
decisions) are made and implemented for a society.
2. Environment: All other systems (social, economic, cultural, biological,
international) that lie outside the boundaries of the political system. The
political system is open and adaptive to its environment.
3. Inputs: Demands and supports flowing from the environment into the political
system.
▪ Demands: Expressions of opinion, claims, or pressures for particular
actions or allocations of values. (e.g., demands for better roads, lower
taxes, specific laws).
▪ Can be specific or general.
▪ Can be narrow or broad.
▪ Supports: Actions or orientations that help maintain the political
system. Without support, the system would collapse.
▪ Specific Support: For particular policies or leaders.
▪ Diffuse Support: General goodwill, legitimacy, patriotism,
sense of common interest. Directed towards the regime,
community, and authorities.
4. Conversion Process (The "Black Box"): The internal workings of the political
system (institutions like legislature, executive, judiciary; processes like
decision-making, interest aggregation) that transform inputs into outputs.
Easton was less concerned with the specifics of this box and more with the
overall flow.
5. Outputs: The authoritative decisions, policies, laws, and actions produced by
the political system in response to inputs. (e.g., new laws, resource
allocations, symbolic gestures).
6. Feedback Loop: Information about the outputs and their consequences flows
back into the system, influencing subsequent inputs (demands and supports).
This allows the system to adapt and persist.
7. Persistence: The ability of the political system to survive and maintain itself
over time, even in the face of stress or challenges. This is the ultimate goal
of the system.
8. Stress: Occurs when the system is overloaded with demands or when support
declines significantly.
• Diagrammatic Representation:
Environment → [INPUTS (Demands, Supports)] → [POLITICAL SYSTEM (Conversion)]

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→ [OUTPUTS (Decisions, Policies)] → Environment

↑-------------------------------------- [FEEDBACK] -----------------------------------------------
-↓
• Strengths:
o Provides a comprehensive and abstract framework for analyzing any political
system.
o Emphasizes the dynamic and interactive nature of politics.
o Highlights the importance of the environment and feedback.
o Useful for organizing data and understanding the flow of political activity.
o Introduced new vocabulary for political analysis.
• Weaknesses/Criticisms:
o Too Abstract and General: Lacks specificity about the internal workings of
the "black box" (conversion process).
o Status Quo Bias: Emphasis on "persistence" and stability can be seen as
inherently conservative, neglecting radical change or revolution.
o Ethnocentric: Critics argue it was implicitly based on Western liberal
democratic systems, though Easton intended it to be universal.
o Limited Explanatory Power: Better at describing what happens than why it
happens or how specific decisions are made.
o Difficulty in Operationalization: Concepts like "support" or "demands" can be
hard to measure empirically.
o Neglects power dynamics and conflict within the system.
B. Gabriel Almond's Structural-Functional Approach
• Influenced by: Sociologists like Talcott Parsons and Robert Merton, and Easton's
Systems Theory.
• Key Works (with collaborators): "The Politics of the Developing Areas" (1960, with
James Coleman), "Comparative Politics: A Developmental Approach" (1966, with G.
Bingham Powell).
• Core Idea: All political systems, regardless of their type (democratic, authoritarian,
traditional, modern), must perform certain essential functions to survive. Different
structures (institutions, organizations) may perform these functions in different
systems, or one structure might perform multiple functions (multi-functionality).
• Key Concepts:
1. Political System: Similar to Easton's concept, but Almond is more interested
in the functions performed within it.
2. Structures: Institutions or organizations that perform functions (e.g.,
legislatures, political parties, interest groups, bureaucracy, courts, media).

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3. Functions: The activities or tasks necessary for the maintenance and

adaptation of the political system. Almond categorized them into:
▪ Input Functions (Political Functions): How demands and supports are
processed.
1. Political Socialization and Recruitment: Process by which
political cultures are maintained and changed, and how
individuals are inducted into political roles (e.g., through
family, education, media, parties).
2. Interest Articulation: Expression of needs, demands, and
policy preferences by individuals and groups (e.g., by interest
groups, protests).
3. Interest Aggregation: Process of combining and converting
multiple demands into a smaller number of policy alternatives
(e.g., by political parties, legislative leaders).
4. Political Communication: How political information is
transmitted throughout the system (e.g., through media,
government pronouncements, interpersonal networks).
▪ Output Functions (Governmental Functions): How authoritative
decisions are made and implemented.
1. Rule-Making: Formulation of authoritative rules and laws
(typically by legislatures).
2. Rule-Application: Enforcement and implementation of rules
and laws (typically by executives and bureaucracies).
3. Rule-Adjudication: Interpretation and application of rules in
specific cases, resolving disputes (typically by judiciaries).
▪ System Maintenance and Adaptation Functions
(Implicit/Overarching): Relate to the system's ability to persist,
similar to Easton. These include capabilities of the system like
extractive, regulative, distributive, symbolic, and responsive
capabilities.
4. Political Culture: The pattern of orientations (cognitive, affective,
evaluative) of citizens towards the political system and its various parts.
5. Political Development: Seen as an increase in structural differentiation,
subsystem autonomy, and a shift towards a more "modern" (often secular,
achievement-oriented) political culture.
• Strengths:
o Provides a framework for comparing diverse political systems, including non-
Western ones, by focusing on universal functions.
o Highlights the link between structures and functions, allowing analysis of how
different institutions perform similar tasks.

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o Useful for studying political development and change by examining how

structures and functions evolve.
o Emphasizes the interconnectedness of different parts of the political system.
• Weaknesses/Criticisms:
o Teleological: Assumes that functions must be performed for the system to
survive, which can be deterministic.
o Status Quo Bias: Like Easton's theory, can be seen as biased towards stability
and maintenance, underplaying conflict and radical change.
o Ethnocentric/Western Bias: Early formulations tended to view Western
democratic structures as the most "developed" or "effective" way of
performing functions.
o Difficulty in Operationalization: Defining and measuring functions and the
performance of structures can be challenging.
o Overlapping Functions: The categories of functions are not always mutually
exclusive or clearly demarcated.
o "Grand Theory" critique: Too ambitious in trying to explain everything,
leading to oversimplification.
Comparison of Easton and Almond:
• Similarity: Both are "grand theories" aiming for universal applicability, view the
political system as open and interactive, and emphasize system
maintenance/persistence.
• Difference:
o Easton focuses on the flow of inputs/outputs and system boundaries.
o Almond "opens the black box" by focusing on specific functions and the
structures that perform them. Almond's approach is more detailed regarding
internal processes.

4. Political Economy and Dependency Approach (A.G. Frank)

A. Political Economy Approach
• Core Idea: Political Economy is an interdisciplinary approach that studies the
reciprocal and dynamic interactions between political power (the state,
government, institutions) and economic forces (markets, production, distribution,
wealth). It examines how political decisions shape economic outcomes and how
economic conditions influence political structures and behavior.
• Key Questions:
o How does the state regulate or intervene in the economy?
o How do economic interests influence policy-making?

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o What is the relationship between political systems (e.g., democracy,

authoritarianism) and economic development?
o How are resources, wealth, and opportunities distributed, and what are the
political implications?
o What is the role of international economic factors in shaping domestic
politics?
• Historical Roots:
o Classical Political Economy: Adam Smith ("Wealth of Nations"), David
Ricardo, John Stuart Mill, Karl Marx. Focused on the relationship between
state, markets, production, and distribution in the context of emerging
capitalism.
o Revival in 20th Century: After a period where economics and political
science diverged, there was a renewed interest in their intersection,
particularly from the 1970s onwards.
• Major Strands/Themes:
1. Classical and Neo-Classical: Focus on markets, efficiency, and minimal state
intervention (though Smith acknowledged important state roles).
2. Marxist Political Economy: Emphasizes class conflict, exploitation, the role of the
state in perpetuating capitalist relations, and historical materialism.
3. Keynesianism: Advocates for state intervention to manage business cycles and
maintain full employment.
4. Rational Choice Theory (Public Choice): Applies economic models of rational, self-
interested behavior to political actors and institutions.
5. New Institutionalism: Examines how institutions (formal rules and informal norms)
shape economic behavior and outcomes.
6. International Political Economy (IPE): Studies the interplay of politics and
economics at the global level (trade, finance, development, multinational corporations,
international institutions).
7. Developmental State Approach: Focuses on the role of a strong, interventionist
state in promoting economic development, particularly in East Asian contexts.
• Significance in Comparative Politics:
o Provides powerful tools to explain differences in development, policy
choices, regime types, and political stability across countries by linking them
to economic structures and interests.
o Essential for understanding issues like globalization, inequality, welfare
states, and economic crises.
B. Dependency Approach (Andre Gunder Frank)
• Context: Emerged in Latin America in the 1960s and 1970s as a critique of dominant
"Modernization Theories." Modernization theories suggested that developing
countries ("Third World") were simply at an earlier stage of development and could

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catch up by following the path of Western industrialized nations (e.g., by adopting

Western values, institutions, and technology).
• Key Thinker: Andre Gunder Frank (German-American economist and sociologist).
o Major Works: "Capitalism and Underdevelopment in Latin America" (1967),
"Latin America: Underdevelopment or Revolution" (1969).
• Core Argument:
o Underdevelopment in the "Third World" (the periphery or satellite countries)
is not an original state or a stage before development. Instead, it is an
actively created and maintained condition resulting from the historical and
ongoing integration of these countries into the global capitalist system, which
is dominated by the developed capitalist countries (the core or metropolis).
o "Development of Underdevelopment": Frank argued that the same historical
process of capitalist expansion that led to development in the core
simultaneously generated underdevelopment in the periphery. The
periphery's resources and surplus value are extracted by the core, hindering
autonomous development in the periphery.
• Key Concepts:
1. Metropolis-Satellite (Core-Periphery) Structure: The global capitalist system is
characterized by a hierarchical relationship between dominant metropolitan centers
(developed countries) and dependent satellite regions (underdeveloped countries). This
structure is replicated within peripheral countries as well (national metropolis and regional
satellites).
2. Surplus Extraction/Appropriation: The metropolis extracts economic surplus
(profits, raw materials, cheap labor) from the satellites, enriching itself and impoverishing
the periphery.
3. Unequal Exchange: The terms of trade and economic relations are structured to
benefit the core at the expense of the periphery.
4. Comprador Bourgeoisie: Local elites in peripheral countries who benefit from their
ties to metropolitan capital and act as intermediaries, facilitating surplus extraction. They
have an interest in maintaining the dependent relationship.
5. Critique of "Dual Society" Thesis: Frank rejected the idea that underdeveloped
countries consist of a modern, capitalist sector and a traditional, feudal sector. He argued
that even the seemingly feudal or traditional sectors were penetrated and shaped by global
capitalism to serve its interests.
• Implications/Prescriptions (often implied or advocated by dependency theorists):
o Autonomous development for peripheral countries is impossible as long as
they remain integrated into the global capitalist system on current terms.
o Delinking (breaking ties with the global capitalist system) or socialist
revolution was often suggested as the only path to genuine development.
• Other Associated Thinkers (with variations):
o Theotonio Dos Santos (concept of "new dependence")

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o Fernando Henrique Cardoso (later President of Brazil) & Enzo Faletto

(emphasized "associated-dependent development," allowing for some
industrialization within dependency)
o Samir Amin (focused on unequal exchange on a global scale)
o Immanuel Wallerstein (developed "World-Systems Theory," a broader
framework building on dependency ideas, dividing the world into core, semi-
periphery, and periphery).
• Strengths/Contributions:
o Provided a powerful critique of ethnocentric modernization theories.
o Highlighted the importance of historical context and international power
relations in shaping development outcomes.
o Drew attention to global inequalities and exploitative relationships.
o Influenced development studies and policies in some developing countries.
• Weaknesses/Criticisms:
o Overly Deterministic: Can suggest that peripheral countries have no agency
and their fate is entirely determined by external forces.
o Neglect of Internal Factors: Tends to downplay the role of domestic factors
(e.g., internal class structures, political corruption, poor governance,
cultural factors) in underdevelopment.
o Homogenization of Periphery: Treats all peripheral countries as largely the
same, overlooking variations in their experiences and development
trajectories.
o Empirical Challenges: The rise of the "Newly Industrialized Countries" (NICs)
in East Asia (e.g., South Korea, Taiwan) seemed to contradict the idea that
development was impossible within the capitalist system. Frank later
acknowledged this, referring to it as "dependent development" or "lumpen-
development."
o Policy Prescriptions Problematic: "Delinking" proved impractical or
undesirable for many countries. Socialist alternatives also faced significant
challenges.
o Lack of Specificity: Sometimes vague about the precise mechanisms of
surplus extraction.

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UNIT 2: Political Processes and Political

Development
1. Political Culture: Meaning, Types, and Determinants
I. Meaning:
• Core Definition: Political Culture refers to the pattern of orientations—attitudes,
beliefs, values, and feelings—that individuals in a society have towards their political
system and its various parts. It is the psychological dimension of a political system.
• Originator: The concept was popularized by Gabriel Almond, who defined it as "the
particular distribution of patterns of orientation toward political objects among the
members of the nation."
• Components of Orientation (Almond and Verba): The orientations of individuals can
be broken down into three types:
1. Cognitive Orientation: Knowledge and belief about the political system, its
roles, its inputs, and its outputs. (e.g., "What do I know about the Prime
Minister's powers?").
2. Affective Orientation: Feelings about the political system, its roles,
personnel, and performance. (e.g., "Do I feel pride or disgust towards the
Parliament?").
3. Evaluative Orientation: Judgments and opinions about political objects,
which usually involve applying value standards to them. (e.g., "Is the current
government's policy on education fair or unfair?").
• Key Distinction: Political culture is different from public opinion. Public opinion
refers to views on specific issues and is often temporary and volatile. Political culture
refers to more fundamental, enduring beliefs and values that provide the context
for public opinion.
II. Types of Political Culture:
The most famous typology comes from Gabriel Almond and Sidney Verba's landmark study,
The Civic Culture (1963), which surveyed five nations (USA, UK, West Germany, Italy,
Mexico). They identified three "pure" types:
1. Parochial Political Culture:
o Citizens have very low awareness of the political system as a whole.
o They have no cognitive, affective, or evaluative orientation towards the
national political system.
o Their interest and feelings are focused on their immediate locality (village,
tribe, clan).
o There are no specialized political roles; headship, religious, and political
roles are often fused.
o Example: Found in traditional societies or remote tribal communities.

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2. Subject Political Culture:

o Citizens are aware of the national political system and its outputs (decisions,
laws, policies). They have cognitive, affective, and evaluative orientations
towards the output side.
o However, they are largely passive and see themselves as "subjects" of the
government, not active participants.
o They have a low sense of their ability to influence politics (low orientation
towards the input side).
o Example: Common in centralized, authoritarian regimes or traditional
monarchies.
3. Participant Political Culture:
o Citizens are aware of and have orientations towards both the input (political
participation, influencing decisions) and output (governmental actions)
aspects of the political system.
o They see themselves as active agents who can and should participate in
politics.
o They have a high sense of political efficacy.
o Example: An ideal type for modern democratic societies.
The Civic Culture (The Ideal Mixed Type):
• Almond and Verba argued that a stable, effective democracy requires a mixed
political culture, which they called the "Civic Culture."
• It is fundamentally a Participant culture, but one that is balanced by elements of
the Subject and Parochial cultures.
• Citizens are active, but their activity is tempered by a degree of passivity and
deference to authority. This prevents the system from being overloaded with
constant demands and allows elites the necessary space to govern effectively.
• It is a culture of moderation, where political activity, involvement, and rationality
are balanced by passivity, traditionality, and commitment. The UK and USA were seen
as closest to this ideal.
III. Determinants of Political Culture:
The political culture of a nation is shaped by numerous factors over a long period.
1. History: A nation's historical experiences, such as revolutions, wars, colonialism, or
periods of stable governance, leave a deep imprint on political values. (e.g., The
legacy of Nazism shaped Germany's post-war commitment to constitutionalism).
2. Geography and Resources: A country's size, location, and natural resource
endowment can influence its political outlook and relations with other countries.
3. Socio-Economic Development: Factors like industrialization, urbanization, literacy
rates, and class structure profoundly affect political attitudes. For instance, a large,
educated middle class is often associated with a more participant political culture.

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4. Political Socialization: The process through which political culture is transmitted

from one generation to the next (see Topic 3 below).
5. Major Political Events: Significant events like the Great Depression, the 9/11
attacks, or a major constitutional crisis can alter long-standing political beliefs and
values.
6. Globalization: The flow of ideas, media, and economic forces across borders can
influence and sometimes challenge traditional political cultures.

2. Political Participation: Meaning, Types, and Determinants

I. Meaning:
• Core Definition: Political participation consists of those voluntary activities by which
members of a society share in the selection of rulers and, directly or indirectly, in
the formation of public policy.
• Key Thinkers:
o Huntington and Nelson: "Activity by private citizens designed to influence
governmental decision-making."
o Verba and Nie: "Those legal acts by private citizens that are more or less
directly aimed at influencing the selection of governmental personnel and/or
the actions they take."
• Key Aspects:
o It is an action, not just an attitude.
o It is voluntary (distinguishes it from forced mobilization in totalitarian
states).
o It is undertaken by private citizens, not government officials acting in their
official capacity.
o It aims to influence government or politics.
II. Types of Political Participation:
Participation can be classified based on its nature and intensity.
1. Conventional Participation:
o Activities that are considered normal, acceptable, and operate within the
established legal and social framework.
o Examples (in order of increasing effort):
▪ Voting: The most common but least demanding form of participation.
▪ Following politics in the media.
▪ Engaging in political discussions.
▪ Campaign Activity: Attending rallies, working for a candidate,
donating money.

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▪ Community Work: Working with others on local problems.

▪ Contacting Officials: Writing to or meeting with elected
representatives.
▪ Running for public office.
2. Unconventional Participation:
o Activities that challenge the dominant political and social norms, often
undertaken by groups who feel excluded from conventional channels.
o Can be legal or illegal.
o Examples:
▪ Protests/Demonstrations: Public gatherings to express dissent.
▪ Boycotts: Refusing to buy certain goods or use certain services.
▪ Petitions and Sit-ins: Forms of direct action.
▪ Strikes: Work stoppages to achieve political or economic goals.
▪ Civil Disobedience: Deliberately breaking a law perceived as unjust,
and accepting the consequences, to make a political statement (e.g.,
Gandhi, Martin Luther King Jr.).
▪ Political Violence: Riots, assassinations, terrorism.
Milbrath's Hierarchy of Political Involvement:
Lester Milbrath categorized participants into three levels:
1. Gladiators (very few): The political activists who are deeply involved (party leaders,
candidates).
2. Spectators (most people): Observe politics but only participate minimally (voting,
watching news).
3. Apathetics (some people): Completely disengaged from politics.
III. Determinants of Political Participation:
Why do some people participate more than others?
1. Socio-Economic Status (SES): The most significant factor.
o Education: The single strongest predictor. Higher education levels correlate
with higher participation as it imparts skills, knowledge, and political
interest.
o Income & Occupation: Higher income and professional jobs often provide the
time, money, and civic skills needed for participation.
2. Psychological Factors:
o Political Efficacy: The belief that one's participation can actually make a
difference.

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▪ Internal Efficacy: Belief in one's own competence to understand and

participate.
▪ External Efficacy: Belief that the government will be responsive to
citizen demands.
o Political Interest and Trust: Individuals who are more interested in and
trusting of the political system are more likely to participate.
o Sense of Civic Duty: The belief that participation is a citizen's responsibility.
3. Political Environment:
o Regime Type: Democratic systems offer more opportunities for participation
than authoritarian ones.
o Mobilization: Efforts by political parties, interest groups, and candidates to
get people involved.
o Electoral Competitiveness: Turnout is often higher when elections are
perceived as close and meaningful.
4. Demographic Factors:
o Age: Participation tends to be lowest among the young, increases into middle
age, and then may decline slightly among the very old (a curvilinear
relationship).
o Gender: Historically, men participated more than women, but this gender
gap has narrowed or even reversed in many countries for activities like voting.
o Race/Ethnicity/Religion: Belonging to a group with a strong sense of group
consciousness can be a powerful motivator for participation.

3. Political Socialization: Meaning and Agents

I. Meaning:
• Core Definition: Political socialization is the lifelong process through which
individuals acquire their political orientations—their beliefs, attitudes, values, and
knowledge about politics. It is the process of learning and internalizing a political
culture.
• Function: It is the primary mechanism for maintaining and transmitting a political
culture from one generation to the next, thus ensuring its persistence. It can also be
a force for political change when new values are introduced.
• Types of Socialization:
o Manifest Socialization: Explicit and direct teaching of political values and
information (e.g., a civics class, patriotic rituals).
o Latent Socialization: Indirect and unintentional transmission of values that
have political consequences (e.g., learning about authority from family
dynamics or school rules).
II. Agents of Political Socialization:

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These are the institutions and individuals that carry out the process of socialization.
1. Family (The Primary Agent):
o The most influential agent, especially in early life.
o Transmits basic political attitudes, such as party identification (often
inherited from parents), a sense of national identity, and initial attitudes
towards authority.
o Latent learning about power and rules occurs through family structure.
2. Educational Institutions (Schools):
o The first agent of socialization outside the family.
o Engages in manifest socialization through civics courses, history lessons, and
patriotic exercises (e.g., saluting the flag).
o Latent socialization occurs through the school's authority structure, teaching
conformity to rules and respect for hierarchy.
o It can either reinforce the status quo or become a source of counter-cultural
ideas.
3. Peer Groups:
o Groups of friends and colleagues of similar age and social status.
o Become particularly influential during adolescence and young adulthood.
o They can reinforce values learned from the family and school or challenge
them by introducing alternative viewpoints.
4. Mass Media:
o Includes television, newspapers, radio, and increasingly, the internet and
social media.
o A powerful agent in modern societies.
o Shapes the political agenda by deciding which issues are important ("agenda-
setting").
o "Frames" political issues by presenting them in a particular way.
o Provides a vast amount of political information (and misinformation).
5. Political Parties, Interest Groups, and Social Movements:
o These organizations actively seek to shape the political views of citizens.
o They provide ideological frameworks, information, and opportunities for
participation, thus socializing members into a particular political worldview.
6. The State/Government:
o The state itself is an agent of socialization.
o It uses national symbols (flag, anthem), public holidays, national service, and
official pronouncements to foster patriotism and loyalty.

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7. Workplace and Social Class:

o Experiences at work, membership in a union, and one's position in the class
structure shape economic interests and, consequently, political attitudes and
ideologies.

4. Conceptualization of Political Development (Lucian Pye and S. P. Huntington)

Introduction: Political Development emerged as a key concept in comparative politics in
the 1950s and 60s, driven by the decolonization of Asia and Africa. Scholars sought to
understand how these new nations could build stable, effective, and modern political
systems.
A. Lucian Pye's "Development Syndrome"
• Key Work: Aspects of Political Development (1966).
• Pye's Contribution: Pye highlighted the conceptual confusion surrounding "political
development." He identified 10 different meanings used by scholars (e.g.,
development as economic prerequisite, as democratization, as administrative
capacity, as stability, etc.). To bring clarity, he proposed that political development
should be understood as a multi-dimensional process consisting of a "development
syndrome."
• The Development Syndrome: Pye argued that political development involves
progress towards three core values or principles:
1. Equality:
▪ Refers to mass participation in politics.
▪ Movement from being a subject to an active citizen.
▪ Laws should be applied universally and impersonally (not based on
status or kinship).
2. Capacity:
▪ Refers to the effectiveness and efficiency of government.
▪ The ability of the state to manage public affairs, control its territory,
and implement its policies (state's "penetration" of society).
▪ Relates to the performance of the political system's output functions.
3. Differentiation:
▪ Refers to structural functionalism. It is the specialization of political
structures and roles.
▪ Institutions like legislatures, bureaucracies, and courts develop their
own distinct functions and autonomy.
▪ Replaces diffuse, traditional roles with specific, modern ones.

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• Crises of Development: Pye argued that the pursuit of these three goals often
creates tensions and leads to a series of "crises" that all developing nations must
manage:
1. Identity Crisis: People must shift their loyalty from sub-national groups
(tribe, region) to the nation-state.
2. Legitimacy Crisis: The basis of governmental authority must be agreed upon
(e.g., traditional, charismatic, or rational-legal).
3. Penetration Crisis: The central government must establish its authority and
reach all parts of the country.
4. Participation Crisis: The demand for political participation from newly
mobilized groups must be managed without overwhelming the system.
5. Integration Crisis: The various political actors and institutions must be woven
into a coherent whole.
6. Distribution Crisis: The government must effectively manage the distribution
of resources, goods, and values among the population.
B. Samuel P. Huntington's "Political Order"
• Key Work: Political Order in Changing Societies (1968) - A landmark critique of
modernization theory.
• Huntington's Core Argument: Huntington argued that the early theorists of political
development (like Pye) were wrong to equate development with modernization or
democratization. For him, the most critical element of political development was
institutionalization, leading to political order and stability.
• Political Development = Institutionalization:
o Institutionalization is "the process by which organizations and procedures
acquire value and stability."
o He argued that the degree of government (its power and stability) is more
important than the form of government (democratic or authoritarian). His
famous line: "The most important political distinction among countries
concerns not their form of government but their degree of government."
• The Gap Hypothesis (Cause of Political Decay):
o Huntington's central thesis is that rapid social and economic modernization
(literacy, urbanization, media exposure) leads to increased social
mobilization and rising political consciousness.
o This creates a surge in demands and aspirations from the masses.
o If the level of political institutionalization (the capacity of parties,
legislatures, bureaucracies to handle these demands) is low, a dangerous gap
emerges.
o Rapid Social Mobilization > Slow Political Institutionalization = Political
Decay / Instability
• Political Decay and Praetorianism:

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o The result of this gap is political decay, characterized by instability, violence,

coups, and revolutions.
o He called such systems "praetorian societies," where social forces (military,
students, unions) directly confront each other in the political arena without
using established political institutions.
• Prescription for Order:
o To achieve political order, developing countries must focus on building strong,
adaptable, complex, and autonomous political institutions, especially a
strong party system.
o He argued that a strong one-party state (even a communist one) could be
more "developed" in terms of institutionalization and order than a weak,
unstable multi-party democracy. This was a highly controversial claim.
Comparison of Pye and Huntington:

Feature Lucian Pye Samuel P. Huntington

Main Focus Multi-dimensional Singular focus on

"development syndrome" Institutionalization as the key to
(Equality, Capacity, political order.
Differentiation).

View of Change Generally optimistic view of Pessimistic view; modernization

modernization leading to without strong institutions leads
development, but recognizes to decay, not development.
crises.

Primary Goal Achieving a modern, capable, Achieving political stability and

and participatory political order above all else.
system.

Key Problem Managing the six crises of Closing the gap between social
development. mobilization and political
institutionalization.

Relationship to Broadly within the A major critic and revisionist of

Modernization modernization school the modernization school.
Theory framework.

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UNIT 3: Political Dynamics: Democracy,

Electoral Process and Party System
1. Theories of Democracy: Elitist and Pluralist
I. Meaning of Democracy: Derived from Greek words "Demos" (people) and "Kratos"
(rule/power), meaning "rule by the people." Core tenets generally include popular
sovereignty, political equality, liberty, and rule of law. However, how this "rule by the
people" actually functions is a subject of debate, leading to different theories.
II. Elitist Theory of Democracy:
• Core Idea: In any society, regardless of its formal democratic institutions, a small
minority (the elite) holds effective political power and makes key decisions. The
masses are largely passive, apathetic, or manipulated. Democracy, in this view, is
more about the competition among elites for power.
• Key Thinkers and their Contributions:
1. Vilfredo Pareto (1848-1923):
▪ Book: The Mind and Society
▪ Concept: "Circulation of Elites." Society is always ruled by an elite
("governing elite"). History is a "graveyard of aristocracies." Elites can
be "lions" (using force) or "foxes" (using cunning and manipulation).
When one elite decays, another rises to take its place.
2. Gaetano Mosca (1858-1941):
▪ Book: The Ruling Class
▪ Concept: "The Ruling Class." In all societies, two classes appear: "the
class that rules and the class that is ruled." The ruling class is always
a minority, organized, and possesses certain qualities (intellectual,
material, moral superiority or perceived as such) that allow it to
dominate the unorganized majority.
3. Robert Michels (1876-1936):
▪ Book: Political Parties: A Sociological Study of the Oligarchical
Tendencies of Modern Democracy
▪ Concept: "Iron Law of Oligarchy." "Who says organization, says
oligarchy." Even in democratic organizations (like socialist parties,
which he studied), power inevitably concentrates in the hands of a
few leaders due to the need for specialization, leadership, and the
apathy of the masses.
4. C. Wright Mills (1916-1962):
▪ Book: The Power Elite (focused on American society)

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▪ Concept: "The Power Elite." Argued that America was ruled by a

cohesive group of leaders from three key sectors: the military,
corporate, and political hierarchies. These elites share common
interests and backgrounds.
5. Joseph Schumpeter (1883-1950):
▪ Book: Capitalism, Socialism, and Democracy
▪ Concept: "Competitive Elitism" / "Procedural Democracy." Defined
democracy as "that institutional arrangement for arriving at political
decisions in which individuals acquire the power to decide by means
of a competitive struggle for the people's vote." Democracy is a
method where elites compete for leadership.
• Key Features of Elitist Theory:
o Power is concentrated.
o Elites are a distinct group, often sharing common backgrounds or interests.
o Masses are largely passive or manipulated.
o Democracy is limited to choosing which elite governs.
• Criticisms:
o Overly cynical and deterministic.
o Underestimates the influence of public opinion, interest groups, and social
movements.
o Difficulty in empirically identifying a single, cohesive "elite" in all contexts.
o Ignores the normative ideals of democracy.
III. Pluralist Theory of Democracy:
• Core Idea: Political power is not concentrated in the hands of a single elite but is
dispersed among multiple, competing groups (interest groups, pressure groups).
Society is composed of diverse interests, and public policy is the outcome of
bargaining, negotiation, and compromise among these groups.
• Key Thinkers and their Contributions:
1. Arthur Bentley (1870-1957):
▪ Book: The Process of Government
▪ Concept: Politics is essentially a struggle among groups for influence.
The "group" is the basic unit of political analysis.
2. David Truman (1913-2003):
▪ Book: The Governmental Process
▪ Concept: Interest groups are central to politics. Individuals achieve
their goals through group membership. "Potential groups" can also
exert influence.

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3. Robert Dahl (1915-2014):

▪ Book: Who Governs? (study of New Haven), Polyarchy
▪ Concept: "Polyarchy" (rule by many, not rule by all). He argued that
modern democracies are polyarchies where power is dispersed among
various groups. No single group dominates all policy areas. Different
elites may dominate different issue areas ("specific elites").
Emphasized competition and elections.
• Key Features of Pluralist Theory:
o Power is fragmented and dispersed.
o Many centers of power exist.
o Groups compete for influence.
o The state acts as a neutral arbiter or referee, mediating between competing
interests.
o Individuals can influence policy by joining and participating in groups.
o Equilibrium and compromise are key outcomes.
• Criticisms:
o Idealizes the political process; not all groups have equal resources or access
(business groups often have more power).
o Neglects the power of "non-decision making" (Bachrach and Baratz) – the
ability of powerful groups to keep certain issues off the political agenda.
o Underestimates the independent role and power of the state (Neo-pluralism
acknowledges this).
o Assumes a level playing field that may not exist in reality.
Comparison: Elitist vs. Pluralist

Feature Elitist Theory Pluralist Theory

Power Concentrated in a small, Dispersed among many competing

Location cohesive elite. groups.

Role of Passive, apathetic, Can influence through group

Masses manipulated. membership and voting.

Role of State Instrument of the elite. Neutral arbiter, mediator.

Decision By the elite, for the elite's Outcome of bargaining and

Making interest. compromise among groups.

View of Hierarchical, divided into rulers Composed of diverse, overlapping

Society and ruled. interests.

Democracy Competition among elites for Competition among groups for

is… power. influence.

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2. Theories of Representation: Territorial, Proportional, and Functional

I. Meaning of Representation: Representation means acting in the interest of the
represented, in a manner responsive to them. It involves individuals or groups
(representatives) being authorized to act on behalf of a larger group (the constituents).
Theories of representation explore how this link should be established and structured.
II. Territorial (or Geographic) Representation:
• Core Idea: Representatives are chosen from geographically defined constituencies
(e.g., districts, wards). Each area elects one or more representatives.
• Basis: The primary link between the representative and the represented is shared
locality.
• Mechanisms:
o Single-Member District Plurality (SMDP) / First-Past-the-Post (FPTP): The
candidate with the most votes in a district wins, even if not a majority. (e.g.,
UK, USA, Canada, India - Lok Sabha).
o Majoritarian Systems: Require a candidate to win an absolute majority (e.g.,
Two-Round System in France, Alternative Vote).
• Advantages:
o Clear link between representative and constituency; voters know who is
responsible.
o Tends to produce strong, stable (often single-party majority) governments
(especially FPTP).
o Simplicity of voting.
• Disadvantages:
o Can lead to "wasted votes" (votes for losing candidates or surplus votes for
winners have no effect).
o Under-represents smaller parties and minorities.
o Can lead to disproportionate results (party's seat share not matching vote
share).
o Susceptible to gerrymandering (manipulating district boundaries).
III. Proportional Representation (PR):
• Core Idea: Seats in the legislature are allocated to political parties in proportion to
their share of the total votes cast, either nationally or in multi-member
constituencies.
• Basis: To ensure that the legislature accurately reflects the diverse political opinions
and party strengths within the electorate.
• Mechanisms:

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1. Party-List System: Voters choose a party, and parties receive seats

proportional to their vote share. Seats are filled from lists of candidates
prepared by the parties.
▪ Closed List: Voters can only vote for the party; order of candidates is
fixed by the party.
▪ Open List: Voters can indicate preference for specific candidates
within the party list.
2. Single Transferable Vote (STV): Used in multi-member constituencies. Voters
rank candidates in order of preference. Candidates need to reach a "quota"
of votes. Surplus votes from elected candidates and votes from eliminated
candidates are transferred according to voters' preferences until all seats are
filled. (e.g., Ireland, Malta, Australian Senate, Rajya Sabha elections in
India).
3. Mixed-Member Proportional (MMP): Combines elements of FPTP and PR
(e.g., Germany, New Zealand). Voters cast two votes – one for a local
candidate (FPTP) and one for a party list (PR).
• Advantages:
o Fairer representation of all parties and viewpoints.
o Fewer wasted votes.
o Can increase voter turnout as more votes count.
o Better representation of minority groups.
• Disadvantages:
o Often leads to coalition governments, which can be unstable.
o May give disproportionate power to small parties (kingmakers in coalitions).
o Can lead to fragmented party systems.
o Weakens the link between representative and constituency (especially in
large, national list systems).
o Can be complex for voters (especially STV).
IV. Functional Representation:
• Core Idea: Individuals should be represented not based on where they live (territory)
but based on their socio-economic function, occupation, or major interests (e.g.,
farmers, workers, doctors, academics).
• Basis: Society is composed of functional groups, and their specific expertise and
interests need direct representation.
• Advocates:
o Guild Socialists (e.g., G.D.H. Cole) in the early 20th century.
o Some syndicalist thinkers.

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o Proponents of corporatism (though corporatism can also be undemocratic).

• Mechanisms (often theoretical or partially implemented):
o Legislative chambers composed of delegates from various occupational or
professional groups.
o Advisory bodies based on functional interests.
o Reserved seats for specific functional groups (e.g., representation for Anglo-
Indians in India, though now abolished).
• Advantages (Claimed):
o Ensures representation of specialized knowledge and vital societal functions.
o Could make representation more "real" by focusing on people's primary
economic or social roles.
o Might supplement territorial representation to provide a more comprehensive
voice.
• Disadvantages:
o Difficult to define and delimit "functions" clearly and fairly. Who decides
which functions are important enough?
o How to allocate seats among different functions?
o Potential for powerful economic interests to dominate.
o May lead to societal fragmentation along functional lines rather than
promoting national unity.
o Risk of creating rigid, undemocratic corporatist structures.
o Individuals have multiple identities and functions; which one takes
precedence?
• Examples: Some elements exist in vocational panels in the Irish Senate, or in
tripartite bodies (government, employers, unions) for economic consultation in some
countries. Historically, some Fascist states (e.g., Mussolini's Italy) implemented
versions of corporatist representation, which discredited the idea for many.

3. Party System: One Party, Bi-Party, and Multi-Party

I. Meaning of Party System: A party system refers to the set of interacting political parties
in a particular country, including their number, relative strengths, electoral laws that shape
them, and the nature of their competition.
II. Types of Party Systems (Classical Typology):
1. One-Party System:
o Definition: Only one political party is legally permitted to exist and contest
elections, or one party effectively holds all power, even if other minor parties
are technically allowed.

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o Features:
▪ No genuine political competition.
▪ The ruling party often controls all branches of government and media.
▪ Ideology can be very strong (e.g., Communist states).
▪ Fusion of party and state.
o Sub-types:
▪ De jure one-party state (e.g., China, Cuba, former USSR).
▪ De facto one-party state / Dominant-Party System (Sartori's term):
Other parties exist and are legal, but one party wins elections
consistently over a long period, making effective alteration of power
very unlikely. Examples: Congress Party in India (1947-1977, 1980-
1989), PRI in Mexico (until 2000), LDP in Japan (for much of the post-
war era).
▪ Note: Sartori distinguishes a "hegemonic party system" where
other parties are mere satellites, from a "predominant party
system" where one party wins free elections consistently.
o Advantages (Claimed): Political stability, national unity, decisive policy-
making.
o Disadvantages: Lack of accountability, suppression of dissent, authoritarian
tendencies, corruption, no real choice for voters.
2. Bi-Party System (Two-Party System):
o Definition: Two major political parties dominate the political landscape and
alternate in power. Other minor parties ("third parties") may exist but have
little chance of winning national elections on their own.
o Features:
▪ Power alternates between the two main parties.
▪ Often associated with FPTP electoral systems (Duverger's Law suggests
FPTP leads to two-party systems).
▪ Competition tends to be centripetal (parties move towards the
ideological center to capture moderate voters).
▪ Provides voters with a clear choice between two main alternatives.
o Examples: USA (Democrats and Republicans), UK (historically Conservatives
and Labour, though recently more fragmented).
o Advantages: Political stability, strong governments, clear accountability,
simplifies voter choice.
o Disadvantages: Can marginalize minority views, limits voter choice to two
main options, can lead to adversarial politics, potential for policy stagnation
if both parties are too similar.

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3. Multi-Party System:
o Definition: More than two political parties have a realistic chance of winning
elections and participating in government, often through coalitions.
o Features:
▪ No single party usually wins an outright majority.
▪ Coalition governments are common.
▪ Wider range of ideologies and interests represented.
▪ Often associated with Proportional Representation (PR) electoral
systems.
▪ Competition can be centripetal (moderate pluralism) or centrifugal
(polarized pluralism, where extremist parties gain strength – Sartori).
o Examples: Most countries in continental Europe (e.g., Germany, Italy,
Netherlands, Scandinavian countries), India (at the national level, especially
since 1989).
o Advantages: Better representation of diverse societal interests and opinions,
promotes consensus-building (in coalitions), offers more choice to voters.
o Disadvantages: Coalition governments can be unstable and short-lived,
policy-making can be slow and prone to deadlock, small parties can wield
disproportionate influence as "kingmakers," accountability can be diffused.
Giovanni Sartori's Refinements: Sartori offered a more nuanced classification based on
"ideological distance" and "system mechanics":
• Competitive Systems:
o Two-Party System
o Moderate Pluralism: (3-5 relevant parties, small ideological distance,
centripetal competition, coalition governments).
o Polarized Pluralism: (More than 5 relevant parties, large ideological
distance, anti-system parties, bilateral oppositions, centrifugal competition,
often unstable).
o Atomized System: Many parties, none dominant, highly fragmented.
• Non-Competitive Systems:
o One-Party
o Hegemonic Party (other parties exist as satellites)

4. Features of Authoritarianism, Electoral Authoritarianism, and Democratic Regimes

I. Democratic Regimes:
• Core Principle: Rule by the people, either directly or through freely elected
representatives.

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• Key Features (Robert Dahl's "Polyarchy" criteria are influential):

1. Free, Fair, and Frequent Elections: Genuine choice, universal adult
suffrage, regular intervals.
2. Elected Officials: Control over government decisions is constitutionally
vested in elected officials.
3. Freedom of Expression: Citizens can express themselves without fear of
severe punishment on political matters.
4. Alternative Sources of Information: Access to diverse and independent
media, not controlled by the government.
5. Associational Autonomy: Citizens have the right to form independent
associations, including political parties and interest groups.
6. Inclusive Citizenship: No adult permanently residing in the country is denied
the rights available to others.
7. Rule of Law: Government and citizens are subject to and abide by the law;
independent judiciary.
8. Accountability: Rulers are accountable to the ruled, both vertically (through
elections) and horizontally (checks and balances among institutions).
9. Protection of Human Rights & Civil Liberties: Basic rights are guaranteed
and protected.
10. Political Pluralism: Acceptance and promotion of diversity in political beliefs
and organizations.
II. Authoritarian Regimes:
• Core Principle: Political power is concentrated in the hands of a leader or a small
elite, not accountable to the people. Obedience to authority is paramount.
• Key Features:
1. Limited or No Political Pluralism: Opposition parties and independent groups
are suppressed or heavily controlled.
2. Lack of Free and Fair Elections: If elections are held, they are not
competitive or meaningful.
3. Suppression of Dissent and Civil Liberties: Freedom of speech, press, and
assembly are severely restricted.
4. Absence of Rule of Law (or Rule by Law): Law is often an instrument of state
power rather than a constraint on it. Judiciary is not independent.
5. Concentration of Power: Power is held by an individual dictator, a military
junta, a single party, or a traditional monarchy.
6. Lack of Accountability: Rulers are not accountable to the general populace.
7. Control over Information: State often controls media and propaganda.

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8. Use of Coercion and Repression: Security forces are used to maintain order
and suppress opposition.
9. Legitimacy often based on: Ideology (e.g., communism, nationalism),
tradition (monarchies), order/stability, or leader's charisma.
• Types of Authoritarian Regimes (Linz & Stepan):
o Personalist Dictatorships: Power concentrated in a single individual.
o Military Regimes: Ruled by military officers.
o One-Party States: Dominated by a single political party.
o Traditional Monarchies: Rule based on hereditary claims.
o Theocratic Regimes: Rule by religious leaders.
III. Electoral Authoritarianism (Hybrid Regimes / Competitive Authoritarianism):
• Core Principle: These are regimes that possess formal democratic institutions (like
multi-party elections) but where the incumbent systematically violates the principles
of democracy to maintain power. They are neither fully democratic nor fully
authoritarian.
• Key Thinkers: Andreas Schedler ("Electoral Authoritarianism"), Steven Levitsky &
Lucan Way ("Competitive Authoritarianism").
• Key Features:
1. Formal Democratic Institutions: Elections are held regularly, legislatures
exist, constitutions are in place.
2. Uneven Playing Field: The incumbent regime uses state resources, media
control, harassment of opposition, and manipulation of electoral rules to
create an unfair advantage.
▪ Abuse of State Resources: Using public funds, state personnel, and
government programs for partisan advantage.
▪ Media Bias: State control or influence over major media outlets,
limiting opposition access.
▪ Harassment and Intimidation: Legal and extra-legal pressure on
opposition figures, activists, and critical journalists.
▪ Electoral Manipulation: Flawed voter registration, biased electoral
commissions, gerrymandering, ballot stuffing (less common than
subtle manipulation).
3. Limited but Real Opposition: Opposition parties exist, compete in elections,
and can sometimes win seats, but their ability to challenge the incumbent
for national power is severely constrained.
4. Some Space for Civil Society: NGOs, independent media, and social
movements may operate, but often under pressure or surveillance.
5. Uncertainty (Lower than Democracy, Higher than Full Authoritarianism):
While incumbents usually win, there's a small but real chance of electoral

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upsets or significant opposition gains, leading regimes to invest heavily in

manipulation.
6. Weak Rule of Law: Judiciary may lack independence, and laws are applied
selectively.
7. Elections as a Facade: Elections serve to legitimize the regime
internationally and domestically, and manage internal elite dynamics, rather
than providing a genuine mechanism for popular choice and accountability.
Distinguishing the Three:

Feature Democratic Electoral Authoritarianism Authoritarian

Regimes Regimes

Elections Free, fair, regular, Regular, but systematically Non-existent, or

meaningful unfair/unlevel. non-competitive
competition. sham.

Political High; multiple Limited; opposition exists Very low or absent;

Pluralism parties, interest but constrained. opposition
groups. suppressed.

Civil Liberties Broadly protected. Formally exist, but often Severely restricted
violated/restricted. or denied.

Rule of Law Strong; Weak; judiciary often Arbitrary rule; law

independent compromised. as tool of power.
judiciary.

Accountability High; rulers Low; formal Non-existent.

accountable to accountability, but weak
citizens. in practice.

Opposition's Genuine chance to Minimal chance to win No chance to win

Chance win power. national power. power.

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UNIT 4: Issues in Comparative Politics

1. Globalization and Nation-State
I. Defining Globalization:
• Meaning: Globalization is a complex, multi-dimensional process characterized by the
intensification of worldwide social relations, leading to an increasing
interconnectedness of societies and individuals across national borders. It is the
widening, deepening, and speeding up of worldwide interconnectedness in all
aspects of contemporary social life.
• Key Characteristics:
1. Economic Interdependence: Increased cross-border flows of goods, services,
capital, and labor; rise of multinational corporations (MNCs).
2. Technological Advancement: Rapid advancements in communication
(internet, mobile phones) and transportation technologies, facilitating global
interaction.
3. Cultural Homogenization and Heterogenization: Spread of global cultural
products (music, film, brands) leading to some convergence, but also the rise
of local adaptations and cultural mixing.
4. Political Interdependence: Growth of international organizations (UN, WTO,
IMF), transnational networks, and global governance challenges.
5. Environmental Interdependence: Recognition of shared environmental
challenges (climate change, pandemics) requiring global cooperation.
II. Defining the Nation-State:
• Meaning: A nation-state is a political entity (state) within which a large majority of
the population shares the same culture, language, or ethnic origin (nation). It is
founded on the principle of national self-determination.
• Key Elements of a Nation-State:
1. Territory: A defined geographical area with internationally recognized
borders.
2. Population: A permanent resident population.
3. Government: An effective government controlling the territory and
population.
4. Sovereignty: The supreme and independent authority within its territory
(internal sovereignty) and its recognition by other states (external
sovereignty). This is often traced to the Treaty of Westphalia (1648).
5. National Identity: A shared sense of common identity, culture, and destiny
among its people, often leading to a desire for self-governance.
III. Impact of Globalization on the Nation-State: Debates

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The relationship between globalization and the nation-state is one of the most significant
debates in contemporary international relations and comparative politics.
A. The "Decline/Erosion" Thesis (Sovereignty and Power Loss):
This perspective argues that globalization diminishes the power, sovereignty, and even the
relevance of the nation-state.
1. Economic Challenges:
o Transnational Capital: MNCs operate beyond national control, shifting
production and capital globally, making states compete for investment and
reduce regulations ("race to the bottom").
o Global Financial Markets: Highly mobile capital makes states vulnerable to
currency fluctuations, speculative attacks, and external financial crises,
limiting national economic policy autonomy.
o International Economic Institutions: Bodies like the WTO, IMF, and World
Bank impose rules and conditions that constrain national economic policy
choices.
2. Political and Security Challenges:
o Transnational Actors: Rise of powerful non-state actors (NGOs, terrorist
groups, social movements) operating globally, challenging state monopolies
on security and legitimacy.
o Global Governance: Increasingly, complex global problems (climate change,
pandemics, terrorism, cybercrime) require multilateral cooperation and
institutions that operate above or across national borders, potentially limiting
state autonomy.
o Human Rights Regimes: International human rights norms and laws can limit
a state's internal sovereignty by dictating how it treats its own citizens.
3. Cultural Challenges:
o Global Culture: Spread of global media, consumerism, and Western cultural
norms can erode distinct national identities and traditions.
o Migration: Increased cross-border migration can challenge national
homogeneity and create internal social tensions.
4. Weakening of Borders: Easier flow of goods, people, and information makes borders
more porous, challenging state control.
B. The "Resilience/Adaptation" Thesis (Continued Relevance/Transformation):
This perspective argues that the nation-state remains the primary actor, adapting and
transforming itself to the challenges of globalization rather than declining.
1. Still the Primary Actor:
o Law and Order: States retain the monopoly on legitimate force and remain
crucial for maintaining domestic order and security.
o Legitimacy: The nation-state is still the primary source of political legitimacy
and democratic accountability.

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o Welfare and Security Provider: Citizens still primarily look to their national
governments for welfare provisions, social security, and protection.
2. Regulatory and Facilitating Role:
o Rule-Making: States are central to creating and enforcing the rules that
govern globalization (e.g., trade agreements, financial regulations). They are
not passive recipients but active participants.
o Attracting Investment: States actively compete to attract foreign investment
by providing infrastructure, skilled labor, and a favorable regulatory
environment.
o Global Governance: States are the principal members of international
organizations; global governance is primarily inter-state cooperation, not
supra-state rule.
3. National Identity and Loyalty:
o Enduring Loyalty: National identity often remains a powerful force, even in
a globalized world, providing social cohesion.
o Rise of Nationalism: In some contexts, globalization has provoked a
resurgence of nationalism and protectionism as a reaction.
4. Glocalization: States mediate global forces at the local level, blending global trends
with local particularities.
C. The "Transformation/Restructuring" Thesis:
Many scholars now argue that the state is neither simply declining nor remaining unchanged,
but rather undergoing a fundamental transformation in its form and functions.
• From Welfare State to "Competition State" (Philip Cerny): The state shifts from
directly providing welfare and managing the economy to facilitating global
competitiveness for its industries and citizens.
• From "Government" to "Governance": The state increasingly shares power and
responsibility with non-state actors (NGOs, private sector, international
organizations) in multi-level governance networks.
• Regulatory State: The state's role moves from direct ownership and provision to
regulating markets, setting standards, and creating frameworks for global
interaction.
Conclusion:
While globalization poses significant challenges to the traditional understanding of the
nation-state's sovereignty and autonomy, it has not led to its demise. Instead, the nation-
state is evolving, adapting its functions and forms to navigate a more interconnected world.
Its role remains crucial for order, security, identity, and the very functioning of the global
system itself.

2. Gender in Politics: Welfare to Empowerment

I. Introduction: Why Gender in Politics?

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• Traditional political science often overlooked or marginalized gender as a category

of analysis, implicitly assuming a male-centric universal subject.
• Feminist political theory and gender studies critically examine how gender (socially
constructed roles, relations, and power dynamics between men and women) shapes
political institutions, processes, and outcomes, and how politics, in turn, shapes
gender relations.
• It highlights how gender inequalities are political, not just social, and seeks to
understand and transform these power imbalances.
II. Conceptualizing Gender:
• Sex vs. Gender:
o Sex: Biological differences between males and females (e.g., chromosomes,
anatomy).
o Gender: Socially constructed roles, behaviors, expressions, and identities of
girls, women, boys, men, and gender-diverse people. It is a system of social
relations that structures power, resources, and opportunities. Gender is
learned and varies across cultures and over time.
• Gender as a Power Relation: Gender is not just about differences but about
hierarchical power relations, where typically masculine norms and values are
privileged, leading to the subordination of women and other gender identities.
III. Approaches to Gender in Development and Politics:
The discourse around women's roles and issues in development and politics has evolved
significantly from a focus on welfare to a focus on empowerment.
A. Welfare Approach (WID - Women in Development - Early Phase):
• Historical Context: Predominant in the 1950s-1970s, influenced by modernization
theory and post-WWII development aid.
• Core Idea: Women were seen primarily as mothers and homemakers, and their role
in development was largely conceptualized in terms of their contribution to family
and community well-being.
• Focus: Providing welfare services to women (e.g., maternal and child health, family
planning, nutrition, basic education). Development initiatives aimed to integrate
women into existing processes, assuming their exclusion was due to a lack of access
or skills.
• Critique:
o Passive Recipients: Women were seen as passive beneficiaries of aid, not as
active agents of development.
o Reinforced Stereotypes: Reinforced traditional gender roles and the sexual
division of labor (women in domestic sphere, men in productive sphere).
o Ignored Structural Issues: Failed to address the root causes of women's
subordination – the patriarchal structures and power imbalances that limited
their access to resources and decision-making.

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o No Challenge to System: Did not challenge the existing political and

economic systems or gender relations.
B. Equity / Anti-Poverty Approach (WID - Later Phase & WAD - Women and Development):
• WID (Later Phase - 1970s-1980s):
o Recognized women's economic contributions beyond the domestic sphere.
o Advocated for greater access for women to resources (credit, land),
education, and employment opportunities to enhance their productivity.
o Still largely focused on integrating women into existing development models.
• WAD (Women and Development - emerged in the 1970s):
o Influenced by Marxist and dependency theories.
o Acknowledged that women have always been part of the development process
but have been exploited or marginalized by the global capitalist system.
o Focus: Women's productive roles in both formal and informal sectors, and how
their labor was undervalued or exploited.
o Critique: While highlighting women's exploitation, it still tended to treat
women as a separate category and did not explicitly analyze gender as a
social construct or challenge the underlying power relations between men
and women.
C. Efficiency Approach (WID - 1980s):
• Core Idea: Focused on increasing women's productivity for economic growth.
• Motivation: Driven by concerns about economic stagnation and structural
adjustment policies.
• Focus: Investing in women as a smart economic decision because it leads to higher
returns on investment and overall economic growth.
• Critique: Instrumentalized women, seeing them as means to an end (economic
growth) rather than as rights-holders or autonomous individuals. Did not challenge
underlying gender inequalities.
D. Empowerment Approach (GAD - Gender and Development):
• Historical Context: Emerged in the late 1980s and 1990s, influenced by post-
structuralist feminism and a critique of previous approaches.
• Core Idea: GAD shifted the focus from "women" as a separate category to "gender"
as a socio-political construct. It emphasizes that inequality stems from unequal
power relations between men and women and that development must address these
power imbalances.
• Focus: Transforming gender relations, challenging patriarchal structures, and
empowering women to gain control over their lives and resources.
• Key Principles of Empowerment:
1. Agency: Women's ability to define their goals and act upon them.

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2. Control over Resources: Economic empowerment (land, credit,

employment).
3. Political Voice and Participation: Representation in decision-making bodies
(legislatures, local government), ability to influence policy, collective action.
4. Challenging Norms: Transforming social, cultural, and political norms that
perpetuate gender inequality.
5. Self-Esteem and Autonomy: Psychological empowerment.
• Political Empowerment:
o Representation: Advocating for increased presence of women in legislatures,
executives, and other political institutions (e.g., through quotas,
reservations).
o Participation: Encouraging women's active participation in political parties,
interest groups, social movements, and civil society.
o Policy Influence: Ensuring that gender perspectives are integrated into
policy-making across all sectors (gender mainstreaming).
o Institutional Reform: Transforming political institutions to be more gender-
sensitive and inclusive.
• Examples:
o India's 73rd and 74th Constitutional Amendments (1992): Mandated 33%
(now 50% in many states) reservation for women in Panchayati Raj Institutions
(local self-governments), a significant step towards political empowerment.
o Global movements for women's suffrage, reproductive rights, and combating
gender-based violence.
Conclusion: The shift from welfare to empowerment represents a fundamental change in
understanding gender in politics – from viewing women as vulnerable recipients of aid to
recognizing them as powerful agents of change who can challenge and transform political
structures and societal norms.

3. Climate Change: A Comparative Perspective of North and South

I. Introduction:
Climate change is one of the most pressing global challenges, characterized by long-term
shifts in temperatures and weather patterns, primarily due to human activities (especially
the emission of greenhouse gases from industrialization). Addressing climate change has
become a central issue in comparative politics and international relations, revealing deep
divisions, particularly between the "Global North" (developed countries) and the "Global
South" (developing countries).
II. The North-South Divide in Climate Change:
The divide is rooted in historical responsibilities, current vulnerabilities, and capacities to
act.

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A. The Global North (Developed Countries):

• Historical Responsibility: Industrialized nations (Europe, North America, Japan,
Australia) are primarily responsible for the bulk of accumulated greenhouse gas
(GHG) emissions in the atmosphere since the Industrial Revolution. Their economic
development was built on fossil fuels.
• High Per Capita Emissions (Historically and often Currently): Though some
developing nations have high total emissions now, per capita emissions in the North
remain generally higher, and their historical contribution is undeniable.
• Higher Capacity to Act: Possess greater financial resources, advanced technology,
robust infrastructure, and institutional capacity for both mitigation (reducing
emissions) and adaptation (adjusting to climate impacts).
• Focus in Negotiations: Often emphasize the need for all countries, including major
developing economies like China and India, to take on binding emission reduction
commitments. Prioritize economic competitiveness.
B. The Global South (Developing Countries):
• Lower Historical Responsibility: Contributed relatively little to historical GHG
emissions.
• Higher Vulnerability to Impacts: Disproportionately affected by the impacts of
climate change (sea-level rise, extreme weather events, desertification, food
insecurity, water scarcity) due to:
o Geographic location: Many are in tropical or coastal regions.
o Economic dependence on climate-sensitive sectors: Agriculture, fisheries.
o Weaker infrastructure and limited resources: Less ability to build resilience
or recover from disasters.
• Lower Capacity to Act: Limited financial resources, technological capabilities, and
institutional capacity for mitigation and adaptation.
• Focus in Negotiations: Emphasize the "right to development" and poverty
eradication. Demand greater financial and technological support from the North, and
less stringent emission reduction targets for themselves.
III. Key Issues in Climate Change Negotiations Reflecting the North-South Divide:
1. Common But Differentiated Responsibilities (CBDR):
o Principle: Enshrined in the UN Framework Convention on Climate Change
(UNFCCC) (1992). It acknowledges that all countries have a shared
responsibility to address climate change ("common") but recognizes their
differing capabilities and historical contributions to the problem
("differentiated responsibilities").
o North's View: Argues that the world has changed since 1992; major
developing economies like China and India are now large emitters and should
share more burden.

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o South's View: Insists that historical responsibility and per capita emissions
remain crucial. Development needs of the South should not be jeopardized.
2. Mitigation (Emission Reduction Targets):
o Kyoto Protocol (1997): Set legally binding emission reduction targets only
for developed countries (Annex I Parties), reflecting CBDR. The US famously
did not ratify, and some developing nations argued it was unfair to them.
o Paris Agreement (2015): Shifted to Nationally Determined Contributions
(NDCs), where all countries set their own targets. While this broadened
participation, the principle of CBDR is still woven into the flexibility and
support mechanisms. Developing countries' NDCs are often contingent on
financial and technological support from the North.
o North's demands: Deeper cuts from all, including major developing
countries.
o South's demands: Greater cuts from North, recognition of "carbon space" for
development, and financial/tech support.
3. Adaptation:
o Definition: Adjusting to actual or expected climate change impacts (e.g.,
building sea walls, developing drought-resistant crops).
o South's Position: Adaptation is a critical priority, requiring substantial
financial assistance from the North, as impacts are already being felt.
o North's Position: Acknowledges adaptation but often prioritizes mitigation.
Reluctance to commit large-scale financial resources for adaptation.
4. Climate Finance:
o Commitment: Developed countries pledged to mobilize $100 billion per year
by 2020 to help developing countries with mitigation and adaptation. This
target has largely been missed.
o South's Demands: Calls for more ambitious and transparent financial
commitments, often seeking grants rather than loans, and improved access
to funds.
o North's Concerns: Economic slowdowns, diverse definitions of "climate
finance," and reluctance to accept a legal obligation.
5. Technology Transfer:
o South's Demands: Developed countries should facilitate the transfer of
environmentally sound technologies (e.g., renewables, carbon capture) to
developing countries on concessional and preferential terms.
o North's Concerns: Protecting intellectual property rights of companies that
developed the technologies.
6. Loss and Damage:

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o Definition: Refers to the unavoidable and irreversible impacts of climate

change (e.g., permanent loss of land due to sea-level rise, destruction of
ecosystems).
o South's Demands: Calls for a separate mechanism and compensation fund
from the North for such losses, viewing it as a form of climate justice.
o North's Reluctance: Fear of opening themselves up to legal liability and
massive compensation claims. A separate fund for Loss & Damage was agreed
at COP27 (2022).
Conclusion:
The climate change debate is a microcosm of broader global inequalities and power
dynamics. The North-South divide highlights the tension between environmental protection
and development, historical responsibility and current capabilities, and the enduring quest
for climate justice. While agreements like Paris try to bridge this gap, the fundamental
challenges of burden-sharing and trust persist, making global climate action a complex
comparative political issue.

4. Social Movements: Old and New

I. Introduction: Defining Social Movements
• Meaning: A social movement is a sustained, collective effort by a group of people to
bring about or resist social and political change. They operate outside the formal
political channels of parties and elections, though they often interact with them.
• Key Characteristics:
o Collective Action: Involves groups of individuals acting together.
o Sustained Effort: Not just a single protest, but a continuous campaign.
o Informal Organization: Often less formal than political parties or interest
groups, though some may develop more structured forms.
o Common Purpose: United by shared grievances, goals, or ideologies.
o Extra-Institutional Action: Often use methods outside conventional politics
(protests, boycotts, civil disobedience).
o Focus on Change: Aim to change societal norms, policies, or power
structures.
II. Old Social Movements (OSMs)
• Historical Context: Predominant from the 19th century through the mid-20th
century, particularly during the industrial revolution and the rise of capitalism.
• Key Actors: Primarily based on class identity. The main actors were the working
class, peasants, and sometimes disenfranchised ethnic or racial groups.
• Goals:

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o Materialist/Distributive: Primarily focused on economic issues, redistribution

of wealth, better wages, improved working conditions, land rights, access to
resources.
o Political Rights: Demands for suffrage, parliamentary representation, union
rights.
o State Power: Often aimed at influencing or even capturing state power to
implement their economic and political agendas.
• Organizational Form:
o Typically hierarchical and centralized, with clear leadership structures
(e.g., large trade unions, Marxist-Leninist parties).
o Often had a strong link to formal political parties.
• Ideology:
o Often rooted in class-based ideologies like Marxism, socialism, communism,
or anarchism.
o Emphasized collective action and solidarity based on class.
• Methods of Action:
o Strikes, boycotts, mass demonstrations, rallies.
o Lobbying, electoral politics, and sometimes revolutionary violence.
• Examples:
o Labor Movements/Trade Unions: Fighting for workers' rights, 8-hour
workday, minimum wage.
o Peasant Movements: Demanding land reform, debt relief.
o Early Feminist Movements (Suffragettes): Primarily focused on securing
voting rights for women.
o Anti-Colonial Movements: Seeking national independence.
III. New Social Movements (NSMs)
• Historical Context: Emerged from the 1960s onwards, especially in post-industrial,
affluent Western societies. They reflect a shift in societal values from material
concerns to "post-materialist" values (Ronald Inglehart).
• Key Actors: Diverse groups, often drawing from the middle class, educated youth,
intellectuals, and professionals. They cut across traditional class lines and are
based on shared identities, values, or life experiences.
• Goals:
o Post-Materialist/Identity/Recognition: Focus on issues related to identity,
quality of life, cultural recognition, human rights, autonomy, self-expression,
and global justice.

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o Beyond Economic Distribution: While economic concerns may be present,

the primary focus is on non-material issues, challenging dominant cultural
norms and power structures.
o Life Politics: Addressing issues that relate to everyday life, personal choices,
and the quality of human existence.
• Organizational Form:
o Often decentralized, networked, flexible, and non-hierarchical.
o Emphasis on consensus-building, direct democracy, and horizontal
communication.
o Utilize new communication technologies (internet, social media).
• Ideology:
o Diverse, often combining elements from liberalism, anarchism,
environmentalism, feminism, and human rights.
o Less about seizing state power and more about changing societal values and
policy through moral persuasion, direct action, and cultural shifts.
• Methods of Action:
o Direct action, civil disobedience, boycotts, consumer activism, awareness
campaigns, lobbying.
o Creative protests, symbolic actions, and extensive use of media (both
traditional and new).
o Often operate transnationally, forming global networks.
• Examples:
o Environmental Movement: Advocating for climate action, conservation, and
sustainable development.
o Second-Wave Feminist Movement (and subsequent waves): Challenging
patriarchy in all spheres, fighting for reproductive rights, against gender-
based violence, for equal pay.
o LGBTQ+ Rights Movement: Fighting for equality and recognition for sexual
and gender minorities.
o Peace Movements: Anti-war protests, nuclear disarmament campaigns.
o Human Rights Movements: Advocating for universal human rights.
o Anti-Globalization / Global Justice Movement: Critiquing corporate power
and global capitalism.
IV. Key Distinctions between Old and New Social Movements:

Feature Old Social Movements (OSMs) New Social Movements (NSMs)

Historical Industrial societies (19th-mid 20th Post-industrial, post-materialist

Context century). societies (1960s+).

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Core Conflict Class conflict, economic Cultural, identity, environmental,

exploitation. human rights.

Primary Actors Working class, peasants. Diverse, often middle-class,

educated professionals.

Main Goals Material well-being, economic Quality of life, identity,

redistribution, political rights, recognition, autonomy, values.
state power.

Organization Hierarchical, centralized, formal Decentralized, networked, fluid,

(unions, parties). informal.

Ideology Class-based (Marxism, Socialism). Diverse, post-materialist, identity

politics.

Scope Often national, focused on state. Often transnational, global focus.

Methods Strikes, mass rallies, electoral Direct action, civil disobedience,

politics. symbolic protests, media
activism.

V. Critiques and Overlaps:

• Are they truly distinct? Critics argue the distinction is oversimplified. Many "old"
issues (e.g., poverty, labor rights) persist, and "new" movements often have material
dimensions or involve working-class participation.
• Hybrid Movements: Many contemporary movements exhibit characteristics of both,
borrowing tactics and goals. For example, environmental justice movements
combine environmental concerns with issues of class and race.
• The distinction is more of an analytical ideal type to highlight shifts in collective
action over time rather than a rigid classification.

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FOREIGN POLICY IN INDIA

UNIT 1: India’s Foreign Policy and Security
Concerns
1. Genesis and Foundations of India’s Foreign Policy: Ideology, Principles, Goals and
Objectives
I. Genesis and Historical Context:
• Pre-Independence Roots: India's foreign policy did not emerge in a vacuum in 1947.
o Anti-Colonial Struggle: The Indian National Congress (INC) had a foreign
department and formulated views on international issues, condemning
colonialism, imperialism, and fascism.
o Asian Identity and Solidarity: Leaders like Nehru envisioned India playing a
leading role in a resurgent Asia.
o Gandhian Philosophy: Ideals of non-violence (Ahimsa), peace, and moral
diplomacy influenced early thinking, though practical security concerns were
also acknowledged.
o Internationalist Outlook: Engagement with international peace movements
and organizations.
• Post-Independence Context (1947 onwards):
o Newly Independent Nation: Faced challenges of nation-building, economic
development, and poverty alleviation.
o Cold War Bipolarity: The world was divided between the US-led Western bloc
and the Soviet-led Eastern bloc. India had to navigate this complex
environment.
o Legacy of Partition: Strained relations with Pakistan and the Kashmir issue
became early and enduring concerns.
o Desire for Strategic Autonomy: A strong desire to avoid being drawn into
military alliances of the superpowers and to pursue an independent foreign
policy.
II. Ideology and Guiding Philosophy:
• Nehruvian Idealism (Dominant in early years):
o Anti-Imperialism and Anti-Colonialism: Strong opposition to all forms of
foreign domination.
o Anti-Racism: Opposing racial discrimination, particularly apartheid in South
Africa.
o Peaceful Coexistence: Belief in the possibility of different political and
economic systems coexisting peacefully.

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o Internationalism: Faith in the United Nations and international law to resolve

disputes.
o Moralistic Stance: Emphasis on ethical principles in international relations.
• Pragmatism and Realism (Gradually increasing influence):
o While idealism was prominent, Nehru and subsequent leaders also
demonstrated pragmatism in dealing with national security and economic
interests.
o The 1962 Sino-Indian War was a significant turning point, leading to a greater
emphasis on military preparedness and a more realistic assessment of power
politics.
o Post-Cold War era has seen a more pronounced shift towards strategic
pragmatism and a focus on economic diplomacy.
III. Principles of India’s Foreign Policy:
These principles have provided continuity and a framework for India's engagement with the
world.
1. Non-Alignment (NAM):
o Meaning: The cornerstone of India's early foreign policy. It meant not aligning
with either of the superpower blocs during the Cold War. It was not neutrality
(which implies passivity) but active independence in foreign affairs, judging
each issue on its merits.
o Objectives: Preserve strategic autonomy, avoid entanglement in Cold War
conflicts, focus on domestic development, and work for global peace.
o Evolution: While the Cold War context has changed, the spirit of strategic
autonomy and independent decision-making continues to influence India's
policy (e.g., "multi-alignment" in contemporary discourse).
2. Panchsheel (Five Principles of Peaceful Coexistence):
o First formally enunciated in the Agreement on Trade and Intercourse
between India and the Tibet region of China (1954).
o The five principles are:
1. Mutual respect for each other's territorial integrity and sovereignty.
2. Mutual non-aggression.
3. Mutual non-interference in each other's internal affairs.
4. Equality and mutual benefit.
5. Peaceful co-existence.
o Became a guiding principle for relations with many countries, especially in
the developing world.
3. Anti-Colonialism, Anti-Imperialism, and Anti-Racism:

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o Consistent support for decolonization movements and opposition to racial

discrimination globally.
4. Peaceful Settlement of International Disputes:
o Emphasis on dialogue, negotiation, and diplomacy rather than resorting to
force. Adherence to international law and the UN Charter.
5. Disarmament:
o Advocacy for universal, non-discriminatory nuclear disarmament and general
disarmament.
6. Support for the United Nations (UN):
o Strong belief in the UN system for maintaining international peace and
security and promoting development. India has been an active participant in
UN peacekeeping operations.
7. Foreign Economic Assistance:
o While a recipient of aid initially, India has also been a provider of
development assistance to other developing countries (South-South
Cooperation).
IV. Goals and Objectives:
The overarching goal is to protect and promote India's national interests. These can be
broken down into:
1. Preservation of Territorial Integrity and National Sovereignty: Protecting India's
borders and independence from external threats.
2. Ensuring National Security: Maintaining a credible defense capability and managing
threats from state and non-state actors.
3. Promoting Economic Growth and Development: Creating a favorable external
environment for India's economic progress, attracting foreign investment, securing
access to resources (especially energy), technology, and markets.
4. Acquiring a Rightful Place in Global Affairs: Seeking a greater role in global
decision-making institutions (e.g., permanent membership of the UN Security
Council), reflecting India's growing economic and political stature.
5. Protecting the Interests of the Indian Diaspora: Safeguarding the welfare and rights
of Indians living abroad.
6. Promoting Regional Peace and Stability: Fostering good relations with neighboring
countries and contributing to stability in South Asia and the wider Indian Ocean
Region.
7. Cultivating Global Partnerships: Building strategic partnerships with major powers
and like-minded countries to achieve common objectives.
8. Addressing Global Challenges: Cooperating on issues like climate change, terrorism,
pandemics, and maritime security.

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2. Determinants of India’s Foreign Policy: Internal and External Factors

The foreign policy of any nation is shaped by a complex interplay of domestic and
international factors.
I. Internal Factors:
1. Geography:
o Size and Location: India's vast size, long coastline, and strategic location in
South Asia, bordering several countries (including two nuclear powers, China
and Pakistan), significantly shape its security perceptions and regional
policies.
o Himalayan Frontier: Shapes relations with China and Nepal.
o Indian Ocean: India's peninsular nature makes maritime security and
influence in the Indian Ocean Region (IOR) critical.
2. Historical and Cultural Legacy:
o Civilizational Heritage: Ideas of peace, tolerance, and Vasudhaiva
Kutumbakam ("the world is one family") have subtly influenced its approach.
o Anti-Colonial Experience: Shaped its stance on sovereignty, non-
interference, and solidarity with developing nations.
o Values of Democracy and Pluralism: Influence its preference for engaging
with democratic nations and promoting democratic norms.
3. Economic Development and Needs:
o Resource Requirements: Need for energy (oil, gas), raw materials, and
technology drives foreign economic policy.
o Trade and Investment: Desire to expand exports, attract FDI, and integrate
with the global economy. Economic liberalization since 1991 has profoundly
impacted foreign policy priorities.
o Poverty Alleviation: Foreign policy is seen as a tool to support domestic
development goals.
4. Military Capability and National Security Imperatives:
o Defense Preparedness: The strength of India's armed forces and its defense
industrial base affects its ability to project power and deter threats.
o Nuclear Status: India's nuclear weapons capability (since 1998) is a major
determinant of its security posture and relations with major powers.
o Threat Perceptions: Concerns about terrorism, cross-border insurgency, and
conventional threats from neighbors.
5. Political System and Leadership:
o Nature of Government: Parliamentary democracy, coalition politics (can
sometimes constrain bold foreign policy moves or lead to policy shifts).

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o Vision and Ideology of Leaders: The personal beliefs and worldview of Prime
Ministers (e.g., Nehru's idealism, Indira Gandhi's assertiveness, Modi's
proactive diplomacy) have a significant impact.
o Public Opinion and Media: Growing influence, especially on sensitive issues,
though often more reactive than proactive.
6. Social Structure and Demography:
o Pluralistic Society: Diverse ethnic, religious, and linguistic groups can have
implications for relations with certain countries (e.g., Sri Lanka and the Tamil
issue).
o Indian Diaspora: Large and influential diaspora in many countries acts as a
bridge and an interest group.
7. Science and Technology:
o Advancements in space technology, IT, and other strategic sectors enhance
India's global standing and influence foreign policy choices (e.g., space
diplomacy).
II. External Factors:
1. Global Power Structure:
o Cold War Era: Bipolarity (US vs. USSR) was the dominant context for NAM.
o Post-Cold War Unipolar Moment: US dominance.
o Emerging Multipolarity: Rise of China, resurgence of Russia, growing
influence of other powers (EU, Japan, Brazil) shapes India's options and
strategies for "multi-alignment."
2. Regional Environment:
o Relations with Neighbors: Pakistan (Kashmir, terrorism), China (border
dispute, strategic competition), Bangladesh, Nepal, Sri Lanka, Myanmar,
Afghanistan – all significantly impact foreign policy priorities.
o Regional Organizations: SAARC, BIMSTEC, IORA – India's engagement with
these reflects its regional interests.
o Extra-Regional Powers in the Region: Growing presence of China in South
Asia and the Indian Ocean is a major concern.
3. International Economic Climate:
o Globalization: Interdependence, global supply chains, trade regimes (WTO).
o Global Economic Crises: Impact India's growth and policy choices.
o Rise of Economic Blocs: EU, ASEAN, etc., necessitate engagement.
4. International Norms and Law:
o UN Charter, international treaties, and evolving norms (e.g., Responsibility to
Protect, climate change commitments) influence India's stance.

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5. Technological Developments:
o Cyber warfare, space militarization, AI – new domains shaping international
security and diplomacy.
6. Global Challenges:
o Terrorism: A key driver of India's foreign and security policy, leading to
cooperation with other countries.
o Climate Change: Requires international cooperation and shapes India's
energy and development policies.
o Pandemics: Demonstrated the need for global health cooperation.
o Maritime Security: Piracy, freedom of navigation.

3. India’s Foreign Policy Making Process: Structures and Agencies

The formulation and implementation of India's foreign policy involve a complex interplay of
various governmental and non-governmental actors.
I. Key Governmental Structures and Agencies:
1. The Prime Minister's Office (PMO):
o Central Role: The Prime Minister is the chief architect of India's foreign
policy. The PMO has become increasingly influential in foreign policy decision-
making, especially under strong Prime Ministers.
o Functions: Provides overall direction, coordinates among different
ministries, handles high-level diplomatic engagements, and takes final
decisions on critical issues.
o Key Officials: Principal Secretary to the PM, National Security Advisor (NSA).
2. Ministry of External Affairs (MEA):
o Nodal Agency: The primary ministry responsible for the day-to-day conduct
of India's foreign relations.
o Headed by: Minister of External Affairs (Cabinet rank), often assisted by
Ministers of State.
o Administrative Head: Foreign Secretary.
o Structure: Organized into various territorial divisions (handling relations with
specific countries/regions) and functional divisions (e.g., UN, Disarmament,
Economic Relations, Consular, Policy Planning).
o Indian Foreign Service (IFS): The diplomatic corps responsible for staffing
the MEA and Indian missions abroad.
o Functions: Policy formulation and advice, implementation of policy,
diplomatic negotiations, representing India in international forums, managing
Indian missions abroad, public diplomacy.

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3. National Security Council (NSC):

o Establishment: Formally constituted in 1998 (though an earlier version
existed).
o Apex Body: For decision-making and coordination on national security and
strategic issues, which heavily overlap with foreign policy.
o Structure:
▪ Chairperson: Prime Minister.
▪ Members: Key cabinet ministers (Defense, Home, External Affairs,
Finance), National Security Advisor (NSA).
▪ National Security Advisor (NSA): Plays a crucial role as the Secretary
to the NSC, providing advice to the PM and coordinating security
policy. Often acts as a special envoy for critical diplomatic missions.
▪ Secretariat (NSCS): Provides research, analysis, and support to the
NSC.
▪ Strategic Policy Group (SPG): Chaired by the Cabinet Secretary,
includes secretaries from key ministries and chiefs of armed forces,
to assist the NSC.
▪ National Security Advisory Board (NSAB): Composed of external
experts who provide long-term perspectives and advice (though its
influence has varied).
4. Cabinet Committee on Security (CCS):
o Composition: Chaired by the PM, includes Ministers of Defense, Home Affairs,
External Affairs, and Finance. NSA and Cabinet Secretary are often invitees.
o Functions: The highest decision-making body on security matters, including
major defense policy decisions, defense acquisitions, and responses to
security crises, all of which have foreign policy implications.
5. Parliament:
o Role:
▪ Legislative: Ratifies treaties (though not always mandatory for all
international agreements), enacts laws related to foreign policy (e.g.,
citizenship, extradition).
▪ Financial Control: Approves the budget for MEA and defense.
▪ Deliberative/Oversight: Debates foreign policy issues, questions
ministers, holds the government accountable.
▪ Parliamentary Standing Committee on External Affairs: Scrutinizes
MEA's functioning, policies, and budgetary allocations; submits reports
and recommendations.

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o Limitations: Executive dominance in foreign policy is strong; Parliament's

role is often more reactive and for broad oversight rather than detailed
formulation.
6. Other Ministries and Agencies:
o Ministry of Defence (MoD): Crucial for security aspects of foreign policy,
defense diplomacy, and acquisitions.
o Ministry of Commerce and Industry: Handles trade policy, negotiations
(FTAs, WTO).
o Ministry of Finance: Deals with international financial institutions, foreign
aid, economic aspects.
o Intelligence Agencies: Research and Analysis Wing (RAW - external
intelligence), Intelligence Bureau (IB - internal security with external links) –
provide vital inputs for policy-making.
II. Non-Governmental Actors (Increasingly Important):
1. Political Parties:
o Party manifestos often outline foreign policy orientations.
o Opposition parties can influence policy through criticism and debate in
Parliament.
o Consensus across major parties on core national interests is often sought, but
differences exist on specific issues.
2. Media:
o Shapes public opinion and sets the agenda for discussion.
o Can influence government policy, especially on sensitive or high-profile
issues.
o Acts as a watchdog, scrutinizing government actions.
o Role of social media is also growing.
3. Interest Groups and Business Associations:
o Industry bodies (e.g., CII, FICCI) lobby for policies favorable to trade and
investment.
o Diaspora groups can influence relations with specific countries.
4. Think Tanks and Academia:
o Provide research, analysis, and policy recommendations.
o Examples: IDSA (Manohar Parrikar Institute for Defence Studies and Analyses),
ICWA (Indian Council of World Affairs), ORF (Observer Research Foundation),
CPR (Centre for Policy Research).
o Contribute to public discourse and can influence official thinking.
5. Civil Society and NGOs:

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o Focus on issues like human rights, environment, development aid, and peace.
o Can engage in advocacy and track-two diplomacy.
Process:
Foreign policy making is an interactive process. It involves inputs from various sources,
deliberation within government structures, and final approval at the highest political level
(PMO, CCS). Implementation is carried out by the MEA and other relevant agencies.

4. India’s Security Policy: Evolution, Parameters and Internal External Challenges

I. Evolution of India's Security Policy:
• Phase 1: Idealism and Minimal Defense (1947-1962):
o Dominated by Nehruvian idealism, emphasis on NAM and peaceful
coexistence.
o Belief that moral standing and diplomacy would suffice; defense spending
was relatively low.
o Focus on internal consolidation and nation-building.
o Wake-up Call: The 1962 Sino-Indian War exposed India's military
unpreparedness and led to a significant shift.
• Phase 2: Realism and Defense Modernization (1962-1990):
o Increased defense spending and focus on modernizing the armed forces.
o Strengthened relations with the Soviet Union (culminating in the 1971 Indo-
Soviet Treaty) as a counterweight to US-Pakistan-China alignment.
o Victories in the 1965 and 1971 wars with Pakistan.
o Peaceful Nuclear Explosion (PNE) in 1974 ("Smiling Buddha"):
Demonstrated nuclear capability but maintained a policy of nuclear
ambiguity.
o Dealing with insurgencies in the Northeast and Punjab.
• Phase 3: Post-Cold War Adjustments and Nuclearization (1991-2001):
o Collapse of the Soviet Union necessitated a recalibration of foreign and
security policy.
o Economic liberalization opened India to the world.
o Focus on building relations with the US and other Western powers.
o Nuclear Tests in 1998 ("Operation Shakti"): India declared itself a nuclear
weapons state, leading to international sanctions but also a new strategic
reality.
o Adoption of a "No First Use" (NFU) nuclear doctrine and commitment to
"credible minimum deterrence."

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o Kargil Conflict (1999) highlighted continued threats from Pakistan and the
challenges of limited war under a nuclear overhang.
• Phase 4: Assertive Diplomacy and Multi-Alignment (2001-Present):
o Post-9/11, counter-terrorism became a major focus, leading to enhanced
security cooperation with the US and other countries.
o Growing economic clout translated into a more assertive foreign and security
policy.
o Deepening strategic partnership with the US (e.g., Indo-US Civil Nuclear
Deal).
o Managing the rise of China and its assertiveness.
o Emphasis on "strategic autonomy" within a framework of "multi-alignment" –
engaging with multiple power centers.
o Focus on maritime security in the Indian Ocean Region (IOR) – SAGAR (Security
and Growth for All in the Region) doctrine.
o Addressing new threats like cyber warfare and strengthening border
infrastructure.
o Surgical strikes (2016) and Balakot airstrikes (2019) indicated a more
proactive approach to cross-border terrorism.
II. Parameters of India’s Security Policy:
1. Defense of National Sovereignty and Territorial Integrity: The primary objective.
2. Credible Minimum Deterrence: Maintaining a nuclear arsenal sufficient to deter
nuclear attack, based on a "No First Use" policy (though this is sometimes debated).
3. Conventional Deterrence: Maintaining strong conventional military forces to deter
aggression from neighbors.
4. Strategic Autonomy: Retaining the independence to make security decisions based
on national interests, without being bound by external alliances.
5. Internal Security Management: Combating terrorism, insurgency, Naxalism, and
communal violence.
6. Border Management: Securing long and complex land borders and maritime
boundaries.
7. Maritime Security: Protecting sea lanes of communication (SLOCs), combating
piracy, and ensuring stability in the IOR.
8. Energy Security: Securing access to vital energy resources.
9. Cyber Security: Protecting critical information infrastructure from cyber-attacks.
10. Counter-Terrorism: Domestic measures and international cooperation to combat
terrorism.
11. Defense Modernization and Indigenization: Acquiring advanced military technology
and promoting self-reliance in defense production ("Make in India").

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12. Intelligence Gathering and Analysis: Effective intelligence is crucial for early
warning and threat assessment.
III. Internal Challenges:
1. Terrorism and Extremism:
o Cross-border terrorism, primarily from Pakistan-sponsored groups (e.g., in
Jammu & Kashmir).
o Homegrown extremism and radicalization.
o Left-Wing Extremism (Naxalism/Maoism) in several states.
2. Insurgencies:
o Protracted insurgencies in parts of the Northeast, though significantly
reduced in intensity.
o Separatist movements in Jammu & Kashmir.
3. Communal and Sectarian Violence:
o Periodic outbreaks of violence between religious or ethnic groups can
undermine national cohesion and security.
4. Cyber Threats:
o Vulnerability of critical infrastructure, financial systems, and government
networks to cyber-attacks.
5. Socio-Economic Disparities:
o Poverty, unemployment, and lack of development can fuel unrest and create
fertile ground for extremism.
6. Border Management Issues:
o Porous borders susceptible to infiltration, smuggling (arms, drugs, humans),
and illegal migration.
7. Resource Constraints:
o Balancing developmental needs with defense expenditure.
IV. External Challenges:
1. Relations with Pakistan:
o Unresolved Kashmir issue.
o State-sponsored cross-border terrorism.
o Nuclear rivalry and risk of conflict escalation.
2. Relations with China:
o Unresolved border dispute (Line of Actual Control - LAC).
o China's growing military power and assertiveness in the region (e.g., South
China Sea, IOR).

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o Strategic competition, including China's Belt and Road Initiative (BRI) and its
implications for India.
o China-Pakistan nexus.
3. Regional Instability:
o Political instability in neighboring countries (e.g., Afghanistan, Myanmar,
Nepal) can have spillover effects.
o Rise of extremist ideologies in the neighborhood.
4. Maritime Security Threats:
o Piracy, smuggling, illegal fishing.
o Growing naval presence of extra-regional powers in the IOR.
o Need to secure vital SLOCs.
5. Global Power Dynamics:
o Navigating relationships in an increasingly complex and contested multipolar
world.
o Impact of US-China rivalry.
6. Non-Traditional Security Threats:
o Climate change (leading to resource scarcity, displacement, and potential
conflicts).
o Pandemics and health security.
o Transnational organized crime (drug trafficking, human trafficking).
7. Proliferation of WMDs and Missiles:
o Concerns about nuclear and missile proliferation in the wider region.

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UNIT 2: India’s Global Role and International

Relations
1. India and Major Global Powers: United States, Russia, and European Union (France,
Germany, UK)
I. India and the United States (USA):
• Historical Overview:
o Cold War Era (1947-1991): Strained relations ("estranged democracies").
India's non-alignment and close ties with the USSR contrasted with US alliance
with Pakistan. US disapproval of India's PNE (1974).
o Post-Cold War (1991 onwards): Gradual improvement. US engagement with
India increased after India's economic liberalization.
o Defining Moment: Nuclear Tests (1998): Initially led to US sanctions, but
also forced a reassessment, leading to strategic dialogue.
o 21st Century: "Strategic Partnership":
▪ Bush Administration: Landmark Indo-US Civil Nuclear Deal (2005-
2008) de-hyphenated India from Pakistan in US strategic calculus and
recognized India as a responsible nuclear power. "Next Steps in
Strategic Partnership" (NSSP).
▪ Obama Administration: Elevated to a "global strategic partnership."
Endorsed India's bid for UNSC permanent membership. Signed
foundational defense agreements.
▪ Trump Administration: Continued strategic convergence, particularly
vis-à-vis China. Focus on "Indo-Pacific." Renamed US Pacific Command
to Indo-Pacific Command.
▪ Biden Administration: Further deepening of ties. Focus on Quad,
climate change, democratic values.
• Key Areas of Cooperation:
1. Strategic and Defense:
▪ Shared concerns about China's assertiveness, terrorism, maritime
security.
▪ Regular military exercises (e.g., Malabar, Yudh Abhyas, Vajra Prahar).
▪ Foundational Defense Agreements:
▪ GSOMIA (General Security of Military Information Agreement) -
2002
▪ LEMOA (Logistics Exchange Memorandum of Agreement) - 2016

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▪ COMCASA (Communications Compatibility and Security

Agreement) - 2018
▪ BECA (Basic Exchange and Cooperation Agreement for Geo-
Spatial cooperation) - 2020
▪ Major US defense sales to India.
▪ Cooperation in the Indo-Pacific (Quad).
2. Economic:
▪ Significant bilateral trade and investment (though potential for
more).
▪ US is one of India's largest trading partners.
▪ Dialogue on trade issues, market access, IPR.
3. Counter-Terrorism:
▪ Intelligence sharing, joint working groups, capacity building.
4. Science and Technology:
▪ Cooperation in space, health, IT, clean energy. Initiative on Critical
and Emerging Technologies (iCET).
5. People-to-People Ties:
▪ Large, influential Indian diaspora in the US.
▪ Educational and cultural exchanges.
• Challenges and Divergences:
o Trade Issues: Market access, tariffs, IPR, data localization.
o Russia: US concerns over India's continued defense and energy ties with
Russia (CAATSA sanctions waiver).
o Iran: US sanctions on Iran impact India's energy imports and Chabahar port
project.
o Human Rights/Democracy: Occasional US concerns raised about democratic
backsliding/human rights in India.
o Differing approaches to some global issues.
• Significance: The US is a crucial partner for India's economic growth, technological
advancement, and strategic balancing in Asia.
II. India and Russia (formerly USSR):
• Historical Overview:
o Cold War Era (1947-1991): "Time-tested" and "special relationship." Soviet
Union was a key supplier of defense equipment, supported India on Kashmir
in the UNSC, and provided economic and technical assistance. Indo-Soviet
Treaty of Peace, Friendship and Cooperation (1971) was a landmark.

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o Post-Cold War (1991 onwards): Initial drift after USSR's collapse. Russia
focused inward.
o Revival (late 1990s onwards): Efforts to rebuild the relationship.
Declaration on Strategic Partnership (2000), upgraded to "Special and
Privileged Strategic Partnership" (2010).
o Annual Summits (since 2000) are a key feature.
• Key Areas of Cooperation:
1. Defense:
▪ Russia remains India's largest supplier of defense equipment (though
diversification is happening).
▪ Joint development and production of military hardware (e.g., BrahMos
missile).
▪ Long-term military-technical cooperation agreements. Examples: S-
400 missile system, leasing nuclear submarines.
2. Nuclear Energy:
▪ Russia is a key partner in India's civil nuclear program (e.g.,
Kudankulam Nuclear Power Plant).
3. Space:
▪ Cooperation in satellite launches, human spaceflight program
(Gaganyaan).
4. Energy:
▪ Indian investments in Russian oil and gas fields. Russian supplies of oil
to India increased significantly after Ukraine war.
5. Connectivity:
▪ International North-South Transport Corridor (INSTC), Chennai-
Vladivostok Eastern Maritime Corridor.
6. Multilateral Forums:
▪ Coordination in UN, BRICS, SCO. Shared vision of a multipolar world
order.
• Challenges and Divergences:
o Growing Russia-China Axis: Russia's increasing strategic alignment with China
is a concern for India.
o Russia-Pakistan Ties: Growing military and economic engagement between
Russia and Pakistan.
o Impact of Ukraine War: India's neutral stance and continued energy/defense
purchases from Russia have put it in a difficult position with Western
partners. Payment mechanisms are a challenge due to sanctions.

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o India's Diversification: India is diversifying its defense procurement,

reducing over-reliance on Russia.
• Significance: Russia remains an important strategic partner, particularly for defense,
nuclear energy, and balancing in a multipolar world, though the relationship faces
new geopolitical pressures.
III. India and the European Union (EU) (and key member states: France, Germany, UK):
A. India and the European Union (as a bloc):
• Overview: The EU is a major economic and political bloc. India-EU relations were
institutionalized with the Cooperation Agreement in 1994. Upgraded to a "Strategic
Partnership" in 2004.
• Key Areas of Cooperation:
1. Trade and Investment: EU is one of India's largest trading partners and a
major source of FDI. Negotiations for a Broad-based Trade and Investment
Agreement (BTIA) have been ongoing for years with limited progress, but
restarted in 2022.
2. Science and Technology: Cooperation in research and innovation (e.g.,
Horizon Europe program).
3. Climate Change and Environment: Key partners in promoting renewable
energy, sustainable development. India-EU Clean Energy and Climate
Partnership.
4. Connectivity: India-EU Connectivity Partnership (launched 2021) to promote
sustainable digital, energy, transport, and people-to-people connectivity.
5. Security and Defense: Growing dialogue on maritime security, counter-
terrorism, cyber security.
6. Digital Partnership: Cooperation on digital transformation, data governance,
AI.
• Challenges:
o BTIA negotiations have been slow due to differences on market access, IPR,
labor, and environmental standards.
o Differing perspectives on some geopolitical issues.
o EU's regulatory environment can be complex for Indian businesses.
B. India and France:
• Overview: One of India's closest and most reliable strategic partners in Europe.
Elevated to a Strategic Partnership in 1998 (France was one of the few major
powers not to impose harsh sanctions after India's nuclear tests).
• Key Areas of Cooperation:
1. Defense: Deep and robust. Major supplier of advanced defense equipment
(e.g., Rafale fighter jets, Scorpene submarines). Regular joint military
exercises (Varuna - navy, Garuda - air force, Shakti - army).

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2. Civil Nuclear Energy: France was the first country to sign a civil nuclear
cooperation agreement with India after NSG waiver. Major partner in Jaitapur
Nuclear Power Project.
3. Space: Long-standing cooperation between ISRO and CNES (French space
agency). Joint satellite missions.
4. Maritime Security (Indo-Pacific): Strong convergence. Joint vision for a free,
open, and inclusive Indo-Pacific. Trilateral cooperation with Australia.
5. Counter-Terrorism: Strong cooperation.
6. Climate Change: Co-founders of the International Solar Alliance (ISA).
• Significance: France is a key partner for defense modernization, strategic autonomy,
and Indo-Pacific stability.
C. India and Germany:
• Overview: Germany is Europe's largest economy and a key partner for India.
Strategic Partnership established in 2001. Biennial Inter-Governmental
Consultations (IGC) at Head of Government level.
• Key Areas of Cooperation:
1. Economic and Trade: Germany is India's largest trading partner in the EU.
Significant German investment in India.
2. Science and Technology/Innovation: Strong collaboration in R&D, vocational
training ("Make in India Mittelstand" program).
3. Climate Change and Renewable Energy: Germany is a major partner in
India's green energy transition, providing financial and technical assistance.
Green and Sustainable Development Partnership.
4. Connectivity: Cooperation on sustainable infrastructure.
5. Skill Development: German expertise in vocational training is highly valued.
• Challenges:
o Some differences in approach to geopolitical issues (Germany traditionally
more cautious).
o Trade irritants sometimes arise.
D. India and the United Kingdom (UK):
• Overview: Historical ties (colonial past). Post-Brexit, UK is seeking a "Global Britain"
role. "Roadmap 2030 for India-UK future relations" adopted in 2021 to elevate ties
to a "Comprehensive Strategic Partnership."
• Key Areas of Cooperation:
1. Economic and Trade: Negotiations for a Free Trade Agreement (FTA) are
ongoing and a priority. Significant bilateral trade and investment.
2. Defense and Security: Renewed focus. Carrier Strike Group engagement.
Cooperation on counter-terrorism, cyber security.

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3. Science, Technology, and Health: Collaboration in research, vaccines (e.g.,

Oxford-AstraZeneca/Covishield).
4. Education and People-to-People: Strong educational links, large Indian
diaspora.
5. Climate Change: UK hosted COP26; cooperation on green finance.
• Challenges:
o Legacy issues from colonial past.
o Occasional differences on issues like human rights or internal Indian matters.
o Visa and migration issues.

2. India and Emerging Powers: Brazil & South Africa

These partnerships are often framed within groupings like BRICS and IBSA.
I. India and Brazil:
• Overview: Both are large, developing, democratic countries with aspirations for a
greater global role. Strategic Partnership established in 2006.
• Key Areas of Cooperation:
1. Multilateral Forums:
▪ IBSA Dialogue Forum (India, Brazil, South Africa): A unique trilateral
grouping of democratic, developing countries from three continents,
promoting South-South cooperation.
▪ BRICS (Brazil, Russia, India, China, South Africa): Cooperation on
economic, political, and security issues.
▪ Shared calls for reform of global governance institutions (UNSC, IMF,
World Bank).
▪ G20 and G4 (for UNSC reform).
2. Economic: Bilateral trade has potential but remains below its capacity. Focus
on agriculture, food processing, IT, pharmaceuticals, energy.
3. Defense: Some cooperation, joint exercises. Agreement on Defense
Cooperation.
4. Science and Technology: Space, biotechnology, agriculture.
5. Cultural Exchange: Growing people-to-people ties.
• Challenges:
o Geographical distance.
o Bilateral trade is not commensurate with the size of their economies.
o Domestic political and economic challenges in both countries can sometimes
affect focus on bilateral ties.

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II. India and South Africa:

• Overview: Historical ties rooted in Mahatma Gandhi's struggle against apartheid in
South Africa. Strong political goodwill. Strategic Partnership established in 1997.
• Key Areas of Cooperation:
1. Multilateral Forums:
▪ IBSA Dialogue Forum.
▪ BRICS.
▪ Coordination in UN, Commonwealth, NAM.
▪ Shared commitment to South-South cooperation and reform of global
governance.
2. Political: Strong solidarity on issues of global south, anti-colonialism, and
anti-racism.
3. Economic: Bilateral trade has grown. Indian companies have invested in
South Africa. Focus on mining, pharmaceuticals, automotive, IT.
4. Defense: Some cooperation, joint naval exercises (IBSAMAR - with Brazil).
5. Capacity Building: India provides training and assistance to South Africa.
6. Tourism and Cultural Exchange: Strong people-to-people links, influenced
by the Indian diaspora in South Africa.
• Challenges:
o Bilateral economic engagement can be further enhanced.
o Domestic socio-economic challenges in South Africa.

3. India’s Role in International Organizations: United Nations, WTO, IMF and World Bank
India has been an active participant in these organizations since their inception or its
independence, advocating for its own interests and those of the developing world.
I. India and the United Nations (UN):
• Founding Member: India signed the UN Charter in 1945.
• Key Contributions and Roles:
1. Peacekeeping Operations: One of the largest and most consistent
contributors of troops to UN peacekeeping missions.
2. Decolonization and Anti-Apartheid: Played a leading role in advocating for
the end of colonialism and apartheid.
3. Disarmament: Historically advocated for universal and non-discriminatory
nuclear disarmament (though now a nuclear weapons state outside NPT).
4. Development Agenda: Actively promotes the interests of developing
countries (G-77). Champion of Sustainable Development Goals (SDGs).

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5. Norm-Setting: Contributed to shaping international law and norms.

6. Candidacy for UNSC Permanent Membership: A major foreign policy goal.
India argues its case based on its population, economic size, democratic
credentials, contributions to UN, and the need for the UNSC to reflect
contemporary global realities. Part of G4 (with Brazil, Germany, Japan)
advocating for UNSC reform.
7. Non-Permanent Member: Has served multiple terms as a non-permanent
member of the UNSC.
8. Counter-Terrorism: Strong advocate for comprehensive international action
against terrorism (e.g., proposed Comprehensive Convention on International
Terrorism - CCIT).
• Challenges and Criticisms of UN from India's Perspective:
o Undemocratic structure of UNSC (veto power, lack of representation for
major developing countries).
o Slow pace of reforms.
o Effectiveness of UN in conflict resolution.
II. India and the World Trade Organization (WTO):
• Founding Member of GATT (1948) and WTO (1995).
• Key Stances and Roles:
1. Advocate for Developing Countries: Often acts as a voice for the interests
of developing nations, particularly on issues of agricultural subsidies, special
and differential treatment (S&DT), and intellectual property rights.
2. Food Security: Strongly defends its public stockholding programs for food
security purposes against challenges from developed countries.
3. Trade Facilitation: Supports measures to ease trade but emphasizes the need
for capacity building for developing countries.
4. Dispute Settlement Mechanism (DSM): Has used the DSM both as a
complainant and respondent. Supports a strong and functional DSM.
5. Doha Development Agenda (DDA): Consistently pushed for the conclusion of
the DDA, which prioritizes development concerns.
6. Resistance to New Issues: Cautious about introducing new issues (e.g., e-
commerce, investment facilitation, labor, environment) into WTO
negotiations without addressing existing development concerns.
• Challenges:
o Deadlock in multilateral negotiations (Doha Round).
o Rise of protectionism and unilateralism among major economies.
o Functioning of the Appellate Body of the DSM has been crippled.

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III. India and the International Monetary Fund (IMF) and World Bank (Bretton Woods
Institutions):
• Founding Member.
• Historical Relationship:
o Borrower: India was a significant borrower from both institutions, especially
before 1991, for balance of payments support (IMF) and development projects
(World Bank). The 1991 economic crisis saw India take a major IMF loan linked
to structural reforms.
o Contributor/Shareholder: As India's economy has grown, its financial
contributions and quota/shareholding in these institutions have increased.
• Key Stances and Roles:
1. Advocate for Quota and Governance Reform: India, along with other emerging
economies (BRICS), has consistently called for reforms in the quota and governance
structures of the IMF and World Bank to better reflect the changed global economic
landscape and give developing countries a greater voice.
2. Development Focus: Emphasizes that these institutions should prioritize poverty
reduction and sustainable development.
3. Policy Advice: Engages with the policy advice provided by IMF (e.g., Article IV
consultations) and World Bank.
4. South-South Cooperation: Uses its experience to contribute to knowledge sharing
and capacity building in other developing countries, sometimes in partnership with these
institutions.
5. Access to Finance: Continues to access World Bank funding for infrastructure and
development projects.
• Challenges:
o Dominance of developed countries (especially US and Europe) in decision-
making.
o Slow pace of governance reforms.
o Conditionalities attached to loans can be controversial.
o Relevance in the face of new institutions like AIIB and NDB.

4. India and Global Challenges: Climate Change, New Regionalism (Indo-Pacific, Quad,
BRICS, G20)
I. India and Climate Change:
• Vulnerability: Highly vulnerable to climate change impacts (monsoon variability, sea-
level rise, extreme weather events, agricultural impact).
• Stance in Negotiations:

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o CBDR-RC (Common But Differentiated Responsibilities and Respective

Capabilities): A cornerstone of India's position. Argues that developed
countries have historical responsibility and greater capacity, thus should take
lead in emission cuts and provide finance/technology.
o Right to Development/Poverty Eradication: Climate action should not
compromise India's development goals.
o Focus on Climate Justice and Sustainable Lifestyles.
• Key Actions and Commitments:
o Paris Agreement (2015): Submitted ambitious Nationally Determined
Contributions (NDCs). Updated NDCs in 2022 aim for:
▪ Reducing emissions intensity of its GDP by 45% by 2030, from 2005
level.
▪ Achieving about 50% cumulative electric power installed capacity
from non-fossil fuel-based energy resources by 2030.
▪ Pledge of Net Zero by 2070 (announced at COP26, Glasgow 2021).
o National Action Plan on Climate Change (NAPCC): Eight national missions.
o Aggressive Push for Renewable Energy: Rapid expansion of solar
(International Solar Alliance - ISA, co-founded with France) and wind power.
o Promotion of Energy Efficiency, Electric Vehicles, Green Hydrogen.
o Afforestation programs.
• Challenges:
o Balancing energy needs for a growing economy with emission reduction
targets.
o Securing adequate international climate finance and technology transfer.
o Adapting to climate impacts.
II. India and New Regionalism:
This refers to India's engagement in evolving regional and plurilateral constructs, often
driven by strategic and economic imperatives in a changing global order.
A. Indo-Pacific:
• Concept: A geo-strategic construct that views the Indian Ocean and Pacific Ocean as
a single, interconnected strategic space.
• India's Vision: Advocates for a "free, open, inclusive, and rules-based Indo-
Pacific." Emphasizes ASEAN centrality, connectivity, maritime security, respect for
international law (UNCLOS), and peaceful dispute resolution.
• Drivers:
o Rise of China and its assertiveness.
o Importance of SLOCs for trade and energy.

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o Growing economic and strategic linkages with East Asia and Pacific nations.
• Initiatives: SAGAR (Security and Growth for All in the Region), Indo-Pacific Oceans
Initiative (IPOI).
B. Quad (Quadrilateral Security Dialogue):
• Members: India, USA, Japan, Australia.
• Evolution: Initiated in 2007, revived in 2017, and elevated to leader-level summits
since 2021.
• Objectives (Evolving):
o Initially focused on maritime security and disaster relief.
o Now a broader agenda: promoting a free and open Indo-Pacific, counter-
terrorism, cyber security, critical and emerging technologies, climate change,
infrastructure, health security (vaccine partnership).
o Seen by many (especially China) as an effort to counter China's influence.
• India's Perspective: Views Quad as a plurilateral platform for cooperation on shared
interests, not a military alliance. Emphasizes its positive and constructive agenda.
C. BRICS (Brazil, Russia, India, China, South Africa):
• Grouping of Emerging Economies: Aims to enhance cooperation among member
states and advocate for reform of global governance.
• Key Initiatives:
o New Development Bank (NDB): Provides financing for infrastructure and
sustainable development projects.
o Contingent Reserve Arrangement (CRA): A framework for providing short-
term liquidity support.
o Annual Summits, cooperation in diverse areas (trade, finance, health, S&T,
counter-terrorism).
• India's Role: Active participant, sees BRICS as a platform to promote multipolarity,
South-South cooperation, and its own global profile.
• Challenges: Internal geopolitical differences (especially India-China tensions),
diverse economic interests.
D. G20 (Group of Twenty):
• Premier Forum for International Economic Cooperation: Includes 19 major
economies plus the EU. Represents around 80% of global GDP and two-thirds of world
population.
• Agenda: Focuses on global economic stability, financial regulation, sustainable
development, climate change, health, etc.
• India's Role:

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o Active member, uses the platform to voice its perspectives on global

economic issues and advocate for interests of developing countries.
o India holds the G20 Presidency from Dec 1, 2022, to Nov 30, 2023. This is
a significant opportunity for India to shape the global agenda. Theme:
"Vasudhaiva Kutumbakam" or "One Earth · One Family · One Future."
o Focus areas under India's presidency include inclusive growth, digital
transformation, climate finance, women-led development, multilateral
institutional reform.

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UNIT 3: India and its Neighbourhood

1. India’s Neighbourhood: Colonial and Post-Colonial Imperatives
I. Colonial Imperatives and Legacy:
The current geopolitical landscape of South Asia is profoundly shaped by British colonialism.
1. Artificial Borders and Disputed Frontiers:
o The British drew administrative boundaries often disregarding ethnic,
linguistic, or geographical realities, leading to long-standing border disputes.
o Examples: Durand Line (India/Pakistan-Afghanistan), McMahon Line (India-
China).
o These arbitrary lines sowed seeds of future conflict and mistrust.
2. Partition of India (1947):
o The most significant colonial legacy, leading to the creation of India and
Pakistan (East and West).
o Massive displacement, communal violence, and enduring bitterness.
o The Kashmir issue is a direct consequence of the unresolved nature of
partition.
3. Creation of Buffer States and Strategic Depth:
o The British viewed regions like Afghanistan, Tibet, Nepal, and Bhutan as
crucial buffer zones against Russian and Chinese expansionism ("Great
Game").
o This influenced post-colonial India's strategic thinking and security concerns
regarding its Himalayan frontiers.
4. Integrated Economic and Communication Networks:
o The British established railways, roads, and telegraph lines across the
subcontinent, creating an integrated economic space.
o Partition disrupted these networks, hindering regional trade and connectivity
post-independence.
5. Divide and Rule Policies:
o British policies often exacerbated communal and ethnic divisions to maintain
control.
o This legacy contributed to internal conflicts and inter-state tensions in the
post-colonial era.
6. Shared Administrative and Legal Systems (Legacy):
o Countries in the region inherited similar bureaucratic, legal, and educational
structures, which, while providing some common ground, also became sites
of post-colonial contestation.

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7. Security Architecture:
o The British Indian Army was a formidable force that influenced the security
doctrines of successor states. The focus on a strong military was a direct
inheritance.
II. Post-Colonial Imperatives and Challenges:
Independent India and its neighbours faced a new set of imperatives and challenges in
shaping their foreign policies and regional relations.
1. Nation-Building and State Consolidation:
o Newly independent states had to forge national identities, establish
legitimate political institutions, and consolidate control over diverse
territories.
o This often led to internal conflicts with cross-border implications (e.g., ethnic
issues in Sri Lanka, insurgencies in Northeast India).
2. Addressing Colonial Legacies:
o Dealing with border disputes, refugee crises, and economic disruptions
caused by partition and arbitrarily drawn frontiers.
3. Managing Asymmetries:
o India's sheer size (geographical, demographic, economic, military) compared
to its smaller neighbours created an inherent asymmetry.
o This led to fears of Indian hegemony ("Big Brother" syndrome) among some
neighbours and a desire for India to be more accommodating.
4. Security Dilemmas:
o Mutual mistrust and historical grievances (especially India-Pakistan) led to
arms races and recurrent conflicts.
o Internal security problems often had external dimensions (e.g., cross-border
support for insurgents).
5. Quest for Strategic Autonomy:
o India's policy of Non-Alignment aimed to maintain independence from Cold
War blocs, but this was sometimes viewed with suspicion by neighbours who
aligned with superpowers.
6. Economic Development and Regional Cooperation:
o All countries prioritized economic development. However, political tensions
and lack of trust hampered effective regional economic cooperation (e.g.,
SAARC's limited success).
7. Influence of External Powers:
o During the Cold War, both superpowers (US and USSR) sought influence in the
region.

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o Current Event: China's growing economic and strategic footprint in South Asia
(Belt and Road Initiative - BRI, strategic investments) is a major contemporary
imperative shaping regional dynamics and India's responses.
8. Rise of Non-Traditional Security Threats:
o Terrorism, drug trafficking, human trafficking, climate change, and
pandemics require regional cooperation but are often complicated by
political differences.
9. Democratization and Political Stability:
o The trajectory of democratic development varied across the region, with
periods of military rule or political instability in several neighbouring
countries impacting relations with India.
India's "Neighbourhood First" Policy (Contemporary Imperative):
• Current Event: Launched by the Modi government, this policy prioritizes
strengthening ties with South Asian neighbours.
• Focus: Enhanced connectivity, trade, development assistance, security cooperation,
and people-to-people ties.
• Rationale: Recognizes that a peaceful, stable, and prosperous neighbourhood is
crucial for India's own rise and security.

2. India’s Relations with Bangladesh, Afghanistan, Nepal, Sri Lanka, Maldives, Bhutan,
and Pakistan
(Note: This is a vast topic; I will provide key aspects and current trends for each.)
A. India and Bangladesh:
• Historical Ties: India played a crucial role in Bangladesh's liberation in 1971.
• Key Positives:
o Land Boundary Agreement (2015): Resolved long-standing border enclaves
issue.
o Connectivity: Focus on road, rail, inland waterways, and port access (e.g.,
use of Chattogram and Mongla ports by India).
o Economic Cooperation: Growing trade, Indian investment, lines of credit.
o Security Cooperation: Cooperation on counter-terrorism and insurgency.
o Energy Cooperation: Power trade, cooperation in renewables.
• Challenges:
o Water Sharing (Teesta River): Remains an unresolved issue.
o Illegal Migration and NRC/CAA: Concerns in Bangladesh over India's National
Register of Citizens (NRC) and Citizenship Amendment Act (CAA).

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o Rohingya Refugee Crisis: Bangladesh hosts a large number of Rohingya

refugees from Myanmar, seeking India's support.
o China's Growing Influence: China is a major development and defense
partner for Bangladesh.
• Current Trend: Generally positive and deepening partnership, but sensitive issues
require careful management.
B. India and Afghanistan:
• Historical Ties: Deep civilizational links.
• Post-2001 (US Intervention): India was a major development partner, investing over
$3 billion in infrastructure (Salma Dam, Parliament building), education, health, and
capacity building. Supported the democratically elected government.
• Challenges:
o Taliban Takeover (August 2021): A major setback for India. India had no
official engagement with the Taliban prior to this. Security concerns regarding
terrorism and regional instability.
o Pakistan's Influence: Pakistan's deep ties with the Taliban.
o Humanitarian Crisis: India has provided humanitarian aid (wheat, medicines)
post-Taliban takeover.
• Current Trend: Cautious engagement. India has reopened its embassy with a
"technical team" but has not formally recognized the Taliban regime. Focus on
humanitarian aid and ensuring Afghan soil is not used for anti-India activities.
C. India and Nepal:
• Unique Ties: Open border, deep religious, cultural ("Roti-Beti ka Rishta" - kinship),
and economic linkages. Treaty of Peace and Friendship (1950).
• Key Aspects:
o Economic Interdependence: Nepal is landlocked and heavily reliant on India
for trade and transit.
o Development Assistance: India is a major development partner.
o Security: Open border poses security challenges (smuggling, illicit activities).
Cooperation on managing this.
o Hydropower Potential: Cooperation on developing Nepal's vast hydropower
resources.
• Challenges:
o Border Disputes (Kalapani, Lipulekh, Limpiyadhura): Flared up in 2020 with
Nepal issuing a new political map.
o Perception of Indian Interference: Occasional accusations of India meddling
in Nepal's internal politics.

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o China's Growing Influence: Nepal is part of BRI, increasing Chinese

investment and political outreach.
o Treaty of 1950: Calls within Nepal for its revision.
• Current Trend: Efforts to reset ties after recent strains. Focus on connectivity (e.g.,
Jaynagar-Kurtha railway) and economic projects.
D. India and Sri Lanka:
• Historical and Cultural Ties: Buddhism, shared heritage.
• Key Aspects:
o Ethnic Issue: India's involvement in Sri Lanka's ethnic conflict (Tamils of
Indian origin and Sri Lankan Tamils) has been a complex and sensitive aspect.
Indo-Lanka Accord (1987) and IPKF deployment.
o Economic Cooperation: India is a major trading partner and investor. Lines
of credit.
o Connectivity: Ferry services, air links.
o Security: Cooperation on maritime security in the Indian Ocean.
• Challenges:
o Fishermen Issue: Arrests of Indian fishermen by Sri Lankan navy for crossing
IMBL.
o China's Influence: Significant Chinese investment in infrastructure
(Hambantota port, Colombo Port City), leading to concerns about strategic
implications and "debt trap" diplomacy.
o Implementation of 13th Amendment (Devolution of powers to Tamil
provinces): An ongoing expectation from India.
• Current Trend:
o Current Event: India provided significant financial and humanitarian
assistance to Sri Lanka during its severe economic crisis (2022-23). This has
generated considerable goodwill.
o Focus on rebuilding economic ties and strategic partnership post-crisis.
E. India and Maldives:
• Strategic Location: Maldives is strategically located in the Indian Ocean.
• Key Aspects:
o Security Cooperation: India has traditionally been a key security provider
(e.g., Operation Cactus in 1988 to thwart a coup). Cooperation on maritime
security, counter-terrorism.
o Development Assistance: India provides aid for infrastructure, capacity
building.
• Challenges:

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o Internal Political Volatility: Periods of anti-India sentiment ("India Out"

campaign) linked to domestic politics.
o China's Influence: Growing Chinese presence, particularly during previous
pro-China regimes. Concerns about debt and strategic projects.
• Current Trend:
o Current Event: After a period of strained ties under a pro-China president,
the current Maldivian government (under President Mohamed Muizzu, elected
2023) has signaled a desire for closer ties with China, leading to new
complexities. India has been asked to withdraw its military personnel.
However, India remains a key development and security partner. The situation
is dynamic.
F. India and Bhutan:
• Special Relationship: Based on Treaty of Friendship and Cooperation (1949, revised
in 2007). India provides guidance on foreign policy (though Bhutan is sovereign).
• Key Aspects:
o Security: India is responsible for Bhutan's security. Close cooperation on
border management, especially concerning China.
o Economic Dependence: Bhutan's economy is closely linked to India.
Hydropower cooperation is a cornerstone (India buys surplus power).
o Development Assistance: India is Bhutan's largest development partner.
• Challenges:
o Doklam Standoff (2017): Highlighted the strategic importance of Bhutan for
India's security vis-à-vis China.
o Bhutan-China Border Talks: India closely monitors these talks as they have
implications for India's own security.
o Bhutan's desire for greater foreign policy diversification.
• Current Trend: Strong, stable, and mutually beneficial relationship, though China's
proximity is a constant factor.
G. India and Pakistan:
• Most Contentious Relationship: Defined by historical animosity, partition legacy,
wars, and terrorism.
• Core Issues:
o Kashmir: The central dispute, claimed by both countries.
o Cross-Border Terrorism: India accuses Pakistan of sponsoring terrorism and
using it as an instrument of state policy.
o Border Disputes: Sir Creek, Siachen.
o Nuclear Rivalry: Both are nuclear-armed states, raising stakes of any
conflict.

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• Key Events:
o Wars: 1947-48, 1965, 1971, Kargil Conflict (1999).
o Terrorist Attacks: Mumbai 2008, Pathankot 2016, Uri 2016, Pulwama 2019.
o Brief periods of dialogue (Composite Dialogue, Comprehensive Bilateral
Dialogue) have been derailed by terrorist attacks or political tensions.
• India's Stance: "Talks and terror cannot go together." Demands credible action
against terrorism from Pakistan as a precondition for dialogue.
• Challenges:
o Deep-seated mistrust.
o Influence of Pakistan's military establishment in its foreign policy.
o China-Pakistan Economic Corridor (CPEC) passing through Pakistan-occupied
Kashmir (PoK) is a major concern for India.
• Current Trend:
o Current Event: Formal dialogue remains suspended. Relations are at a low
ebb. Occasional engagements at multilateral forums or for specific issues
(e.g., Kartarpur Corridor, Indus Waters Treaty). Backchannel talks are
sometimes reported but with no visible breakthrough.

3. India’s China Policy: Continuity and Change

I. Continuity:
1. One-China Policy: India has consistently adhered to the "One-China" policy,
recognizing the People's Republic of China (PRC) and acknowledging (but not
endorsing) Beijing's position on Taiwan. However, it often avoids explicit reiteration
in joint statements in recent years due to China's stance on Arunachal Pradesh and
Aksai Chin.
2. Border Dispute as a Core Issue: The unresolved boundary, particularly the Line of
Actual Control (LAC), remains a central and persistent element of the relationship.
3. Panchsheel (Five Principles of Peaceful Coexistence): Though originating in an
agreement with China, its application has been strained, but the principles
themselves remain a stated ideal for bilateral conduct.
4. Balance between Cooperation and Competition: Historically, India has sought to
engage China economically and on global issues while remaining wary of its strategic
ambitions.
5. Tibet Issue: While recognizing Tibet as part of China, India has provided asylum to
the Dalai Lama and Tibetan refugees, a source of Chinese displeasure but a consistent
Indian humanitarian stance.
6. Seeking Strategic Autonomy: Avoiding being drawn into alliances aimed against
China, while simultaneously building capacities and partnerships to manage China's
rise.

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II. Change and Evolution:

1. From Hindi-Chini Bhai-Bhai to Conflict (1950s-1962): Initial bonhomie shattered
by the 1962 Sino-Indian War, leading to a long period of frozen relations.
2. Normalization and Rapprochement (1970s-2000s):
o Resumption of diplomatic ties (1976).
o Rajiv Gandhi's visit (1988) marked a turning point, agreeing to delink the
border dispute from other aspects of the relationship and focus on
confidence-building measures (CBMs).
o Multiple agreements on maintaining peace and tranquility along the LAC
(1993, 1996, 2005, 2012, 2013).
o Growth in bilateral trade (though heavily skewed in China's favor).
3. Growing Strategic Competition and Mistrust (2010s-Present):
o Increased Chinese Assertiveness: Along the LAC (Doklam 2017, Ladakh 2020-
present), in the Indian Ocean, and globally.
o Belt and Road Initiative (BRI) / CPEC: India opposes CPEC as it passes through
PoK, violating sovereignty. General concerns about BRI's strategic implications
and debt sustainability.
o Blocking India at Multilateral Forums: China has often blocked India's bid for
UNSC permanent membership and membership in the Nuclear Suppliers Group
(NSG), and on listing Pakistan-based terrorists at the UN.
o Shifting Power Balance: China's rapid economic and military rise has widened
the power gap with India.
4. India's Response: Balancing and Hardening Stance:
o Enhanced Military Preparedness: Increased deployment and infrastructure
development along the LAC.
o Economic Decoupling/De-risking (Selective): Scrutiny of Chinese
investments, ban on Chinese apps, efforts to reduce import dependency in
critical sectors.
o Strengthening Strategic Partnerships: Deepening ties with the US, Japan,
Australia (Quad), France, Vietnam, and other like-minded countries to
counter-balance China.
o Asserting its own Regional Role: Proactive engagement in the Indo-Pacific.
o Current Event (Galwan Valley Clash 2020): The deadliest clash in decades,
leading to a severe downturn in relations. Disengagement at some points
along LAC, but standoffs continue in others. India now insists that peace and
tranquility on the border are essential preconditions for normalization of
overall ties, a shift from the earlier delinked approach.
Current Status: Relations are at their lowest point in decades. While diplomatic and
military-level talks continue to resolve the border standoff, deep mistrust and strategic

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competition characterize the relationship. India is pursuing a policy of both engagement (on
global issues where interests converge) and firm balancing.

4. India–Japan Relations: Convergence and Divergence

I. Historical Context:
• Ancient cultural and religious ties (Buddhism).
• Post-WWII: India did not seek war reparations from Japan and signed a separate
peace treaty.
• Cold War: Relations were cordial but not deeply strategic due to differing alignments.
II. Convergence (Growing Strategic Alignment - especially since 2000s):
1. Shared Democratic Values and Rule of Law: Both are vibrant democracies
committed to a rules-based international order.
2. Strategic Concerns about China: The rise of an assertive China is a major driver for
Indo-Japanese strategic convergence. Both share concerns about China's behavior in
the East China Sea, South China Sea, and along the LAC/IOR.
3. Vision for a Free and Open Indo-Pacific (FOIP): Both are strong proponents of FOIP.
Japan was an early architect of the FOIP concept.
4. Economic Partnership:
o Japan is a major investor in India (e.g., Delhi Metro, Dedicated Freight
Corridors, Mumbai-Ahmedabad High-Speed Rail - "Bullet Train").
o Significant Official Development Assistance (ODA) provider.
o Bilateral trade has grown, Comprehensive Economic Partnership Agreement
(CEPA) signed in 2011.
5. Defense and Security Cooperation:
o Upgraded to a "Special Strategic and Global Partnership" (2014).
o Regular joint military exercises (Dharma Guardian - army, JIMEX - navy, Veer
Guardian/Shinyuu Maitri - air force).
o Malabar naval exercise (India, US, Japan, Australia).
o Acquisition and Cross-Servicing Agreement (ACSA) – logistics sharing.
o Dialogue on defense equipment and technology cooperation.
6. Multilateral Cooperation:
o Quad: Key partners.
o G4: For UNSC reform.
o Cooperation in East Asia Summit (EAS), ASEAN Regional Forum (ARF).
7. Connectivity Initiatives:

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o Asia-Africa Growth Corridor (AAGC) – a joint initiative (though progress has

been slow) as an alternative to China's BRI.
o Cooperation on infrastructure development in India's Northeast and in third
countries.
8. Critical and Emerging Technologies: Cooperation in areas like 5G, AI, cyber security.
III. Divergence (Limited or Potential):
1. Historical Legacies (for Japan): Japan's pacifist constitution (Article 9) historically
limited its overseas military role, though this is changing with Japan's new National
Security Strategy and increased defense spending. This is less of a divergence with
India and more an internal Japanese factor that has shaped its approach.
2. Nuclear Issue: Japan, as the only country to suffer nuclear attacks, has strong anti-
nuclear sentiments. While it cooperates with India on civil nuclear energy (Indo-
Japan Civil Nuclear Agreement, 2016), India's non-NPT status was initially a hurdle.
3. Pace of Economic Reforms in India: Japanese businesses sometimes voice concerns
about the ease of doing business and regulatory environment in India, though this is
improving.
4. Approaches to Russia: While both share concerns about China, their historical and
contemporary approaches to Russia might differ, especially in the context of the
Ukraine war (Japan has imposed strong sanctions).
5. Trade Imbalance: Bilateral trade is significant but can be further expanded, and
India often has a trade deficit with Japan.
Current Trend: Strong and deepening strategic convergence driven by shared values and
geopolitical concerns, particularly regarding China. The economic partnership is robust and
growing. It's one of India's most important bilateral relationships.

5. India’s Southeast Asia Policy: Look East, Link East, and Act East
I. "Look East" Policy (LEP) - Initiated early 1990s (PM Narasimha Rao):
• Context:
o End of the Cold War and collapse of the Soviet Union (India's traditional
partner).
o India's economic crisis of 1991 and subsequent liberalization.
o Desire to integrate with the economically dynamic Southeast Asian region
(ASEAN).
• Focus: Primarily economic engagement.
o Strengthening trade and investment ties with ASEAN countries.
o Attracting investment from the region.
o Sectoral Dialogue Partner of ASEAN (1992), Full Dialogue Partner (1995),
ASEAN Regional Forum (ARF) member (1996), Summit-level partner (2002).

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o India-ASEAN Free Trade Agreement (FTA) in Goods (signed 2009, effective

2010).
II. "Link East" (Implicitly part of LEP and later AEP):
• This refers to the emphasis on physical and digital connectivity as a crucial enabler
for deeper engagement.
• Examples:
o India-Myanmar-Thailand Trilateral Highway.
o Kaladan Multi-Modal Transit Transport Project.
o Air and maritime connectivity.
o Digital connectivity initiatives.
III. "Act East" Policy (AEP) - Announced 2014 (PM Narendra Modi):
• Rationale: An upgrade and more proactive version of LEP. Acknowledged that LEP
was successful economically but needed a stronger strategic and security dimension.
• Key Features (The "4 Cs"):
1. Culture: Leveraging historical and cultural ties (Buddhism, Hinduism, shared
traditions).
2. Commerce: Continued focus on trade, investment, and economic
integration. FTA in Services and Investment with ASEAN. Participation in RCEP
was considered but India opted out.
3. Connectivity: Enhanced focus on physical, digital, and people-to-people
connectivity.
4. Capacity Building: Providing assistance, training, and development
partnerships.
• Expanded Scope:
o Geographical: Extends beyond ASEAN to include East Asia (Japan, South
Korea, Australia, New Zealand) and the wider Indo-Pacific.
o Thematic: Broader agenda including defense and security cooperation,
maritime security, counter-terrorism, cyber security, political dialogue, and
strategic partnerships.
• Strategic Imperatives:
o Counterbalancing China's growing influence in the region.
o Ensuring a stable and rules-based order in the Indo-Pacific.
o Playing a more significant role in regional security architecture.
• Key Engagements under AEP:
o Elevating relations with individual ASEAN countries to strategic partnerships.

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o Strengthening engagement with EAS, ADMM-Plus (ASEAN Defence Ministers'

Meeting Plus).
o Increased naval deployments and joint exercises in the South China Sea and
Indian Ocean.
o Development projects in CLMV countries (Cambodia, Laos, Myanmar,
Vietnam).
o Focus on India's Northeast as a gateway to Southeast Asia.
Current Status and Current Events:
• AEP is a cornerstone of India's foreign policy.
• Current Event: India continues to deepen security and economic ties. For instance,
upgrading relations with Vietnam to a Comprehensive Strategic Partnership,
enhancing defense ties with Indonesia and the Philippines (BrahMos missile export).
• Focus on implementing connectivity projects, though some face delays.
• The situation in Myanmar post-2021 coup presents challenges for AEP's connectivity
and security goals.
• India actively promotes ASEAN centrality in the evolving Indo-Pacific architecture.

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UNIT 4: India’s Extended Neighbourhood and

Strategic Partnerships
1. India and West Asia: Emerging Patterns (Iran, Israel, and the Gulf Region)
West Asia (often referred to as the Middle East) is a region of critical strategic, economic,
and cultural importance to India. India's policy has evolved from a primarily pro-Arab, Non-
Aligned stance to a more pragmatic, multi-directional engagement, balancing various
relationships.
I. Historical Context:
• Deep civilizational, cultural, and trade links.
• Post-independence: Strong support for Palestinian cause, non-recognition of Israel
initially (formal ties in 1992), close ties with Arab nationalist regimes.
• Cold War dynamics influenced alignments.
II. Emerging Patterns and India's Approach:
1. De-hyphenation and Multi-Alignment:
o India now pursues independent relationships with key actors in the region,
avoiding being drawn into their intra-regional conflicts.
o Examples: Maintaining strong ties simultaneously with Israel and Arab states,
and with Iran and Gulf Arab states (e.g., Saudi Arabia, UAE).
2. Economic Imperatives:
o Energy Security: The Gulf region is a primary source of India's crude oil and
LNG imports.
o Trade and Investment: Significant bilateral trade, remittances from a large
Indian diaspora, and increasing investments (both ways).
o Connectivity: Developing ports and corridors (e.g., Chabahar with Iran,
potential IMEC - India-Middle East-Europe Economic Corridor).
3. Strategic and Security Interests:
o Counter-Terrorism: Cooperation with regional states to combat terrorism
and extremism.
o Maritime Security: Ensuring safety of sea lanes in the Persian Gulf and
Arabian Sea.
o Regional Stability: India has a stake in the stability of West Asia due to its
proximity and the presence of a large diaspora.
o Balancing External Powers: Managing the influence of other major powers
like the US and China in the region.
4. Diaspora:

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o Millions of Indians live and work in the Gulf region, contributing significantly
through remittances. Their welfare is a key concern.
III. India and Iran:
• Historical Significance: Deep historical and cultural ties.
• Key Areas of Cooperation:
1. Connectivity (Chabahar Port): Crucial for India to bypass Pakistan and access
Afghanistan and Central Asia. Part of the International North-South Transport
Corridor (INSTC).
▪ Current Event: India continues to develop Chabahar despite US
sanctions (which have waivers for Chabahar development). Recent
long-term contract (10 years) signed in May 2024 for India Ports Global
Limited (IPGL) to operate the Shahid Beheshti terminal.
2. Energy: Historically, Iran was a major oil supplier. US sanctions have
significantly impacted this.
3. Regional Stability: Shared concerns about stability in Afghanistan and
combating extremism.
• Challenges:
o US Sanctions: Impact on energy trade and financial transactions.
o Iran's Nuclear Program: India supports Iran's right to peaceful nuclear energy
but opposes weaponization and advocates for diplomatic solutions (JCPOA).
o Balancing ties with Iran against relations with the US, Israel, and Gulf Arab
states.
o Slow pace of development of some connectivity projects.
IV. India and Israel:
• Evolution of Ties: Formal diplomatic relations established in 1992. Rapid growth in
cooperation since then, particularly after PM Modi's visit in 2017 (first by an Indian
PM).
• Key Areas of Cooperation ("Strategic Partnership"):
1. Defense and Security: Israel has become a major supplier of advanced
military technology and equipment to India (missiles, UAVs, radar systems).
Joint R&D.
2. Counter-Terrorism: Intelligence sharing and cooperation.
3. Agriculture: Israeli expertise in drip irrigation, water management, and arid
farming is highly valued (Indo-Israel Agricultural Project).
4. Science and Technology/Innovation: Cooperation in R&D, startups, cyber
security.
5. Water Management: Sharing best practices.

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• India's Balancing Act: While deepening ties with Israel, India continues to support a
two-state solution to the Israeli-Palestinian conflict.
• Current Event:
o The Israel-Hamas conflict (since Oct 2023) has presented a diplomatic
challenge for India. India condemned the Hamas attack, expressed solidarity
with Israel, but also reiterated its support for a two-state solution and
provided humanitarian aid to Palestine. This reflects its de-hyphenated
policy.
o I2U2 Group (India, Israel, UAE, USA): A new plurilateral grouping focused on
joint investments and initiatives in water, energy, transportation, space,
health, and food security. Current Event: First leaders' summit held in 2022.
Projects are being identified.
V. India and the Gulf Region (GCC Countries - Saudi Arabia, UAE, Qatar, Kuwait, Oman,
Bahrain):
• Transformative Shift: From a primarily transactional relationship (oil, remittances)
to a comprehensive strategic partnership, especially with UAE and Saudi Arabia.
• Key Drivers:
o Energy Security: Remains paramount.
o Economic Diversification of Gulf States: Gulf countries are looking beyond
oil (e.g., Saudi Vision 2030, UAE's economic diversification plans), creating
opportunities for Indian businesses and investment.
o Geopolitical Realignment: Changing dynamics in West Asia, including
Abraham Accords (normalization between Israel and some Arab states).
o Counter-Terrorism and Security Cooperation: Increased cooperation.
o Large Indian Diaspora: Significant economic and social links.
• India and UAE:
o Elevated to Comprehensive Strategic Partnership (2017).
o Comprehensive Economic Partnership Agreement (CEPA) signed in 2022
(India's first with a major economy in a decade).
o Strong investment ties, cooperation in fintech, space, defense.
o Current Event: UAE is a key partner in I2U2 and the proposed India-Middle
East-Europe Economic Corridor (IMEC).
• India and Saudi Arabia:
o Strategic Partnership Council established (2019).
o Major oil supplier, growing investment, defense and security cooperation.
o Current Event: Saudi Arabia is also seen as a key node in the IMEC.
• India and Other GCC States (Qatar, Oman, Kuwait, Bahrain):

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o Important for energy, remittances, and diaspora welfare. Growing

engagement in various sectors. Qatar is a major LNG supplier. Oman provides
strategic access (e.g., Duqm port).
• Current Event (IMEC): Announced at G20 Summit in New Delhi (2023), IMEC aims to
connect India to Europe via West Asia through shipping and rail links. While
ambitious, its progress may be impacted by regional geopolitical developments like
the Israel-Hamas conflict.

2. India’s Central Asia Policy: Objectives and Trends

The five Central Asian Republics (CARs) - Kazakhstan, Kyrgyzstan, Tajikistan, Turkmenistan,
and Uzbekistan - are part of India's "extended neighbourhood."
I. Historical Context:
• Ancient civilizational links (Silk Road, spread of Buddhism, Mughal connection).
• Post-Soviet Era: India was one of the first countries to recognize their independence
(1991) and establish diplomatic relations.
II. Objectives of India's Central Asia Policy ("Connect Central Asia" Policy - 2012):
1. Strategic:
o Counterbalancing China's growing influence (BRI).
o Ensuring regional stability, particularly in Afghanistan, which borders CARs.
o Combating terrorism, religious extremism, and drug trafficking emanating
from the region or transiting through it.
2. Economic:
o Accessing energy resources (oil, gas, uranium - Kazakhstan, Turkmenistan,
Uzbekistan).
o Expanding trade and investment (though currently modest).
o Improving connectivity for trade.
3. Connectivity:
o Overcoming the lack of direct land access (Pakistan's denial of transit).
o Developing alternative routes like INSTC (via Iran's Chabahar port) and
exploring air corridors.
4. Security Cooperation:
o Defense training, joint exercises, intelligence sharing.
o Tajikistan hosts India's only foreign military airbase (Farkhor).
5. Cultural and People-to-People Ties:
o Leveraging historical links, promoting educational exchanges, tourism.
III. Trends and Engagements:

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1. High-Level Visits: Increased frequency of visits by Indian PMs and Presidents, and
CAR leaders to India.
o Current Event: India hosted the first India-Central Asia Summit (virtual) in
January 2022, marking a significant upgrade in engagement. A secretariat
for India-Central Asia cooperation was proposed.
2. Focus on Connectivity:
o INSTC: Actively promoted.
o Chabahar Port: Seen as a gateway to Central Asia.
o Air Freight Corridors: Established with some CARs to boost trade in
perishable goods.
o Ashgabat Agreement: India joined this multimodal transport agreement.
3. Energy Diplomacy:
o Seeking participation in oil and gas fields.
o TAPI Pipeline (Turkmenistan-Afghanistan-Pakistan-India): Long-stalled due
to security and geopolitical issues, but remains on the agenda.
o Uranium imports from Kazakhstan.
4. Development Assistance and Capacity Building:
o Lines of Credit, Indian Technical and Economic Cooperation (ITEC) program.
o Projects in IT, education, health.
5. Security and Defense Cooperation:
o Joint military exercises (e.g., KAZIND with Kazakhstan, Khanjar with
Kyrgyzstan, Dustlik with Uzbekistan).
o Cooperation on counter-terrorism.
6. Multilateral Engagement:
o Cooperation within the Shanghai Cooperation Organisation (SCO), where
India and most CARs are members. This provides a platform for interaction,
though it also includes China and Russia.
o India-Central Asia Dialogue (Foreign Ministers' level).
IV. Challenges:
• Lack of Direct Land Connectivity: Pakistan's refusal to grant overland transit rights
is a major impediment.
• China's Dominant Presence: China's BRI has made significant inroads, creating vast
economic and infrastructural influence.
• Russia's Traditional Influence: Russia considers CARs part of its "near abroad" and
maintains strong security and economic ties.

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• Security Situation in Afghanistan: Instability in Afghanistan directly impacts CARs

and India's interests.
• Limited Economic Engagement: Bilateral trade remains low despite potential.
• Internal political and economic challenges within CARs.

3. India and BIMSTEC: Convergences and Partnerships

BIMSTEC (Bay of Bengal Initiative for Multi-Sectoral Technical and Economic Cooperation)
• Members: Bangladesh, Bhutan, India, Myanmar, Nepal, Sri Lanka, and Thailand.
• Formation: Established in 1997 (as BIST-EC, later BIMST-EC, then BIMSTEC).
• Rationale: A bridge between South Asia and Southeast Asia. Aims to harness shared
and accelerated growth through mutual cooperation in different areas of common
interests by utilizing regional resources and geographical advantages.
• Secretariat: Dhaka, Bangladesh.
I. Convergences and Importance for India:
1. "Neighbourhood First" and "Act East" Policies: BIMSTEC is a natural platform for
advancing these key foreign policy initiatives.
2. Alternative to SAARC: With SAARC being largely dysfunctional due to India-Pakistan
tensions, BIMSTEC has gained prominence as a more viable forum for regional
cooperation in South Asia (excluding Pakistan).
3. Connectivity: Focus on improving transport, energy, and digital connectivity among
member states. Crucial for India's Northeast region's development.
o Current Event: The BIMSTEC Master Plan for Transport Connectivity is a key
document.
4. Economic Integration: Promoting trade, investment, and tourism. Efforts towards a
BIMSTEC FTA (negotiations ongoing).
5. Security Cooperation:
o Counter-terrorism and transnational crime.
o Maritime security in the Bay of Bengal.
o Humanitarian Assistance and Disaster Relief (HADR).
o Current Event: Regular meetings of National Security Chiefs.
6. Blue Economy: Bay of Bengal offers immense potential for sustainable exploitation
of marine resources.
7. Strategic Significance of Bay of Bengal: The Bay is becoming an increasingly
important strategic space due to growing major power interest and China's naval
presence.
8. Cultural Linkages: Shared historical and cultural heritage.

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II. Areas of Cooperation (14 priority sectors initially, rationalized to 7 in 2022):

• The 7 sectors, each led by a member state:
1. Trade, Investment and Development (Bangladesh)
2. Environment and Climate Change (Bhutan)
3. Security (India) - includes counter-terrorism, transnational crime, disaster
management, energy security.
4. Agriculture and Food Security (Myanmar)
5. People-to-People Contact (Nepal) - culture, tourism.
6. Science, Technology and Innovation (Sri Lanka)
7. Connectivity (Thailand)
III. Partnerships and Achievements:
• Regular Summits and Ministerial Meetings: Provide political direction.
o Current Event: The 5th BIMSTEC Summit (Colombo, virtual, 2022) adopted
the BIMSTEC Charter, giving it a formal legal identity and structure. Thailand
is the current chair.
• Sectoral Working Groups: Drive cooperation in specific areas.
• BIMSTEC Convention on Cooperation in Combating International Terrorism,
Transnational Organized Crime and Illicit Drug Trafficking.
• Memoranda of Understanding (MoUs) on various aspects like grid interconnection,
technology transfer.
IV. Challenges:
• Slow Pace of Implementation: Many initiatives have faced delays.
• Resource Constraints: Lack of adequate financial and human resources for the
Secretariat and projects.
• Overlapping Memberships: Member states are part of other regional groupings,
sometimes leading to divided attention.
• Internal Political Issues in Member States: (e.g., situation in Myanmar) can impact
collective progress.
• Lack of a Comprehensive FTA: Negotiations have been protracted.
• Limited visibility and public awareness compared to ASEAN or SAARC.
Current Trend: BIMSTEC is gaining momentum as India and other members invest more
political capital in it. The adoption of the Charter is a significant step towards institutional
strengthening.

4. India’s Maritime Security and Naval Diplomacy

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India's peninsular geography, long coastline (~7500 km), and strategic location astride major
Indian Ocean sea lanes of communication (SLOCs) make maritime security and naval
diplomacy critical components of its national security and foreign policy.
I. Importance of Maritime Security for India:
1. Economic Lifeline: Over 90% of India's trade by volume and 70% by value is seaborne.
Secure SLOCs are vital.
2. Energy Security: Majority of India's oil imports transit through the Indian Ocean.
3. Resource Exploitation: Vast Exclusive Economic Zone (EEZ) rich in living and non-
living resources (fisheries, minerals, hydrocarbons).
4. Coastal Security: Protecting coastal populations, infrastructure, and preventing
threats like maritime terrorism (e.g., 26/11 Mumbai attacks).
5. Island Territories: Security of Andaman & Nicobar Islands and Lakshadweep Islands,
which extend India's strategic reach.
6. Strategic Environment: Growing naval presence of extra-regional powers (especially
China) in the Indian Ocean Region (IOR).
II. Key Maritime Security Challenges:
1. Traditional Threats:
o Naval competition and power projection by other states.
o Disputed maritime boundaries (though most are settled).
2. Non-Traditional Threats:
o Maritime Terrorism: Infiltration, attacks on coastal targets or shipping.
o Piracy and Armed Robbery at Sea: Particularly in chokepoints like Gulf of
Aden, Malacca Strait.
o Smuggling: Arms, drugs, humans, contraband.
o Illegal, Unreported, and Unregulated (IUU) Fishing: Depletion of fish stocks.
o Maritime Pollution: Oil spills, dumping of waste.
o Natural Disasters: Tsunamis, cyclones requiring HADR operations.
o Climate Change Impacts: Sea-level rise, coastal erosion.
III. India's Maritime Security Strategy and Initiatives:
• SAGAR (Security and Growth for All in the Region): Articulated by PM Modi in 2015,
this is India's vision for the IOR. It emphasizes:
o Safeguarding mainland and islands.
o Deepening economic and security cooperation with maritime neighbours.
o Building maritime security capabilities.
o Sustainable development.

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o Collective action and cooperation.

• Indian Navy's Role: Primary instrument for ensuring maritime security. Its roles
include:
o Deterrence and defense.
o Constabulary duties (anti-piracy, anti-smuggling).
o Benign roles (HADR, search and rescue).
• Coastal Security Architecture: Strengthened post-26/11 with a three-tier system
involving Indian Navy, Coast Guard, and State Marine Police. National Committee for
Strengthening Maritime and Coastal Security (NCSMCS).
• Information Fusion Centre – Indian Ocean Region (IFC-IOR): Established in
Gurugram, it aims to enhance Maritime Domain Awareness (MDA) by sharing
information with partner countries and international organizations.
o Current Event: Growing number of International Liaison Officers (ILOs) from
various countries posted at IFC-IOR.
• Capacity Building: Providing training, equipment, and assistance to friendly littoral
states in the IOR to enhance their maritime security capabilities.
IV. Naval Diplomacy:
Naval diplomacy involves the use of naval forces in support of foreign policy objectives,
short of outright conflict.
1. Goodwill Visits and Port Calls: Indian Navy ships regularly visit foreign ports to build
friendly relations and showcase India's capabilities.
2. Joint Naval Exercises:
o Bilateral (e.g., Varuna with France, Indra with Russia, Konkan with UK, SIMBEX
with Singapore).
o Multilateral (e.g., Malabar with US, Japan, Australia; MILAN – a biennial
multilateral exercise hosted by India).
o Current Event: MILAN 2024 saw participation from a large number of
countries, highlighting India's convening power.
3. Humanitarian Assistance and Disaster Relief (HADR):
o Indian Navy is often the first responder in natural disasters in the IOR (e.g.,
2004 Tsunami, cyclones, assistance during COVID-19 - Mission Sagar). This
builds immense goodwill.
4. Anti-Piracy Operations: Indian Navy has been actively involved in anti-piracy patrols
in the Gulf of Aden and off the Somali coast.
o Current Event: Recent resurgence of piracy and Houthi attacks on shipping
in the Red Sea/Gulf of Aden has seen active deployment and intervention by
the Indian Navy to assist merchant vessels.
5. Maritime Training Teams: Deployed to friendly foreign countries to assist in training
their naval personnel.

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6. Capacity Building and Out-of-Country Refits: Assisting friendly navies with

maintenance and upgrades of their vessels.
7. Presence and Surveillance: Maintaining presence in key maritime areas to monitor
activities and ensure freedom of navigation.
8. Support for International Maritime Law (UNCLOS): Upholding the principles of
UNCLOS.
V. Geo-Strategic Focus:
• Indian Ocean Region (IOR): Primary area of maritime interest.
• Indo-Pacific: Expanding engagement in the wider Indo-Pacific, including the South
China Sea, reflecting growing strategic interests and partnerships (e.g., with Quad
members, ASEAN countries).
Current Trend: India is significantly enhancing its maritime security capabilities and naval
diplomacy efforts, recognizing the centrality of the maritime domain for its security and
prosperity in an increasingly contested global environment. The focus is on becoming a "net
security provider" in the IOR.

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INDIAN POLITICAL SYSTEM

UNIT 1: Political Structures
1. Indian Constitution: Evolution, Ideology, and Features
I. Evolution of the Indian Constitution:
The Indian Constitution is not a sudden creation but the culmination of a long historical
process, influenced by various acts, movements, and intellectual currents.
1. Colonial Legacy and British Constitutional Experiments:
o Regulating Act of 1773: First step by the British Parliament to regulate the
East India Company's affairs.
o Pitt's India Act of 1784: Established dual control by the Company and a Board
of Control.
o Charter Acts (1813, 1833, 1853): Gradually curtailed the Company's
commercial monopolies and centralized administration. Act of 1833 made
Governor-General of Bengal as Governor-General of India.
o Government of India Act, 1858: Transferred power from the East India
Company to the British Crown after the 1857 Revolt.
o Indian Councils Acts (1861, 1892, 1909 - Morley-Minto Reforms):
▪ Gradual introduction of representative institutions and association of
Indians with legislative work.
▪ 1909 Act introduced separate electorates for Muslims (seed of
communalism).
o Government of India Act, 1919 (Montagu-Chelmsford Reforms):
▪ Introduced dyarchy (dual government) at the provincial level.
▪ Bicameral legislature at the Centre.
▪ Extended communal representation.
o Simon Commission (1927) and Nehru Report (1928): Indian response and
demand for Dominion Status.
o Government of India Act, 1935:
▪ Blueprint for the Indian Constitution: Provided for an All-India
Federation (never materialized), provincial autonomy, dyarchy at the
Centre, bicameral legislatures, Federal Court, Reserve Bank of India.
▪ Many provisions were directly adopted into the Indian Constitution.
o Indian Independence Act, 1947: Partitioned India and granted
independence.
2. Influence of Nationalist Movement:

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o Demand for Self-Rule (Swaraj): The core demand of the freedom struggle.
o Emphasis on Fundamental Rights: Resolutions by the Indian National
Congress (INC) (e.g., Karachi Resolution, 1931) demanded basic rights for
citizens.
o Vision of a Democratic, Secular, and Egalitarian India: Ideals championed
by leaders like Gandhi, Nehru, Patel, Ambedkar.
o Commitment to Parliamentary Democracy: Familiarity with British
parliamentary system.
3. The Constituent Assembly:
o Formation: Set up in November 1946 under the Cabinet Mission Plan.
o Composition: Indirectly elected members from provincial assemblies (and
representatives from princely states). Initially 389 members (reduced to 299
after partition).
o Key Figures: Dr. Rajendra Prasad (President), Dr. B.R. Ambedkar (Chairman
of the Drafting Committee), Jawaharlal Nehru, Sardar Vallabhbhai Patel,
Maulana Abul Kalam Azad, K.M. Munshi, Alladi Krishnaswamy Ayyar, etc.
o Working:
▪ First meeting on December 9, 1946.
▪ Adopted the Objectives Resolution (moved by Nehru on Dec 13,
1946), which laid down the philosophical foundations and became the
Preamble.
▪ Various committees were formed (e.g., Drafting Committee, Union
Powers Committee, Provincial Constitution Committee).
▪ Deliberations lasted for 2 years, 11 months, and 18 days.
o Adoption and Enactment: The Constitution was adopted on November 26,
1949, and came into full force on January 26, 1950 (Republic Day).
II. Ideology/Philosophy of the Indian Constitution:
The Preamble encapsulates the core ideology and philosophy:
• "WE, THE PEOPLE OF INDIA, having solemnly resolved to constitute India into a
SOVEREIGN SOCIALIST SECULAR DEMOCRATIC REPUBLIC and to secure to all its
citizens:
JUSTICE, social, economic and political;
LIBERTY of thought, expression, belief, faith and worship;
EQUALITY of status and of opportunity;
and to promote among them all
FRATERNITY assuring the dignity of the individual and the unity and integrity of the
Nation;
IN OUR CONSTITUENT ASSEMBLY this twenty-sixth day of November, 1949, do HEREBY
ADOPT, ENACT AND GIVE TO OURSELVES THIS CONSTITUTION."
• Key Ideals:

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1. Sovereignty: India is an independent nation, free from external control.

2. Socialist: (Added by 42nd Amendment, 1976) Aims to achieve social and
economic equality, end exploitation, and establish a welfare state. India's
socialism is "democratic socialism," not state socialism.
3. Secular: (Added by 42nd Amendment, 1976) The state has no official religion;
it treats all religions equally. Freedom of religion is guaranteed.
4. Democratic: Government by the people, based on universal adult franchise,
regular elections, rule of law, independent judiciary.
5. Republic: The head of the state (President) is elected, not hereditary.
6. Justice (Social, Economic, Political): Fair treatment for all citizens, removal
of social inequalities, equitable distribution of wealth, equal political rights.
7. Liberty: Freedom of thought, expression, belief, faith, and worship.
8. Equality: Equality before the law, prohibition of discrimination, equality of
opportunity.
9. Fraternity: Spirit of common brotherhood among all Indians, ensuring
individual dignity and national unity.
10. Welfare State: The Directive Principles of State Policy aim to establish a
welfare state.
11. Parliamentary Form of Government: Responsible executive.
12. Federalism with a Unitary Bias: Division of powers with a strong Centre.
13. Judicial Independence and Judicial Review: To protect rights and uphold
the Constitution.
III. Salient Features of the Indian Constitution:
1. Lengthiest Written Constitution: Most detailed and comprehensive constitution in
the world.
2. Drawn from Various Sources:
o Government of India Act, 1935: Federal scheme, office of governor,
judiciary, public service commissions, emergency provisions.
o British Constitution: Parliamentary government, rule of law, legislative
procedure, single citizenship, cabinet system, prerogative writs.
o US Constitution: Fundamental Rights, independence of judiciary, judicial
review, impeachment of President, removal of Supreme Court and High Court
judges, post of Vice-President.
o Irish Constitution: Directive Principles of State Policy, nomination of
members to Rajya Sabha, method of election of President.
o Canadian Constitution: Federation with a strong Centre, residuary powers
with the Centre, appointment of state governors by the Centre, advisory
jurisdiction of the Supreme Court.

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o Australian Constitution: Concurrent List, freedom of trade, commerce and

intercourse, joint sitting of two Houses of Parliament.
o Weimar Constitution of Germany: Suspension of Fundamental Rights during
Emergency.
o Soviet Constitution (USSR): Fundamental duties, ideal of justice (social,
economic, political) in Preamble.
o French Constitution: Republic and the ideals of liberty, equality, and
fraternity in the Preamble.
o South African Constitution: Procedure for amendment of the Constitution,
election of members of Rajya Sabha.
o Japanese Constitution: Procedure established by law.
3. Blend of Rigidity and Flexibility: Can be amended (some parts easily, others with
special majority/ratification by states).
4. Federal System with Unitary Bias: Division of powers between Centre and States,
but with a strong central government.
5. Parliamentary Form of Government: Executive is responsible to the legislature.
Nominal and real executives.
6. Synthesis of Parliamentary Sovereignty and Judicial Supremacy: Parliament can
amend major portions of the Constitution (within basic structure limits), while the
Supreme Court can declare parliamentary laws unconstitutional through judicial
review.
7. Integrated and Independent Judiciary: Supreme Court at the apex, followed by
High Courts and subordinate courts. Judiciary is independent from executive and
legislature.
8. Fundamental Rights (Part III): Justiciable rights guaranteed to all citizens.
9. Directive Principles of State Policy (Part IV): Non-justiciable guidelines for the state
to establish a welfare state.
10. Fundamental Duties (Part IV-A): Added by 42nd Amendment (1976).
11. Secular State: No official religion.
12. Universal Adult Franchise: Right to vote for all citizens above 18 years without
discrimination.
13. Single Citizenship: All citizens owe allegiance to the Indian Union.
14. Independent Bodies: Election Commission, Comptroller and Auditor General (CAG),
Union Public Service Commission (UPSC), State Public Service Commissions.
15. Emergency Provisions: To deal with extraordinary situations (National, State,
Financial).
16. Three-tier Government: Centre, State, and Local Self-Government (Panchayats and
Municipalities added by 73rd and 74th Amendments).

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2. Indian Federalism: Structure, Nature, and Emerging Trends

I. Structure of Indian Federalism:
• Dual Polity: The Constitution establishes a dual polity consisting of the Union at the
Centre and the States at the periphery.
• Division of Powers (Seventh Schedule):
o Union List (List I): Subjects of national importance on which only Parliament
can make laws (e.g., defense, foreign affairs, currency, banking, railways,
atomic energy).
o State List (List II): Subjects of local or regional importance on which State
Legislatures can make laws (e.g., public order, police, public health,
agriculture, local government).
o Concurrent List (List III): Subjects on which both Parliament and State
Legislatures can make laws (e.g., criminal law, civil procedure, marriage,
education, forests, trade unions). In case of conflict, Union law prevails.
o Residuary Powers: Powers not mentioned in any list vest with the Parliament
(unlike USA where they vest with states).
• Written Constitution: Clearly defines the powers and functions.
• Supremacy of the Constitution: Constitution is the supreme law of the land.
• Independent Judiciary: Interprets the Constitution and resolves disputes between
Centre and States.
• Bicameral Legislature (at Centre): Rajya Sabha (Council of States) represents the
states.
II. Nature of Indian Federalism (Often described as "Quasi-Federal" or "Federalism with
a Unitary Bias"):
While it has federal features, the Indian Constitution also contains strong unitary or non-
federal features.
• Federal Features:
o Dual government
o Division of powers
o Written constitution
o Supremacy of constitution
o Independent judiciary
o Bicameralism
• Unitary/Non-Federal Features:
1. Strong Centre: Union List has more subjects and more important subjects. Residuary
powers with Centre.

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2. Single Constitution: Both Centre and States operate under one constitution (except
J&K formerly).
3. Single Citizenship: No separate state citizenship.
4. Flexibility of the Constitution: Parliament can amend major parts of the
Constitution unilaterally.
5. Unequal Representation in Rajya Sabha: Representation is based on population, not
equal for all states (unlike US Senate).
6. Emergency Provisions (Articles 352, 356, 360): Can convert the federal structure
into a unitary one during emergencies. Article 356 (President's Rule) has been particularly
controversial.
7. Appointment of Governor: Governor is appointed by the President and acts as an
agent of the Centre.
8. Integrated Judiciary: Single system of courts enforces both Central and State laws.
9. All-India Services (IAS, IPS, IFS): Recruited by Centre but serve in states, giving
Centre control.
10. Parliament's Authority over State List: Parliament can legislate on State List
subjects under certain conditions (Rajya Sabha resolution, national emergency, to
implement international agreements, during President's Rule).
11. Integrated Audit Machinery (CAG): Audits accounts of both Centre and States.
12. Veto over State Bills: Governor can reserve certain state bills for President's
consideration.
13. Financial Dependence of States: States depend significantly on the Centre for
financial grants and assistance.
• Scholarly Views:
o K.C. Wheare: "Quasi-federal."
o Granville Austin: "Cooperative federalism."
o Morris Jones: "Bargaining federalism."
o Ivor Jennings: "A federation with a strong centralizing tendency."
• The Supreme Court in S.R. Bommai vs. Union of India (1994) held that federalism
is a "basic feature" of the Constitution.
III. Emerging Trends in Indian Federalism:
1. Cooperative Federalism:
o Emphasis on Centre and States working together for national development.
o Mechanisms: Inter-State Council, Zonal Councils, NITI Aayog (replacing
Planning Commission) aims to foster cooperative federalism.
o Current Event: GST Council is a prime example of cooperative fiscal
federalism where Centre and States jointly decide on GST rates and rules.

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2. Competitive Federalism:
o States competing with each other (and Centre encouraging this) to attract
investment, improve governance, and achieve development goals.
o Examples: Ease of Doing Business rankings for states, NITI Aayog's indices
(health, education).
3. Rise of Regional Parties and Coalition Politics:
o Increased bargaining power of states, especially when regional parties are
part of the ruling coalition at the Centre or hold power in multiple states.
o Greater assertion of state autonomy.
4. Fiscal Federalism Debates:
o Demands from states for a greater share in central taxes.
o Concerns over the terms of reference of Finance Commissions.
o Issues related to GST compensation.
o Current Event: Debates around the 16th Finance Commission's terms and
states' fiscal autonomy.
5. Judicial Activism and Federal Disputes:
o Supreme Court playing an active role in resolving Centre-State disputes and
interpreting federal provisions (e.g., on Article 356, powers of Governor,
legislative competence).
6. Challenges to Federalism from "One Nation" Concepts:
o Current Event: Debates around ideas like "One Nation, One Election," "One
Nation, One Ration Card," "One Nation, One Language" are seen by some as
potentially undermining federal diversity and state autonomy.
7. Impact of Centralized Schemes: While aimed at national welfare, centrally
sponsored schemes can sometimes impinge on state priorities and autonomy.
8. Growing Importance of Local Self-Governments:
o 73rd and 74th Amendments empowered Panchayats and Municipalities,
adding a third tier to the federal structure, though their financial and
functional autonomy remains a challenge.
9. Federalism in Foreign Policy and Security:
o States (especially border states) increasingly seek a role or voice in foreign
policy matters that directly affect them (e.g., water sharing with neighbours,
cross-border trade).
o Centre-State coordination crucial for internal security.

3. Fundamental Rights, Directive Principles of State Policy, and Fundamental Duties

I. Fundamental Rights (Part III, Articles 12-35):

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• Source of Inspiration: US Bill of Rights.

• Nature:
o Justiciable: Enforceable by courts (Article 32 - Supreme Court, Article 226 -
High Courts).
o Not absolute but qualified (subject to reasonable restrictions).
o Some available only to citizens, others to all persons (citizens, foreigners,
legal persons).
o Mostly negative obligations on the State (prohibiting state action), some
positive.
o Can be suspended during National Emergency (except Articles 20 and 21).
• Definition of 'State' (Article 12): Includes Government and Parliament of India,
Government and Legislatures of states, all local authorities, and other authorities
within India or under the control of the Government of India.
• Laws Inconsistent with Fundamental Rights (Article 13): Any law inconsistent with
FRs shall be void. Gives power of judicial review.
• Classification of Fundamental Rights:
1. Right to Equality (Articles 14-18):
▪ Art 14: Equality before law and equal protection of laws.
▪ Art 15: Prohibition of discrimination on grounds of religion, race,
caste, sex, or place of birth.
▪ Art 16: Equality of opportunity in matters of public employment.
▪ Art 17: Abolition of Untouchability.
▪ Art 18: Abolition of titles (except military and academic).
2. Right to Freedom (Articles 19-22):
▪ Art 19: Protection of six rights:
▪ (a) Freedom of speech and expression.
▪ (b) Freedom to assemble peaceably and without arms.
▪ (c) Freedom to form associations or unions or co-operative
societies (added by 97th Amendment).
▪ (d) Freedom to move freely throughout the territory of India.
▪ (e) Freedom to reside and settle in any part of the territory of
India.
▪ (g) Freedom to practice any profession, or to carry on any
occupation, trade or business.
• *Art 20: Protection in respect of conviction for offences: No ex-post-facto law
(cannot be punished for an act that was not an offense when committed).

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* No double jeopardy (cannot be prosecuted and punished for the same offense more
than once).
* No self-incrimination (cannot be compelled to be a witness against oneself).
* Art 21: Protection of Life and Personal Liberty: "No person shall be deprived of
his life or personal liberty except according to procedure established by law."
* Interpreted broadly by the Supreme Court to include right to dignity, privacy (K.S.
Puttaswamy case), clean environment, health, speedy trial, legal aid, education
(before Art 21A), etc.
* Art 21A: Right to Education: (Added by 86th Amendment, 2002) The State shall
provide free and compulsory education to all children of the age of six to fourteen
years.
* Art 22: Protection against arrest and detention in certain cases:
* Rights of an arrested person: to be informed of grounds of arrest, consult a legal
practitioner, be produced before a magistrate within 24 hours.
* Does not apply to enemy aliens or persons arrested under preventive detention
laws.
* Preventive detention laws: Parliament can make laws for preventive detention;
certain safeguards provided (e.g., maximum period of detention, advisory board).
1. Right against Exploitation (Articles 23-24):
▪ Art 23: Prohibition of traffic in human beings and forced labour
(begar).
▪ Art 24: Prohibition of employment of children in factories, mines, or
other hazardous employments (below 14 years).
2. Right to Freedom of Religion (Articles 25-28):
▪ Art 25: Freedom of conscience and free profession, practice, and
propagation of religion (subject to public order, morality, health).
▪ Art 26: Freedom to manage religious affairs (establish and maintain
institutions, manage own affairs in matters of religion, own and
acquire property).
▪ Art 27: Freedom from payment of taxes for promotion of any
particular religion.
▪ Art 28: Freedom from attending religious instruction or worship in
certain educational institutions.
3. Cultural and Educational Rights (Articles 29-30): (Protection for Minorities)
▪ Art 29: Protection of interests of minorities: Any section of citizens
having a distinct language, script, or culture shall have the right to
conserve the same. No citizen shall be denied admission into any
educational institution maintained by the State or receiving aid out of
State funds on grounds only of religion, race, caste, language or any
of them.
▪ Art 30: Right of minorities (religious or linguistic) to establish and
administer educational institutions of their choice.
4. Right to Constitutional Remedies (Article 32):

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▪ The right to move the Supreme Court for the enforcement of

Fundamental Rights.
▪ Described by Dr. Ambedkar as the "heart and soul" of the Constitution.
▪ The Supreme Court can issue writs:
▪ Habeas Corpus: ("To have the body of") To release a person
unlawfully detained.
▪ Mandamus: ("We command") To order a public official to
perform his official duty.
▪ Prohibition: ("To forbid") To prevent a lower court from
exceeding its jurisdiction.
▪ Certiorari: ("To be certified" or "To be informed") To quash an
order of a lower court or transfer a case.
▪ Quo Warranto: ("By what authority or warrant") To inquire into
the legality of a claim of a person to a public office.
▪ Parliament can empower other courts to issue these writs (but has not
done so). High Courts also have writ jurisdiction under Article 226
(broader than SC's as it can be for FRs and "any other purpose").
• Article 31 (Right to Property): Originally a Fundamental Right.
o Repealed by the 44th Amendment Act, 1978.
o Now a legal/constitutional right under Article 300-A ("No person shall be
deprived of his property save by authority of law.").
• Articles 31A, 31B, 31C: Exceptions to Fundamental Rights, primarily related to
agrarian reforms and nationalization. Art 31B (Ninth Schedule) protects laws placed
in it from judicial review on grounds of FR violation (though SC in I.R. Coelho case
held that even laws in 9th Schedule are subject to judicial review if they violate
basic structure).
II. Directive Principles of State Policy (DPSP) (Part IV, Articles 36-51):
• Source of Inspiration: Irish Constitution.
• Nature:
o Non-justiciable: Not enforceable by courts (Article 37).
o Fundamental in the governance of the country; it shall be the duty of the
State to apply these principles in making laws (Article 37).
o Aim to establish a social and economic democracy – a "welfare state."
o Positive obligations on the State.
o Moral and political sanctions behind them.
• Classification (for understanding, not explicitly in Constitution):
1. Socialist Principles:

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▪ Art 38: Promote welfare of people by securing a social order

permeated by justice – social, economic, political; minimize
inequalities in income, status, facilities, opportunities.
▪ Art 39: Secure: (a) right to adequate means of livelihood; (b)
equitable distribution of material resources for common good; (c)
prevention of concentration of wealth; (d) equal pay for equal work
for men and women; (e) protection of health and strength of workers,
men and women, and children; (f) opportunities for healthy
development of children.
▪ Art 39A: (Added by 42nd Am.) Equal justice and free legal aid to the
poor.
▪ Art 41: Right to work, to education, and to public assistance in cases
of unemployment, old age, sickness, and disablement.
▪ Art 42: Just and humane conditions of work and maternity relief.
▪ Art 43: Living wage, decent standard of life for workers; promotion
of cottage industries.
▪ Art 43A: (Added by 42nd Am.) Participation of workers in
management of industries.
▪ Art 47: Raise level of nutrition and standard of living, improve public
health; prohibition of intoxicating drinks and drugs injurious to health.
2. Gandhian Principles:
▪ Art 40: Organize village panchayats as units of self-government.
▪ Art 43: Promote cottage industries on an individual or co-operative
basis in rural areas.
▪ Art 43B: (Added by 97th Am., 2011) Promotion of co-operative
societies.
▪ Art 46: Promote educational and economic interests of SCs, STs, and
other weaker sections.
▪ Art 47: Prohibit consumption of intoxicating drinks and drugs injurious
to health.
▪ Art 48: Prohibit slaughter of cows, calves, and other milch and
draught cattle; improve their breeds.
3. Liberal-Intellectual Principles:
▪ Art 44: Uniform Civil Code for all citizens.
▪ Current Event: Highly debated. Uttarakhand became the first
state post-independence to pass a UCC bill in 2024. Central
government has also indicated intent.
▪ Art 45: (Original) State to provide early childhood care and education
for all children until they complete the age of six years (modified by
86th Am. to reflect Art 21A).

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▪ Art 48: Organize agriculture and animal husbandry on modern and

scientific lines.
▪ Art 48A: (Added by 42nd Am.) Protect and improve the environment
and safeguard forests and wildlife.
▪ Art 49: Protect monuments, places, and objects of artistic or historic
interest.
▪ Art 50: Separation of judiciary from executive in public services of
the State.
▪ Art 51: Promotion of international peace and security:
▪ Maintain just and honourable relations between nations.
▪ Foster respect for international law and treaty obligations.
▪ Encourage settlement of international disputes by arbitration.
Relationship between Fundamental Rights and DPSP:
• Initially, DPSPs were seen as subordinate to FRs.
• Champakam Dorairajan Case (1951): FRs would prevail over DPSPs in case of
conflict.
• Later, Supreme Court emphasized harmony and balance between them (Minerva
Mills Case, 1980).
• DPSPs are fundamental to governance and FRs are means to achieve the goals in
DPSPs. Both are complementary.
III. Fundamental Duties (Part IV-A, Article 51-A):
• Source of Inspiration: Constitution of former USSR.
• Added by: 42nd Amendment Act, 1976, on the recommendations of the Swaran
Singh Committee.
• Initially 10 duties; 11th duty added by 86th Amendment Act, 2002.
• Nature:
o Non-justiciable (no direct legal enforcement, but can be used by courts to
interpret laws).
o Moral obligations on citizens.
o Confined to citizens only.
• List of Fundamental Duties (Article 51-A): It shall be the duty of every citizen of
India –
o (a) to abide by the Constitution and respect its ideals and institutions, the
National Flag and the National Anthem;
o (b) to cherish and follow the noble ideals which inspired our national struggle
for freedom;

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o (c) to uphold and protect the sovereignty, unity and integrity of India;
o (d) to defend the country and render national service when called upon to do
so;
o (e) to promote harmony and the spirit of common brotherhood amongst all
the people of India transcending religious, linguistic and regional or sectional
diversities; to renounce practices derogatory to the dignity of women;
o (f) to value and preserve the rich heritage of our composite culture;
o (g) to protect and improve the natural environment including forests, lakes,
rivers and wild life, and to have compassion for living creatures;
o (h) to develop the scientific temper, humanism and the spirit of inquiry and
reform;
o (i) to safeguard public property and to abjure violence;
o (j) to strive towards excellence in all spheres of individual and collective
activity so that the nation constantly rises to higher levels of endeavour and
achievement;
o (k) (Added by 86th Am.) who is a parent or guardian to provide opportunities
for education to his child or, as the case may be, ward between the age of
six and fourteen years.

4. Amendment of Constitution: Provisions and Procedure (Article 368)

The Indian Constitution strikes a balance between rigidity (difficult to amend) and flexibility
(easy to amend). Article 368 in Part XX deals with the power of Parliament to amend the
Constitution and the procedure thereof.
I. Power to Amend:
• Parliament has the power to amend any provision of the Constitution, including the
Fundamental Rights.
• However, the Supreme Court in the Kesavananda Bharati Case (1973) ruled that
Parliament cannot amend the "basic structure" or "basic features" of the
Constitution. What constitutes "basic structure" is interpreted by the judiciary on a
case-by-case basis (e.g., supremacy of Constitution, rule of law, judicial review,
federalism, secularism, parliamentary system, free and fair elections, etc.).
II. Procedure for Amendment:
Article 368 provides for three ways of amending the Constitution:
1. Amendment by Simple Majority of Parliament:
o A number of provisions can be amended by a simple majority of the members
present and voting in each House of Parliament (like an ordinary law).
o These amendments are outside the scope of Article 368.
o Examples:

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▪ Admission or establishment of new states (Art 2).

▪ Formation of new states and alteration of areas, boundaries, or names
of existing states (Art 3).
▪ Abolition or creation of legislative councils in states (Art 169).
▪ Second Schedule – emoluments, allowances, privileges.
▪ Quorum in Parliament.
▪ Salaries and allowances of MPs.
▪ Rules of procedure in Parliament.
▪ Privileges of Parliament, its members, and its committees.
▪ Use of English language in Parliament.
▪ Number of puisne judges in the Supreme Court.
▪ Conferment of more jurisdiction on the Supreme Court.
▪ Use of official language.
▪ Citizenship – acquisition and termination.
▪ Elections to Parliament and state legislatures.
▪ Delimitation of constituencies.
▪ Union territories.
▪ Fifth Schedule – administration of scheduled areas and scheduled
tribes.
▪ Sixth Schedule – administration of tribal areas.
2. Amendment by Special Majority of Parliament:
o This is the primary method of amendment under Article 368.
o Requires:
▪ A majority of the total membership of each House (i.e., more than
50% of total seats).
▪ A majority of two-thirds of the members of each House present and
voting.
o Most provisions of the Constitution are amended this way.
o Examples: Fundamental Rights, Directive Principles of State Policy, and all
other provisions not covered by the first and third categories.
3. Amendment by Special Majority of Parliament and Ratification by States:
o Used for provisions related to the federal structure of the polity.
o Requires:
▪ Special majority in each House of Parliament (as above).

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▪ Ratification by the legislatures of not less than one-half of the

states by a simple majority.
o There is no time limit within which states have to give their consent.
o Examples:
▪ Election of the President and its manner (Arts 54, 55).
▪ Extent of the executive power of the Union and the states (Arts 73,
162).
▪ Supreme Court and High Courts (Arts 124-147, 214-231, 241).
▪ Distribution of legislative powers between the Union and the states
(Part XI, Chapter I; Seventh Schedule).
▪ Any of the Lists in the Seventh Schedule.
▪ Representation of states in Parliament (Fourth Schedule).
▪ Power of Parliament to amend the Constitution and its procedure
(Article 368 itself).
III. Steps in the Amendment Process (for Special Majority methods):
1. Introduction of Bill: An amendment bill can be introduced in either House of
Parliament (not in state legislatures).
2. Public or Private Member: The bill can be introduced by a minister or a private
member. Does not require prior permission of the President.
3. Passage in Each House: The bill must be passed in each House by the required
special majority (or special majority + state ratification for federal provisions). Each
House must pass the bill separately; there is no provision for a joint sitting in case
of disagreement.
4. Ratification by States (if applicable): If the bill seeks to amend federal provisions,
it must be ratified by at least half of the state legislatures by a simple majority.
5. Assent of the President: After passage (and ratification, if needed), the bill is
presented to the President for assent.
o The President must give his assent to a Constitution Amendment Bill. He can
neither withhold his assent nor return the bill for reconsideration (this was
made mandatory by the 24th Amendment Act, 1971).
6. Bill becomes an Act: After the President's assent, the bill becomes a Constitution
Amendment Act, and the Constitution stands amended.
IV. Criticism of the Amendment Procedure:
• No provision for a special body like a Constitutional Convention (as in USA) for
amending the Constitution.
• Power is concentrated in Parliament.
• States have a limited role (only in ratification for certain federal provisions; cannot
initiate amendments).

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• No provision for joint sitting to resolve deadlock.

• Ambiguity regarding whether states can withdraw their approval once given.
• Procedure can be complex and time-consuming.

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

UNIT 2: Government: Structures and Functions

1. Indian Parliament: Composition, Powers, and Legislative Procedure
The Parliament is the supreme legislative organ of the Union of India. It occupies a pre-
eminent and central position in the Indian democratic political system due to the adoption
of the parliamentary form of government ('Westminster' model).
I. Composition of Parliament (Article 79): Parliament consists of:
1. The President
2. The Council of States (Rajya Sabha)
3. The House of the People (Lok Sabha)
• The President: Is an integral part of Parliament, though not a member of either
House. Assent is required for a bill to become an act. Summons and prorogues
Houses, dissolves Lok Sabha, addresses Parliament, issues ordinances.
A. Rajya Sabha (Council of States / Upper House):
• Represents: States and Union Territories.
• Composition (Article 80):
o Maximum strength: 250 (238 elected representatives of states and UTs + 12
nominated by the President).
o Current strength: 245 (233 elected + 12 nominated).
o Representatives of States: Elected by the elected members of State
Legislative Assemblies using the system of proportional representation by
means of a single transferable vote. Seats are allocated based on population
(Fourth Schedule).
o Representatives of Union Territories: Indirectly elected by members of an
electoral college specially constituted for this purpose (proportional
representation). Only Delhi, Puducherry, and Jammu & Kashmir have
representation.
o Nominated Members: 12 members nominated by the President from persons
having special knowledge or practical experience in literature, science, art,
and social service.
• Permanent Body: Not subject to dissolution. One-third of its members retire every
two years. Term of a member is 6 years.
• Presiding Officer: Vice-President of India is the ex-officio Chairman. Deputy
Chairman is elected from amongst its members.
B. Lok Sabha (House of the People / Lower House):
• Represents: People of India directly.
• Composition (Article 81):

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o Maximum strength: 552 (530 from states + 20 from UTs + 2 nominated Anglo-
Indians - the provision for Anglo-Indian nomination was abolished by the
104th Amendment Act, 2019).
o Current strength: 543 (elected directly by the people from territorial
constituencies).
o Direct Election: Based on universal adult franchise.
o Territorial Constituencies: Delimited in such a manner that the ratio
between the population of each constituency and the number of seats
allotted to it is, so far as practicable, the same throughout the state.
• Term: Normal term is 5 years from the date of its first meeting after general
elections. Can be dissolved earlier by the President. Term can be extended during a
national emergency (one year at a time).
• Presiding Officer: Speaker and Deputy Speaker, elected from amongst its members.
II. Powers and Functions of Parliament:
1. Legislative Powers:
o Primary function is to make laws for the governance of the country.
o Can legislate on all subjects in the Union List and Concurrent List.
o Can legislate on subjects in the State List under specific circumstances:
▪ When Rajya Sabha passes a resolution (Art 249).
▪ During a National Emergency (Art 250).
▪ When states make a request (Art 252).
▪ To implement international agreements (Art 253).
▪ During President's Rule in a state (Art 356).
o Residuary powers of legislation also vest with Parliament.
o Ordinance-making power of President (Art 123) is subject to parliamentary
approval.
2. Executive Powers (Control over Executive):
o The Council of Ministers is collectively responsible to the Lok Sabha (Art 75).
o Parliament exercises control through:
▪ Question Hour, Zero Hour, Half-an-Hour Discussion, Short Duration
Discussion.
▪ Adjournment Motion, Censure Motion, No-Confidence Motion.
▪ Monetary Controls: Through budgetary approval.
▪ Committees: Parliamentary committees scrutinize government
activities.
3. Financial Powers:

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o Custodian of Public Money: No tax can be levied or collected, and no

expenditure can be incurred by the Executive except under the authority and
with the approval of Parliament.
o Budget (Annual Financial Statement - Art 112): Must be laid before
Parliament.
o Enactment of Finance Bill.
o Demands for Grants are voted by Lok Sabha.
o Parliamentary Committees: Public Accounts Committee, Estimates
Committee, Committee on Public Undertakings examine government
spending and financial propriety.
o Rajya Sabha has limited financial powers (cannot initiate or amend Money
Bills).
4. Constituent Powers:
o Power to amend the Constitution according to the procedure laid down in
Article 368. Both Houses have equal powers in amending the Constitution.
5. Judicial Powers:
o Can impeach the President (Art 61).
o Can remove the Vice-President (Rajya Sabha initiates, Lok Sabha agrees).
o Can recommend removal of judges of Supreme Court and High Courts, Chief
Election Commissioner, CAG.
o Can punish its members or outsiders for breach of its privileges or contempt.
6. Electoral Powers:
o Participates in the election of the President (elected members of both
Houses).
o Participates in the election of the Vice-President (all members of both
Houses).
o Lok Sabha elects its Speaker and Deputy Speaker; Rajya Sabha elects its
Deputy Chairman.
7. Other Powers:
o Approves proclamations of all three types of emergencies.
o Can create or abolish State Legislative Councils (on recommendation of State
Assembly).
o Alters areas, boundaries, or names of states.
o Serves as an organ of information (government policies announced).
o Forum for deliberation and discussion on national and international issues.
III. Legislative Procedure:

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A bill goes through the following stages in each House before becoming an Act:
1. Introduction of Bill (First Reading):
o Can be introduced in either House (except Money Bills, which can only be
introduced in Lok Sabha).
o Introduced by a Minister (Public Bill) or a private member (Private Member's
Bill).
o Member asks for leave to introduce; title and objectives are read. No debate.
Bill is published in Gazette.
2. Second Reading (Most crucial stage): Involves three sub-stages:
o Stage of General Discussion: Principles of the bill and its provisions are
discussed generally. Bill may be:
▪ Taken into consideration immediately.
▪ Referred to a Select Committee of the House.
▪ Referred to a Joint Committee of both Houses.
▪ Circulated for eliciting public opinion.
o Committee Stage: If referred to a committee, the committee examines the
bill clause by clause, amends it if necessary, and submits a report to the
House.
o Consideration Stage: The House considers the bill clause by clause as
reported by the committee. Each clause is discussed and voted upon.
Amendments can be moved.
3. Third Reading:
o Debate is confined to arguments either in support or rejection of the bill as
a whole.
o No amendments are allowed.
o If the majority of members present and voting accept the bill, it is passed by
that House.
4. Bill in the Second House:
o The bill goes through all three stages again in the other House.
o The second House may:
▪ Pass the bill as sent by the first House.
▪ Pass the bill with amendments and return it to the first House.
▪ Reject the bill altogether.
▪ Take no action (bill pending for more than 6 months).
5. Joint Sitting (Article 108):

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o If there is a deadlock between the two Houses on an ordinary bill (not Money
Bill or Constitution Amendment Bill), the President can summon a joint
sitting.
o Presided over by the Speaker of Lok Sabha.
o Decisions are taken by a simple majority of total members of both Houses
present and voting. (Lok Sabha usually has an advantage due to its larger
size).
6. Assent of the President (Article 111):
o After being passed by both Houses (or at a joint sitting), the bill is presented
to the President for assent.
o The President has three options:
▪ Give assent (bill becomes an Act).
▪ Withhold assent (Absolute Veto - rarely used for ordinary bills,
applicable to private member bills).
▪ Return the bill for reconsideration (Suspensive Veto - if passed again
by Houses with or without amendments, President must give assent).
This is not applicable to Money Bills.
o Pocket Veto: President can simply keep the bill pending without any time
limit (e.g., President Zail Singh with Indian Post Office (Amendment) Bill,
1986).
7. Money Bills (Article 110):
o Special procedure. Can only be introduced in Lok Sabha, and only on the
recommendation of the President.
o Speaker of Lok Sabha certifies if a bill is a Money Bill.
o Rajya Sabha has limited powers: can only discuss and make recommendations
(which Lok Sabha may or may not accept) within 14 days. If no action within
14 days, bill is deemed passed.
o President can either give assent or withhold assent, but cannot return it for
reconsideration.
8. Constitution Amendment Bills (Article 368):
o Special majority required in both Houses separately. No provision for joint
sitting.
o President must give assent.

2. President: Powers, Position, and Role

The President is the Head of the Indian State, the first citizen, and a symbol of unity,
integrity, and solidarity of the nation.
I. Election (Articles 54 & 55):

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• Elected not directly by the people but by members of an electoral college consisting
of:
o Elected members of both Houses of Parliament.
o Elected members of the Legislative Assemblies of the states.
o Elected members of the Legislative Assemblies of Union Territories of Delhi
and Puducherry (added by 70th Amendment Act, 1992).
• Election is held in accordance with the system of proportional representation by
means of the single transferable vote, and voting is by secret ballot. Ensures
representation for states.
• Value of vote of an MLA and MP is calculated to ensure uniformity and parity.
II. Qualifications (Article 58): Citizen of India, 35 years of age, qualified for election as a
member of Lok Sabha, must not hold any office of profit.
III. Term (Article 56): 5 years. Can be re-elected. Can resign by writing to Vice-President.
IV. Impeachment (Article 61):
• For "violation of the Constitution."
• Initiated by either House of Parliament.
• Charges must be signed by at least one-fourth members of the House and a 14-day
notice given to President.
• Passed by a majority of two-thirds of the total membership of that House.
• Then sent to the other House, which investigates. President has right to appear and
be represented.
• If other House also sustains charges by a two-thirds majority of its total membership,
President stands removed.
• Quasi-judicial procedure. No President has been impeached so far.
V. Powers and Functions:
1. Executive Powers:
o All executive actions of GoI are formally taken in his name (Art 77).
o Appoints Prime Minister and other ministers (who hold office during his
pleasure).
o Appoints Attorney General, CAG, Chief Election Commissioner & other
Election Commissioners, Chairman & members of UPSC, Governors of states,
Chairman & members of Finance Commission, etc.
o Can seek information from PM regarding administration and legislative
proposals (Art 78).
o Can require PM to submit for consideration of Council of Ministers any matter
on which a decision has been taken by a minister but not considered by the
council.

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o Administers Union Territories through administrators.

o Can declare any area as scheduled area and has powers with respect to
administration of scheduled areas and tribal areas.
2. Legislative Powers:
o Integral part of Parliament.
o Summons and prorogues both Houses, dissolves Lok Sabha.
o Addresses Parliament at commencement of first session after each general
election and first session of each year (President's Address).
o Sends messages to Houses regarding pending bills or other matters.
o Appoints Speaker pro-tem of Lok Sabha.
o Nominates 12 members to Rajya Sabha and (formerly) 2 Anglo-Indians to Lok
Sabha.
o His prior recommendation or permission is needed to introduce certain bills
(e.g., Money Bills, bills involving expenditure from CFI, bills altering
boundaries of states).
o Gives assent to bills (Art 111).
o Ordinance-making power (Article 123): Can promulgate ordinances when
Parliament is not in session if satisfied that circumstances exist requiring
immediate action. These have the same force as an Act but must be approved
by Parliament within six weeks of its reassembly. Max life: 6 months and 6
weeks.
o Lays reports of CAG, UPSC, Finance Commission, etc., before Parliament.
3. Financial Powers:
o Money Bills can be introduced only with his prior recommendation.
o Causes Union Budget to be laid before Parliament.
o No demand for a grant can be made except on his recommendation.
o Can make advances out of the Contingency Fund of India.
o Constitutes a Finance Commission every five years.
4. Judicial Powers:
o Appoints Chief Justice and judges of Supreme Court and High Courts.
o Can seek advice from Supreme Court on any question of law or fact (Art 143
- advisory jurisdiction), but advice is not binding.
o Pardoning Power (Article 72): Can grant pardon, reprieve, respite, remission
of punishment, or suspend, remit, or commute the sentence of any person
convicted of an offense:
▪ In all cases where punishment is by a Court Martial.

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▪ In all cases where punishment is for an offense against a Union law.

▪ In all cases of death sentence.
▪ Exercised on advice of Council of Ministers.
5. Diplomatic Powers:
o International treaties and agreements are negotiated and concluded in his
name (subject to parliamentary approval).
o Represents India in international forums.
o Appoints and receives diplomats.
6. Military Powers:
o Supreme commander of the defense forces of India.
o Appoints Chiefs of Army, Navy, Air Force.
o Can declare war or conclude peace (subject to parliamentary approval).
7. Emergency Powers:
o National Emergency (Article 352): On grounds of war, external aggression,
or armed rebellion.
o President's Rule (Article 356): State emergency on grounds of failure of
constitutional machinery in states.
o Financial Emergency (Article 360): If financial stability or credit of India is
threatened.
VI. Position and Role:
• Nominal/Titular Executive: The President is the constitutional head, but the real
executive power is vested in the Council of Ministers headed by the Prime Minister.
• Bound by Aid and Advice of Council of Ministers:
o Article 74(1): "There shall be a Council of Ministers with the Prime Minister at
the head to aid and advise the President who shall, in the exercise of his
functions, act in accordance with such advice."
o The 42nd Amendment (1976) made this advice binding.
o The 44th Amendment (1978) allowed the President to return the advice once
for reconsideration, but if reconsidered advice is tendered, President must
act upon it.
• Discretionary Powers (Situational Discretion):
o Appointment of PM when no party has a clear majority in Lok Sabha or when
incumbent PM dies suddenly.
o Dismissal of Council of Ministers if it cannot prove confidence of Lok Sabha.
o Dissolution of Lok Sabha if Council of Ministers has lost its majority.
o Using suspensive veto.

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o Seeking information from PM (Art 78).

• Symbol of the Nation: Represents the unity and integrity of India.
• Guardian of the Constitution (Indirectly): Though the judiciary is the ultimate
interpreter, the President takes an oath to "preserve, protect and defend the
Constitution and the law."
• Role as a "Guide, Philosopher, and Friend" to the Council of Ministers: Can advise,
encourage, and warn the government in private.
Current Context: The President's role remains largely ceremonial but gains significance
during periods of political instability or when exercising situational discretion. Recent
Presidents have maintained the dignity and non-partisan nature of the office.

3. Prime Minister and Council of Ministers: Powers, Position, and Role

The Prime Minister (PM) and the Council of Ministers (CoM) form the real executive in India's
parliamentary system.
I. Appointment:
• Prime Minister (Article 75): Appointed by the President. By convention, the
President appoints the leader of the majority party (or coalition) in the Lok Sabha as
PM. If no party has clear majority, President uses discretion.
• Council of Ministers (Article 75): Appointed by the President on the advice of the
PM. Ministers are usually members of Parliament (if not, must become one within 6
months).
• Ministers hold office during the pleasure of the President (which effectively means
pleasure of the PM as long as CoM enjoys confidence of Lok Sabha).
II. Composition of Council of Ministers:
Consists of three categories of ministers:
1. Cabinet Ministers: Head important ministries, members of the Cabinet (core policy-
making body), attend Cabinet meetings.
2. Ministers of State (MoS):
o Can be given independent charge of ministries/departments.
o Can be attached to Cabinet Ministers to assist them.
o Not members of Cabinet, attend Cabinet meetings only if invited.
3. Deputy Ministers: Attached to Cabinet Ministers or MoS to assist in administrative,
political, and parliamentary duties. Not given independent charge.
• Cabinet: A smaller body within the CoM, the nucleus of power, chief policy-
formulating body. Word "Cabinet" was inserted in Art 352 by 44th Amendment.
• Size of CoM (91st Amendment Act, 2003): Total number of ministers, including PM,
in the CoM shall not exceed 15% of the total strength of the Lok Sabha.
III. Powers and Functions of the Prime Minister:

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The PM is the "keystone of the cabinet arch" (Lord Morley), "primus inter pares" (first among
equals) but in reality, much more powerful.
1. In Relation to Council of Ministers:
o Recommends persons for appointment as ministers to the President.
o Allocates and reshuffles portfolios among ministers.
o Can ask a minister to resign or advise President to dismiss him.
o Presides over meetings of CoM and influences its decisions.
o Guides, directs, controls, and coordinates activities of all ministers.
o His resignation or death automatically dissolves the CoM.
2. In Relation to the President:
o Principal channel of communication between President and CoM (Art 78).
o Advises President on appointments of important officials (AG, CAG, UPSC
Chairman, etc.).
o Advises President to summon and prorogue sessions of Parliament.
o Can recommend dissolution of Lok Sabha to President.
3. In Relation to Parliament:
o Leader of the Lower House (usually).
o Announces government policies on the floor of the House.
o Intervenes in debates on important issues.
4. Other Powers and Functions:
o Chairman of NITI Aayog, National Development Council (NDC - now largely
defunct), National Integration Council, Inter-State Council, National Water
Resources Council.
o Plays a significant role in shaping foreign policy.
o Chief spokesperson of the Union government.
o Crisis manager-in-chief during emergencies.
o Leader of the party in power.
o Political head of the services.
IV. Powers and Functions of the Council of Ministers:
• Real Executive Authority: Exercises all executive powers of the Union government.
• Policy Formulation: Formulates domestic and foreign policies.
• Implementation of Laws and Policies: Supervises and coordinates the
implementation of laws passed by Parliament and policies formulated by the
Cabinet.

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• Financial Management: Prepares and enacts the budget.

• Appointments: Advises President on major appointments.
• Legislative Functions: Introduces bills, participates in parliamentary debates.
• Coordination: Coordinates functioning of various ministries and departments.
V. Key Principles Governing CoM:
1. Collective Responsibility (Article 75(3)):
o The CoM is collectively responsible to the Lok Sabha. They swim and sink
together.
o If a no-confidence motion is passed against the government, the entire CoM
must resign.
o Cabinet decisions bind all ministers, even if they differed in Cabinet meeting.
2. Individual Responsibility (Article 75(2)):
o Ministers hold office during the pleasure of the President (meaning PM).
o PM can ask a minister to resign if dissatisfied with performance or if minister
differs with government policy.
3. Legal Responsibility (No provision in India): Unlike Britain, there's no requirement
for an official act of a minister to be countersigned by the President. Courts cannot
inquire into the advice tendered by ministers to the President (Art 74(2)).
VI. Role and Position:
• The PM and CoM are the locus of real executive power in India.
• The PM's position is paramount, especially in a majority government. Power can vary
depending on personality, party position, and coalition dynamics.
• The Cabinet system ensures collective decision-making, but the PM's leadership is
crucial.
Current Context: The PMO has become a very powerful institution. The nature of coalition
politics (when applicable) can influence the PM's dominance.

4. Supreme Court of India: Functions, Jurisdictions, and Judicial Activism

The Supreme Court of India is the apex court in the Indian judicial system, the ultimate
interpreter of the Constitution, and the guardian of Fundamental Rights.
I. Composition (Article 124):
• Consists of the Chief Justice of India (CJI) and not more than 33 other judges (current
sanctioned strength is 34 including CJI).
• Appointment of Judges:
o Appointed by the President.

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o CJI: Appointed by President after consultation with such judges of SC and

High Courts as he deems necessary. By convention, the senior-most judge of
SC is appointed CJI.
o Other Judges: Appointed by President after consultation with CJI and other
judges.
o Collegium System: (Evolved through Three Judges Cases - 1981, 1993, 1998)
The CJI must consult a collegium of the four senior-most judges of SC for
appointments of SC judges (and two senior-most for HC judges). The
government generally accepts collegium recommendations. The National
Judicial Appointments Commission (NJAC) Act, which sought to replace the
collegium, was struck down by SC as unconstitutional in 2015 (Fourth Judges
Case).
• Qualifications: Citizen of India, and (a) judge of a High Court for 5 years; or (b)
advocate of a High Court for 10 years; or (c) distinguished jurist in opinion of
President.
• Tenure: Hold office until they attain the age of 65 years.
• Removal: Can be removed by President on grounds of "proved misbehaviour or
incapacity" by an order passed after an address by each House of Parliament
supported by a special majority (majority of total membership and majority of not
less than two-thirds of members present and voting). A quasi-judicial process.
II. Independence of Supreme Court:
Ensured by: Mode of appointment, security of tenure, fixed service conditions, expenses
charged on Consolidated Fund of India, conduct of judges cannot be discussed in Parliament
(except on impeachment motion), power to punish for its contempt, separation from
executive, ban on practice after retirement.
III. Functions:
• Guardian of the Constitution.
• Interpreter of the Constitution.
• Protector of Fundamental Rights.
• Dispenser of justice.
• Maintains federal equilibrium.
IV. Jurisdictions:
1. Original Jurisdiction (Article 131):
o Exclusive jurisdiction in disputes:
▪ Between Government of India and one or more States.
▪ Between Government of India and any State(s) on one side and one or
more other States on the other.
▪ Between two or more States.

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o Does not extend to disputes arising out of pre-Constitution treaties,

agreements, etc., or inter-state water disputes.
2. Writ Jurisdiction (Article 32):
o Power to issue writs (Habeas Corpus, Mandamus, Prohibition, Certiorari, Quo
Warranto) for enforcement of Fundamental Rights. This is also an original
jurisdiction but specifically for FRs.
3. Appellate Jurisdiction: Hears appeals against judgments of lower courts.
o Appeals in Constitutional Matters (Article 132): If High Court certifies that
the case involves a substantial question of law as to the interpretation of the
Constitution.
o Appeals in Civil Matters (Article 133): If High Court certifies that the case
involves a substantial question of law of general importance and the question
needs to be decided by SC.
o Appeals in Criminal Matters (Article 134):
▪ If High Court has reversed an order of acquittal and sentenced accused
to death.
▪ If High Court has withdrawn a case from subordinate court, tried it
itself, and sentenced accused to death.
▪ If High Court certifies that the case is fit for appeal to SC.
o Appeal by Special Leave (Article 136): SC can grant special leave to appeal
from any judgment, decree, determination, sentence, or order in any cause
or matter passed by any court or tribunal in India (except military tribunals).
A discretionary power.
4. Advisory Jurisdiction (Article 143):
o President can seek opinion of SC on any question of law or fact of public
importance, or on any dispute arising out of pre-Constitution treaty,
agreement, etc.
o Opinion is not binding on the President.
5. A Court of Record (Article 129):
o Judgments, proceedings, and acts are recorded for perpetual memory and
testimony.
o Has power to punish for contempt of court.
6. Power of Judicial Review (Implicit in Articles 13, 32, 131-136, 143, 226):
o Power to examine the constitutionality of legislative enactments and
executive orders of both Central and State governments.
o If found violative of Constitution, they can be declared illegal,
unconstitutional, and invalid (null and void).
o Scope is limited compared to US (due to "procedure established by law" vs
"due process of law," though SC has expanded its interpretation).

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7. Other Powers:
o Decide disputes regarding election of President and Vice-President (original,
exclusive, final).
o Enquire into conduct and behavior of Chairman/members of UPSC on
reference by President.
o Power to review its own judgment or order (Art 137).
o Its law is binding on all courts in India (Art 141).
V. Judicial Activism:
• Meaning: Proactive role played by the judiciary in protecting the rights of citizens
and promoting justice in society. It implies the assertive role played by the judiciary
to force the other organs of government (legislature and executive) to discharge
their constitutional duties.
• Manifestations/Tools:
o Public Interest Litigation (PIL) or Social Action Litigation (SAL): Allowing
any public-spirited citizen or social organization to approach the court on
behalf of victims of rights violations. Relaxation of traditional rule of 'locus
standi'.
o Liberal interpretation of Fundamental Rights (especially Article 21 - right to
life and personal liberty expanded).
o Monitoring implementation of its own orders.
o Giving directions to executive agencies.
o Innovating new rights (e.g., right to privacy).
• Pioneers: Justice V.R. Krishna Iyer, Justice P.N. Bhagwati, Justice O. Chinnappa
Reddy.
• Reasons for Growth:
o Failure of executive and legislature to perform their functions effectively.
o Public disillusionment with other organs.
o Proactive and public-spirited judges.
o Flexibility of locus standi.
• Positive Aspects:
o Made justice more accessible to the poor and marginalized.
o Upheld rule of law and constitutionalism.
o Held executive accountable.
o Filled legislative vacuum in some areas (e.g., Vishakha guidelines on sexual
harassment).
o Protected environment and human rights.

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• Negative Aspects/Criticisms (Judicial Overreach/Adventurism):

o Violates the principle of separation of powers.
o Judiciary entering into policy domain, which is an executive/legislative
function.
o Lack of expertise in complex socio-economic or administrative matters.
o Risk of becoming a "super-legislature" or "super-executive."
o Can lead to judicial tyranny or populism.
o Increases burden on courts.
• Judicial Restraint: A counter-philosophy emphasizing that judges should limit the
exercise of their own power and defer to the legislative and executive branches.
• Current Trend: The Supreme Court continues to engage in judicial activism,
particularly on issues of human rights, environmental protection, and good
governance. However, there are also debates about the appropriate limits of judicial
intervention. Recent examples include interventions in environmental cases,
electoral reforms, and issues of personal liberty.

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UNIT 3: Political Processes

1. Electoral System & Electoral Reforms: Election Commission Composition, Powers, and
Role
I. Electoral System in India:
India has adopted the First-Past-the-Post (FPTP) system (also known as Plurality System or
Simple Majority System) for elections to the Lok Sabha and State Legislative Assemblies.
• FPTP System:
o Country is divided into single-member territorial constituencies.
o Each voter casts one vote for one candidate.
o The candidate who secures the highest number of votes in a constituency is
declared elected, even if they do not get an absolute majority (more than
50%) of the total votes polled.
• Advantages of FPTP:
o Simple to understand for voters.
o Easy to administer.
o Tends to produce strong, stable (often single-party majority) governments.
o Clear link between representative and constituency.
• Disadvantages of FPTP:
o Can lead to disproportionate results (party's seat share not matching its vote
share).
o Many "wasted votes" (votes for losing candidates or surplus votes for winners
have no effect).
o Under-represents smaller parties and minorities.
o Can encourage tactical voting and focus on "winnability" rather than ideology.
• Proportional Representation (PR) System: Used for elections to Rajya Sabha,
President, and Vice-President. Aims to allocate seats in proportion to votes polled.
II. Election Commission of India (ECI) (Article 324):
The ECI is an independent, autonomous constitutional authority responsible for
administering election processes in India.
• Composition (Article 324(2)):
o Consists of the Chief Election Commissioner (CEC) and such number of other
Election Commissioners (ECs), if any, as the President may from time to time
fix.
o Currently, it is a multi-member body consisting of one CEC and two ECs.
(Made multi-member in 1989, reverted to single-member, then multi-member
again since 1993).

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o Appointment:
▪ The CEC and ECs are appointed by the President.
▪ Current Event/Recent Development: The Parliament passed the
Chief Election Commissioner and other Election Commissioners
(Appointment, Conditions of Service and Term of Office) Act, 2023.
This Act provides for the appointment of CEC and ECs by the President
on the recommendation of a Selection Committee consisting of:
1. The Prime Minister (Chairperson)
2. The Leader of Opposition in the Lok Sabha
3. A Union Cabinet Minister nominated by the Prime Minister.
▪ This new law has been controversial as it replaced a system where the
CJI was part of a selection panel suggested by a Supreme Court
judgment (Anoop Baranwal vs Union of India, 2023). The previous SC-
suggested panel included PM, LoP, and CJI.
• Tenure and Conditions of Service:
o Term of office: 6 years or until they attain the age of 65 years, whichever is
earlier.
o Enjoy the same status and receive salary and perquisites as available to
Judges of the Supreme Court.
• Security of Tenure:
o CEC can be removed from office only in the same manner and on the same
grounds as a Judge of the Supreme Court (i.e., impeachment by Parliament).
o Other ECs can be removed by the President on the recommendation of the
CEC. This difference in removal procedure has been a point of debate.
• Independence: Ensured by security of tenure, fixed service conditions, expenses
charged on Consolidated Fund of India (for ECI as a whole, not individual salaries
which are specified).
• Powers and Functions (Article 324(1) - "Superintendence, direction and control
of elections"):
1. Delimitation of Constituencies: Determine territorial areas of electoral
constituencies (based on Delimitation Commission Act).
2. Preparation and Revision of Electoral Rolls: Prepare and periodically revise
electoral rolls and register all eligible voters.
3. Notification of Election Schedules: Notify dates and schedules of elections.
4. Recognition of Political Parties and Allotment of Symbols: Grant recognition to
national and state parties and allot election symbols to them.
5. Model Code of Conduct (MCC): Issues MCC for guidance of political parties and
candidates during elections to ensure free and fair polls. Though not legally enforceable,
ECI uses moral authority and sometimes legal provisions to enforce it.

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6. Scrutiny of Nomination Papers.

7. Conduct of Polls: Supervises the entire machinery for conducting elections.
8. Counting of Votes and Declaration of Results.
9. Advisory Jurisdiction: Advises President on disqualification of MPs and Governor on
disqualification of MLAs.
10. Quasi-Judicial Functions: Settles disputes relating to recognition of political parties
and allotment of symbols.
11. Cancelling Polls: Can cancel polls in case of rigging, booth capturing, violence, or
other irregularities.
12. Supervision of Election Machinery: Has power to supervise and control election
staff.
13. Voter Education: Undertakes campaigns for voter awareness and participation.
• Role: Crucial for upholding the democratic process by ensuring free, fair, and
transparent elections. Has earned credibility over the years for its impartial conduct.
III. Electoral Reforms:
Continuous process to improve the electoral system and make it more representative, fair,
and efficient.
• Key Committees on Electoral Reforms:
o Tarkunde Committee (1975)
o Dinesh Goswami Committee (1990)
o Vohra Committee Report (1993) - on criminalization of politics
o Indrajit Gupta Committee on State Funding of Elections (1998)
o Law Commission Reports (e.g., 170th Report on Reform of Electoral Laws,
1999; 255th Report on Electoral Reforms, 2015)
o Tankha Committee (2010)
• Major Reforms Undertaken:
1. Lowering of Voting Age: From 21 to 18 years (61st Amendment Act, 1988).
2. Introduction of Electronic Voting Machines (EVMs): To prevent booth capturing and
invalid votes. Used universally since 2004 Lok Sabha elections.
3. Voter Verifiable Paper Audit Trail (VVPAT): (Introduced following SC directives)
Provides a paper slip for voters to verify their vote. Used in all constituencies since 2019
Lok Sabha elections.
4. NOTA (None Of The Above) Option: Introduced in 2013 on EVMs.
5. Disclosure of Assets and Criminal Antecedents: Candidates required to file
affidavits declaring their assets, liabilities, educational qualifications, and criminal records
(if any).

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6. Strengthening Anti-Defection Law (though still debated for effectiveness).

7. Ceiling on Election Expenditure: For candidates.
8. Restriction on Exit Polls and Opinion Polls: During specified periods.
9. Registration of Political Parties (Representation of the People Act, 1951).
10. Photo Identity Cards for Voters (EPIC).
• Proposed/Pending Reforms:
1. Decriminalization of Politics: Barring candidates with serious criminal charges from
contesting.
2. State Funding of Elections: To curb use of black money.
3. Regulation of Political Parties: Internal democracy, financial transparency.
4. Changes to FPTP System: Debates on introducing elements of Proportional
Representation or a mixed system.
5. Stronger Action against Paid News and Hate Speech.
6. Simultaneous Elections ("One Nation, One Election"):
▪ Current Event: A high-level committee headed by former President
Ram Nath Kovind submitted its report in March 2024, recommending
simultaneous elections for Lok Sabha, State Assemblies, and local
bodies. This is a highly debated proposal with arguments for cost
saving and policy continuity, and against it due to concerns about
federalism, voter behavior, and logistical challenges.
7. Remote Voting for Migrants.

2. Party System in India: One Party Dominant System, Multiparty, and Re-emergence of
One Party Dominant System
I. Meaning of Party System: Refers to the set of interacting political parties, their number,
relative strengths, ideological positions, and the nature of their competition.
II. Phases of Party System in India:
1. One-Party Dominant System (Congress System) (Roughly 1947-1967/1977):
o Characterized by: Dominance of the Indian National Congress (INC) at both
Centre and most states.
o Reasons for Congress Dominance:
▪ Legacy of the freedom struggle.
▪ Charismatic leadership (Nehru).
▪ Nationwide organizational network.
▪ Catch-all party, accommodating diverse interests ("Congress as a
platform" - Rajni Kothari).

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▪ Weak and fragmented opposition.

o Nature of Dominance: Not authoritarian, but democratic. Elections were
free and fair. Opposition parties existed and functioned. Rajni Kothari called
it a "one-party dominant system" or "Congress System" where Congress
operated as both the ruling party and, internally, as an opposition (due to
factions).
o Decline of Dominance: Began in 1967 elections when Congress lost power in
several states. Further eroded with the 1977 post-Emergency defeat.
2. Transition to Multiparty System and Coalition Era (Roughly 1977/1989 - 2014):
o Brief Interlude of Janata Party Rule (1977-1979): First non-Congress
government at the Centre, a coalition.
o Congress Return (1980-1989): Congress returned to power but its
dominance was challenged.
o Emergence of Multiparty System (Post-1989):
▪ No single party secured a clear majority in Lok Sabha for several
elections.
▪ Rise of regional parties and their increasing influence in national
politics.
▪ Formation of coalition governments at the Centre became the norm
(e.g., National Front, United Front, NDA-I, UPA-I & II).
▪ Increased political fragmentation.
▪ Ideological lines blurred as parties formed opportunistic alliances.
▪ Greater federal character of politics with states gaining more
bargaining power.
3. Re-emergence of One-Party Dominant System (BJP Dominance) (2014 onwards):
o Rise of Bharatiya Janata Party (BJP):
▪ BJP secured a clear majority on its own in the 2014 Lok Sabha
elections, forming the NDA government.
▪ Repeated this performance with an even larger majority in 2019.
o Nature of Dominance:
▪ BJP as the central pole of Indian politics.
▪ Weakened and fragmented opposition, particularly the Congress.
▪ Dominance at the Centre and in a large number of states.
▪ Strong, decisive leadership (Narendra Modi).
▪ Ideological coherence (Hindutva, nationalism, development).
▪ Effective organizational machinery and communication strategy.

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o Debate on "New Congress System" or "BJP System": Political scientists

debate whether this marks a new era of one-party dominance similar to the
earlier Congress system, or if it's a different phenomenon.
o Challenges for Opposition: Lack of a united front, leadership crisis,
ideological ambiguity.
o Current Event: The 2024 Lok Sabha elections are crucial to see if this trend
of BJP dominance continues with the same intensity or if there's a shift in the
party system dynamics. The results (BJP won largest number of seats but fell
short of a majority on its own, forming NDA-III coalition) indicate a potential
shift towards a more competitive multi-party system again, or at least a less
dominant BJP-led phase. The performance of the INDIA alliance (opposition
bloc) suggests a strengthening of the opposition.
III. Characteristics of Indian Party System (General):
• Multi-party system (even during dominant phases, other parties exist).
• Ideological diversity (though often pragmatic).
• Role of regional parties.
• Factionalism within parties.
• Personality-centric politics.
• Impact of caste, religion, and language on party support.
• Defections (though somewhat curbed by anti-defection law).

3. Coalition Politics: Nature and Trends

Coalition politics refers to a system where two or more political parties join together to
form a government because no single party has secured an absolute majority of seats in the
legislature.
I. Nature of Coalition Politics in India:
• Evolution:
o State Level: Coalitions started emerging in states from 1967 onwards.
o National Level: Became a regular feature from 1989 to 2014.
o Current Event: Post-2024 Lok Sabha elections, India has returned to an era
of coalition government at the Centre with NDA-III, where BJP relies on allies.
• Types of Coalitions:
o Pre-poll Alliances: Parties contest elections together with a common
understanding.
o Post-poll Alliances: Parties come together after election results to form a
government.
• Key Features:

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o Common Minimum Program (CMP): A document outlining the agreed-upon

policies and agenda of the coalition partners.
o Coordination Committees: Set up to ensure smooth functioning and resolve
differences among partners.
o Bargaining and Compromise: Policy-making often involves intense
negotiation and give-and-take.
o Role of Small/Regional Parties: Can gain disproportionate influence as
"kingmakers."
o Instability (Historically): Early coalitions were often unstable and short-
lived. Later coalitions (e.g., NDA-I, UPA-I & II) completed full terms, showing
maturation.
o Impact on Governance: Can lead to policy paralysis or delays if partners have
conflicting interests. Can also lead to more consensual and inclusive
governance.
II. Trends in Coalition Politics:
1. Shift from Single-Party Dominance: The rise of coalition politics marked the end of
the Congress party's long period of dominance.
2. Nationalization of Regional Parties: Regional parties started playing a significant
role in national government formation.
3. Federalization of the Party System: Coalition governments often gave more voice
and importance to state-level concerns.
4. Increased Political Instability (Initially): The period from 1989 to 1999 saw several
short-lived governments.
5. Maturation of Coalition Dharma:
o Later coalitions like NDA-I (Vajpayee) and UPA-I & II (Manmohan Singh)
demonstrated greater stability and an ability to manage diverse partners.
o Development of mechanisms like CMPs and coordination committees.
6. Ideological Flexibility/Opportunism: Parties with diverse ideologies sometimes
formed alliances for power.
7. Impact on Policy-Making:
o Can lead to dilution of a party's core agenda.
o Ensures wider consultation but can also cause delays.
o Focus on consensus-building.
8. President's Role Enhanced: During formation of coalition governments, especially
with fractured mandates, the President's discretion in inviting a leader to form the
government becomes crucial.
9. Return to Single-Party Majority (2014 & 2019 - an interruption?): BJP's majority
wins in 2014 and 2019 temporarily reduced the salience of coalition politics at the
Centre, though BJP itself led the NDA coalition.

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10. Re-emergence of Coalition Dynamics (Post-2024):

o Current Event: The 2024 general election results, where BJP did not secure
a majority on its own and relies on NDA allies like TDP and JD(U) to form the
government, signifies a return to a more typical coalition dynamic. This will
likely involve more bargaining, consultation with allies, and a potential shift
in policy emphasis.

4. Ideology, Support Base, and Electoral Performance of National Parties: INC, BJP, and
Communist Parties
A. Indian National Congress (INC):
• Ideology:
o Historically: Secularism, nationalism, social justice, democratic socialism,
mixed economy, non-alignment.
o Post-1991: Shift towards economic liberalism, while retaining commitment to
social welfare and secularism.
o Core values: Inclusiveness, pluralism, welfare of weaker sections.
• Support Base:
o Historically: A "catch-all" party with broad support across regions, castes,
religions, and classes. Strong support from minorities (especially Muslims),
Dalits, Adivasis, and upper castes in certain periods.
o Recent Trends: Erosion of traditional vote banks. Facing challenges in
retaining support from various social groups. Stronger in some Southern states
and parts of the Northeast.
• Electoral Performance:
o Dominant party for several decades post-independence.
o Significant decline since the late 1980s, with brief revivals.
o Led UPA coalition governments (2004-2014).
o Worst-ever performances in 2014 (44 seats) and 2019 (52 seats) Lok Sabha
elections.
o Current Event: In the 2024 Lok Sabha elections, Congress showed signs of
revival, improving its seat tally significantly (99 seats) and emerging as the
main opposition party. This performance is crucial for its future trajectory.
B. Bharatiya Janata Party (BJP):
• Ideology:
o Core: Hindutva (Hindu cultural nationalism), nationalism, integral humanism
(philosophy of Deendayal Upadhyaya).
o Emphasis on strong national security, cultural conservatism.

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o Economic policy: Generally pro-market, economic nationalism, focus on

development ("Sabka Saath, Sabka Vikas, Sabka Vishwas, Sabka Prayas").
o Key issues: Ram Mandir in Ayodhya, abrogation of Article 370, Uniform Civil
Code.
• Support Base:
o Traditionally: Urban middle class, traders, upper castes.
o Expansion: Successfully expanded its base among OBCs, Dalits (non-Jatavs),
Adivasis, and women in recent years. Strong support in Hindi heartland and
western India. Making inroads in eastern and southern India.
• Electoral Performance:
o Rose to prominence in the late 1980s and 1990s (Ram Janmabhoomi
movement).
o Led NDA coalition government (1998-2004).
o Secured absolute majority on its own in 2014 (282 seats) and 2019 (303 seats)
Lok Sabha elections under PM Modi's leadership.
o Current Event: In the 2024 Lok Sabha elections, BJP emerged as the single
largest party (240 seats) but fell short of a majority on its own. It formed the
NDA-III coalition government. This indicates a slight decline in its seat share
compared to 2019 but still maintains a dominant position.
C. Communist Parties in India:
(Mainly Communist Party of India - CPI, and Communist Party of India (Marxist) - CPI(M))
• Ideology:
o Marxism-Leninism (with variations).
o Focus on class struggle, rights of workers and peasants, anti-imperialism,
secularism.
o Advocate for state intervention in economy, land reforms, social justice.
o CPI(M) generally considered more ideologically rigid than CPI in its early days,
though both have adapted to parliamentary politics.
• Support Base:
o Historically: Strongholds in West Bengal, Kerala, Tripura. Support from
industrial workers, agricultural laborers, peasants, intellectuals, students.
o Recent Trends: Significant decline in West Bengal and Tripura. Kerala remains
a stronghold for CPI(M)-led LDF. Limited presence in other states.
• Electoral Performance:
o Played a significant role in Indian politics, especially in their strongholds.
Formed state governments.
o CPI(M) was the leading partner in Left Front governments in West Bengal (for
34 years) and Tripura.

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o Provided outside support to some coalition governments at the Centre (e.g.,

United Front, UPA-I).
o Dramatic decline in national presence and seat share in Lok Sabha in recent
elections.
o Current Event: In the 2024 Lok Sabha elections, Communist parties (CPI and
CPI(M)) won a handful of seats, primarily from Kerala and Tamil Nadu as part
of broader alliances. Their national footprint remains very limited. They
continue to be part of the INDIA opposition alliance.

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UNIT 4: Changing Trends in Indian Politics

1. Political Participation and Issues of Legitimacy
I. Political Participation in India:
• Meaning: Political participation refers to activities by which citizens attempt to
influence the selection of political leaders or the decisions they make. It can be
conventional (voting, campaigning) or unconventional (protests, social movements).
• Forms of Participation in India:
1. Voting: The most widespread form. India has consistently high voter turnout,
often surpassing many established democracies.
▪ Trend: Increased participation of women, youth, and marginalized
sections. Turnout in state elections often higher than national
elections.
2. Campaigning: Attending rallies, volunteering for parties/candidates,
donating.
3. Joining Political Parties and Interest Groups: Active membership.
4. Contacting Officials: Approaching elected representatives or government
officials.
5. Protests and Demonstrations: A vibrant tradition of public protest on various
issues (e.g., farmers' protests, anti-corruption movements, citizenship law
protests).
6. Social Movements: Participation in movements focused on environment,
human rights, caste issues, gender justice, etc.
7. Digital Participation: Increasing use of social media for political expression,
mobilization, and information dissemination (and misinformation).
8. Local Self-Government: Participation in Panchayati Raj Institutions (PRIs)
and Urban Local Bodies (ULBs), especially after the 73rd and 74th
Amendments which reserved seats for women and SCs/STs.
• Changing Trends in Political Participation:
1. Deepening of Democracy: Increased participation from historically
marginalized groups (Dalits, Adivasis, OBCs, women) challenging traditional
power structures.
2. Rise of "Assertive Voters": Voters are more aware, demanding, and less
bound by traditional loyalties. Focus on development, governance, and
leadership.
3. Decline in Party Identification (Partisan Dealignment): While still relevant,
voters are increasingly willing to switch allegiances based on performance
and issues.
4. Increased Role of Civil Society Organizations (CSOs) and NGOs: Engaging in
advocacy, awareness, and mobilization.

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5. Youth Participation: Growing political consciousness and activism among

youth, both online and offline.
6. Use of Technology: Social media, mobile apps for campaigning, voter
connect, and grievance redressal.
7. Issue-Based Mobilization: Movements forming around specific issues rather
than broad ideologies.
II. Issues of Legitimacy:
• Meaning of Legitimacy: The belief among citizens that the government or political
system has the right to rule and that its authority is justified. It is the foundation of
stable governance. Legitimacy is based on consent, not coercion.
• Sources of Legitimacy in India:
1. Constitutionalism and Rule of Law: The Constitution as the supreme source
of authority.
2. Democratic Elections: Free and fair elections provide popular mandate.
3. Performance and Governance: Effective delivery of public services,
economic development, maintenance of law and order.
4. Inclusiveness and Representation: Ensuring all sections of society feel
represented and their concerns are addressed.
5. National Identity and Values: Shared symbols, history, and commitment to
democratic ideals.
6. Charisma of Leaders: Strong and popular leadership can enhance legitimacy.
• Challenges to Legitimacy in India:
1. Corruption: Widespread corruption erodes public trust in institutions and
leaders.
▪ Current Event: Anti-corruption movements and government
initiatives (Lokpal, CVC) aim to address this, but it remains a
persistent challenge.
2. Criminalization of Politics: Presence of candidates and elected
representatives with criminal backgrounds undermines faith in the political
process.
3. Electoral Malpractices: Though ECI is robust, issues like use of money and
muscle power, paid news, and hate speech can affect the fairness of elections
and perceived legitimacy of outcomes.
4. Governance Deficits: In
effective delivery of public services, delays, and bureaucratic apathy can
lead to citizen dissatisfaction.
5. Growing Inequality: Economic disparities and lack of opportunities for
marginalized sections can lead to alienation.

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6. Identity Politics and Social Divisions: Exploitation of caste, religious, and

regional identities for political gain can strain social cohesion and question
the legitimacy of representation for all.
7. Erosion of Institutional Autonomy: Perceived or actual weakening of
independent institutions (judiciary, ECI, media, investigative agencies) can
undermine their credibility and the legitimacy of the system.
▪ Current Event: Debates around the independence of the ECI following
the new appointment law, or concerns about pressure on the judiciary.
8. Misinformation and Fake News: Spread through social media can manipulate
public opinion and delegitimize democratic processes or opponents.
9. Violence and Political Intolerance: Use of violence in politics or suppression
of dissent can challenge democratic legitimacy.
10. Questioning of Electoral Processes:
▪ Current Event: While EVMs and VVPATs are largely trusted, some
political actors raise questions about their reliability, which can
impact the perceived legitimacy of election results if not addressed
transparently.
• Maintaining Legitimacy: Requires continuous efforts towards good governance,
accountability, transparency, strengthening democratic institutions, ensuring
justice, and fostering inclusive development.

2. Political Elites – Character and Trends, Changing Composition

I. Meaning of Political Elite:
A small group of powerful individuals who hold significant political influence and decision-
making authority in a society. They occupy key positions in government, political parties,
bureaucracy, and other influential sectors.
II. Traditional Character of Political Elites in India (Post-Independence Early Decades):
• Dominance of Upper Castes: Primarily drawn from Brahmin, Kshatriya, and Vaishya
communities.
• Urban-Educated Background: Higher education (often from foreign universities),
English-speaking, urban-centric.
• Landowning and Professional Class: Lawyers, academics, and individuals from
landed aristocracy were prominent.
• Nationalist Movement Legacy: Many early elites were veterans of the freedom
struggle, lending them moral authority.
• Congress Party Domination: Most elites were associated with the Congress party.
• Relatively Homogeneous: In terms of socio-economic background and ideological
outlook (Nehruvian consensus).
III. Changing Composition and Trends:

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1. Rise of "Vernacular" Elites / Backward Class Assertion:

o Post-Mandal Commission (1990s) and the implementation of reservations for
Other Backward Classes (OBCs).
o Increased political mobilization of OBCs, Dalits (SCs), and Adivasis (STs).
o Emergence of leaders from these communities who challenged the dominance
of upper-caste elites.
o Examples: Leaders like Lalu Prasad Yadav, Mulayam Singh Yadav, Mayawati.
o This led to a more diverse and representative political elite, though
dominance of traditional elites persists in many spheres.
2. Ruralization of Elites:
o Increased representation of leaders with rural backgrounds and agricultural
interests, especially in state politics and regional parties.
o Panchayati Raj Institutions have also provided a platform for grooming rural
leadership.
3. Decline of English-Speaking Hegemony:
o Rise of leaders more comfortable in regional languages, reflecting a shift in
political discourse.
4. Professionalization of Politics:
o Increasing number of career politicians.
o Emergence of political consultants, strategists, and media managers.
5. Influence of Money Power:
o Rising cost of elections has led to an increase in wealthy individuals and those
with business links entering politics.
o Concerns about crony capitalism and the nexus between business and politics.
6. Criminalization of Politics:
o An alarming trend of individuals with criminal records contesting and winning
elections.
o Muscle power and ability to "manage" constituencies sometimes seen as
assets.
7. Dynastic Politics:
o Persistence and, in some cases, strengthening of political families across
parties. Tickets and positions often passed down within families.
8. Rise of a New "Technocratic" Elite (within parties/government):
o Individuals with professional backgrounds (management, technology, finance)
playing key roles in policy advice and party management.
9. Shift in Ideological Orientation:

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o From the Nehruvian socialist consensus to a greater embrace of market-

oriented policies by many elites.
o Rise of Hindu nationalist ideology within the BJP and its associated elites.
10. Generational Shift:
o Emergence of younger leaders, though older generations still hold significant
sway.
11. Increased Role of Women Elites:
o While still underrepresented, there's a slow but steady increase in women in
legislative bodies and party leadership, partly due to reservations in local
bodies and growing political awareness.
o Current Event: The Women's Reservation Bill (Nari Shakti Vandan Adhiniyam)
passed in 2023, reserving one-third of seats for women in Lok Sabha and State
Assemblies (implementation contingent on delimitation and census), is a
significant development that will drastically change the composition of
political elites once implemented.
IV. Character and Trends of Contemporary Political Elites:
• More Diverse but Still Unequal: While more representative socially than in the past,
upper castes and dominant communities still hold disproportionate power and
resources.
• Pragmatic and Power-Oriented: Ideology often takes a backseat to electoral
calculations and power retention.
• Media Savvy: Greater understanding and use of media (traditional and social) for
image building and communication.
• Populist Tendencies: Direct appeal to voters, often bypassing traditional party
structures or institutional norms.
• Centralization of Power: Within parties, power often concentrated in the hands of
a few top leaders.
• Challenges to Democratic Norms: Instances of intolerance towards dissent,
weakening of institutional checks and balances.

3. Culture and Political Culture -- Changing Patterns of Political Culture

I. Culture:
The shared values, beliefs, customs, arts, social institutions, and achievements of a
particular nation, people, or group. It provides a framework for understanding the world
and guiding behavior.
II. Political Culture:
(As defined by Gabriel Almond and Sidney Verba) The specific pattern of orientations—
cognitive (knowledge), affective (feelings), and evaluative (judgments)—that individuals in
a society have towards their political system and its various parts, and their role within it.
It is the psychological dimension of a political system.

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III. Traditional Political Culture in India (Early Post-Independence):

• Mixture of Parochial, Subject, and nascent Participant elements:
o Parochial: Strong local loyalties (caste, village, region), limited awareness of
national politics for many.
o Subject: Deference to authority (mai-baap sarkar), expectation of
government as provider, but limited sense of active agency.
o Participant (Emerging): Among educated urban sections and those involved
in freedom struggle.
• Influence of Hierarchy and Caste: Caste identities significantly influenced political
affiliations and voting behavior.
• Emphasis on Consensus and Accommodation: Reflecting the "Congress System."
• Charismatic Leadership: Reverence for national leaders like Nehru.
• Limited Political Efficacy: For large sections of the population.
IV. Changing Patterns of Political Culture in India:
1. Increased Participation and Political Awareness:
o Higher voter turnouts, greater media exposure, and literacy have led to
increased awareness of political issues and rights.
o Shift from a predominantly subject culture towards a more participant
culture.
2. Rise of Assertiveness and Rights Consciousness:
o Citizens are more assertive in demanding their rights, accountability from
government, and better governance.
o Less deference to traditional authority figures.
3. Decline of Deferential Politics:
o Voters are less likely to be swayed solely by traditional loyalties or
charismatic appeals without performance.
4. Growing Importance of Development and Governance Issues:
o While identity politics persists, voters increasingly prioritize issues like
economic development, employment, infrastructure, and corruption-free
governance.
5. Erosion of "Congress Culture" of Consensus:
o More competitive and often confrontational political environment.
6. Impact of Identity Politics:
o Caste: Continued salience of caste identity in political mobilization and
voting, though its expression has become more complex and fragmented. Rise
of sub-caste identities.

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o Religion: Increased role of religious identity in politics, particularly the rise

of Hindu nationalism. This has led to debates about secularism and minority
rights.
o Regionalism: Strong regional identities and aspirations influencing national
politics.
7. Influence of Media and Social Media:
o Shapes political discourse, public opinion, and mobilization.
o Can also contribute to polarization and spread of misinformation, impacting
political culture.
8. Cynicism and Trust Deficit:
o Despite increased participation, there's often cynicism towards politicians
and political institutions due to corruption and governance failures.
9. Rise of Populism:
o Leaders directly appealing to "the people" against perceived "elites" or
"corrupt systems."
o Emphasis on strong leadership.
10. Interplay of Tradition and Modernity:
o Traditional values (caste, community) coexist and interact with modern
democratic aspirations (equality, rights, participation).
11. Generational Shift in Values:
o Younger generations may have different political priorities and modes of
engagement (e.g., more digitally native, concerned about environment,
individual freedoms).
12. Emergence of a "Critical Citizen":
o Citizens who are engaged but also critical of the political system, demanding
better performance and accountability. (Pippa Norris)
Current Patterns: Indian political culture is dynamic and complex, characterized by high
participation, increasing assertiveness, the continued (though evolving) salience of identity,
a focus on development, and challenges related to trust and institutional integrity. It
reflects a society undergoing rapid socio-economic and technological change.

4. Recent Developments in Indian Politics since 2014

The period since 2014, marked by the rise of the Bharatiya Janata Party (BJP) under Prime
Minister Narendra Modi to a dominant position, has witnessed significant shifts and
developments in Indian politics.
1. Dominance of BJP and Decline of Congress:
o BJP secured single-party majority in 2014 and 2019 Lok Sabha elections, a
feat unseen for three decades.

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o Expansion of BJP's footprint across states.

o Significant weakening of the Indian National Congress, facing leadership and
organizational challenges.
o Current Event (Post-2024 Elections): While BJP remains the single largest
party and formed the NDA-III government, its reduced majority and the
improved performance of the Congress-led INDIA alliance suggest a potential
shift towards a more competitive political landscape and a re-emergence of
coalition dynamics.
2. Centralization of Power and Strong Prime Ministerial Leadership:
o PM Modi's decisive leadership style has been a defining feature.
o Concentration of decision-making in the Prime Minister's Office (PMO).
3. Rise of Hindu Nationalism (Hindutva) as a Dominant Ideology:
o Increased emphasis on cultural nationalism, Hindu identity, and related policy
issues.
o Key Events: Construction of Ram Mandir in Ayodhya, abrogation of Article 370
in Jammu & Kashmir, enactment of Citizenship Amendment Act (CAA).
o Debates around secularism and minority rights have intensified.
4. Focus on "Development" (Vikas) and Welfare Schemes:
o Emphasis on economic development, infrastructure projects, ease of doing
business.
o Launch of numerous flagship welfare schemes targeting specific beneficiary
groups (e.g., Pradhan Mantri Ujjwala Yojana, Jan Dhan Yojana, Swachh Bharat
Abhiyan, Ayushman Bharat). This "Labharthi Varg" (beneficiary class) became
a key electoral constituency.
5. Digital India and Technological Push:
o Significant focus on digitalization of governance, financial inclusion through
technology (UPI), and promoting a digital economy.
6. Assertive Foreign Policy and Enhanced Global Stature:
o Proactive engagement with global powers, focus on "Neighbourhood First" and
"Act East" policies.
o Stronger stance on national security issues.
o Current Event: India's G20 presidency (2023) showcased its growing global
role. Continued focus on strategic autonomy and multi-alignment.
7. Changes in Federal Dynamics:
o While "cooperative federalism" is espoused, there have been periods of
increased Centre-State friction, particularly with states ruled by opposition
parties.
o Debates on fiscal federalism, use of central agencies.

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8. Weakening of Opposition and Challenges to Dissent:

o Fragmented opposition for a large part of this period.
o Allegations of misuse of state agencies against political opponents and critics.
o Shrinking space for dissent and critical voices in media and civil society,
according to some observers.
o Current Event: The formation and performance of the INDIA alliance in 2024
indicates a more consolidated opposition challenge.
9. Judicial Pronouncements on Key Issues:
o Supreme Court delivered landmark judgments on issues like Ayodhya, Article
370, privacy, and electoral bonds.
o Ongoing debates about judicial independence and executive-judiciary
relations.
10. Electoral Reforms and Controversies:
o Introduction and subsequent striking down of Electoral Bonds by the Supreme
Court in 2024, raising issues of transparency in political funding.
o Debates around EVMs, delimitation.
o The new law for appointment of Election Commissioners.
11. Social and Political Polarization:
o Increased polarization along religious and ideological lines, often amplified
by social media.
12. Impact of COVID-19 Pandemic:
o Exposed vulnerabilities in health infrastructure, led to economic slowdown,
and had significant political and social consequences, including debates on
government response and federal cooperation.
13. Farmers' Protests (2020-2021):
o Large-scale, sustained protests against farm laws (subsequently repealed)
highlighted the power of social movements and challenges in policy
implementation.
14. Citizenship Amendment Act (CAA) Protests (2019-2020):
o Widespread protests against the CAA, raising concerns about its
constitutionality and implications for secularism. Rules for CAA notified in
March 2024.

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UNIT 5: Role of Governance: Recent

Developments and Trends
1. Governance, Good Governance and Democratic Governance, Role of State, Civil
Society and Individuals.
• Governance:
o Definition: The process of decision-making and the process by which
decisions are implemented (or not implemented). It refers to the exercise of
political, economic, and administrative authority to manage a country's
affairs at all levels.
o Actors: Includes government (state), but also encompasses civil society
organizations (CSOs), non-governmental organizations (NGOs), the private
sector, media, and citizens.
o Scope: Broader than "government," which refers to the formal institutions of
the state. Governance is about the process and quality of exercising power.
o Levels: Can operate at global, national, regional, local, and corporate levels.
• Good Governance:
o Concept: A normative concept emphasizing the manner in which power is
exercised in the management of a country's economic and social resources
for development. It aims to make governance more effective, efficient,
equitable, and legitimate.
o Key Attributes/Pillars (often cited from World Bank/UNDP):
1. Participation: Involvement of all stakeholders, especially the
marginalized, in decision-making.
2. Rule of Law: Fair legal frameworks, impartially enforced; protection
of human rights.
3. Transparency: Decisions taken and enforced in a manner that follows
rules and regulations; information freely available and directly
accessible.
4. Responsiveness: Institutions and processes try to serve all
stakeholders within a reasonable timeframe.
5. Consensus-Oriented: Mediates differing interests to reach a broad
consensus on what is in the best interest of the group.
6. Equity and Inclusiveness: Ensures all members of society feel they
have a stake and do not feel excluded.
7. Effectiveness and Efficiency: Processes and institutions produce
results that meet needs while making the best use of resources.
8. Accountability: Governmental institutions, private sector, and civil
society organizations are accountable to the public and to their
institutional stakeholders.

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o Significance: Essential for sustainable development, poverty reduction, and

citizen empowerment.
• Democratic Governance:
o Definition: A system of governance where ultimate authority and power are
derived from the citizens, either directly or through their freely elected
representatives. It combines the principles of democracy with the
mechanisms of good governance.
o Core Elements:
▪ Popular Sovereignty: Power resides in the people.
▪ Free, Fair, and Regular Elections: Enabling citizens to choose their
leaders.
▪ Protection of Human Rights & Fundamental Freedoms: Including
freedom of speech, assembly, and press.
▪ Rule of Law & Independent Judiciary: Ensuring laws apply equally to
all.
▪ Multi-party System: Offering genuine political choice.
▪ Separation of Powers (often with Checks and Balances): Between
legislature, executive, and judiciary.
▪ Citizen Participation: Beyond voting, in policy-making and oversight.
▪ Accountability & Transparency: Of government actions.
o Challenges: Ensuring meaningful participation, combating corruption,
preventing elite capture, and balancing majority rule with minority rights.
• Role of State:
o Traditional Roles: Maintaining law and order, national defense, collecting
taxes, providing basic infrastructure.
o Welfare State Role (Post-WWII): Provider of social services (health,
education, social security).
o Regulatory Role (Post-Liberalization): Setting rules for markets, ensuring
fair competition, protecting consumers and environment.
o Facilitator/Enabler Role (Contemporary): Creating an environment
conducive to development, empowering citizens and communities,
partnering with non-state actors.
o Developmental Role: Actively promoting socio-economic development,
addressing market failures, promoting equity.
o Recent Trends: Shift from "rowing" (direct service delivery) to "steering"
(policy-making, regulation, oversight). Increased focus on public-private
partnerships (PPPs).
• Role of Civil Society:

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o Definition: The "third sector" of society, distinct from government and

business, comprising NGOs, community-based organizations (CBOs), faith-
based organizations, trade unions, academic institutions, media, and citizen
groups.
o Functions:
▪ Advocacy and Policy Influence: Raising awareness, lobbying for
policy changes (e.g., environmental groups, human rights
organizations).
▪ Watchdog Function: Monitoring government actions, exposing
corruption and inefficiency (e.g., investigative journalism, social
audits).
▪ Service Delivery: Providing services where the state is unable or
unwilling (e.g., education, healthcare by NGOs).
▪ Mobilization and Empowerment: Organizing citizens, especially
marginalized groups, to demand their rights.
▪ Capacity Building: Training, information dissemination.
▪ Promoting Pluralism and Democracy: Fostering debate and diverse
perspectives.
o Examples in India: Mazdoor Kisan Shakti Sangathan (MKSS) for RTI, Bachpan
Bachao Andolan for child rights.
• Role of Individuals:
o Informed and Active Citizenship: Staying informed about public issues,
exercising voting rights responsibly.
o Participation: Engaging in local governance (Gram Sabhas), public hearings,
consultations.
o Accountability Demands: Using tools like RTI, filing grievances, participating
in social audits.
o Upholding Rule of Law: Obeying laws, respecting rights of others.
o Community Engagement: Volunteering, contributing to local development
initiatives.
o Ethical Conduct: Resisting and reporting corruption.
o Digital Engagement: Using e-governance platforms, participating in online
discussions, using social media for civic purposes.
2. Accountability and Control: Institutional Mechanism for Checks and Balances,
Legislative Control over Executive, Administrative and Budgetary Control, Control
through Parliamentary Committees, Judicial control over Legislature and Executive,
Administrative culture, Corruption and Administrative Reforms.
• Accountability:

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o Definition: The obligation of an individual or organization (the "agent") to

account for its activities, accept responsibility for them, and disclose the
results in a transparent manner to those who have entrusted them with power
or resources (the "principal"). It implies answerability, responsibility, and
enforceability.
o Types: Political, administrative, financial, legal, social accountability.
• Control:
o Definition: Mechanisms and processes through which those in power are held
accountable and their actions are kept within legal and ethical limits.
• Institutional Mechanism for Checks and Balances:
o Concept: Based on Montesquieu's theory of separation of powers, aiming to
prevent any one branch of government (Legislature, Executive, Judiciary)
from becoming too powerful. Each branch has some power to check the
others.
o In India (Parliamentary System with a blend):
▪ Executive accountable to Legislature: Collective responsibility (Art
75(3)), no-confidence motion.
▪ Legislature subject to Judicial Review: Laws can be struck down if
unconstitutional.
▪ Executive actions subject to Judicial Review: Administrative
decisions can be challenged.
▪ Judiciary's independence: Protected by Constitution (appointment,
removal process).
• Legislative Control over Executive:
o During Law-making: Debates, discussions, amendments to bills proposed by
the executive.
o Question Hour & Zero Hour: MPs can ask questions to ministers about their
ministry's functioning.
o Motions:
▪ Adjournment Motion: To discuss a matter of urgent public
importance.
▪ Calling Attention Motion: To draw the attention of a minister to a
matter of urgent public importance.
▪ No-Confidence Motion: If passed, the government must resign.
▪ Censure Motion: Expresses strong disapproval of government policies.
o Debates and Discussions: On various issues, policies, and government
performance.
o Budgetary Control (see below).

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o Control through Parliamentary Committees (see below).

• Administrative Control:
o Internal: Hierarchy, rules & regulations, codes of conduct, performance
appraisals, disciplinary actions, vigilance machinery within departments.
o External: Legislative, Judicial, Citizen (RTI, social audit), Media scrutiny.
• Budgetary Control (by Legislature):
o "No taxation without representation" and "No expenditure without
parliamentary approval."
o Presentation of Budget (Annual Financial Statement - Art 112): Executive
prepares, Legislature discusses and votes.
o Discussion on Demands for Grants: Scrutiny of expenditure proposals of
various ministries.
o Cut Motions: Symbolic tools to express disapproval (Policy Cut, Economy Cut,
Token Cut).
o Appropriation Bill (Art 114): Authorizes government to withdraw funds from
Consolidated Fund of India.
o Finance Bill: Gives effect to financial proposals of the Government.
o Comptroller and Auditor General (CAG - Art 148-151): Audits government
accounts and submits reports to Parliament (via President), which are
examined by Public Accounts Committee (PAC).
• Control through Parliamentary Committees:
o "Mini-legislatures" that enable detailed scrutiny.
o Financial Committees:
▪ Public Accounts Committee (PAC): Examines CAG reports on
appropriation accounts and finance accounts. Chairperson
traditionally from opposition.
▪ Estimates Committee (EC): Examines budget estimates, suggests
economies in public expenditure. "Continuous economy committee."
▪ Committee on Public Undertakings (COPU): Examines reports and
accounts of Public Sector Undertakings (PSUs), CAG reports on PSUs.
o Departmentally Related Standing Committees (DRSCs): (24 committees)
Scrutinize demands for grants, examine bills, consider national basic long-
term policy documents.
o Other Committees: Committee on Government Assurances, Committee on
Subordinate Legislation, etc.
• Judicial Control over Legislature and Executive:
o Judicial Review (Art 13, 32, 226, 227): Power of judiciary to examine the
constitutionality of legislative enactments and executive orders.

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

▪ Laws inconsistent with Fundamental Rights can be declared void (Art

13).
▪ Grounds for review: Unconstitutionality, exceeding jurisdiction,
arbitrariness, mala fide intention, procedural ultra vires.
o Writs (Art 32 & 226): Habeas Corpus, Mandamus, Prohibition, Certiorari, Quo
Warranto – to protect fundamental rights and enforce legal duties.
o Public Interest Litigation (PIL): Allows public-spirited
individuals/organizations to approach courts for redressal of public
grievances.
o Limitations: Judicial self-restraint, cannot interfere in policy matters unless
arbitrary or unconstitutional, cannot question wisdom of legislature.
• Administrative Culture:
o Definition: The shared values, beliefs, attitudes, norms, and practices that
characterize the public administration system and influence the behavior of
public servants.
o Indian Administrative Culture - Characteristics:
▪ Colonial Legacy: Hierarchical, rule-bound, elitist tendencies,
generalist preference.
▪ Politicization: Political interference in postings, transfers, decision-
making.
▪ Corruption & Nepotism: Pervasive issue.
▪ Lack of Professionalism & Accountability: In some sections.
▪ Resistance to Change: Status-quoist tendencies.
▪ Positive Aspects: Commitment to national integration, handling
emergencies, implementing large-scale programs (though with varying
success).
o Need for Change: Towards citizen-centricity, ethics, integrity, innovation,
responsiveness.
• Corruption:
o Definition: Misuse of public office for private gain.
o Forms: Bribery, extortion, nepotism, cronyism, embezzlement, influence
peddling.
o Causes: Low salaries (historically), complex rules & red tape (discretion),
political corruption, weak enforcement, societal acceptance, lack of
transparency, greed.
o Consequences: Economic loss, misallocation of resources, poor service
delivery, erosion of public trust, inequality, undermines rule of law.
o Anti-Corruption Mechanisms in India:

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

▪ Prevention of Corruption Act, 1988 (amended 2018).

▪ Central Vigilance Commission (CVC) – apex integrity institution.
▪ Central Bureau of Investigation (CBI).
▪ Lokpal (at Centre) and Lokayuktas (at States).
▪ Right to Information Act, 2005.
▪ Whistle Blowers Protection Act, 2014.
▪ Benami Transactions (Prohibition) Act.
▪ Fugitive Economic Offenders Act.
• Administrative Reforms:
o Objective: To improve efficiency, effectiveness, accountability,
transparency, and citizen-centricity of public administration.
o Key Commissions/Committees in India:
▪ Gopalaswami Ayyangar Committee (1949)
▪ A.D. Gorwala Committee Report (1951)
▪ Paul H. Appleby Reports (1953, 1956)
▪ Santhanam Committee on Prevention of Corruption (1964) – led to
CVC.
▪ First Administrative Reforms Commission (ARC) (1966-70): Chaired
by Morarji Desai, later K. Hanumanthaiah. Made wide-ranging
recommendations.
▪ Second Administrative Reforms Commission (ARC) (2005-09):
Chaired by Veerappa Moily. Submitted 15 reports on various aspects
like RTI, Ethics in Governance, Local Governance, Public Order, etc.
o Recent Trends/Focus Areas:
▪ E-governance and digital transformation.
▪ Performance management.
▪ Rights-based approach (RTI, RTE).
▪ Decentralization and citizen participation.
▪ Ethics and integrity in public services.
▪ Simplification of rules and procedures.
▪ Lateral entry into civil services.
▪ Mission Karmayogi (National Programme for Civil Services Capacity
Building).

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

3. Institutional Mechanisms for Good Governance: Right to Information, Consumer

Protection Act, Citizen Charter; Grievance Redress System: Ombudsman, Lokpal,
Lokayukta.
• Right to Information (RTI):
o Act: Right to Information Act, 2005.
o Objective: To promote transparency and accountability in the working of
every public authority. Empowers citizens to access information held by
public authorities.
o Key Provisions:
▪ Defines "information," "public authority," "right to information."
▪ Obligation of public authorities for proactive disclosure (suo motu
disclosure).
▪ Designation of Public Information Officers (PIOs) and Assistant PIOs.
▪ Procedure for requesting information (within 30 days, 48 hours if
life/liberty involved).
▪ Exemptions from disclosure (Section 8 & 9) – e.g., national security,
cabinet papers (until decision taken), personal information with no
public interest.
▪ Constitution of Central Information Commission (CIC) and State
Information Commissions (SICs) – independent appellate bodies.
▪ Penalties for PIOs for delay, denial, or providing false information.
o Impact: Increased transparency, reduced corruption in certain areas,
empowered citizens, exposed irregularities.
o Challenges: Delays, poor quality of information, attacks on RTI activists,
vacancies in Information Commissions, attempts to dilute the Act.
• Consumer Protection Act:
o Original Act: Consumer Protection Act, 1986.
o New Act: Consumer Protection Act, 2019 (repealed and replaced the 1986
Act, came into force from July 2020).
o Objective: To protect the interests of consumers and provide a mechanism
for timely and effective administration and settlement of consumer disputes.
o Key Rights of Consumers (under CPA 2019):
1. Right to Safety
2. Right to be Informed
3. Right to Choose
4. Right to be Heard
5. Right to Seek Redressal

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

6. Right to Consumer Awareness (earlier Consumer Education)

o Key Features of CPA, 2019:
▪ Definition of Consumer: Wider scope. Includes online transactions.
▪ Unfair Trade Practices: Expanded definition.
▪ Product Liability: Manufacturer/seller liable for defective product or
deficient service.
▪ Central Consumer Protection Authority (CCPA): Established to
promote, protect, and enforce consumer rights. Can issue safety
notices, order recalls, impose penalties.
▪ Consumer Dispute Redressal Commissions (CDRCs):
▪ District CDRC: Up to ₹1 crore (enhanced pecuniary
jurisdiction).
▪ State CDRC: ₹1 crore to ₹10 crore.
▪ National CDRC: Above ₹10 crore.
▪ E-commerce rules: Provisions for e-commerce entities.
▪ Mediation: Provision for mediation as an Alternate Dispute Resolution
(ADR) mechanism.
▪ Penalties for Misleading Advertisements.
• Citizen Charter:
o Concept: A document that represents a commitment on the part of a public
service organization towards standards of service delivery, information,
choice, consultation, non-discrimination, accessibility, grievance redress,
transparency, and accountability.
o Origin: Popularized in UK (1991). Adopted in India since 1997.
o Objectives:
▪ Make administration transparent and accountable.
▪ Improve service quality.
▪ Inform citizens about services available.
▪ Provide channels for grievance redress.
o Components typically include:
▪ Vision and mission of the organization.
▪ Details of services offered.
▪ Quality standards for services.
▪ Timelines for service delivery.
▪ Grievance redress mechanism.

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

▪ Expectations from citizens.

o Challenges in India:
▪ Often drafted without citizen consultation (top-down).
▪ Lack of awareness among citizens and staff.
▪ Not legally enforceable, often just a "statement of intent."
▪ Poor design, unrealistic standards.
▪ Lack of monitoring and review mechanisms.
▪ The Grievance Redressal Bill, 2011 (lapsed) attempted to make
Citizen's Charters legally enforceable.
• Grievance Redress System:
o Importance: Essential for accountability, citizen satisfaction, and improving
service delivery.
o Mechanisms in India:
▪ Departmental grievance cells.
▪ Centralized Public Grievance Redress and Monitoring System
(CPGRAMS) – online portal.
▪ Prime Minister's Office (PMO) Public Wing.
▪ State-level grievance portals.
▪ Specialized forums (e.g., Banking Ombudsman, Insurance
Ombudsman).
• Ombudsman:
o Concept: An independent, high-level public official responsible for
investigating complaints from citizens against administrative misconduct,
maladministration, or violation of rights by government agencies.
o Origin: Sweden (1809).
o Features: Independence, impartiality, accessibility, wide powers of
investigation, recommendations (usually non-binding but carry weight).
o Types: Classical Ombudsman (parliamentary), Executive Ombudsman,
specialized ombudsmen (e.g., for specific sectors like banking, insurance).
• Lokpal:
o Act: The Lokpal and Lokayuktas Act, 2013.
o Purpose: To inquire into allegations of corruption against certain public
functionaries at the national level.
o Jurisdiction: Prime Minister (with safeguards), Ministers, MPs, Group A, B, C,
D officers of Central Government, officials of PSUs, societies/trusts financed
by government.

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

o Composition: A Chairperson (former CJI/Supreme Court Judge or eminent

person with special knowledge in anti-corruption, etc.) and up to 8 members
(half judicial, half from SC/ST/OBC/Minorities/Women).
o Powers: Powers of a civil court, can recommend transfer/suspension of
officials, confiscation of assets, direct investigation by CBI or other agencies.
o Functioning: Established in March 2019. Still evolving in its operational
impact.
• Lokayukta:
o Concept: State-level equivalent of the Lokpal, established by state laws to
investigate corruption and maladministration complaints against public
officials in the state.
o Status: First established in Maharashtra (1971). Most states have now enacted
Lokayukta laws.
o Variations: Structure, powers, jurisdiction, and effectiveness vary
significantly from state to state due to lack of uniformity in state legislations.
Some are strong (e.g., Karnataka), others weaker.
o Challenges: Political interference, lack of independent investigative
machinery, limited powers, non-binding recommendations in some states.
4. Grassroot Governance: Panchayati Raj Institutions and their functioning.
• Panchayati Raj Institutions (PRIs):
o Concept: System of rural local self-government in India, aimed at democratic
decentralization and empowering local communities to participate in their
own development.
o Constitutional Status: Granted by the 73rd Constitutional Amendment Act,
1992 (added Part IX and 11th Schedule to the Constitution). Came into force
on April 24, 1993 (Panchayati Raj Day).
o Historical Context: Ancient India (village panchayats), Lord Ripon's
Resolution (1882), Gandhian vision (Gram Swaraj), Balwant Rai Mehta
Committee (1957 - recommended 3-tier system), Ashok Mehta Committee
(1978).
o Key Features of 73rd Amendment Act:
▪ Three-tier System:
1. Gram Panchayat (village level)
2. Panchayat Samiti/Block Panchayat/Mandal Parishad
(intermediate/block level)
3. Zila Parishad/Zila Panchayat (district level)
▪ (States with population < 20 lakhs may not have intermediate
tier).

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

▪ Gram Sabha (Art 243A): Foundation of PRI system. Body of all

registered voters in a Panchayat area. Powers and functions as
determined by State Legislature.
▪ Regular Elections: Every 5 years, conducted by State Election
Commission (SEC) (Art 243K).
▪ Reservation of Seats (Art 243D):
▪ For SCs/STs in proportion to their population.
▪ Not less than 1/3rd of seats for women (including SC/ST
women).
▪ Reservation for Chairperson posts for SCs/STs and women.
▪ State legislatures may provide for reservation for Backward
Classes.
▪ Devolution of Powers and Functions (Art 243G): State legislatures to
endow Panchayats with powers and authority to function as
institutions of self-government.
▪ 11th Schedule: Lists 29 subjects for potential devolution
(e.g., agriculture, rural housing, drinking water, poverty
alleviation, health and sanitation, education).
▪ Financial Resources (Art 243H & 243-I):
▪ State legislatures may authorize Panchayats to levy taxes,
duties, tolls, fees.
▪ Grants-in-aid from Consolidated Fund of State.
▪ State Finance Commission (SFC) (Art 243-I): Constituted
every 5 years to review financial position of Panchayats and
make recommendations on distribution of resources, grants-in-
aid.
▪ District Planning Committee (DPC) (Art 243ZD): To consolidate plans
prepared by Panchayats and Municipalities in the district and prepare
a draft development plan for the district as a whole. (Introduced by
74th Amendment but relevant for integrated planning).
• Functioning of PRIs:
o Successes/Achievements:
▪ Increased political representation for marginalized groups (SCs, STs,
women).
▪ Greater awareness and participation at local level.
▪ Implementation of some rural development schemes (e.g., MGNREGA
often implemented through PRIs).
▪ Creation of a framework for democratic decentralization.
o Challenges and Issues (The "3 Fs" are often cited):

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1. Funds:
▪ Inadequate financial resources, over-dependence on
state/central grants.
▪ Reluctance of state governments to devolve financial powers.
▪ Poor resource mobilization by PRIs themselves.
▪ Delayed release of funds from SFC recommendations.
2. Functions:
▪ Incomplete and inconsistent devolution of functions and
powers by state governments (many of the 29 subjects not fully
transferred).
▪ Parallel bodies created by state governments that encroach
upon PRI functions.
▪ Lack of clarity in roles and responsibilities.
3. Functionaries:
▪ Shortage of trained staff, lack of capacity building.
▪ Political interference, bureaucratic hurdles.
▪ Proxy representation (e.g., "Sarpanch Pati").
▪ Corruption and elite capture.
▪ Weak Gram Sabhas in many areas.
▪ Irregular meetings, low attendance.
o Other Issues:
▪ Lack of genuine autonomy.
▪ Poor infrastructure for PRI offices.
▪ Need for better coordination between different tiers of PRIs and with
state departments.
▪ Inadequate use of technology.
o PESA Act, 1996 (Panchayats Extension to Scheduled Areas): Extends Part IX
to Fifth Schedule areas, with modifications to protect tribal rights and
customs. Gram Sabha given significant powers. Implementation remains a
challenge.
5. Planning and Development: Decentralised planning, Planning for Development,
Sustainable Development, Participatory Development, e-Governance; NITI Aayog.
• Planning for Development (Historical Context in India):
o Pre-Independence: National Planning Committee (1938) by INC.
o Post-Independence:

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▪ Planning Commission (1950-2014): Extra-constitutional, non-

statutory advisory body. Formulated Five-Year Plans (centralized, top-
down approach). Chairman was PM.
▪ National Development Council (NDC): Apex body for plan approval,
chaired by PM, included Union Ministers, CMs of states, members of
Planning Commission.
▪ Shift in Approach: From comprehensive centralized planning to
indicative planning post-liberalization (1991), focusing more on policy
guidance and resource allocation to priority sectors.
• Decentralised Planning:
o Concept: Planning process that involves participation of lower levels of
government (state, district, local) and communities in the formulation and
implementation of development plans. Bottom-up approach.
o Rationale:
▪ Better addresses local needs and priorities.
▪ Ensures greater participation and ownership.
▪ Improves efficiency and effectiveness of resource utilization.
▪ Promotes equity.
o Mechanisms in India:
▪ 73rd and 74th Constitutional Amendments provide framework.
▪ District Planning Committees (DPCs - Art 243ZD) and Metropolitan
Planning Committees (MPCs - Art 243ZE).
▪ Involvement of PRIs and Urban Local Bodies (ULBs) in plan
preparation.
▪ Gram Sabha playing a role in identifying local needs.
o Challenges: Capacity constraints at local level, lack of genuine devolution of
funds and functions, political and bureaucratic resistance, data limitations.
• Sustainable Development:
o Definition (Brundtland Commission, "Our Common Future", 1987):
"Development that meets the needs of the present without compromising the
ability of future generations to meet their own needs."
o Three Pillars/Dimensions:
1. Economic Sustainability: Efficient use of resources, economic growth that improves
living standards.
2. Social Sustainability: Equity, social justice, poverty reduction, access to basic
services, cultural preservation.
3. Environmental Sustainability: Protecting natural resources, biodiversity, ecosystem
integrity, mitigating climate change.

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

o Key Principles: Inter-generational equity, intra-generational equity,

precautionary principle, polluter pays principle.
o Global Initiatives:
▪ Rio Earth Summit (1992) - Agenda 21.
▪ Millennium Development Goals (MDGs) (2000-2015).
▪ Sustainable Development Goals (SDGs) (2015-2030): 17 goals, 169
targets. Universal agenda adopted by all UN member states. (NITI
Aayog is the nodal agency for SDG implementation in India).
o India's Approach: Integrating SDGs into national policies, focus on renewable
energy, climate action (National Action Plan on Climate Change),
conservation efforts.
• Participatory Development:
o Concept: An approach where stakeholders, especially local communities and
beneficiaries, are actively involved in all stages of the development process
– identification of needs, planning, implementation, monitoring, and
evaluation.
o Rationale: Enhances relevance, ownership, sustainability, and equity of
development projects. Empowers communities.
o Methods: Participatory Rural Appraisal (PRA), Rapid Rural Appraisal (RRA),
social audits, community scorecards, citizen report cards, public hearings,
involvement of Gram Sabhas.
o Linkages: Closely linked to decentralised planning and good governance.
o Challenges: Ensuring genuine participation vs. tokenism, managing diverse
interests, capacity building for participation, time-consuming nature.
• e-Governance (Electronic Governance):
o Definition: Application of Information and Communication Technology (ICT)
for delivering government services, exchange of information, communication
transactions, integration of various stand-alone systems and services between
Government-to-Citizen (G2C), Government-to-Business (G2B), Government-
to-Government (G2G), Government-to-Employees (G2E) as well as back-
office processes and interactions within the entire government framework.
o Objectives:
▪ Better service delivery to citizens.
▪ Transparency and accountability.
▪ Empowering citizens through access to information.
▪ Increased efficiency and cost-effectiveness.
▪ Improved interface with business and industry.
▪ (Often summarized as SMART governance: Simple, Moral, Accountable,
Responsive, Transparent).

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

o Models/Types of Interaction:
▪ G2C (Government to Citizen): Online services (bill payment,
certificates), information portals. E.g., MyGov.in, DigiLocker, UMANG
app.
▪ G2B (Government to Business): Online licensing, procurement, tax
filing. E.g., Government e-Marketplace (GeM), MCA21.
▪ G2G (Government to Government): Information sharing and
collaboration between government agencies. E.g., eOffice, National
e-Governance Service Delivery Gateway.
▪ G2E (Government to Employee): Managing employee records,
payroll, online training.
o Key Initiatives in India:
▪ National e-Governance Plan (NeGP) (2006).
▪ Digital India Programme (2015) – Pillars include: Broadband Highways,
Universal Access to Mobile Connectivity, Public Internet Access
Programme, e-Governance: Reforming Government through
Technology, e-Kranti (Electronic Delivery of Services), Information for
All, Electronics Manufacturing, IT for Jobs, Early Harvest Programmes.
▪ Common Service Centres (CSCs).
o Challenges: Digital divide, cybersecurity, data privacy, interoperability
issues, capacity building, change management, infrastructure gaps.
• NITI Aayog (National Institution for Transforming India):
o Establishment: January 1, 2015, replacing the Planning Commission.
o Nature: Government of India's premier policy ‘Think Tank’ providing both
directional and policy inputs. Acts as an advisory body.
o Composition:
▪ Chairperson: Prime Minister of India.
▪ Vice-Chairperson: Appointed by PM.
▪ Governing Council: Comprises CMs of all States and Lt. Governors of
UTs.
▪ Regional Councils: Formed to address specific issues impacting more
than one state.
▪ Full-time Members, Part-time Members, Ex-officio Members (Union
Ministers), CEO.
o Pillars/Key Objectives:
1. Policy & Programme Framework: Design strategic and long-term policies.
2. Cooperative Federalism: Foster involvement of States through a "bottom-up"
approach (Team India Hub).

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3. Monitoring & Evaluation: Monitor implementation of programmes, evaluate impact.

(Development Monitoring and Evaluation Office - DMEO).
4. Think Tank & Knowledge/Innovation Hub: Provide advice, encourage research,
disseminate best practices. (Knowledge and Innovation Hub).
o Differences from Planning Commission:
▪ Approach: NITI Aayog is a think tank/advisory body; Planning
Commission was more involved in resource allocation and had power
to approve state plans.
▪ State Role: NITI Aayog emphasizes cooperative federalism with
greater state involvement; Planning Commission had a more top-down
approach.
▪ Financial Powers: NITI Aayog has no power to allocate funds (done by
Finance Ministry); Planning Commission allocated funds.
o Key Initiatives/Reports: Three Year Action Agenda, Seven Year Strategy
Document, 15 Year Vision Document, SDG India Index, Aspirational Districts
Programme, Atal Innovation Mission (AIM), various indices (Health Index,
School Education Quality Index, Composite Water Management Index).
6. Public policy as an instrument of socio-economic development: Public policies with
special reference to housing, health, drinking water, food security, MGNREGA, NHRM,
RTE. Monitoring and Evaluation of Public Policy; Mechanisms of making Governance
process Accountable.
• Public Policy as an Instrument of Socio-Economic Development:
o Definition of Public Policy: A purposeful course of action (or inaction)
adopted by government in response to a perceived problem or to achieve
specific societal goals. It's "what governments choose to do or not to do."
o Role in Socio-Economic Development:
▪ Resource Allocation: Directing resources towards priority sectors
(education, health, infrastructure).
▪ Redistribution: Addressing inequalities through progressive taxation,
subsidies, social welfare programs.
▪ Regulation: Setting rules for economic activity, environmental
protection, consumer safety.
▪ Provision of Public Goods & Services: Education, healthcare,
infrastructure, law and order.
▪ Facilitation: Creating an enabling environment for private sector and
community initiatives.
▪ Empowerment: Through rights-based policies (RTE, RTI, Food
Security).
• Public Policies with Special Reference to (Key Features & Objectives):
o Housing:

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▪ Pradhan Mantri Awas Yojana - Urban (PMAY-U): Launched 2015. Aims

to provide "Housing for All" in urban areas by 2022 (now extended).
▪ Components: In-situ Slum Redevelopment (ISSR), Credit Linked
Subsidy Scheme (CLSS), Affordable Housing in Partnership
(AHP), Beneficiary-led individual house
construction/enhancement (BLC).
▪ Pradhan Mantri Awas Yojana - Gramin (PMAY-G): Launched 2016
(restructured Indira Awaas Yojana). Aims to provide pucca houses with
basic amenities to houseless households and those living in
kutcha/dilapidated houses in rural areas.
▪ Focus: Affordability, women empowerment (house in name of woman
or jointly), quality construction, convergence with other schemes
(e.g., for toilets, electricity, drinking water).
o Health:
▪ National Health Mission (NHM): Umbrella program subsuming:
▪ National Rural Health Mission (NRHM): Launched 2005. Aims
to provide accessible, affordable, and quality healthcare to
rural population, especially vulnerable groups. Focus on
strengthening primary healthcare, ASHA workers, Janani
Shishu Suraksha Karyakram (JSSK).
▪ National Urban Health Mission (NUHM): Launched 2013. Focus
on health needs of urban poor.
▪ Ayushman Bharat (2018): Two components:
1. Health and Wellness Centres (HWCs): Upgrading sub-centres and PHCs to provide
comprehensive primary healthcare.
2. Pradhan Mantri Jan Arogya Yojana (PM-JAY): World's largest government-funded
health insurance scheme. Provides health cover of ₹5 lakh per family per year for secondary
and tertiary care hospitalization. Targets poor and vulnerable families.
▪ National Health Policy 2017: Aims to achieve universal health
coverage, increase public health expenditure to 2.5% of GDP.
o Drinking Water:
▪ Jal Jeevan Mission (JJM) - Har Ghar Jal: Launched 2019. Aims to
provide functional household tap connection (FHTC) to every rural
household by 2024.
▪ Focus: Water quality, sustainability of sources, community
participation in planning and management, convergence with other
programs (e.g., Swachh Bharat Mission).
▪ Earlier Programs: National Rural Drinking Water Programme (NRDWP).
o Food Security:

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▪ National Food Security Act (NFSA), 2013: Legally entitles up to 75%

of rural population and 50% of urban population to receive subsidized
foodgrains under Targeted Public Distribution System (TPDS).
▪ Priority Households: Entitled to 5 kg of foodgrains per person
per month.
▪ Antyodaya Anna Yojana (AAY) households: Entitled to 35 kg per
household per month.
▪ Nutritional support for pregnant women, lactating mothers,
and children (Mid-Day Meal Scheme, ICDS).
▪ Grievance redress mechanisms.
▪ Public Distribution System (PDS): Network of fair price shops to
distribute subsidized foodgrains.
▪ Mid-Day Meal Scheme (now PM POSHAN): Provides cooked meals to
school children.
▪ Integrated Child Development Services (ICDS): Provides nutrition,
health, and pre-school education to young children and mothers.
o MGNREGA (Mahatma Gandhi National Rural Employment Guarantee Act),
2005:
▪ Objective: To enhance livelihood security in rural areas by providing
at least 100 days of guaranteed wage employment in a financial year
to every household whose adult members volunteer to do unskilled
manual work.
▪ Rights-based framework: Legal guarantee of employment.
Unemployment allowance if work not provided within 15 days.
▪ Key Features:
▪ Focus on creation of durable assets (water conservation,
irrigation, rural connectivity).
▪ Decentralized implementation, primarily through Gram
Panchayats.
▪ Social audit mechanism.
▪ Pro-women (at least 1/3rd beneficiaries to be women).
▪ Payment of wages through bank/post office accounts.
o NHRM (National Rural Health Mission): (Covered under Health section
above).
o RTE (Right to Education Act), 2009 - The Right of Children to Free and
Compulsory Education Act, 2009:
▪ Constitutional Basis: Article 21-A (inserted by 86th Amendment, 2002)
- makes education a Fundamental Right for children aged 6-14 years.

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▪ Objective: To provide free and compulsory elementary education of

satisfactory and equitable quality to every child.
▪ Key Provisions:
▪ Free education (no fees, no charges preventing completion of
elementary education).
▪ Compulsory admission, attendance, and completion of
elementary education.
▪ Norms and standards for schools (infrastructure, teacher-pupil
ratio, teacher qualifications).
▪ Prohibition of private tuition by teachers, capitation fees,
screening procedures for admission.
▪ 25% reservation for children from economically weaker
sections (EWS) and disadvantaged groups in private unaided
schools.
▪ Establishment of School Management Committees (SMCs).
▪ Continuous and Comprehensive Evaluation (CCE) (though this
has seen some modifications).
▪ No-detention policy (until Class 8 - since amended by
Parliament allowing states to detain if needed).
• Monitoring and Evaluation (M&E) of Public Policy:
o Monitoring: Continuous process of collecting and analyzing data on policy
implementation to track progress, identify bottlenecks, and take corrective
actions. Focuses on inputs, activities, and outputs.
o Evaluation: Periodic assessment of a policy's relevance, effectiveness,
efficiency, impact, and sustainability. Focuses on outcomes and impacts. Can
be ex-ante (before), mid-term, or ex-post (after).
o Importance:
▪ Ensures accountability.
▪ Improves policy design and implementation.
▪ Facilitates learning and evidence-based decision-making.
▪ Optimizes resource allocation.
o Tools & Techniques: Performance indicators, surveys, field visits,
management information systems (MIS), social audits, citizen report cards,
randomized control trials (RCTs), cost-benefit analysis.
o Institutions: DMEO (NITI Aayog), Programme Evaluation Organisation (PEO -
erstwhile), CAG audits, Parliamentary Committees.
• Mechanisms of making Governance process Accountable: (This largely overlaps
with topics 2 & 3, but it's good to consolidate)

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

o Formal Institutional Mechanisms:

▪ Legislative Oversight: Questions, debates, committees (PAC, EC,
COPU), budget approval.
▪ Judicial Review & PILs: Courts holding executive and legislature
accountable.
▪ Independent Oversight Bodies: CAG, CVC, CIC, NHRC, Lokpal,
Lokayuktas.
▪ Elections: Ultimate accountability to citizens.
o Citizen-Centric Mechanisms:
▪ Right to Information (RTI): Empowering citizens to seek information.
▪ Citizen Charters: Stating service delivery standards.
▪ Grievance Redressal Systems: (Ombudsman, CPGRAMS,
departmental cells).
▪ Social Audits: Community-led scrutiny of programs (especially
MGNREGA).
▪ Public Hearings/Consultations: Involving citizens in decision-making.
o Other Mechanisms:
▪ Media Scrutiny: Investigative journalism, public opinion shaping.
▪ Civil Society Activism: Advocacy, watchdogs.
▪ E-Governance & Transparency Portals: Proactive disclosure of
information.
▪ Internal Administrative Controls: Vigilance, audits within
departments.
▪ Codes of Conduct & Ethics for Public Servants.
▪ Performance Management Systems.

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JKPSC 10 + 2 Lecturer (Political Science) Tawqeer ul Islam (EACT Classes)

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