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UPSC MainsPUBLIC-ADMINISTRATION-PAPER-I202515 Marks
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Q11.

The principles of checks and balances count among the most fundamental constitutional values. Comment.

How to Approach

The answer should begin by defining checks and balances and establishing their importance as a constitutional value. The body will delve into specific mechanisms of checks and balances across the legislative, executive, and judicial branches in India, citing relevant constitutional provisions and landmark cases. It should also discuss the significance of these principles in a democracy and acknowledge associated challenges. The conclusion will summarize the importance and offer a forward-looking perspective.

Model Answer

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Introduction

The principle of checks and balances is a foundational pillar of modern constitutional governance, designed to prevent the concentration of power in any single branch of government. It ensures that while the legislative, executive, and judicial organs operate with distinct functions (separation of powers), each possesses certain powers to oversee, limit, and regulate the others. In India, this doctrine, though not explicitly mentioned, is intrinsically woven into the fabric of the Constitution, acting as a crucial safeguard against authoritarianism, protecting individual liberties, and fostering accountability, thereby upholding the democratic ethos and the rule of law.

Understanding Checks and Balances

Checks and balances are an elaborate system of overlapping powers and responsibilities designed to ensure that no single organ of the state—the Legislature, Executive, or Judiciary—exercises absolute or unbridled power. This system, integral to a democratic framework, promotes accountability, prevents misuse of authority, and protects the fundamental rights of citizens.

Constitutional Basis in India

While the Indian Constitution does not adhere to a rigid separation of powers as seen in some other democracies (like the USA), it explicitly incorporates a functional separation alongside an elaborate system of checks and balances. Several constitutional provisions and established conventions reflect this:

  • Article 50: Directs the State to separate the judiciary from the executive in public services.
  • Articles 121 and 211: Restrict the legislature from discussing the conduct of judges except in the case of impeachment.
  • Articles 122 and 212: Limit judicial review of legislative proceedings, emphasizing legislative autonomy.
  • Articles 53 and 154: Vest executive power in the President and Governor respectively.
  • Articles 124-147 and 214-231: Ensure the independence of the Supreme Court and High Courts.

Mechanisms of Checks and Balances in India

The interplay between the three branches ensures a dynamic equilibrium:

1. Legislature over Executive

  • Accountability: The Council of Ministers is collectively responsible to the Lok Sabha (Article 75).
  • Financial Control: Parliament controls the budget and financial allocations, essential for executive functioning.
  • Oversight: Through devices like Question Hour, Zero Hour, Adjournment Motions, and various Parliamentary Committees (e.g., Public Accounts Committee, Estimates Committee), the legislature scrutinizes executive actions.
  • Impeachment: Parliament can impeach the President (Article 61) and initiate removal proceedings against judges.
  • No-Confidence Motion: A motion of no-confidence can lead to the resignation of the Council of Ministers.

2. Executive over Legislature

  • Assent to Bills: The President's power to grant, withhold, or return a bill for reconsideration (Article 111) acts as a check.
  • Ordinance Making Power: The President (Article 123) can promulgate ordinances when Parliament is not in session, though these require parliamentary approval subsequently.
  • Summoning/Dissolution: The President can summon, prorogue, or dissolve the Lok Sabha.
  • Appointments: The President appoints judges, though in consultation with the judiciary.

3. Judiciary over Legislature and Executive

  • Judicial Review: The judiciary has the power to review legislative enactments and executive orders to ensure their constitutionality (Articles 13, 32, 131-136, 226, 246). If a law or action violates the Constitution, it can be declared null and void.
  • Basic Structure Doctrine: Established in the Kesavananda Bharati case (1973), this doctrine prevents Parliament from amending the fundamental features of the Constitution. Judicial review is considered part of the basic structure.
  • Writ Jurisdiction: Courts can issue various writs (Habeas Corpus, Mandamus, Prohibition, Certiorari, Quo Warranto) to enforce fundamental rights and check arbitrary executive actions (Articles 32 and 226).

4. Executive and Legislature over Judiciary

  • Appointments: The President appoints judges, involving both executive and judicial input (Collegium system).
  • Removal of Judges: Judges can be removed only through a rigorous impeachment process initiated by Parliament.
  • Parliamentary Laws: Parliament can enact laws relating to the jurisdiction and functioning of courts.
  • Pardoning Power: The President has the power to grant pardons, reprieves, respites, or remission of punishment, or to suspend, remit, or commute the sentence of any person convicted of any offense (Article 72), acting as a check on judicial errors.

Significance of Checks and Balances

The doctrine of checks and balances is paramount for several reasons:

  • Preventing Tyranny: It safeguards against the concentration of power, a precursor to authoritarianism.
  • Protecting Fundamental Rights: By ensuring adherence to the Constitution, it protects citizens' rights and liberties.
  • Promoting Accountability: Each branch is made answerable for its actions, fostering good governance.
  • Upholding Constitutionalism: It ensures that all governmental actions are within the bounds of the Constitution and the rule of law.
  • Ensuring Efficiency: While acting as a restraint, it also encourages cooperation and reasoned decision-making.

Challenges to Checks and Balances

Despite their fundamental importance, the system of checks and balances in India faces certain challenges:

  • Executive Dominance: Strong majority governments can sometimes reduce the effectiveness of legislative oversight.
  • Judicial Overreach: Critics sometimes argue that the judiciary, through judicial activism, oversteps its bounds into policy-making, blurring the lines of separation.
  • Ordinance Raj: Frequent promulgation of ordinances by the executive can bypass detailed legislative scrutiny.
  • Weakened Opposition: A diminished opposition in Parliament can weaken legislative checks.
Branch Checks on other Branches Checked by other Branches
Legislature (Parliament)
  • No-confidence motion against Executive
  • Impeachment of President and Judges
  • Budgetary control over Executive
  • Question Hour, Committees to oversee Executive
  • Presidential assent to bills
  • Judicial review of laws
  • Executive's power to summon/dissolve House
Executive (President, Council of Ministers)
  • Veto power over legislation
  • Ordinance making power
  • Appointment of Judges
  • Pardoning power
  • Collective responsibility to Legislature
  • Judicial review of executive actions
  • Legislative oversight and accountability mechanisms
Judiciary (Supreme Court, High Courts)
  • Judicial review of legislative acts and executive orders
  • Basic Structure Doctrine
  • Writ jurisdiction for Fundamental Rights
  • Appointment of judges by Executive (with judicial input)
  • Removal of judges by Parliament (impeachment)
  • Parliament's power to amend laws (within Basic Structure)

Conclusion

The principles of checks and balances are undeniably among the most fundamental constitutional values, forming the bedrock of India's vibrant democracy. They embody the constitutional morality that underpins good governance by diffusing power, promoting accountability, and safeguarding citizens' rights against potential abuses. While challenges like executive dominance or judicial overreach occasionally test these principles, their continuous evolution through constitutional practice and judicial interpretations ensures the enduring vitality of India's constitutional framework, requiring constant vigilance from all organs of the state and the citizenry.

Answer Length

This is a comprehensive model answer for learning purposes and may exceed the word limit. In the exam, always adhere to the prescribed word count.

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Additional Resources

Key Definitions

Checks and Balances
A system in constitutional governance where each branch of government (legislative, executive, and judicial) has the power to limit or oversee the actions of the other branches, thereby preventing any single branch from accumulating excessive power.
Separation of Powers
The division of governmental responsibilities into distinct branches to limit any one branch from exercising the core functions of another. In India, it's a functional separation rather than a rigid one, with mechanisms of checks and balances ensuring accountability.

Key Statistics

According to PRS Legislative Research, while 60% of the Bills were referred to committees in the 14th Lok Sabha (2004-2009), this figure dropped significantly to about 27% in the 16th Lok Sabha (2014-2019), indicating a potential weakening of legislative scrutiny. (Source: PRS Legislative Research)

Source: PRS Legislative Research

The Supreme Court of India, through its power of judicial review, has struck down numerous laws and executive actions since independence. For instance, between 2014 and 2019, the Supreme Court delivered significant rulings on issues like the National Judicial Appointments Commission (NJAC) Act, Aadhaar, and Section 377, showcasing its role in upholding constitutional checks. (Source: Various legal journals and government reports)

Source: Various legal journals and government reports

Examples

Kesavananda Bharati v. State of Kerala (1973)

This landmark judgment established the 'Basic Structure Doctrine', asserting that while Parliament has the power to amend the Constitution, it cannot alter its fundamental features. This case solidified judicial review as a crucial check on legislative power, preventing constitutional amendments from undermining the core values of the Constitution.

Judicial Review of Ordinances

In the D.C. Wadhwa case (1987), the Supreme Court critically examined the practice of re-promulgating ordinances without getting them approved by the legislature, highlighting the judiciary's role in checking executive overreach and ensuring legislative supremacy.

Frequently Asked Questions

▶What is the difference between 'separation of powers' and 'checks and balances'?

Separation of powers refers to the division of governmental authority into distinct branches (legislative, executive, judiciary) each with specific functions. Checks and balances, on the other hand, are the mechanisms that allow each branch to limit or influence the actions of the others, ensuring no single branch becomes too powerful, thus maintaining a balance.

Topics Covered

Indian Polity and GovernanceConstitutional ValuesChecks and BalancesSeparation of Powers
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