LOKPAL AND LOKAYUKTAS

INTRODUCTION

• Corruption has been a persistent challenge in India, weakening governance, development and public trust.
• To address this, India adopted the concept of an independent ombudsman on the lines of the Scandinavian Ombudsman and the Parliamentary Commissioner for Investigation in New Zealand.
• At the Union level, this institution is called Lokpal, and at the state level, Lokayukta. Together, they are meant to provide a powerful mechanism for redressing corruption-related complaints against public authorities.

EVOLUTION OF THE IDEA OF LOKPAL

• 1960s – Initial proposal
  – The idea of a constitutional ombudsman was first proposed in Parliament in the early 1960s by Law Minister Ashok Kumar Sen.
  – The terms Lokpal and Lokayukta were coined by Dr L. M. Singhvi.

• Administrative Reforms Commission (ARC), 1966–1970
  – The First ARC recommended creation of two independent authorities:
    (a) Lokpal at the Centre
    (b) Lokayukta in the states
  – Purpose: to look into complaints against public functionaries, including Members of Parliament.

• Early Lokpal Bills and repeated failures
  – 1968: First Lokpal Bill was passed by the Lok Sabha but lapsed with its dissolution.
  – Subsequently, the Bill was introduced multiple times but lapsed again and again.
  – Till 2011, eight attempts were made, but none became law.

• Important committees and commissions
  – 2002: Commission to Review the Working of the Constitution (M. N. Venkatachaliah Commission)
    • Recommended appointment of Lokpal and Lokayuktas.
    • Suggested keeping the Prime Minister outside Lokpal’s ambit.
  – 2005: Second Administrative Reforms Commission (Veerappa Moily)
    • Strongly recommended early establishment of the Lokpal.

• Civil society pressure and Anna Hazare movement
  – 2011: India Against Corruption movement led by Anna Hazare created massive public pressure on the UPA government.
  – This ultimately led to the passing of the Lokpal and Lokayuktas Bill, 2013.

• Enactment
  – The Lokpal and Lokayuktas Bill, 2013 was passed by both Houses of Parliament.
  – It received Presidential assent on 1 January 2014.
  – The Act came into force on 16 January 2014.
  – The Act provides for the establishment of Lokpal for the Union and Lokayuktas for the states.

OBJECTIVES AND SIGNIFICANCE OF LOKPAL

• To provide an independent and credible mechanism to investigate allegations of corruption against high public offices.
• To strengthen public confidence in the integrity of government institutions.
• To complement existing anti-corruption institutions like CVC, CBI and vigilance wings.
• To bring the highest political executive, senior bureaucracy and other public functionaries under a common anti-corruption framework.

APPOINTMENT OF LOKPAL

• Lokpal is appointed by the President of India.
• Appointment is based on the recommendation of a high-level Selection Committee.

Selection Committee composition:
• Prime Minister – Chairperson
• Speaker of Lok Sabha – Member
• Leader of Opposition in Lok Sabha – Member
  – If there is no recognised Leader of Opposition, the leader of the single largest opposition party is included (Lokpal and Lokayuktas Amendment Act, 2016).
• Chief Justice of India or a Judge of the Supreme Court nominated by him/her – Member
• One eminent jurist – Member

• Search Committee:
  – To assist the Selection Committee, a Search Committee of at least eight persons is constituted.
  – The Department of Personnel and Training (DoPT) prepares an initial list of interested and eligible candidates.
  – The Search Committee shortlists names and submits them to the Selection Committee.
  – The Selection Committee may or may not confine itself to the names suggested by the Search Committee.

STRUCTURE AND COMPOSITION OF LOKPAL

• Lokpal is a multi-member body.
• It consists of:
  – One Chairperson
  – Up to eight Members

Qualifications for Chairperson:
• Must be either:
  – Former Chief Justice of India, or
  – Former Judge of the Supreme Court, or
  – An eminent person with:
    • Impeccable integrity.
    • Outstanding ability.
    • Special knowledge and expertise of at least 25 years in areas such as:
      – Anti-corruption policy
      – Public administration
      – Vigilance
      – Finance, including insurance and banking
      – Law
      – Management

Qualifications for Members:
• Out of the maximum eight Members:
  – Half shall be Judicial Members.
  – At least 50 percent of Members shall be from:
    – Scheduled Castes
    – Scheduled Tribes
    – Other Backward Classes
    – Minorities
    – Women

• Judicial Members:
  – Must be either:
    • Former Judge of the Supreme Court, or
    • Former Chief Justice of a High Court.

• Non-judicial Members:
  – Eminent persons with impeccable integrity and outstanding ability.
  – At least 25 years of experience in fields such as anti-corruption policy, public administration, vigilance, finance (including insurance and banking), law or management.

TENURE, SERVICE CONDITIONS AND REMOVAL

Tenure:
• Chairperson and Members hold office for 5 years or until they attain the age of 70 years, whichever is earlier.
• They are not eligible for reappointment as Lokpal.
• However, a Member can be appointed as Chairperson, subject to age limit and remaining tenure.

Salaries and allowances:
• Chairperson’s salary, allowances and conditions of service are equivalent to those of the Chief Justice of India.
• Members’ salary, allowances and conditions of service are equivalent to those of a Judge of the Supreme Court.
• All expenses of the Lokpal are charged on the Consolidated Fund of India, which provides financial independence.

Removal:
• Lokpal Chairperson or Members can be removed by the President.
• A petition signed by at least 100 Members of Parliament can be submitted to the President.
• The President then refers the matter to the Supreme Court for inquiry.
• If the Supreme Court, after inquiry, finds the Lokpal Chairperson or Member guilty of misbehaviour or other specified grounds, the President can order removal.

JURISDICTION OF LOKPAL

Persons covered:
• Prime Minister (with some exceptions).
• Union Ministers.
• Members of Parliament.
• All categories of Central Government officials:
  – Group A, B, C and D officers and officials.
• Personnel of bodies:
  – Any body or society set up by an Act of Parliament.
  – Any body or society financed or controlled by the Central Government.
• Any person involved in acts of abetting, bribe-giving or bribe-taking in relation to public servants.

Prime Minister:
• Lokpal can inquire into allegations of corruption against the Prime Minister, except in cases involving:
  – International relations.
  – External and internal security.
  – Public order.
  – Atomic energy.
  – Space.
• Complaint against the Prime Minister:
  – Cannot be probed unless the full bench of Lokpal considers the initiation of an inquiry.
  – At least two-thirds of the Lokpal Members must approve the inquiry.
  – Inquiry, if conducted, is held in camera (not in public).
  – If the complaint is dismissed, records of the inquiry are not to be published or shared.

Parliamentary privilege:
• Lokpal has no jurisdiction over Ministers or MPs regarding anything said or any vote given in Parliament.
• This preserves parliamentary freedom of speech and internal autonomy.

ASSET DECLARATION

• The Lokpal Act mandates that all public officials must furnish details of:
  – Their own assets and liabilities, and
  – Assets and liabilities of their dependents.
• This requirement is aimed at increasing transparency and making it easier to detect disproportionate assets.

POWERS AND FUNCTIONS OF LOKPAL

Investigative powers:
• Lokpal has superintendence and direction over the Central Bureau of Investigation (CBI) in matters referred by it.
• It can direct CBI to investigate cases of corruption.
• Lokpal can recommend transfer of officers of CBI in cases where integrity of investigation is suspected.

Inquiry Wing:
• Lokpal’s Inquiry Wing has powers similar to a civil court, including:
  – Summoning and enforcing attendance of persons.
  – Requiring discovery and production of documents.
  – Receiving evidence on affidavits.
  – Requisitioning public records from any office.

Search, seizure and protection of records:
• Lokpal can order search and seizure of documents and property related to a corruption case.
• It can issue directions to prevent destruction or tampering of records during preliminary inquiry or investigation.

Confiscation of assets:
• Lokpal has the power to recommend confiscation of assets, proceeds or benefits obtained through corrupt means in special circumstances, in accordance with law.

HOW DOES THE LOKPAL INQUIRY PROCESS WORK

Step 1: Receipt of complaint
• Lokpal may receive a complaint from any person against a public servant.
• It can also act on references from the government or suo motu in some situations (practically, it mostly acts on complaints).

Step 2: Preliminary inquiry
• Lokpal may order a preliminary inquiry, to be completed within 90 days.
• The inquiry may be carried out by:
  – Lokpal’s own Inquiry Wing, or
  – Any other agency such as CBI or vigilance agencies.

Step 3: Decision after preliminary inquiry
• After the preliminary inquiry report is received, Lokpal may:
  – Order a full investigation by an agency.
  – Recommend departmental proceedings against the public servant.
  – Direct any other appropriate action by the competent authority.
  – Or, close the complaint if it finds no merit.

Step 4: Investigation and prosecution
• On completion of investigation, the agency concerned submits a report to Lokpal.
• Lokpal may:
  – File a charge sheet or closure report in the Special Court.
  – Recommend disciplinary action.
  – Monitor progress of prosecution.

AMENDMENTS UNDER LOKPAL AND LOKAYUKTAS (AMENDMENT) ACT, 2016

Key changes:
• Leader of the single largest opposition party in the Lok Sabha is included in the Selection Committee if no recognised Leader of Opposition exists.
• Section 44 of the 2013 Act (asset declaration) was amended:
  – Earlier: Public servants had to furnish details of assets and liabilities within 30 days of joining.
  – Now: They are required to declare assets and liabilities in the form and manner and within the time prescribed by the government.

• Trustees and board members of NGOs:
  – Those receiving government funds above a specified limit (more than Rs 1 crore) or foreign funding above Rs 10 lakh must also declare assets.
  – Time limits for such declarations have been relaxed and can be specified by the government.

LIMITATIONS AND CRITICISM OF LOKPAL

• Delay in operationalisation:
  – Although the Act came into force in 2014, appointment of the first Lokpal was delayed for several years, reflecting lack of political urgency.

• Political influence in appointment:
  – The Selection Committee is dominated by political functionaries.
  – Definition of terms like “eminent jurist” and “person of integrity” is vague, creating scope for subjective choices.

• Limited coverage of Prime Minister:
  – Exclusion of key areas such as national security and foreign relations from scrutiny may dilute accountability at the top level.

• Judiciary excluded:
  – The judiciary, including higher courts, is outside the jurisdiction of Lokpal.
  – This leaves a major pillar of the State outside this anti-corruption framework.

• Whistleblower protection concerns:
  – The Act does not provide strong and explicit protection to whistleblowers.
  – Provision for inquiry against the complainant, if the allegation is found false or malicious, could have a chilling effect and discourage genuine complaints.

• No constitutional status:
  – Lokpal is a statutory body, not a constitutional one.
  – Constitutional backing could have provided greater stability, autonomy and protection from future dilution.

• Limitation period:
  – Complaints cannot be registered after seven years from the date of the alleged offence.
  – This may allow many older but serious cases of corruption to go unexamined.

• Overlap with other institutions:
  – Overlapping jurisdiction with CVC, CBI and departmental vigilance may create confusion unless there is effective coordination.

LOKAYUKTAS IN STATES

Introduction:
• Lokayukta is the state-level anti-corruption ombudsman.
• Aim: To investigate allegations of corruption and maladministration against state-level public functionaries.

Historical background:
• Maharashtra was the first state to establish Lokayukta in 1971.
• Odisha passed the Lokayukta Act in 1970, but it came into force only in 1983.
• The Lokpal and Lokayuktas Act, 2013 requires each state to establish a Lokayukta within one year, but many states have been slow or partial in implementation.

APPOINTMENT AND TENURE OF LOKAYUKTA

• Lokayukta and Upa-Lokayukta (deputy Lokayukta) are generally appointed by the Governor.
• The Governor consults:
  – Chief Justice of the High Court.
  – Leader of Opposition in the State Legislative Assembly.
  – In some states, consultation may also include the Chief Minister and Speaker.

• Security of tenure:
  – Once appointed, Lokayukta cannot be easily removed or transferred by the state government.
  – Removal usually requires a motion of impeachment or an address by the state legislature, ensuring independence.

• Term:
  – Common pattern: 5 years or 65 years of age, whichever is earlier.
  – Generally, not eligible for reappointment.

STRUCTURAL AND JURISDICTIONAL VARIATIONS

• There is no uniform model of Lokayukta across states.
• Jurisdiction differs from state to state.

Coverage may include:
• Chief Minister (included in some states, excluded in others).
• State Ministers.
• Higher civil servants and state-level bureaucracy.
• Members of the State Legislature in some states.
• Authorities of local bodies, corporations, companies and societies in some states.

FUNCTIONING AND POWERS OF LOKAYUKTA

• Lokayukta usually:
  – Receives complaints from citizens about corruption or abuse of office.
  – Conducts investigations with the help of state investigating agencies.
  – Can call for files, documents and records from state government departments.
  – Submits annual or special reports to the Governor.
  – Reports are laid before the State Legislature, making the Executive accountable.

• Nature of powers:
  – In most states, decisions and recommendations of Lokayukta are advisory and not legally binding.
  – Effectiveness depends on political will and administrative response.

LIMITATIONS OF LOKAYUKTA

• Limited suo motu powers:
  – In many states (like Uttar Pradesh, Himachal Pradesh, Assam), Lokayukta cannot start an investigation on its own and must wait for a complaint.

• Restricted jurisdiction:
  – In some states (Himachal Pradesh, Andhra Pradesh, Rajasthan, Gujarat), Lokayukta deals only with allegations of corruption and not general grievances of maladministration.

• Advisory nature:
  – Recommendations are not binding, which can lead to non-implementation.
  – Lack of enforcement powers weakens deterrence.

• Resource constraints:
  – Many Lokayuktas face shortage of staff, budget and technical support, affecting the speed and quality of investigations.

• Political resistance:
  – Investigations against powerful political leaders or senior officers may face subtle or open resistance.
  – Reports may be delayed, diluted or ignored.

REFORMS SUGGESTED BY LOKAYUKTAS (2012 CONFERENCE)

In the 11th All India Lokayukta Conference (2012), around 16 Lokayuktas jointly recommended several measures to strengthen the institution:

• Make Lokayukta the nodal agency for receiving all corruption complaints in the state.
• Give Lokayukta jurisdiction over state-level investigative agencies to avoid conflict and delay.
• Bring all levels of bureaucracy under Lokayukta’s jurisdiction.
• Grant powers of search and seizure and powers to initiate contempt proceedings to ensure cooperation.
• Provide administrative and financial autonomy to Lokayukta.
• Bring NGOs and other bodies receiving substantial government funds under Lokayukta’s purview.

OVERALL SIGNIFICANCE OF LOKPAL AND LOKAYUKTAS

• They create an independent mechanism for investigating corruption at both Union and state levels.
• They complement existing institutions, thereby strengthening the overall integrity system.
• Their mere presence acts as a deterrent against abuse of public office.
• If effectively implemented, they can:
  – Improve public trust in governance.
  – Promote clean administration.
  – Support the broader goal of good governance and rule of law.

WAY FORWARD AND CONCLUSION

• Ensure timely and transparent appointment of Lokpal and Lokayuktas with a fair and non-partisan process.
• Give functional, financial and investigative autonomy to these institutions so that they can work without fear or favour.
• Strengthen whistleblower protection laws to encourage citizens and officials to report corruption.
• Bring greater clarity in the relationship between Lokpal, CBI, CVC and departmental vigilance to avoid overlap and delay.
• Consider providing constitutional status or stronger statutory safeguards to prevent future dilution.
• Encourage states, including Odisha, to adopt strong and uniform Lokayukta laws, covering Chief Minister, Ministers, MLAs, senior bureaucracy and major local bodies.

Lokpal and Lokayuktas represent an important step in India’s long struggle against corruption. Their effectiveness, however, depends less on the law alone and more on political will, institutional capacity and active public support. For OPSC aspirants, they are a key topic linking polity, governance, ethics and current affairs, and can be used to enrich answers on transparency, accountability and institutional reforms.

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Subject: Polity

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