Alternative Dispute Resolution System

Module 1: Alternative Dispute Resolution Mechanisms Meaning,

Definition, Concept, History

Q. Explain ADR and Advantages of ADR.

Introduction to Alternative Dispute Resolution (ADR) System
When people have disagreements or conflicts, they often think of going to court to settle them.
However, there's another way to resolve disputes without going through the lengthy and
expensive process of litigation. It's called Alternative Dispute Resolution, or ADR for short.
ADR is like taking a different path to reach the same destination. Instead of going to court,
parties involved in a dispute can choose other methods to resolve their issues. These methods are
often quicker, cheaper, and less formal than traditional court proceedings.
There are several types of ADR, but the main ones include mediation, arbitration, negotiation,
and conciliation.
1. Mediation: In mediation, a neutral third party, called a mediator, helps the conflicting parties
communicate and find a mutually acceptable solution. The mediator doesn't decide who's right or
wrong but assists the parties in reaching their own agreement. Mediation is often used in family
disputes, workplace conflicts, and community disagreements.
2. Arbitration: Arbitration is more formal than mediation but less formal than court. In
arbitration, the disputing parties present their cases to one or more arbitrators who act like
judges. The arbitrator then makes a binding decision, which means both parties must abide by it.
Arbitration is commonly used in business disputes, consumer complaints, and labor conflicts.
3. Negotiation: Negotiation is the simplest form of ADR, involving direct discussions between
the parties to reach a settlement. There's no third party involved, and the parties can decide on
their own terms. Negotiation can be used in any type of dispute, from personal disagreements to
complex business deals.
4. Conciliation: Conciliation is similar to mediation, but the conciliator may take a more active
role in suggesting solutions and proposing compromises. The goal is still to help the parties reach
an agreement, but the conciliator may provide more guidance and assistance along the way.

Now, why would someone choose ADR over going to court? Well, there are several reasons:
1. Cost: Litigation can be very expensive, with legal fees, court costs, and other expenses
quickly adding up. ADR methods like mediation and negotiation are usually much cheaper since
they don't involve lengthy court proceedings or expensive lawyers.
2. Time: Court cases can drag on for months or even years, causing stress and uncertainty for all
parties involved. ADR processes are often much quicker, allowing disputes to be resolved in a
matter of days or weeks rather than months.
3. Confidentiality: ADR proceedings are usually confidential, meaning what is said and done
during the process stays between the parties involved. This can be important for sensitive matters
where privacy is a concern.
4. Control: In ADR, the parties have more control over the outcome since they're actively
involved in the decision-making process. In court, the final decision is ultimately up to the judge
or jury.
5. Preservation of relationships: ADR methods, particularly mediation and negotiation, focus
on finding solutions that work for both parties. This can help preserve relationships that might be
damaged by adversarial court proceedings.
Overall, Alternative Dispute Resolution offers a flexible and effective way to resolve conflicts
outside of the traditional courtroom setting. Whether it's through mediation, arbitration,
negotiation, or conciliation, ADR provides parties with the opportunity to find creative solutions
to their problems while saving time, money, and stress.

Advantages of ADR
1. Time-saving: ADR gets things resolved in weeks or months, unlike courts which can take
years.
2. Money-saving: ADR is cheaper because you don't need expensive lawyers or lose a lot of
work time.
3. Parties in control: In ADR, you get to share your side of the story and have a say in the final
decision, instead of lawyers or courts deciding for you.
4. Focus on important issues: ADR looks at what's really important to the people in the dispute,
not just what the law says.
5. Flexible solutions: ADR helps find creative solutions by understanding what each person
wants and why.
6. Preserve relationships: ADR encourages cooperation instead of making one person a winner
and the other a loser, which helps keep relationships intact.
7. Good results: ADR often leads to settlements, with up to 85% of cases being resolved
successfully.
8. Reduced stress: ADR saves you from the stress of going to court, which can be time-
consuming and costly.
9. Privacy: ADR keeps disputes private. Only invited people can attend, unlike court where
anyone, including the media, can come.
10. Flexible remedies: ADR can come up with solutions that courts can't, like making
businesses change their policies.
11. Participant satisfaction: People usually feel happy with ADR processes because they get to
be involved in finding a solution.
12. Access to justice: Even if you can't afford lawyers or court fees, you can still use ADR to
solve your problem.

THE LEGAL SERVICES AUTHORITIES ACT, 1987

Q. Discuss the Composition, Powers of national Legal Service Authority/ Central
Authority.
Chapter I:
Section 1. Title, extent, and commencement:
• This law is called the Legal Services Authorities Act, 1987.
• It applies to all of India.
• It starts on a date decided by the Central Government and can have different starting
dates for different parts of the law and for different states.

Section 2. Definitions:
• Case: This means a legal matter, like a lawsuit or any proceeding happening in court.
• Central Authority: It refers to the National Legal Services Authority formed under section 3.
• Court: This includes civil, criminal, or revenue courts, and also any other legal body set up
by the law to make decisions.
• District Authority: It means a District Legal Services Authority formed under section 9.
• High Court Legal Services Committee: This refers to a committee set up by the High Court
under section 8A.
• Legal Service: It means any help given in handling a legal case or any other legal matter,
including giving legal advice.
• Lok Adalat: These are special courts set up under Chapter VI of the law.
• Notification: This means an official announcement published in the Official Gazette.
• Prescribed: This refers to something stated in the rules made under this law.
• Regulations: These are rules made under this law.
• Scheme: Any plan made by the Central Authority, State Authority, or District Authority to
carry out the law's provisions.
• State Authority: It means a State Legal Services Authority formed under section 6.
• State Government: This includes the administrator of a Union territory appointed by the
President under article 239 of the Constitution.
• Supreme Court Legal Services Committee: It refers to the committee set up by the Supreme
Court under section 3A.
• Taluk Legal Services Committee: This means a committee formed at the taluk level under
section 11A.

3. Interpretation:
If this law mentions another law or its part that doesn't apply in a particular area, it will be
understood to refer to the similar law or provision that does apply there.

Chapter-II
Section 3: Composition of the National Legal Services Authority:
1. Establishment: The Central Government is responsible for establishing a body known as the
National Legal Services Authority (NALSA). This authority is tasked with carrying out the
powers and functions granted by the Legal Services Authorities Act.
2. Members of the Central Authority:
a. Patron-in-Chief: The Chief Justice of India serves as the Patron-in-Chief.
b. Executive Chairman: A serving or retired Judge of the Supreme Court, nominated by the
President in consultation with the Chief Justice of India, acts as the Executive Chairman.
c. Other Members: The Central Government, in consultation with the Chief Justice of India,
appoints additional members with the requisite experience and qualifications as prescribed.
3. Appointment of Member-Secretary: The Central Government, in consultation with the
Chief Justice of India, appoints a Member-Secretary to the Central Authority. This individual
must possess the prescribed experience and qualifications to fulfill duties assigned by the
Executive Chairman.
4. Terms and Conditions: The terms of office and other conditions related to members and the
Member-Secretary are determined by the Central Government, in consultation with the Chief
Justice of India.
5. Appointment of Officers and Employees: The Central Authority may appoint officers and
employees as prescribed by the Central Government, in consultation with the Chief Justice of
India, to effectively carry out its functions.
6. Salaries and Allowances: Officers and employees of the Central Authority are entitled to
salaries, allowances, and other conditions of service as prescribed by the Central Government, in
consultation with the Chief Justice of India.
7. Funding: Administrative expenses of the Central Authority, including salaries, allowances,
and pensions, are covered by the Consolidated Fund of India.
8. Authentication of Orders and Decisions: All orders and decisions of the Central Authority
are authenticated by the Member-Secretary or another authorized officer.
9. Validity of Actions: No act or proceeding of the Central Authority is deemed invalid due to
vacancies or defects in its constitution.

Composition of the Supreme Court Legal Services Committee:

1. Establishment: The Central Authority forms a committee called the Supreme Court Legal
Services Committee (SCLSC) to carry out specific powers and functions as determined by
regulations.
2. Members of the Committee:
a. Chairman: The Committee is chaired by a sitting Judge of the Supreme Court.
b. Other Members: Additional members, possessing the prescribed experience and
qualifications, are nominated by the Chief Justice of India.
3. Appointment of Secretary: The Chief Justice of India appoints a Secretary to the Committee,
who must possess the prescribed experience and qualifications.
4. Terms and Conditions: Terms of office and other conditions for members and the Secretary
are determined by regulations set by the Central Authority.
5. Appointment of Officers and Employees: The Committee may appoint officers and
employees as prescribed by the Central Government, in consultation with the Chief Justice of
India, to efficiently carry out its functions.
6. Salaries and Allowances: Officers and employees of the Committee are entitled to salaries,
allowances, and other conditions of service as prescribed by the Central Government, in
consultation with the Chief Justice of India.
Section 4: Power and Functions of the Central Authority.
1. Setting Policies: The Central Authority establishes policies and principles to provide legal
services as per the law.
2. Creating Schemes: It designs effective and affordable plans to offer legal services.
3. Fund Management: The Authority uses its funds and distributes money to State and District
Authorities.
4. Social Justice: It takes legal action to protect consumers, the environment, and other issues
important to vulnerable groups. It also trains social workers in legal matters.
5. Legal Aid Camps: The Authority organizes legal aid events, especially in rural areas, slums,
or labor communities. These events educate people about their rights and encourage dispute
resolution through Lok Adalats.
6. Alternative Dispute Resolution: It promotes settling disputes through negotiation,
arbitration, and conciliation.
7. Research: The Authority supports research on legal services, especially focusing on the needs
of the poor.
8. Promoting Duties: It ensures people uphold their fundamental duties as outlined in the
Constitution.
9. Monitoring Programs: The Authority checks how legal aid programs are doing and evaluates
their effectiveness. It also arranges for independent evaluations.
10. Grants: It provides financial support to social service institutions and State/District
Authorities for specific schemes under the law.
11. Legal Education: It collaborates with the Bar Council of India to develop legal education
programs and oversees legal services clinics in universities and colleges.
12. Legal Literacy: The Authority spreads legal knowledge among people, especially the less
privileged, informing them about their rights under various laws and administrative programs.
13. Engaging Volunteers: It actively involves grassroots-level social welfare institutions,
especially among marginalized groups like Scheduled Castes, Scheduled Tribes, women, and
rural and urban labor.
14. Coordination: The Authority coordinates and monitors the activities of various legal
services bodies and social service institutions, giving directions for proper implementation of
legal aid programs.
Section 5: Central Authority to Work in Coordination with other Agencies.
The Central Authority is required to collaborate with other governmental and non-governmental
organizations, universities, and other entities that are involved in supporting legal services for the
poor. This means that while carrying out its duties under this law, the Central Authority should
work together with these organizations whenever it is suitable or necessary to do so.

Chapter 3:
Q. Discuss the Composition functions of State Legal Service Authority.
Section 6: Constitution of State Legal Services Authority
Formation of State Legal Services Authority:
1. Establishment: Each State Government must create a body known as the Legal Services
Authority for the State. This authority is responsible for carrying out the powers and duties
assigned under this law.
2. Members of the State Authority:
a. Patron-in-Chief: The Chief Justice of the High Court serves as the Patron-in-Chief.
b. Executive Chairman: A serving or retired Judge of the High Court, nominated by the
Governor in consultation with the Chief Justice of the High Court, acts as the Executive
Chairman.
c. Other Members: Additional members, possessing the necessary experience and
qualifications as prescribed by the State Government, are nominated by the government in
consultation with the Chief Justice of the High Court.
3. Appointment of Member-Secretary: The State Government, in consultation with the Chief
Justice of the High Court, appoints a person from the State Higher Judicial Service, not lower in
rank than a District Judge, as the Member-Secretary of the State Authority. This individual
exercises powers and performs duties assigned by the Executive Chairman.
4. Terms and Conditions: The terms of office and other conditions related to members and the
Member-Secretary are determined by the State Government in consultation with the Chief
Justice of the High Court.
5. Appointment of Officers and Employees: The State Authority may appoint officers and
employees as prescribed by the State Government, in consultation with the Chief Justice of the
High Court, to effectively carry out its functions.
6. Salaries and Allowances: Officers and employees of the State Authority are entitled to
salaries, allowances, and other conditions of service as prescribed by the State Government in
consultation with the Chief Justice of the High Court.
7. Funding: Administrative expenses of the State Authority, including salaries, allowances, and
pensions, are covered by the Consolidated Fund of the State.
8. Authentication of Orders and Decisions: All orders and decisions of the State Authority are
authenticated by the Member-Secretary or another authorized officer.
9. Validity of Actions: No act or proceeding of a State Authority is deemed invalid due to
vacancies or defects in its constitution.

Section 7. Functions of the State Authority

1. Policy Implementation: The State Authority is responsible for implementing the policies and
directions set by the Central Authority.
2. Legal Services Provision: It provides legal services to individuals who meet the criteria
outlined in the law.
3. Conducting Lok Adalats: The State Authority organizes Lok Adalats, including those for
cases from the High Court, to facilitate dispute resolution.
4. Preventive and Strategic Legal Aid: It carries out programs aimed at preventing legal issues
and strategically providing legal aid.
5. Regulation: The State Authority may, in consultation with the Central Authority, establish
regulations to guide its functions and operations.

Section 8: State Authority to act in coordination with other agencies., etc., and be subject to
directions given by the Central Authority
1. Collaboration: The State Authority works closely with governmental agencies, non-
governmental organizations, universities, and other entities involved in supporting legal services
for the underprivileged.
2. Direction: It follows the directions provided by the Central Authority in writing while
carrying out its functions.

ChapterVLokadalats
Question: Organization of Lok Adalats.
Section 19Organization of Lok Adalats.
1. Frequency and Location:
The State Authority, District Authority, Supreme Court Legal Services Committee, High Court
Legal Services Committee, or Taluk Legal Services Committee can organize Lok Adalats as they
see fit, determining the intervals, places, and areas.
2. Composition:
Each Lok Adalat is comprised of a specific number of serving or retired judicial officers and
other individuals chosen for that area, as specified by the organizing authority.
3. Qualifications:
• For Lok Adalats organized by the Supreme Court Legal Services Committee, the
qualifications and experience of other individuals (besides judicial officers) are determined
by the Central Government in consultation with the Chief Justice of India.
• For Lok Adalats organized by other authorities, including State Authorities and District
Authorities, these qualifications and experience are set by the State Government in
consultation with the Chief Justice of the High Court.
4. Jurisdiction:
• A Lok Adalat has the authority to settle disputes and reach compromises between parties.
• It can handle cases pending before a court or matters within a court's jurisdiction that haven't
been brought before the court.
• However, Lok Adalats cannot handle cases involving offenses that cannot be settled or
compromised under the law.

Question: Cognizance of cases by Lok Adalats.

Section 20: Cognizance of cases by Lok Adalats
1. Referral by Court:
• If parties in a case agree or if one party requests, and the court believes there's a chance for
settlement, the case can be referred to Lok Adalat.
• The court can also refer a case if it deems it appropriate for Lok Adalat's consideration.
• However, before referring a case, the court must provide both parties with a reasonable
opportunity to be heard.
2. Referral by Organizing Authority:
• The authority or committee organizing the Lok Adalat may, upon receiving an application
from any party involved in a matter suitable for Lok Adalat's consideration, refer the matter to
Lok Adalat.
• Similar to court referrals, the organizing authority must give the other party a reasonable
opportunity to be heard before making the referral.
3. Proceedings in Lok Adalat:
Once a case is referred to Lok Adalat, it proceeds to dispose of the case and reach a compromise
or settlement between the parties.
4. Expedited Process:
Lok Adalats must act quickly to arrive at a compromise or settlement, guided by principles of
justice, equity, and fair play.
5. Outcome of Lok Adalat:
• If Lok Adalat fails to reach a compromise or settlement, it returns the case record to the
referring court.
• The court then resumes proceedings from the stage reached before the referral.
6. Advice to Parties:
If Lok Adalat cannot reach a settlement in matters referred to it directly, it advises the parties to
seek remedy in court.

Question: Award of Lok Adalat.

Section 21: Award of Lok Adalat
1. Legal Status:
• Every award issued by the Lok Adalat is considered equivalent to a decree of a civil court or
an order of any other court.
• If a compromise or settlement is reached through Lok Adalat, any court fees paid for the case
will be refunded as per the Court-fees Act, 1870.
2. Finality:
• Any award made by Lok Adalat is final and binding on all parties involved in the dispute.
• No appeal can be filed against the award in any court.
Question: Powers of Lok Adalat or Permanent Lok Adalat.
Section 22: Powers of Lok Adalat or Permanent Lok Adalat
Powers of Lok Adalat or Permanent Lok Adalat:

1. Similar Powers as Civil Court:

Lok Adalat or Permanent Lok Adalat possesses the same powers as a Civil Court under the Code
of Civil Procedure, 1908, when dealing with certain matters:
• Summoning and enforcing the attendance of witnesses and examining them under oath.
• Discovery and production of documents.
• Reception of evidence through affidavits.
• Requisitioning of public records or documents from any court or office.
• Any other matters as prescribed.
2. Procedure Specification:
Additionally, Lok Adalat or Permanent Lok Adalat has the authority to specify its own procedure
for resolving disputes.
3. Judicial Proceedings:
• All proceedings before Lok Adalat or Permanent Lok Adalat are considered judicial
proceedings under the Indian Penal Code.
• They are also deemed as Civil Courts for the purpose of certain provisions under the
Code of Criminal Procedure, 1973.

Chapter Vi-A Pre-Litigation Conciliation and Settlement

Q. Discuss the Provisions regarding the Pre-Litigation Conciliation and Settlement.
Section 22A. Definitions
(a) Permanent Lok Adalat: Refers to a Permanent Lok Adalat established under sub-section (1)
of section 22B.
(b) Public Utility Service: Refers to any of the following services:
• Transport service for the carriage of passengers or goods by air, road, or water.
• Postal, telegraph, or telephone service.
• Supply of power, light, or water to the public by any establishment.
 • System of public conservancy or sanitation.
• Service in a hospital or dispensary.
• Insurance service.
It also includes any service declared by the Central Government or the State Government, in the
public interest, through notification, to be a public utility service for the purposes of this Chapter.

Section 22B. Establishment of Permanent Lok Adalats

1. Notification:
• The Central Authority or the State Authority, as applicable, shall establish Permanent Lok
Adalats through notification.
• These Permanent Lok Adalats will be set up at specified places and will have jurisdiction
over one or more public utility services and designated areas.
2. Composition:
• Each Permanent Lok Adalat established for a notified area shall consist of:
• A Chairman, who is or has been a district judge, additional district judge, or held a judicial
office higher than that of a district judge.
• Two other members with adequate experience in public utility service.
• These members are nominated by the Central Government or the State Government, based on
recommendations from the Central Authority or the State Authority.
• The terms and conditions of appointment for the Chairman and other members are prescribed
by the Central Government.

Section 22C. Cognizance of cases by Permanent Lok Adalat

Procedures in Permanent Lok Adalats:
1. Application Submission:
• Any party involved in a dispute can apply to the Permanent Lok Adalat for its settlement
before initiating court proceedings.
• However, the Permanent Lok Adalat cannot intervene in matters related to non-
compoundable offenses or disputes involving property valued over ten lakh rupees, unless
notified otherwise by the Central Government after consulting the Central Authority.
2. Exclusivity of Jurisdiction:
Once an application is filed with the Permanent Lok Adalat, none of the parties can approach any
court for the same dispute.
3. Document Filing:
• The Permanent Lok Adalat directs each party to submit a written statement detailing the
facts, nature of the dispute, issues, and supporting evidence.
• Parties can supplement their statements with additional documents and evidence.
4. Conciliation Proceedings:
• After receiving statements and additional submissions, the Permanent Lok Adalat conducts
conciliation proceedings between the parties to facilitate an amicable settlement.
• These proceedings are conducted impartially, taking into account the circumstances of the
dispute.
5. Assistance in Settlement:
The Permanent Lok Adalat assists parties in reaching an amicable settlement independently and
impartially during the conciliation process.
6. Cooperation of Parties:
It's mandatory for all parties to cooperate in good faith with the Permanent Lok Adalat, including
producing evidence and relevant documents as directed.
7. Formulation of Settlement:
• If the Permanent Lok Adalat believes there's potential for settlement, it formulates settlement
terms and presents them to the parties for consideration.
• Upon agreement by the parties, a settlement agreement is signed, and the Permanent Lok
Adalat passes an award accordingly.
8. Dispute Resolution:
If the parties fail to reach an agreement, and the dispute doesn't involve a criminal offense, the
Permanent Lok Adalat proceeds to decide on the matter.

Section 22D. Procedure of Permanent Lok Adalat

The Permanent Lok Adalat, during conciliation proceedings or when deciding a dispute under
this Act, will adhere to principles such as natural justice, objectivity, fair play, equity, and other
principles of justice.
It is not bound by the procedures outlined in the Code of Civil Procedure, 1908, and the rules
regarding evidence presented in the Indian Evidence Act, 1872.
These provisions ensure that the Permanent Lok Adalat operates with flexibility and fairness,
focusing on resolving disputes amicably and justly rather than strictly adhering to formal legal
procedures.

Section 22E. Award of Permanent Lok Adalat to be final

1. Finality of Awards:
Every award issued by the Permanent Lok Adalat under this Act, whether based on merit or a
settlement agreement, is conclusive and binding on all parties involved and their successors.
2. Decree Status:
An award by the Permanent Lok Adalat is considered equivalent to a decree of a civil court,
giving it legal force and effect.
3. Majority Decision:
Awards are decided by a majority vote among the members of the Permanent Lok Adalat,
ensuring a fair and balanced resolution process.
4. Non-Challengeable:
Once an award is issued, it cannot be challenged in any original suit, application, or execution
proceeding. The decision stands as final.
5. Execution of Awards:
The Permanent Lok Adalat has the authority to transmit its awards to a civil court with local
jurisdiction, which then executes the order as if it were a decree issued by that court.

FORMS OF ADR
ADR in India
Alternative Dispute Resolution (ADR) is a technique to resolve disputes and disagreements
between the parties by arriving at an amenable settlement through negotiations and discussions.
It is an attempt to establish an alternative mechanism other than the traditional methods of
dispute resolutions. The ADR mechanism offers to facilitate the resolution of matters of business
issues and the others where it has not been possible to initiate any process of negotiation or
arrive at a mutually agreeable solution.
In India, ADR is established on the basis of Article 14 (Equality before law) and Article 21
(Right to life and personal liberty) under the Constitution of India. The Directive Principles of
State Policy (DPSP) of Equal justice and free legal aid as engraved in Article 39-A of the Indian
Constitution can also be achieved by the ADR.
Section 89. Settlement of Disputes outside the Court
1. Identification of Settlement Elements:
• If the court identifies potential elements of a settlement acceptable to both parties, it
formulates the terms of the settlement.
• The formulated terms are presented to the parties for their input.
2. Referral for Different Modes of Settlement:
After receiving observations from the parties, the court may reformulate the terms and refer the
matter for:
• Arbitration
• Conciliation
• Judicial settlement, including settlement through Lok Adalat
• Mediation
3. Applicable Procedures:
• For arbitration or conciliation, the procedures outlined in the Arbitration and Conciliation
Act, 1996, apply.
• If referred to Lok Adalat, the court follows the procedures specified in section 20(1) of the
Legal Services Authority Act, 1987.
• Judicial settlement involves referral to a suitable institution or individual, which operates as a
Lok Adalat under the Legal Services Authority Act, 1987.
• In cases of mediation, the court facilitates a compromise between the parties, adhering to
prescribed procedures.

ADR PROCEDURES

a. Negotiation
Negotiation is a process of communication and interaction between two or more parties who
have conflicting interests or objectives, with the goal of reaching a mutually acceptable
agreement or settlement. It involves discussing issues, exchanging offers and proposals, and
making concessions in an effort to find common ground and resolve differences. Negotiation can
occur in various contexts, including business, legal disputes, international relations, and
everyday interpersonal interactions.
Negotiation can take various forms, ranging from informal discussions between individuals to
formal negotiations conducted by representatives or mediators. It is a dynamic and interactive
process that requires patience, empathy, and strategic thinking to navigate effectively. Successful
negotiation can lead to improved relationships, enhanced understanding, and sustainable
resolutions to conflicts.
Alternative Dispute Resolution (ADR) is a method used to resolve disputes outside of traditional
court litigation. Negotiation is a key component of ADR, offering parties the opportunity to
reach a mutually acceptable resolution through discussion and compromise. Here's how the
negotiation process typically unfolds in ADR:
1. Voluntary Participation: Negotiation in ADR begins with the voluntary participation of the
parties involved. They may choose to engage in negotiation willingly or may be encouraged or
required by law or contract to do so. This voluntary aspect allows for a more cooperative
atmosphere compared to adversarial court proceedings.
2. Identifying Interests and Issues: The negotiation process starts with each party identifying
their interests, concerns, and objectives related to the dispute. This involves understanding what
each party wants to achieve and why. Parties also identify the specific issues that need to be
addressed for a satisfactory resolution to be reached.
3. Communication and Dialogue: Negotiation relies heavily on open communication and
dialogue between the parties. They may meet face-to-face, through their legal representatives, or
with the assistance of a neutral third party facilitator. During these discussions, parties articulate
their perspectives, concerns, and proposed solutions.
4. Exploring Options and Trade-offs: Parties explore various options for resolving the dispute
and consider potential trade-offs. This may involve proposing different solutions, concessions, or
compromises to address the interests and concerns of both sides. The goal is to find solutions that
meet the underlying needs and objectives of each party to the greatest extent possible.
5. Bargaining and Concessions: Negotiation often involves a process of bargaining, where
parties make offers and counteroffers in an attempt to reach agreement. Bargaining may involve
adjusting demands, offering incentives, or making concessions in exchange for reciprocal
concessions from the other party. This back-and-forth exchange is aimed at narrowing
differences and finding common ground.
6. Reaching Agreement: The negotiation process continues until the parties reach a mutually
acceptable agreement or settlement. This agreement may be formalized in writing and signed by
the parties involved. It outlines the terms of the resolution, including any actions or obligations
each party must undertake to implement the agreement.
7. Closure and Implementation: Once an agreement is reached, the negotiation process
concludes, and the parties move towards implementing the terms of the settlement. This may
involve fulfilling any commitments outlined in the agreement, such as making payments,
providing goods or services, or taking specific actions to resolve the underlying dispute.
Overall, negotiation in ADR offers parties a flexible and collaborative approach to resolving
disputes, empowering them to actively participate in finding solutions that meet their interests
and needs while avoiding the time, expense, and adversarial nature of traditional court litigation.

b. Mediation
Alternative Dispute Resolution (ADR) encompasses various methods for resolving conflicts
outside of traditional court litigation, with mediation being one of the most widely used and
effective approaches. Mediation is a voluntary and confidential process in which a neutral third
party, known as the mediator, facilitates communication and negotiation between disputing
parties to help them reach a mutually acceptable agreement.
In mediation, the mediator does not impose a decision but instead assists the parties in
identifying issues, exploring interests, and generating options for resolution. The process
typically begins with an opening session where the mediator explains the ground rules,
establishes trust and rapport with the parties, and ensures that everyone understands their roles
and expectations. Each party then has the opportunity to present their perspective on the dispute,
including their concerns, interests, and desired outcomes.
Once the parties have expressed their positions, the mediator guides them through a series of
structured discussions aimed at clarifying issues, identifying common ground, and brainstorming
potential solutions. The mediator may use various communication and problem-solving
techniques to facilitate productive dialogue and help parties overcome barriers to agreement.
These techniques may include active listening, reframing, reality testing, and summarizing key
points.
Throughout the mediation process, the mediator remains impartial and does not take sides or
advocate for any particular outcome. Instead, they focus on fostering open communication,
promoting understanding, and empowering parties to make informed decisions about how to
resolve their dispute. Mediators may also help parties explore underlying interests, address
emotional issues, and manage conflicts constructively to improve the likelihood of reaching a
settlement.
Mediation is known for its flexibility and adaptability to the needs of the parties involved. It
allows for creative and customized solutions that may not be available through traditional
litigation. Parties have the freedom to design their own agreements, tailor-made to address their
unique interests and concerns. This flexibility encourages collaboration and empowers parties to
take ownership of the resolution process.
Confidentiality is a fundamental aspect of mediation. Parties can speak openly and honestly
without fear of their statements being used against them in court. Mediators are bound by strict
confidentiality rules, and information shared during mediation cannot be disclosed without the
parties' consent. This confidentiality promotes candor, encourages parties to explore settlement
options freely, and protects their privacy.
Ultimately, the goal of mediation is to reach a mutually acceptable agreement that meets the
needs and interests of all parties involved. If an agreement is reached, it is typically documented
in writing and signed by the parties, creating a legally enforceable contract. If no agreement is
reached, parties can still pursue other dispute resolution options, such as arbitration or litigation.
Mediation Process
Introduction and Opening Session: The process begins with an introductory meeting where the
mediator explains the ground rules, establishes rapport with the parties, and clarifies the roles
and expectations of everyone involved. This session sets the tone for the mediation and helps
create a conducive environment for constructive dialogue.
Statement of the Problem: Each party has the opportunity to present their perspective on the
dispute, including their concerns, interests, and desired outcomes. This allows parties to express
their views openly and helps the mediator gain a comprehensive understanding of the issues at
hand.
Joint Discussion and Exploration: The mediator facilitates joint discussions where parties have
the opportunity to communicate directly with each other in a controlled and respectful manner.
The mediator helps clarify misunderstandings, identify common ground, and explore underlying
interests to move towards resolution.
Private Caucuses (if needed): At times, the mediator may conduct private caucuses with each
party separately to delve deeper into their interests, concerns, and potential settlement options.
These private sessions allow parties to express themselves more freely and may help bridge gaps
in understanding.
Negotiation and Option Generation: The mediator guides parties through a negotiation process
where they explore various options for resolving the dispute. Parties brainstorm potential
solutions, evaluate alternatives, and work together to find creative and mutually acceptable
agreements.
Reaching Agreement: If parties are able to reach a settlement, the mediator helps draft a written
agreement that captures the terms and conditions of the resolution. Parties have the opportunity
to review and finalize the agreement, ensuring that it accurately reflects their intentions and
meets their needs.
Closure and Follow-Up: Once an agreement is reached, the mediation process concludes with a
closing session where parties reaffirm their commitment to the settlement and express their
satisfaction with the process. The mediator may provide guidance on implementing the
agreement and offer resources for resolving any future disputes.
Mediator Style:
1. Facilitator: Facilitative mediators focus on guiding the mediation process while empowering
the parties to make their own decisions. They prioritize open communication, active listening,
and collaborative problem-solving. Facilitators ask probing questions, help parties identify their
underlying interests, and encourage them to generate mutually acceptable solutions. The
facilitative style emphasizes self-determination and fosters a sense of ownership over the
resolution process among the parties.
2. Instigator: Instigator mediators take a more proactive approach to stimulate discussion and
prompt action from the parties. They may introduce new ideas, proposals, or creative solutions to
encourage progress during mediation. Instigators are adept at identifying potential areas of
agreement and motivating parties to explore options for resolution. While instigator mediators
can inject energy and momentum into the process, they must balance their interventions to avoid
dominating the discussion or overshadowing the parties' autonomy.
3. Evaluator: Evaluative mediators offer assessments, feedback, or opinions on the strengths and
weaknesses of each party's position, as well as the likely outcomes if the dispute were to proceed
to litigation. They draw on their expertise in law, industry practices, or relevant subject matter to
provide insights into the case's merits and potential settlement options. Evaluative mediators may
assist parties in evaluating the risks and benefits of various settlement proposals, helping them
make informed decisions. While this approach can expedite settlement discussions and provide
clarity, evaluative mediators must ensure they do not unduly influence the parties or undermine
their autonomy.
4. Referee: Referee mediators adopt a more authoritative role in managing the mediation process
and enforcing procedural rules or guidelines. They maintain order, ensure fair treatment of all
parties, and resolve disputes over procedural matters or communication breakdowns. Referees
may intervene to clarify misunderstandings, redirect unproductive discussions, or enforce
agreements reached during mediation. While referees play a crucial role in maintaining the
integrity and effectiveness of the mediation process, they must exercise their authority
judiciously to preserve the parties' trust and confidence in the process.

c. Conciliation
Conciliation is a method of alternative dispute resolution (ADR) aimed at resolving conflicts
outside of traditional court proceedings. It involves the intervention of a neutral third party,
known as the conciliator, who facilitates communication, assists in identifying issues, and helps
the parties reach a mutually acceptable agreement. Conciliation is often used in commercial
disputes, labor conflicts, family matters, and community disputes.
The process of conciliation typically begins with the parties voluntarily agreeing to participate in
the process. Unlike arbitration, conciliation is non-binding, meaning the parties are not obligated
to accept any proposed settlement. Instead, the conciliator works to foster an atmosphere of
cooperation and trust, encouraging open dialogue and constructive negotiation.
One of the primary goals of conciliation is to facilitate communication between the parties,
allowing them to express their concerns, interests, and perspectives in a structured and respectful
manner. The conciliator listens actively to each party's position, asks clarifying questions, and
helps them understand each other's viewpoints. By promoting effective communication, the
conciliator lays the foundation for constructive problem-solving and mutual understanding.
Another key aspect of conciliation is the identification of issues and interests underlying the
dispute. The conciliator helps the parties explore the root causes of their disagreement, uncover
common ground, and prioritize their needs and goals. By focusing on interests rather than rigid
positions, conciliation encourages creative solutions that address the underlying concerns of all
parties involved.
Once the issues have been clarified and the parties' interests have been identified, the conciliator
assists them in generating options for resolution. This may involve brainstorming potential
solutions, exploring compromises, or considering alternative approaches to meet the parties'
needs. The conciliator may offer suggestions or propose ideas to facilitate the negotiation
process, but ultimately, the parties retain control over the outcome and are free to accept or reject
any proposed settlement.
Throughout the conciliation process, the conciliator remains neutral and impartial, refraining
from imposing their own opinions or judgments on the parties. Instead, they act as a facilitator,
guiding the discussion, managing emotions, and maintaining a balanced power dynamic between
the parties. By fostering a collaborative and non-adversarial environment, conciliation
encourages the parties to work together towards a mutually acceptable solution.
Once the parties have reached a tentative agreement, the conciliator helps them formalize the
terms of the settlement and ensure that it is clear, comprehensive, and legally enforceable. While
the agreement reached through conciliation is not legally binding unless the parties choose to
formalize it through a separate legal process, it serves as a valuable tool for resolving disputes
amicably and preserving ongoing relationships.
In summary, conciliation is a flexible and collaborative process that empowers parties to resolve
their differences with the assistance of a neutral third party. By promoting communication,
understanding, and creative problem-solving, conciliation offers a constructive alternative to
traditional litigation and helps parties achieve mutually beneficial outcomes while preserving
their autonomy and dignity.
 STRUCTURE POWER AND FUNCTIONS OF OMBUDSMAN

Q. Discuss the need of Ombudsman. Explain the Institution of Ombudsman in India.

Introduction:
The concept of an Ombudsman originates from Sweden, where the term "Ombudsman"
translates to "representative" or "agent of the people." Over time, this institution has been
adopted by numerous countries worldwide as a means to uphold the principles of accountability,
transparency, and fairness in governance. The Ombudsman serves as a bridge between the
government and the citizens, providing a mechanism for individuals to voice their grievances
against administrative malpractice, corruption, or human rights violations. Ombudsman is a
significant institution that plays a crucial role in ensuring accountability, transparency, and
fairness in governance. It serves as an independent body that investigates complaints against
government agencies and public officials, providing citizens with a mechanism to seek redressal
for grievances.
Meaning of Ombudsman:
An Ombudsman is an independent and impartial authority appointed to investigate complaints
against government agencies, public officials, or organizations. This official is tasked with
ensuring that public administration operates in accordance with established laws, regulations,
and ethical standards. The Ombudsman functions as a guardian of citizens' rights, advocating for
accountability and fairness in the delivery of public services. The term "Ombudsman" originates
from Swedish and means "representative" or "agent of the people." In essence, an Ombudsman
acts as a watchdog over government activities, ensuring that they operate in accordance with
established laws and regulations.
The Ombudsman's role extends beyond mere investigation; it also involves mediation,
conciliation, and making recommendations for corrective action. By providing an avenue for
citizens to seek redressal for grievances, the Ombudsman helps to enhance public trust in
government institutions and promotes good governance practices. Overall, the Ombudsman
serves as a safeguard against abuse of power, corruption, and maladministration, contributing to
the maintenance of a just and equitable society.
Importance of Ombudsman:
a. Power and Duties:
The Ombudsman possesses the authority to investigate complaints lodged by individuals against
government agencies, public officials, or organizations.
This official has the power to summon witnesses, request documents, and conduct inquiries into
alleged instances of maladministration, corruption, or human rights violations.
Through its investigative role, the Ombudsman helps to uncover instances of abuse of power,
procedural irregularities, or violations of citizens' rights.
The Ombudsman can make recommendations for corrective action, including disciplinary
measures against erring officials, policy reforms, or improvements in administrative processes.
b. Nature/Status of Ombudsman:
The Ombudsman operates independently of the government and other public institutions,
ensuring impartiality and autonomy in its investigations.
It is typically appointed by the legislature or through a statutory framework, with provisions in
place to safeguard its independence from undue influence.
The Ombudsman's decisions and recommendations carry significant weight and are often
respected by government agencies and officials due to its reputation for impartiality and fairness.
While the Ombudsman lacks the power to enforce its recommendations directly, its moral
authority and public scrutiny often compel government bodies to implement its findings and
remedies.
c. Development:
The institution of the Ombudsman has evolved and expanded globally, with many countries
establishing their own versions to address issues of administrative accountability and citizen
empowerment.
Over time, the scope of the Ombudsman's mandate has broadened to encompass various sectors,
including healthcare, education, law enforcement, and environmental protection.
The development of Ombudsman institutions reflects a growing recognition of the need for
effective mechanisms to address citizens' grievances and ensure transparency and accountability
in governance.
d. Defects:
Despite its significance, the Ombudsman may face challenges related to resource constraints,
bureaucratic resistance, and limitations in its investigative powers.
The effectiveness of the Ombudsman may be compromised in authoritarian regimes or contexts
where government institutions lack transparency and accountability.
In some cases, the Ombudsman's recommendations may not be implemented fully or in a timely
manner, undermining public confidence in its ability to effect meaningful change.
Critics argue that the Ombudsman's reliance on voluntary compliance by government agencies
may limit its effectiveness in addressing systemic issues of corruption or maladministration.
 LOK-PAL AND LOKAYUKTA
LOKPAL
1. Recommendation of Interim Report of Administrative Reform Commission.
The Administrative Reforms Commission (ARC) was established in 1966 with a focus on
addressing public grievances. In its initial report, the ARC emphasized the need for a mechanism
to handle complaints against administrative actions. This led to the recommendation of the
creation of an Ombudsman-type institution known as the Lokpal and Lokayukta.
The concept of the Ombudsman institution is rooted in the principle of administrative
accountability to parliament. An Ombudsman, appointed by the legislature, serves as an
independent officer responsible for investigating complaints against administrative and judicial
actions.
The ARC proposed that the Lokpal and Lokayukta would handle complaints against ministers
and Secretaries to the government at the central and state levels, respectively. The key features of
these institutions, as outlined by the ARC, include:
1. Independence and Impartiality: The Lokpal and Lokayukta should demonstrate
independence and impartiality in their functioning to ensure fair and unbiased investigations.
2. Private Proceedings: Investigations and proceedings conducted by these institutions should
be private and uniform in character to maintain confidentiality and integrity.
3. Non-political Appointment: The appointment of Lokpal and Lokayukta should be non-
political, minimizing political interference and ensuring credibility.
4. Comparable Status: The status of Lokpal and Lokayukta should be equivalent to the highest
judicial functionary in the country, emphasizing their importance and authority.
5. Jurisdiction: These institutions should address matters involving acts of injustice, corruption,
and favoritism in the discretionary field of administration.
6. Freedom from Judicial Interference: Their proceedings should not be subject to judicial
interference, granting them autonomy in carrying out their duties.
7. No Benefit from Executive Government: Lokpal and Lokayukta should not anticipate any
benefit or financial advantage from the executive government, ensuring their independence from
undue influence.
These features were proposed to equip Lokpal and Lokayukta with the necessary authority and
credibility to effectively address grievances and ensure accountability in administrative actions.
The establishment of the Lokpal at the Central level has been a long and arduous process, with
multiple attempts made since 1968 based on the recommendations of the Administrative
Reforms Commission (ARC). Various bills were introduced in Parliament over the years, but
they did not progress due to the dissolution of the house before a final decision could be reached.
In 2013, spurred by widespread public protests led by anti-corruption activist Anna Hazare and
the India Against Corruption movement, the Lokpal Bill was passed in both the Rajya Sabha and
Lok Sabha. It received presidential assent on January 1, 2014, and came into force on January
16, 2014.
The primary objective of the Lokpal is to provide speedy and cost-effective justice to the people.
To ensure the independence of the office, several provisions have been incorporated:
1. Appointment Process: The Lokpal is appointed based on the recommendation of a
committee.
2. Ineligibility for Certain Posts: The Lokpal cannot hold any office of profit under the
Government of India or any state, or similar posts after retirement.
3. Fixed Tenure: The Lokpal serves a fixed term of three years and can only be removed on
grounds of proven misbehavior or incapacity after an inquiry conducted by the Chief Justice of
India and two senior-most judges of the Supreme Court.
4. Administrative Machinery: The Lokpal has its own administrative machinery for conducting
investigations.
5. Funding: The salary of the Lokpal is charged on the Consolidated Fund of India.
6. Limitation Period for Complaints: Complaints of offenses committed within ten years from
the date of the complaint can be investigated, not beyond this period.
7. Scope of Complaints: Any person, other than a public servant, can make a complaint to the
Lokpal. The Lokpal is mandated to complete the inquiry within six months.
8. Powers: The Lokpal has the power to summon any person or authority, order search and
seizure operations, and recommend actions to be taken by the competent authority after
investigation.
9. Reporting: The Lokpal presents annual reports of investigations and actions taken to both
houses of Parliament.
It's important to note that the Lokpal investigates cases of corruption only and does not address
grievances related to injustices and hardships caused by maladministration.

Appointment of Lokpal and Service Condition

The structure of the Lokpal is designed to ensure its effectiveness and integrity in addressing
corruption issues in India. Here are the key aspects of its structure:
1. Composition: The Lokpal is a multi-member body comprising one chairperson and a
maximum of eight members.
2. Qualifications for Chairperson: The chairperson of the Lokpal must be either a former Chief
Justice of India, a former Judge of the Supreme Court, or an eminent person with impeccable
integrity and exceptional expertise. This person should have at least 25 years of experience in
areas such as anti-corruption policy, public administration, vigilance, finance (including
insurance and banking), law, and management.
3. Composition of Members: Half of the Lokpal's members are judicial members, and at least
50% of all members must come from marginalized communities such as Scheduled Castes (SC),
Scheduled Tribes (ST), Other Backward Classes (OBC), minorities, and women. Judicial
members are either former Supreme Court judges or former Chief Justices of High Courts, while
non-judicial members are eminent individuals with similar qualifications as the chairperson.
4. Term of Office: The term of office for the Lokpal chairperson and members is five years or
until they reach the age of 70, whichever comes first.
5. Appointment Process: The President appoints the chairperson and members based on the
recommendation of a Selection Committee. This committee is chaired by the Prime Minister and
includes the Speaker of the Lok Sabha, the Leader of the Opposition in the Lok Sabha, the Chief
Justice of India or a judge nominated by them, and one eminent jurist.
6. Selection Procedure: To assist in the selection process, the Selection Committee forms a
search panel comprising at least eight individuals. This panel helps identify suitable candidates
for the positions of chairperson and members.

7. Jurisdiction
The jurisdiction of the Lokpal extends to various categories of individuals and entities within the
central government. Here are the key points regarding its jurisdiction:
1. Coverage of Individuals: The Lokpal has jurisdiction over a wide range of individuals,
including the Prime Minister, Ministers, members of Parliament (MPs), and officers and officials
of the Central Government belonging to Groups A, B, C, and D.
2. Exclusions for Prime Minister: While the Lokpal can investigate allegations of corruption
against the Prime Minister, there are certain exceptions. The Prime Minister is not subject to
Lokpal jurisdiction regarding allegations related to international relations, security, public order,
atomic energy, and space.
3. Immunity for Parliament Proceedings: The Lokpal does not have jurisdiction over
Ministers and MPs regarding anything said or any vote given in Parliament. This ensures that
parliamentary proceedings are not unduly influenced by the Lokpal's jurisdiction.
4. Entities Covered: In addition to individuals, the Lokpal's jurisdiction extends to bodies or
societies set up by central acts or financed/controlled by the central government. This includes
individuals involved in acts of abetting, giving, or taking bribes within these entities.
5. Asset Declarations: The Lokpal Act mandates that all public officials covered under its
jurisdiction, including the Prime Minister, Ministers, MPs, and other government officers, must
furnish details of their assets and liabilities, as well as those of their dependents. This
transparency measure aims to prevent and detect instances of corruption and illicit wealth
accumulation.
By ensuring that the Lokpal comprises individuals with diverse expertise and backgrounds,
including judicial and non-judicial members, and by incorporating provisions for representation
from marginalized communities, the structure aims to enhance the institution's credibility,
independence, and effectiveness in combating corruption at the highest levels of government.

Matters Excluded from the Jurisdiction:

• Action relating Foreign Government.
• Action taken under Foreigners Act & Extradition Acts
• Action taken for the investigation of Crime.
• Exercise for power to determine whether the matter shall go to Court or not.
• Action relating to Commercial relation governed by Contract.
• Action taken relating to Appointment, Removal etc. of Personnel.
• A Discretionary action except where there has been not Exercise of Discretion at all.

Failure of Lokpal Bill

The Lokpal Bill, despite its significance and aims, has faced several challenges and criticisms,
leading to its perceived failure in achieving its intended objectives. Here are some reasons why
the Lokpal Bill has faced setbacks:
1. Delayed Implementation: One of the primary issues with the Lokpal Bill has been the
significant delay in its implementation. While the bill was passed in 2013 and received
presidential assent, the establishment of the Lokpal institution and its operationalization took
several years. Delays in appointments, bureaucratic hurdles, and administrative challenges
slowed down the process, leading to frustration among the public.
2. Limited Jurisdiction: The Lokpal's jurisdiction, as defined by the bill, has been criticized for
its limitations. Certain key areas, such as the Prime Minister's office (except in specific cases),
lower-level bureaucrats, and state-level corruption, are excluded from its purview. This
limitation has been seen as weakening the Lokpal's effectiveness in tackling corruption
comprehensively.
3. Lack of Autonomy: Concerns have been raised regarding the autonomy of the Lokpal
institution. The process of appointing Lokpal members and the chairperson involves political
authorities, raising questions about the independence and impartiality of the institution. Without
complete autonomy, the Lokpal may face interference or influence from political parties or
government bodies, undermining its effectiveness.
4. Inadequate Resources: The Lokpal may lack the necessary resources, including funding,
infrastructure, and manpower, to effectively carry out its mandate. Insufficient resources could
hinder its investigative capabilities, slow down complaint processing, and limit its outreach and
awareness efforts, reducing its overall impact.
5. Legal and Procedural Challenges: Legal complexities and procedural bottlenecks have also
hampered the Lokpal's functioning. Ambiguities in the legislation, overlapping jurisdictions with
other anti-corruption agencies, and delays in legal proceedings have created obstacles in
addressing corruption cases effectively.
6. Public Perception and Trust: Despite its establishment, the Lokpal may still struggle to gain
public trust and confidence. Perceptions of inefficiency, political interference, or selective
targeting of individuals may erode public faith in the institution, reducing its credibility and
effectiveness as an anti-corruption mechanism.
Overall, while the Lokpal Bill represented a significant step towards combating corruption in
India, its implementation has been fraught with challenges and limitations, leading to concerns
about its efficacy and impact in addressing systemic corruption effectively.

LOKAYUKTA
The Lokayukta is an anti-corruption organization in Indian states. It was created by the Lokpal
and Lokayuktas Act, 2013 to investigate corruption allegations against public officials.
Corruption is a big problem in India because it affects stability, development, and democracy.
The Lokayukta is like a watchdog to stop corruption and maladministration.
The idea of Lokayukta came from Ombudsmen in Scandinavian countries. Ombudsmen are
appointed to protect citizens from government wrongdoing. Lokayukta was recommended by the
First Administrative Reforms Commission (ARC) to fight corruption. States have the freedom to
set up their own Lokayukta systems, and many states had already done so before the law was
passed.
Lokayukta's structure varies from state to state. Usually, it's headed by a former judge and has
members with legal or administrative expertise. Some states also have Up-Lokayukta. The
Lokayukta's job is to investigate corruption cases but not general grievances. They have their
own staff to help with investigations.
There are challenges for Lokayukta. They need cooperation from the state government to get
information and take action on their recommendations. A constitutional amendment has been
proposed to make Lokayukta uniform across all states.
After many efforts, the Lokpal and Lokayuktas Act, 2013 became law on January 1, 2014. It
aims to fight corruption and promote transparency in government.
The Lokpal and Lokayukta Act, 2013, also known as the Lokpal Act, aims to establish Lokpal
for the Union and Lokayukta for states to investigate corruption allegations against government
officials. This law applies to all of India and covers public servants both within and outside the
country. Lokayukta, along with other agencies like the Income Tax Department and the Anti-
Corruption Bureau, acts as a watchdog against corruption and helps people report corruption
cases.
However, the structure and role of Lokayuktas vary across states. There was an attempt to
standardize Lokayuktas based on a model legislation, but it faced opposition from state
governments. Without the central government's leadership and state consent, achieving
uniformity seems difficult.
• Experts have made suggestions to improve Lokayuktas:
• Former ministers and civil servants should be covered by the legislation.
• The Chief Minister should be under Lokayukta's jurisdiction.
• Lokayuktas should have the power to start inquiries on their own.
• They should have independent investigation agencies or ensure speedy investigations by
other agencies.
• Government officials should prioritize Lokayukta's requests and face consequences for
delaying information.
• A committee should monitor the implementation of Lokayukta's recommendations.
In 2016, the Lokpal and Lokayuktas Act, 2013 was amended to include certain provisions. One
provision allows the leader of the single largest opposition party in the Lok Sabha/Legislative
Assembly to be a member of the selection committee if the leader of the opposition is absent.
Public servants are also required to declare their assets and liabilities to ensure transparency.
The structure of Lokayukta varies across states in India. Some states like Rajasthan, Karnataka,
Andhra Pradesh, and Maharashtra have both Lokayukta and Up-Lokayukta, while others like
Uttar Pradesh and Himachal Pradesh have only Lokayukta. Jammu and Kashmir doesn't have
Lokayukta or Up-Lokayukta.
To assist Lokayukta and Up-Lokayukta, Madhya Pradesh has four functional wings:
1. Administrative and Enquiry Section: Headed by a Secretary, assisted by Deputy Secretary,
Under Secretary, and other staff.
2. Legal Section: Deals with legal matters and enquiries, staffed by officers from the High Court.
3. Special Police Establishment (SPE): Investigates certain offences affecting public
administration and corruption cases. Led by a Director General or Additional Director General of
Police.
4. Technical Cell: Deals with technical inquiries, headed by a Chief Engineer.
Additionally, there are seven Divisional Committees in Madhya Pradesh that handle complaints
referred to them by Lokayukta or Up-Lokayukta.
Lokayukta and Up-Lokayukta are appointed by the Governor of the state after consulting the
Chief Justice of the High Court and the Leader of Opposition in the Legislative Assembly. They
are considered equivalent to Judges of the Supreme Court and High Court and are independent of
the legislature and executive.
Qualifications for Lokayukta vary across states, with some states prescribing judicial
qualifications while others don't. Their term of office is usually five years or until they reach the
age of 70, whichever is earlier, and they cannot be reappointed for a second term.
The jurisdiction of Lokayukta also varies:
1. Chief Minister's inclusion within Lokayukta's jurisdiction varies across states.
2. Ministers and higher civil servants are included in most states, with Maharashtra also
including former ministers and civil servants.
3. Members of state legislatures are included in some states.
4. Authorities of corporations, companies, and societies are included in most states' jurisdiction.
Lokayukta reports to the state legislature, presenting its annual report, and its recommendations
are usually accepted by the House.

THE LOKPAL BILL, 2011

SECTION 3. ESTABLISHMENT OF LOKPAL

The Lokpal, established under the Lokpal and Lokayuktas Act, 2013, is a body tasked with
addressing corruption at the highest levels of government in India. Here's an overview of its
composition and eligibility criteria:
1. Composition:
• The Lokpal consists of a Chairperson and a certain number of Members, not exceeding eight.
• The Chairperson must be either a former Chief Justice of India, a former Judge of the
Supreme Court, or an eminent person who meets the eligibility criteria specified in clause (b)
of subsection (3).
• At least fifty percent of the Members of the Lokpal must be from among persons belonging
to Scheduled Castes, Scheduled Tribes, Other Backward Classes, Minorities, and women.
2. Eligibility Criteria:
• Judicial Members: Eligible candidates for Judicial Membership include former Judges of the
Supreme Court or former Chief Justices of High Courts.
• Other Members: Those eligible for Membership, excluding Judicial Membership, must
possess impeccable integrity, outstanding ability, and specialized knowledge and expertise of
at least twenty-five years in areas such as anti-corruption policy, public administration,
vigilance, finance (including insurance and banking), law, and management.
3. Disqualifications:
• Members of Parliament or State Legislatures, individuals convicted of offences involving
moral turpitude, persons under the age of forty-five, members of Panchayats or
Municipalities, and those removed or dismissed from Union or State service are ineligible.
• Additionally, Chairpersons and Members cannot hold any other office of profit, be affiliated
with any political party, engage in business activities, or practice professions, unless they
sever ties before assuming office.
The establishment of the Lokpal and the stringent eligibility criteria aim to ensure the
independence, integrity, and expertise of its members in effectively tackling corruption at the
highest levels of governance in India.

JURISDICTION IN RESPECT OF INQUIRY

The Lokpal, established under the Lokpal and Lokayuktas Act, 2013, has the authority to
investigate allegations of corruption against certain public officials. Here's a breakdown of the
matters it can inquire into:
1. Inquiry Scope:
The Lokpal can investigate any complaint alleging corruption against:
• Current or former Prime Ministers, Union Ministers, Members of Parliament, and certain
public servants at Group 'A' and 'B' levels.
• Officers and officials working in bodies, boards, corporations, or companies established by
Parliament or funded or controlled by the Central Government.
• Directors, managers, or officers of societies, trusts, or associations receiving significant
government aid or donations from the public or foreign sources.
However, certain exclusions apply:
• Complaints against the Prime Minister related to specific areas like international relations,
security, public order, atomic energy, and space require approval from a full bench of the
Lokpal.
• Matters concerning Members of Parliament's speech or votes in Parliament are not within
Lokpal's purview.
• The Lokpal cannot investigate matters pertaining to State government officials without the
State Government's consent.

2. Scope Limitations:
The Lokpal cannot investigate matters covered under the Commissions of Inquiry Act, 1952.
Complaints under the Lokpal Act are only applicable during the public servant's tenure in office.
3. Expanded Jurisdiction:
The Lokpal can also investigate individuals involved in abetting, giving bribes, taking bribes, or
conspiring in corruption cases, even if they are not public officials under certain conditions.
However, such action requires the consent of the relevant State Government if the person serves
within a State's jurisdiction.
This section outlines the Lokpal's authority to inquire into corruption allegations against
specified public officials and others involved in corrupt practices, subject to certain limitations
and conditions.

LOKPAL NOT AN EFFECTIVE TOOL AGAINST CORRUPTION

The Lokpal, envisioned as a powerful weapon against corruption in India, has faced criticism for
not living up to its potential. Despite its establishment under the Lokpal and Lokayuktas Act,
2013, many argue that it has not been as effective as hoped. Here's why:
1. Limited Scope:
The Lokpal's jurisdiction is limited to investigating corruption allegations against certain high-
ranking officials, such as Prime Ministers, Union Ministers, Members of Parliament, and specific
public servants. However, corruption permeates all levels of society, from top government
officials to grassroots bureaucrats. By focusing primarily on high-profile cases, the Lokpal may
overlook systemic corruption at lower levels, where it is often most prevalent.
2. Complex Procedures:
The process of lodging a complaint with the Lokpal can be daunting for ordinary citizens. It
requires navigating through bureaucratic hurdles and legal formalities, which can deter many
from coming forward with allegations of corruption. Moreover, the investigation and
adjudication processes can be lengthy and cumbersome, leading to delayed justice and frustration
among complainants.
3. Political Interference:
The appointment of Lokpal members and the Chairperson is subject to political influence, as
they are appointed by a selection committee consisting of high-ranking officials, including the
Prime Minister and the Leader of the Opposition. This raises concerns about the independence
and impartiality of the Lokpal, as its effectiveness may be compromised by political
considerations.
4. Resource Constraints:
The Lokpal's effectiveness is hindered by resource constraints, including inadequate funding and
staffing. Without sufficient resources, the Lokpal may struggle to conduct thorough
investigations and prosecute cases effectively. This lack of capacity undermines its ability to
serve as a credible deterrent against corruption.
5. Limited Enforcement Powers:
While the Lokpal can investigate corruption allegations and recommend action against offenders,
it lacks the power to enforce its decisions. It relies on other government agencies, such as law
enforcement and prosecution authorities, to implement its recommendations. However, these
agencies may not always act promptly or effectively, leading to impunity for corrupt officials.
6. Public Awareness and Participation:
Many citizens remain unaware of the Lokpal's existence or how to access its services. Without
widespread awareness and public participation, the Lokpal's impact is limited. Additionally, fear
of reprisal or retaliation may deter whistleblowers from reporting corruption, further
undermining the Lokpal's effectiveness.
7. Complex Legal Framework:
The legal framework governing the Lokpal's operations is complex and may be subject to
interpretation and manipulation. Legal loopholes and procedural ambiguities can be exploited to
evade accountability, weakening the Lokpal's ability to hold corrupt individuals accountable.
The Lokpal, established under the Lokpal and Lokayuktas Act, 2013, is a body tasked with
combating corruption in India. Let's break down the key provisions regarding its composition
and eligibility criteria for members:
1. Establishment of Lokpal:
The Act mandates the establishment of the Lokpal, a body designated to address corruption-
related matters.
2. Composition of Lokpal:
The Lokpal comprises:
A Chairperson: Who must have served as a Chief Justice of India, a Judge of the Supreme
Court, or be an eminent person fulfilling specific eligibility criteria.
Members: Not exceeding eight in number, with at least fifty percent being Judicial Members.
3. Eligibility Criteria:
Judicial Member: Must have served as a Judge of the Supreme Court or as the Chief Justice of a
High Court.
Non-Judicial Member: Must possess impeccable integrity, exceptional ability, and at least
twenty-five years of expertise in anti-corruption policy, public administration, vigilance, finance
(including insurance and banking), law, and management.
4. Disqualifications:
The Chairperson or Members of the Lokpal must not:
• Be members of Parliament or state legislatures.
• Have been convicted of any offense involving moral turpitude.
• Be below forty-five years of age upon assuming office.
• Hold office in a Panchayat or Municipality.
• Have been removed or dismissed from Union or State services.
• Hold any other office of trust or profit, be affiliated with a political party, conduct
business, or practice a profession concurrently.

Before assuming office, appointed individuals must:

• Resign from any office of trust or profit.
• Sever connections with any ongoing business ventures.
• Cease practicing any profession.