GS Notes

17. Polity Notes 05

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Elaborate Notes

A comprehensive, point-by-point explanation of the topic using an academic tone.

The Preamble: An Introduction

The Preamble to the Indian Constitution serves as an introduction and encapsulates the fundamental values, philosophy, and objectives upon which the Constitution is built. Its significance is multifold:

  • Source of the Constitution: The Preamble is based on the ‘Objectives Resolution’, a momentous resolution drafted and moved by Pandit Jawaharlal Nehru in the Constituent Assembly on December 13, 1946, and adopted on January 22, 1947. This resolution laid down the philosophical foundations and the guiding principles for framing the Constitution.
  • Essence of the Constitution: It is considered the soul or essence of the Constitution as it provides a concise summary of its core principles. For a citizen, who may find it challenging to read the entire legalistic document, the Preamble offers a key to understanding the vision of the founding fathers.
  • Scholarly Interpretations:
    • N.A. Palkhivala, an eminent jurist, famously referred to the Preamble as “the identity card of the Constitution.”
    • K.M. Munshi, a member of the Drafting Committee, described it as the “horoscope of our sovereign democratic republic.”
    • Thakur Das Bhargava, another member of the Constituent Assembly, stated, “The Preamble is the most precious part of the Constitution. It is the soul of the Constitution. It is a key to the Constitution.”

Key Components of the Preamble

1. WE, THE PEOPLE OF INDIA

  • Meaning and Implication: This opening phrase signifies the principle of popular sovereignty. It declares unequivocally that the ultimate source of all authority under the Constitution is the people of India. The Constitution was not handed down by an external power (like the British Parliament) but was framed, enacted, and adopted by the people themselves, acting through their representatives in the Constituent Assembly.
  • Historical Context: This phrase draws inspiration from the Preamble of the Constitution of the United States. It was a powerful declaration of a newly independent nation’s resolve to govern itself and shape its own destiny. The Constituent Assembly, although indirectly elected, was considered a representative body of the Indian populace.
  • Constitutional Significance: This principle establishes that all organs of the government—the Legislature, the Executive, and the Judiciary—derive their power directly or indirectly from the people and are accountable to them. It reinforces the idea that governance is based on the consent of the governed.

2. SOVEREIGN

  • Definition: Sovereignty implies that India is an independent state, free from the control of any foreign power. It has two dimensions:
    • Internal Sovereignty: The state possesses supreme and absolute authority within its territorial boundaries. It can legislate on any subject and is not subject to the control of any other internal group or authority.
    • External Sovereignty: India is free from external control. It can conduct its foreign policy, acquire or cede territory, and engage in international relations on its own terms.
  • The Globalization Debate: The modern concept of sovereignty is often debated in the context of globalization and membership in international organizations like the United Nations (UN), World Trade Organization (WTO), and the International Monetary Fund (IMF).
    • Argument against Absolute Sovereignty: Critics argue that membership in these bodies erodes national sovereignty. For instance, WTO regulations on trade (e.g., TRIPS agreement) or IMF conditions attached to loans can influence a country’s domestic economic policies.
    • The Counter-Argument: India’s sovereignty remains intact because its decision to join or leave these organizations is a voluntary act. By entering into international treaties, a nation agrees to a voluntary and partial limitation of its sovereign powers in the interest of global cooperation and order. This is an exercise of sovereignty, not its surrender.
  • Historical Fact: After independence, India’s decision to remain in the Commonwealth of Nations in 1949, with the British Monarch as its symbolic head, raised questions about its sovereign status. Prime Minister Jawaharlal Nehru clarified that this was a voluntary association and had no constitutional impact on India’s status as a sovereign republic.

3. SOCIALIST

  • Inclusion in the Preamble: The term ‘Socialist’ was not originally in the Preamble. It was added by the 42nd Constitutional Amendment Act, 1976, during the Emergency.
  • Dr. B.R. Ambedkar’s View: During the Constituent Assembly debates, Dr. Ambedkar argued against explicitly including ‘socialist’ in the Preamble. He contended that the socialist principles were already implicitly embedded in the Directive Principles of State Policy (DPSP). He believed that the path to achieving social and economic justice should be left for future generations to decide through democratic processes, rather than being rigidly enshrined in the Preamble.
  • Indian Brand of Socialism: India has adopted ‘Democratic Socialism’, not ‘Communistic Socialism’.
    • Communistic Socialism (State Socialism): This model, practiced in countries like the former USSR, involves the nationalization of all means of production and distribution and the abolition of private property. It is often achieved through authoritarian means.
    • Democratic Socialism: This philosophy, influenced by both Marxist and Gandhian thought, aims to end poverty, ignorance, disease, and inequality of opportunity. It advocates for a ‘mixed economy’ where both the public and private sectors coexist. The state plays a significant role in regulation and welfare to ensure equitable distribution of wealth.
  • Evolution of Socialism in India:
    • Pre-1991: India pursued a state-led development model with a dominant public sector, often described as ‘License Permit Quota Raj’. The state heavily controlled and regulated the private sector.
    • Post-1991: Following the economic crisis, India adopted the LPG (Liberalisation, Privatisation, and Globalisation) reforms, shifting towards a market-led economy. Critics argue this diluted India’s socialist credentials.
    • Contemporary Relevance: Proponents argue that the state’s role has merely shifted from a ‘controller’ to a ‘facilitator’ and ‘regulator’. The commitment to socialism continues through extensive welfare schemes like the Mahatma Gandhi National Rural Employment Guarantee Act (MGNREGA), the National Food Security Act (2013), and Ayushman Bharat, which aim to reduce socio-economic inequalities. The Supreme Court in D.S. Nakara v. Union of India (1983) held that the principal aim of a socialist state is to eliminate inequality in income, status, and standards of life.

4. SECULAR

  • Inclusion in the Preamble: Like ‘Socialist’, the word ‘Secular’ was also added by the 42nd Constitutional Amendment Act, 1976.
  • Constitutional Provisions: Dr. Ambedkar and other members felt that the secular nature of the Indian state was self-evident from the Fundamental Rights, particularly Articles 25 to 28, which guarantee freedom of religion to all citizens.
  • The Indian Concept of Secularism (Positive Secularism): Indian secularism is distinct from the Western model.
    • Western Concept (Negative Secularism): This model, particularly in countries like France (laïcité), implies a strict separation or ‘wall’ between the state and religion. The state does not officially recognize any religion and maintains a principled distance from religious affairs.
    • Indian Concept (Positive Secularism): This is rooted in the ancient Indian philosophy of ‘Sarva Dharma Sama Bhava’ (equal respect for all religions). The Indian state is not anti-religious or irreligious; instead, it maintains a principled distance from all religions and treats them with equal respect. The state can intervene in religious matters for social reform (e.g., banning untouchability, allowing temple entry for all castes).
  • Judicial Interpretation: The Supreme Court, in the landmark case of S.R. Bommai v. Union of India (1994), held that secularism is a part of the ‘basic structure’ of the Constitution and cannot be altered even by an amendment.
  • Challenges: Despite its constitutional ideals, the practice of secularism in India has faced challenges from communalism and the politicization of religion, a legacy partly rooted in the British ‘Divide and Rule’ policy.

5. DEMOCRATIC

  • Essence: The term implies that the Constitution establishes a form of government that derives its authority from the will of the people expressed through elections. The core principle is the sovereignty of the citizens.
  • Types of Democracy:
    • Direct Democracy: People exercise their supreme power directly. The devices of direct democracy are Referendum, Initiative, Recall, and Plebiscite. A prime example in India is the Gram Sabha at the village level.
    • Indirect (Representative) Democracy: People rule through their elected representatives. Given India’s vast size and population, the framers opted for representative democracy in the form of a parliamentary system. In this system, the executive is responsible to the legislature, which represents the people.
  • Broader Conception of Democracy: The Preamble envisions a democracy that is not just political but also social and economic.
    • Dr. B.R. Ambedkar’s Vision: In his concluding speech to the Constituent Assembly on November 25, 1949, Dr. Ambedkar powerfully argued that political democracy cannot last unless there lies at its base social democracy. He defined social democracy as a way of life which recognizes liberty, equality, and fraternity as the principles of life, forming a “trinity.” He warned that “on the 26th of January 1950, we are going to enter into a life of contradictions. In politics we will have equality and in social and economic life we will have inequality.” He stressed that this contradiction must be removed at the earliest possible moment, or else those who suffer from inequality will blow up the structure of political democracy.

Prelims Pointers

Factual data suitable for UPSC Prelims.

  • The Preamble to the Indian Constitution is based on the ‘Objectives Resolution’ moved by Jawaharlal Nehru.
  • The Preamble was adopted on November 26, 1949, along with the rest of the Constitution.
  • The Preamble has been amended only once, by the 42nd Constitutional Amendment Act, 1976.
  • The three new words added to the Preamble by the 42nd Amendment were Socialist, Secular, and Integrity.
  • N.A. Palkhivala described the Preamble as the “identity card of the Constitution.”
  • The source of the authority of the Constitution is “We, the People of India.”
  • The Preamble declares India to be a Sovereign, Socialist, Secular, Democratic Republic.
  • The objectives of the Constitution stated in the Preamble are: Justice (Social, Economic, Political), Liberty (of thought, expression, belief, faith, worship), Equality (of status and opportunity), and Fraternity.
  • Berubari Union case (1960): The Supreme Court held that the Preamble is not a part of the Constitution.
  • Kesavananda Bharati case (1973): The Supreme Court overruled its earlier decision and held that the Preamble is a part of the Constitution and can be amended under Article 368, subject to the condition that the ‘basic structure’ is not altered.
  • S.R. Bommai case (1994): The Supreme Court reiterated that the Preamble is an integral part of the Constitution and declared Secularism as a ‘basic feature’.
  • The Preamble is non-justiciable, meaning its provisions are not enforceable in any court of law.
  • The Indian model of secularism is ‘positive secularism’, which means equal respect for all religions (Sarva Dharma Sama Bhava).
  • The Indian form of socialism is ‘Democratic Socialism’, which believes in a ‘mixed economy’.

Mains Insights

Analytical perspectives suitable for GS Paper I–IV.

  1. The Preamble as the ‘Basic Structure’ and Interpretive Tool:

    • Cause-Effect: The Kesavananda Bharati case (1973) established the Preamble as a key source for identifying the ‘basic structure’ of the Constitution. This has empowered the judiciary to strike down constitutional amendments that violate the fundamental philosophy enshrined in the Preamble (e.g., secularism, democracy).
    • Historiographical Viewpoint: Jurists like D.D. Basu have argued that the Preamble is the key to opening the mind of the makers and shows the general purposes for which they made the several provisions in the Constitution. When the language of an article is ambiguous, the judiciary takes assistance from the Preamble to interpret it.

  2. Sovereignty in an Interdependent World:

    • Debate: Is the concept of absolute sovereignty a myth in the 21st century? While legally India is sovereign, practically, its policy decisions in areas like trade, environment (Paris Agreement), and human rights are influenced by international commitments and global pressures.
    • Analysis: This is not a zero-sum game. Engaging with the world and accepting certain international norms can enhance a nation’s power and influence (soft power). The challenge lies in balancing national interest with global commitments without compromising core sovereign functions. This is a key theme in GS Paper II (International Relations).

  3. The Paradox of ‘Socialism’ in a Market Economy:

    • Analysis: The inclusion of ‘Socialist’ in the Preamble by the 42nd Amendment is seen by some as a political move of the Indira Gandhi government. Its relevance is constantly debated in the post-1991 era of economic liberalization.
    • Cause-Effect: The failure of the state-led model led to the 1991 reforms. However, the widening inequality that can result from unchecked capitalism makes the socialist ideal of equitable distribution and social justice more relevant than ever. The state’s role has transformed from a provider to an enabler, using market mechanisms to fund extensive welfare programs. This tension between growth and equity is a central theme in GS Paper III (Indian Economy).

  4. Indian Secularism: A Contested Ideal:

    • Debate: Indian secularism is often criticized from two opposing viewpoints. One view alleges it engages in ‘pseudo-secularism’ (minority appeasement), while another argues that the state has failed to protect minorities from majoritarian assertion.
    • Analysis: Unlike the Western model’s ‘wall of separation’, India’s ‘principled distance’ model is complex and requires a constant balancing act. Issues like the Uniform Civil Code (UCC), communal violence, and the role of religion in politics highlight the persistent challenges in translating the constitutional ideal into social reality. This is a critical topic for GS Paper I (Communalism) and GS Paper II (Polity).

  5. Achieving Social and Economic Democracy:

    • Ambedkar’s Vision: Dr. Ambedkar’s warning about the contradiction between political equality (one person, one vote) and socio-economic inequality remains profoundly relevant.
    • Analysis: While India has sustained political democracy, the progress on social democracy (tackling caste discrimination, patriarchy) and economic democracy (reducing income inequality, ensuring dignified life for all) has been slow. The success of Indian democracy ultimately depends on fulfilling this trinity of liberty, equality, and fraternity. This connects to GS Paper II (Social Justice) and GS Paper IV (Ethical values in governance).

Previous Year Questions

Relevant questions from the last 5 years of UPSC Prelims and Mains.

Prelims

  1. The Preamble to the Constitution of India is (UPSC Prelims 2020) a) a part of the Constitution but has no legal effect b) not a part of the Constitution and has no legal effect either c) a part of the Constitution and has the same legal effect as any other part d) a part of the Constitution but has no legal effect independently of other parts Answer: (d) Explanation: The Supreme Court in the Kesavananda Bharati case (1973) held that the Preamble is a part of the Constitution. However, like the Directive Principles, it is not enforceable in a court of law on its own. It serves as an interpretive tool and has legal effect only in the context of other provisions of the Constitution.

  2. Which one of the following objectives is not embodied in the Preamble to the Constitution of India? (UPSC Prelims 2017) a) Liberty of thought b) Economic liberty c) Liberty of expression d) Liberty of belief Answer: (b) Explanation: The Preamble secures to all citizens “LIBERTY of thought, expression, belief, faith and worship.” It speaks of ‘Economic Justice’, not ‘Economic Liberty’.

  3. What was the exact constitutional status of India on 26th January, 1950? (UPSC Prelims 2021) a) A Democratic Republic b) A Sovereign Democratic Republic c) A Sovereign Secular Democratic Republic d) A Sovereign Socialist Secular Democratic Republic Answer: (b) Explanation: The original Preamble, as adopted on 26th January 1950, described India as a “SOVEREIGN DEMOCRATIC REPUBLIC.” The words ‘SOCIALIST’ and ‘SECULAR’ were added later by the 42nd Amendment in 1976.

  4. The mind of the makers of the Constitution of India is reflected in which of the following? (UPSC Prelims 2017) a) The Preamble b) The Fundamental Rights c) The Directive Principles of State Policy d) The Fundamental Duties Answer: (a) Explanation: The Preamble is widely regarded as a summary or essence of the Constitution that reflects the grand vision and philosophy of the founding fathers. It serves as a key to understanding their intentions.

  5. In the context of India, which one of the following is the correct relationship between Rights and Duties? (UPSC Prelims 2017) a) Rights are correlative with Duties. b) Rights are personal and hence independent of society and Duties. c) Rights, not Duties, are important for the advancement of the personality of the citizen. d) Duties, not Rights, are important for the stability of the State. Answer: (a) Explanation: This question relates to the philosophy of the Constitution, including the Preamble’s idea of Fraternity which implies a sense of common brotherhood and duties towards one another. The idea that rights and duties are two sides of the same coin is a core tenet of constitutional morality. Rights are not absolute and are enjoyed within a framework of social duties.

Mains

  1. Discuss the possible factors that inhibit India from enacting a uniform civil code for its citizens as provided for in the Directive Principles of State Policy. (UPSC Mains 2015, GS Paper II) Answer Framework:

    • Introduction: Define UCC as per Article 44 and explain its objective of replacing personal laws based on scriptures and customs with a common set of rules for all citizens. Link it to the Preamble’s goal of secularism and fraternity.
    • Factors Inhibiting UCC:
      • Constitutional Hurdles: Conflict with the Fundamental Right to Freedom of Religion (Article 25) and protection of minority culture (Article 29).
      • Political Factors: Lack of political consensus and fears of being perceived as anti-minority (‘pseudo-secularism’ debate). Vote bank politics often prevents parties from taking a firm stand.
      • Social and Cultural Diversity: India’s vast diversity makes it difficult to formulate a single code acceptable to all communities, including different Hindu sects and tribal groups with their own customary laws.
      • Minority Apprehensions: Religious minorities, particularly Muslims, fear that UCC might be an imposition of majoritarian (Hindu) laws and would erode their cultural identity.
      • Lack of Awareness and Consensus: Insufficient public debate and understanding about the actual content of a potential UCC lead to misinformation and fear.
    • Way Forward: Suggest a step-by-step approach, starting with codifying and reforming personal laws within communities, generating public awareness, and building consensus through dialogue, as recommended by the Law Commission.
    • Conclusion: Reiterate that while UCC is a desirable goal for national integration and gender justice, its implementation must be democratic, inclusive, and evolutionary, not coercive.

  2. What are the key features of the Preamble of the Indian Constitution? Discuss its significance in the light of various Supreme Court judgments. (Not a direct PYQ but a standard thematic question) Answer Framework:

    • Introduction: Briefly introduce the Preamble as the philosophical key to the Constitution.
    • Key Features:
      • Source of Authority: We, the People of India.
      • Nature of Indian State: Sovereign, Socialist, Secular, Democratic, Republic. Briefly explain each term.
      • Objectives: Justice (S, E, P), Liberty, Equality, Fraternity.
      • Date of Adoption: 26th November 1949.
    • Significance in light of SC Judgments:
      • Berubari Union Case (1960): Initially held as not part of the Constitution, limiting its legal significance.
      • Kesavananda Bharati Case (1973): Landmark reversal. Declared Preamble as part of the Constitution. Established it as a tool for interpreting ambiguous provisions and as the source of the ‘Basic Structure Doctrine’. This gave the Preamble immense legal and constitutional weight.
      • S.R. Bommai Case (1994): Reinforced the Preamble’s importance by declaring ‘Secularism’, a word in the Preamble, as a basic feature of the Constitution.
    • Conclusion: Conclude that from being a mere preface, the Preamble has been elevated by the judiciary to the status of the ‘soul’ of the Constitution, acting as a beacon for the legislature, a guide for the executive, and an unalterable foundation for the judiciary.

  3. The Preamble is the philosophical key to the Constitution. Examine. (UPSC Mains 2016, GS Paper IV - related theme) Answer Framework:

    • Introduction: Start by quoting a scholar like Thakur Das Bhargava who called it the ‘soul of the Constitution’. State that the Preamble encapsulates the entire philosophy of the constitutional project.
    • Political Philosophy: Explain how ‘Sovereign’, ‘Democratic’, and ‘Republic’ establish the political framework based on popular will and an elected head of state, rejecting monarchy and external control.
    • Social Philosophy: Elaborate on ‘Justice (Social)’, ‘Equality’, and ‘Fraternity’. Discuss how these aim to create a new social order free from historical hierarchies like caste and patriarchy. Link to Dr. Ambedkar’s vision of social democracy.
    • Economic Philosophy: Explain ‘Justice (Economic)’ and ‘Socialist’. Discuss the commitment to reducing wealth inequality and providing opportunities for all, steering a middle path between pure capitalism and state communism.
    • Moral/Ethical Philosophy: Discuss ‘Liberty’ (of belief, faith, worship) and ‘Dignity of the Individual’ as part of ‘Fraternity’. This reflects a commitment to humanism, tolerance, and individual worth, which are foundational ethical values.
    • Conclusion: Conclude that the Preamble is not just a legal text but a moral and philosophical declaration. It provides the ethical framework against which all laws, policies, and state actions must be judged, making it the true philosophical key to the Constitution.

  4. “Socialism as a goal of the Indian polity has been diluted over the years.” Critically analyze the statement. (Thematic question based on syllabus) Answer Framework:

    • Introduction: Define Indian ‘Democratic Socialism’ as envisioned in the Constitution, emphasizing its aim of reducing inequality and promoting social welfare within a mixed economy. Mention the addition of the word ‘Socialist’ by the 42nd Amendment.
    • Arguments for Dilution:
      • LPG Reforms (1991): Shift from state-led to market-led development, privatization of PSUs, disinvestment, and reduced state control over the economy.
      • Rising Inequality: Point to reports (like Oxfam) that show widening income and wealth gaps in the post-reform era.
      • Weakening of Labour Laws: Argue that recent labour law reforms favour capital over labour, which goes against socialist principles.
      • Reduction in Social Sector Spending: Mention periods of fiscal consolidation where spending on health and education as a percentage of GDP has been low.
    • Arguments Against Dilution (Counter-perspective):
      • Change in Method, Not Goal: Argue that the state’s method has changed, not the goal. The state now acts as a facilitator and regulator, using higher tax revenues from a growing economy to fund welfare.
      • Rights-Based Welfare Framework: Cite the enactment of powerful, rights-based welfare legislations like MGNREGA, National Food Security Act, Forest Rights Act, and schemes like Ayushman Bharat, which are massive socialist interventions.
      • Financial Inclusion: Mention schemes like Jan Dhan Yojana which aim to bring the poor into the formal economic system.
      • Progressive Taxation: India’s tax system remains progressive, a key tool for redistribution of wealth.
    • Conclusion: Conclude that while the form of Indian socialism has evolved from the pre-1991 state-centric model to a post-1991 model of ‘welfare-oriented market economy’, the fundamental constitutional goal of achieving social and economic justice remains central to the Indian polity. Therefore, it is more a transformation than a simple dilution.

  5. To what extent has the idea of ‘fraternity’ enshrined in the Preamble been realized in post-independent India? (Thematic question based on syllabus) Answer Framework:

    • Introduction: Define ‘fraternity’ as envisioned by Dr. Ambedkar – not just a feeling of brotherhood but a principle that gives unity and solidarity to social life, ensuring the dignity of the individual and the unity of the nation.
    • Progress in Realization of Fraternity:
      • Constitutional and Legal Framework: Abolition of untouchability (Art 17), fundamental rights, single citizenship, and laws preventing atrocities against SC/STs.
      • National Unity: Despite immense diversity, India has remained a united country, successfully conducting elections and witnessing peaceful transfers of power.
      • Shared Identity: A sense of ‘Indianness’ promoted through national symbols, sports, and culture has helped foster a common identity.
    • Challenges and Shortfalls:
      • Persistent Social Divisions: Continued prevalence of casteism, communalism, regionalism, and linguistic chauvinism that create social friction and violence.
      • Threats to Individual Dignity: Incidents of mob lynching, honour killings, and violence against women and marginalized sections undermine individual dignity.
      • Politicization of Identity: Use of identity politics for electoral gains often deepens social fissures rather than bridging them.
      • Economic Inequality: Vast economic disparities can strain social bonds and create a sense of alienation among the poor.
    • Conclusion: Conclude that while the constitutional ideal of fraternity has provided a crucial anchor for national unity, its full realization in social life remains an unfinished project. Achieving a truly fraternal society requires continuous efforts from the state and civil society to combat prejudice, promote social harmony, and ensure justice and dignity for every individual.

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