Professional Documents
Culture Documents
Öffentliche Verwaltung
Öffentliche Verwaltung
Unit 1
1
AN INTRODUCTION TO PUBLIC
ADMINSTRATION
Meaning & Scope
Unit Structure 0.1 Introduction
0.2 Definition of Public Adminstration
0.3 Scope of Public Adminstration
0.4 Role and Importance of Public Adminstration.
0.5 Unit End Questions
OBJECTIVE
Public Adminstration is an activity as old as human civilization. In
modern age it became the dominant factor of life. To Study about
meaning, scope and importance of Public Adminstration is the main
objective of this unit.
1.1 INTRODUCTION
Public Adminstration as independent Subject of a social science
has recent origin. Traditionly Public Adminstration was considered
as a part of political science. But in Modern age the nature of
state-under went change and it became from police stale to social
service state. As a consequence, the Public Adminstration,
irrespective of the nature of the political system, has become the
dominant factor of life. The modern political system is essentially
bureaucratic and characterised by the rule of officials. Hence
modern democracy has been described as executive democracy
or bupeaucratic democracy. The adminstrative branch, described
as civil service or bureaucracy is the most significant component of
governmental machinery of the state.
1.2 Meaning of Public Adminstration :Administer is a English word, which is originated from the Latin
word ad and ministrare. It means to serve or to manage.
Adminstration means mangement of affairs, public or private.
Various definitions of Public Adminstration are as follows1.2.1 : Prof. Woodrow Wilson, the pioneer of the social science of
Public Adminstration says in his book The study of Public
2
Adminstration, published in 1887 Public Adminstration is a
detailed and systematic application of law.
1.2.2 : According to L. D. White Public Adminstration consists of all
those operations having for their purpose the fulfilment of public
policy as declared by authority. Both above definitions are done
from traditional viewpoint and related only to the functions and
actions of Adminstration.
Following thinkers have taken a broard view while defining Public
Adminstration 1.2.3: According to Simon - By Public Adminstration is meant the
activities of the executive branches of the national, state, & local
governments.
According to Willough - Public Adminstration in broadest sense
denotes the work involved in the actual conduct of governmental
affairs, and in narrowest senses denotes the operations of the
administrative branch only.
1.2.4 : According to Gullick Public Adminstration is that part of the science of administration
which has to do with government and thus, concerns itself primarily
with the executive branch where the work of the government is
done.
1.2.5 : According to Waldo Public Adminstration is the art and science of mangement as
applied to the affairs of the state.
1.2.6 : Marshall E. Dimock Administration is concerned with what and How of the
government. The what is the subjectmatter, the technical
knowledge of afield which enables the administrator to perform his
tasks. The How is the technique of management according to
which co-operative programmes are carried to success.
2.2.7 : Conclusion :All above modern definitions of Public Adminstration emphasize the
value based character of Public Adminstration and Public
Adminstration as a science and art of administration. A close scrutin
of the definitions reveal that Public Adminstration has following
important characteristics or features.
1.2.8 : Important characteristics of Public Adminstration :1. It is part of executive branch of government.
2. It is related with the activities of the state.
3. It carries out the public policies.
4. It realise the aspirations of the people as formulated and
5.
6.
4
3. S stands for staffing It means the recruitment and training of the staff and maintenance
of favourable conditions of work for the staff.
4. D stands for Directing It means the continuous task of making decisions and embodying
them in specific and general orders and instructions, and thus
guiding the enterprise.
5. Co stands for Co-ordination It means interrelating the various parts of organization such as
branches, divisions, sections of the work and elimination of
overlapping.
6. R stands for Reporting It means informing the authority to whom the executive is
responsible as to what is going on.
7. B stands for Budgeting It means accounting, fiscal planning and control.
Evaluation POSDCORB Perspective about the Scope of Public Adminstration
is limited and narrow. It stressed on the tools of Public
Adminstration. It does not show the substance of administration. It
is a technique oriented perspective, not a subject oriented.
1.3.4 :
2. Broad perspective or subject - oriented perspective :Prof. Woodrow Wilson, L D While are main exponent of this
perspective. They have taken a very broad approach about the
scope of Public Adminstration.
According to them (A) Public Adminstration covers all three
branches of the government. Legislative, Executive and Judicial
and their interrelationship. Legislative organ makes the laws,
Executive organ of the government implements the laws. and
Judicial organ of the government interprets the laws. There is
interrelationship between these three organs.
B) Scope of Public Adminstration is like a cooperative group. It
consist of all from class one officer to class four employees.
C) Public Adminstration is a part of the political process. It has an
important role in the formulation of public policy at all levels, from
national to grassroot. It is closely associated with numerous private
groups and individuals in providing services to the community. It
has been influenced in recent years by the human relations
approach.
5
1.3.5 :
3. Prevailing view :Prevailing view divides the scope of Public Adminstration into two
parts.1) Administrative theory
2) Applied administration
1. Adminstrative theory It includes the following aspects.
a) Organisational Theory The Structure, organization, functions and methods of all types of
public authority engaged in administration, whether national,
regional or local and executive.
b) Behaviour The functions of adminstrative authorities and the various methods
appropriate to different types of functions. The various forms of
control of administration.
c) Public Personal Adminstration The problems concerning personnel e.g. recruitment, training,
promotion, retirement etc. and the problems relating to planning,
research, information and public relation services.
2. Applied administration It includes the following aspects :a) Political functions It includes the executive - legislative relationship, administrative
activities of the cabinet, the minister and permanent official
relationship.
b) Legislative function It includes delegated legislation and the preparatory work done by
the officials in connection with the drawing up of bills.
c) Financial functions It includes total financial administration from the preparation of the
budget to its execution, accounting and audit etc.
d) Defence - Functions relating to military adminstration.
e) Educational function - It includes functions relating to educational
administration.
f) Social welfare administration It includes the activities of the departments concerned with food;
housing, social security and development activities.
6
g) Economic Adminstration It is concerned with the production and encouragement of industries
and agriculture.
h) Foreign administration It includes the conduct of foreign affairs, diplomacy, international
cooperation etc.
i) Local administration It concern with the activities of the local self-governing institutions.
1.3.6 : Conclusion :The modern state cannot confine its field of activities to only
maintenance of law and order, dispensation of justice, collection of
revenue and taxes. The modern state is expected to provide more
and more services and amenities to the people. This results in
tremendous growth both in the governmental responsibilies as well
as in the administrative machinery of the state. Naturally the scope
of public administration is increased.
1.3.7 :
Table - Scope of Public Adminstration
Three perspectives
1
Narrow perspective
or
POSDCORB
Broad perspective
1) Planning
2) Organisation
3) Staffing
4) Directing
5) Co-ordination
6) Reporting
7) Budgeting
Exponent - LutherGullick
View - Technique Oriented
Adminstrative Theory
1. Organisational Theory
2. Behaviour
3. Public personal
Adminstration.
Applied administration
1. Political functions
2. Legislative
3. Financial
4. Defence
5. Educational
6. Social Welfare
7. Economic
8. Foreign Administration
9. Local
7
1.7 : Role and Importance of Public Adminstration In todays modern state and in developing countries functions and
role of Public Adminstration is very important. The role and
importance of Public Adminstration are as follows.
1. It is the basis of government.
2. It is the instrument of change in the society.
3. It plays vital role in the life of the people.
4. It is an instrument for executing laws, policies, programmes of
the state.
5. It is a stabilising force in the society as it provides continuity.
6. It is instrument of national integration in the developing countries
which are facing classwars.
1. It is the basis of Government It is possible for a state to exist without a legislature or judiciary; but
not even the most backward state can do without administrative
machinery. The modern state cannot confine its field of activities to
merely maintenance of law and order, dispensation of Justice,
collection of revenue and taxes and participation in welfare
activities. The modern welfare state is expected to provide more
and more services and amenities to the people. Public
Adminstration is the machinery used by the state to place itself in a
position to make plans and programmes that can be carried out.
2. It is the instrument of change in the society Public Adminstration is regarded as an instrument of change and is
expected to accelerate the process of development. In our country,
the government has undertaken the task of levelling down the
economic inequalities, spreading education among all abolishing
untouchability securing equality of status, rights of women and
effective and all round economic and industrial development. The
burden of carrying out these social changes in a planned and
orderly way rests upon the Public Adminstration of the country. The
success of Indian democracy will depend not only on the wisdom of
the legislature but more on the capability and sense of purpose on
the part of the Adminstration.
3. It plays vital role in the life of the people Today every aspect of human life come within the range of Public
Adminstration. Various departments of government such as
education, social welfare, food, agriculture, health, sanitation,
transport, communication etc. are run by the department of Public
Adminstration. Thus Public Adminstration is rendering various types
of services to the people from birth to death of an individuel.
4. It is a stabilizing force in the society as it provides continuity
Public Adminstration is carried on by the civil servants who are the
permanent executives. Political executives i.e. ministers may come
and go, systems of government or constitutions may under go
change but administation goes on for ever. Hence, Public
8
Adminstration is a great stabilising force in society. It is a preserver
of the society and its culture.
5. It is instrument of national integration in the developing
countries which are facing classwars
Conclusion The success of governement is dependent on the ability of public
administration. The future of civilized government rests upon the
ability, to develop a service and philosophy and a practice of
adminstration competent to discharge the Public functions of
civilized society.
1.5 : QUESTIONS UNIT END QUESTIONS
1.
2.
3.
Module 1
Unit 2
2
CHANGING NATURE OF PUBLIC
ADMINISTRATION
Unit structure :2.0 Objective :2.1 Introduction
2.2 Changing nature of Public Administration
2.3 Comparative Public Administration
2.4 Development Administration
2.5 New Public Administration
2.6 Unit End Questions
2.0 OBJECTIVE
Today every aspect of human life is within the range of public
administration. In that context we should understand the changing
nature and new trends of Public Administration.
2.1 INTRODUCTION
Public Administration as an activity as old as human civilization. But
as a social science theorization on public administration is very
recent. In 1887, Woodrow wilson has written the book on The
Study of Public Administration, and laid the foundation of the
science of Public Administration. After that it had underwent rapid
transformation in its scope, nature and role. Avasthi and
Maheshwari have divided the evolution of Public Administration into
the following five phases.
2.2 Changing nature :It is divided into five phases.
1.
1887 to 1926
1927 to 1937
1938 to 1947
Period of
Dichotomy
1) developed as Behavioural
independent
Challenge
discipline
2) Posdcord view
3) developed
principles of
administration
4) Science
New
Public
administration
Public policy
prespective
10
2.2 1. Phase I - 1887-1926 :About the changing nature of Public Administration, in this phase
following changes came out a) Separation of Public Administration from political science
b) Public Administration is the visible side of Goverment.
c) Prof. Woodrow Wilson has given definition, nature, role and
importance of Public Administration.
d) L. D. White has written the first textbook on the subject i.e.
Introduction to the study of Public Administration.
Prof. Woodrow Wilson is called the Father of Public Administration
because the genesis of the subject can be traced back to Wilsons
book The study of Public Administration published in 1887. In this
book he made a distraction between political - Science and Public
Administration. Before this, it was treated as a branch of political
science. Secondly, while commenting on the role of Public
Administration, he said Administration is the most obvious part of
government. It is government in action and the most visible side of
the government. Hence, he defined Public Administration as
detailed and systematic application of law. It consists of all those
operations having for their purpose the enforcement of public policy
as declared by authority. He argued for a science of administration
Which shall seek to straighten the paths of government. Thus,
Wilson had projected the dichotomy view, which was picked up by
other writers.
In 1900, Frank J. Goodnow published his book Politics and
Administration. In his book he developed the wilsonian theme. He
argued that Politics and administration were two distinct functions
of a government. According to him politics formulate the policies
and administration execute these policies. Thus, Goodnow made a
technical distinction between politics and administration.
In 1926, L. D. While published the first text-book on the subject.
This book reflects the theme of dichotomy between politics and
administration. He emphasized that politics and administration are
to be kept separate. He also visualized involvement of
administration in policy matters and through policy with politics.
Conclusion It may be seen that the dominant feature of the first period was a
passionate belief in politics - administration dichotomy.
2.2.2. Phase II - 1927-1937 :
In the changing nature of public Administration this period can be
called as principles of Administration and established the discipline
of Public Administration as an independent science.
In 1927, W.F. Willough has written a book Principles of Public
Administration. The title of the book indicates the new thrust in
11
thinking and established the subject as an independent science.
This period witnessed publication of a number of important works
on this subject. The more important among them are 1. Mary Parker Follefts Creative Experience
2. Henri Fayols Industrial and General Mangement.
3. Mooneys Principles of Organisation.
4. Luther Gulick Science of Administration.
Gulick explained the principles of administration. These are seven
principles known as POSDCORB.
Conclusion - Thus in this period subject acquired 1) The Status of separate subject of social science
2) Secondly. It was considered, as the science of administration.
3) Developed the principles of administration and theories. These
theories and principles were in great demand both in government
and business.
2.2.3) Phase III - 1938-1947 :This period brought new changes in the nature of Public
Administration
1. Some thinkers refuted politics administration dichotomy.
2. They challenged the claim of Public Administration as a science.
3. Emphasised the environmental effects on adminstrative
behaviour.
While Public Administration Was taking shape as an independent
discipline, C. I. Barnard, Simon, Robat Dahl challenged the claim of
Public Administration as a science of administration. These thinkers
disagrees with the stand taken by Gullick. Simon, in 1947 published
his book Administrative Behaviour. In that he said there is no such
thing as principles of administration; what are paraded as
Principles are in truth no better than proverbs. There is lack of
scientific validity and universal relevancy in Public Administration.
Robert Dahl emphasizes the need to take into account normative
considerations, human behaviour and sociological factors while
defining the parameters of public administration. He brought
behaviouralism in Public Administration. He emphasised the
environmental effects on administrative behaviour.
Conclusion - Hence this period is called as era of challange to
Public Administration.
2.2.4. Phase IV - 1948 to 1970
Owing to the challenge posed by the behaviouralist, the discipline
of Public Administration passed through the crisis of identity in the
forth phase.
12
Because pre 1947 viewpoint upheld the politics - administration
dichotomy and the post 1947 view point adocated their fusion.
Pfiffner stated that politics and administration are so intermingled
and confused that a clear distinction is difficult.
Kingsley saw Adminstration as a branch of Politics.
Paul Appleby upheld the fusion view, He said at higher levels
administration is more generalised, takes on a greater poitical
character and has a total governmental significance. At lower
levels, it is less political and more particularistic.
1) Waldo in his Administrative State (1948) Widened the orientation
of Public Administration to include policy issues and decision making processes.
On the other hand, many political scientists began to argue that the
true objective of Public Administration was intellectualized
understanding of the executive. There was also a talk of continued
dominion of political science over Public Administration.
In Short, this period witnessed the spectacle of Political - Science
not only letting Public Administration separate itself from it, but also
not fostering and encouraging its growth and development within its
own field.
Therefore, in the post world war II period, the credentials of Public
Administration to being a science and a distinct discipline and apart
from political, - Science were questioned. This led to the twin
development of Public Administration being viewed as political
science an also as an Administration science.
2.2.5. Fifth Phase 1971 onwards
In this period Public Administration registered great progress and
enriched vision.
1. Focus on the dynamics of adminstration.
2. It is considered as inter-disciplinary.
3. Talk of New Public Administration
4. New trends emerged in the subject of Public Administration i.e.
i) Comparative Administration
ii) Development Administration
iii) Market orientation - State and Market
1. Focus on the dynamics of administration It is focusing its attention on the dynamics of administration. It is
also drawing heavily on the management sciences.
13
2. It is considered as inter-disciplinary- Public Administration has
attracted within its fold scholars from various disciplines and thus is
becoming inter-disciplinery in its nature.
2.3. New trends :-
14
From non-ecological to ecological orientation The ecological orientation meant the study of the environment of
the administrative system and interaction between the two.
Administrative system operates within the political system and is
also influenced by social and economic forces. Thus the political,
social and economic factors constitute the environment of the
administrative system.
E) Comparative administrative studies have been conducted
on three levels.
1
Macro studies
Micro studies
1. Macro studies
It means focus on the comparisons of whole administrative system.
e.g. India and the United States in their ecological contexts.
Generaly the relationship between an administrative system and its
external environment are highlighted in the macro level studies.
2. Middle Range studies
It means studies are of specific aspects of administrative system.
e.g. a comparison of local government in different countries.
3. Micro studies
It relates to an analysis of a part of an administrative system. e.g.
the recruitment or training in two or more administrative
organisations.
Thus the question of modernisation and developmental diversity in
different systems are of great importance to the students of
comparative public administration.
F) Ramesh Arora has summed up the elements of comparative
public administration as under :1. Cross cultural Comparison
2. Developmental Dimensions
3. Ecological perspective
4. Goal orientation
1. Cross cultural comparison It means broad comparisons among administrative system of
western and non-western countries.
2. Developmental Dimensions It means broad comparison of linkage with the question of
modernisation.
15
3. Ecological perspective It means comparative study of the interaction between the
administrative system and their environment.
4. Goal orientation It means analysis of the unique goals of particular cultures in
relation to their administrative system.
2.3.2 Importance
administration :-
of
the
study
of
comparative
public
16
2.3.3 Table - Comparative Public Adminstration.
1
Study of
administrative
institutions in
their social
settings.
Cross cultural
crossnational
study
Fred Riggs
Three levels
U
Father of this
Trend
Pointed 3
trends
Ramesh Aropa
explained
1. Cross-cultural
2. Developmental
Dimensions
3. Ecological
1
Narmative to
empirical
2
Ideographic
to nomothetic
5
Ramesh Aropa
explained
1. Cross-cultural
2. Developmental
Dimensions
3. Ecological
Perspective
4. Goal
orientation
6
Importance
of the Study
3
non-ecological
to ecological
17
3. Establishment of comparative Administration group in 1960D. Waldo, Fred Riggs, Weidner were talk of New Public
Adminstration. These scholars in 1968, in Minnibook conference,
attempted to define public Administration anew. They focussed on
the concept of development administration, in different ecological
settings, operates in order to achieve a set of social goals.
2.4.2 Meaning and definitions of development administration :
Weidner stated that Development Administration means an actionoriended and goal-oriented administrative systems. Weidner
emphasised that the study of development administration can help
to identify the conditions under which a maximum rate of
development is sought and obtained. He contended that existing
models for comparison were limited in their usefulness because
they made inadquate provision for social change. He suggested
development administration as a separate focus for research, the
end being to relate different administrative roles, practices,
organisational arrangements and procedures to the maximising of
development objectives. Pai Panadikar identifies Development
Administration with administration of planned change.
2.4.3 Hallmarks of Development Administration :1. Change - oriented
2. Goal - Oriented and result oriented
3. Citizen participation in the administration
4. Commitment to development
5. integrated and holistic process
6. It has two sides one is
development programmes and other is
Its implication
7. Its scope of Operation is wide.
8. Stress on planning
9. believes in decentralization.
1. Change - oriented
Development administration is change-oriented. Traditional
administration which was oriented towards the maintenance of
stability and statusquo. Hence, Pai Panandikar said development
Administration means administration of planned change. The
planned development is intended to achieve specific results within
the specified time.
2. Goal-oriented and result-oriented
It is result-oriented. It expects specific results and expresses in
most areas clearcut norms of performance. Consequently, it would
also be judged on the basis of results achieved.
18
3. Citizen participation Development being a process of social and economic change,
citizen participation in the task of administration is vital. The public
servants must be able to carry the citizens with them and draw
them activety into the developmental processes. To basic change in
the outlook of the civil servants.
4. Commitment to development
Development administration requires a firm commitment, a sense of
involvement and concern on the part of civil servants, if the goals of
development are to be realised.
5. Integrated and holistic process Development administration is inter-related and holistic process of
change. It refers to the structure, organisation and behaviour
necessary for the implementation of schemes and programmes of
socio-economic change undertaken by the governments of
developing nations.
2.4.4 : 6. It has two sides Firstly, it refers to the administration of developmental programmes,
the methods used by large-scale organizations, especially
governments, to implement policies and plans designed to meet
developmental goals.
Secondly, Development Administration involves the strengthening
of administrative capabilities. These two aspects are intertwined in
development administration.
7. Its scope of operation is wide Traditional public administration was limited to its function of
maintaining law and order. But the scope of development
administration is wider.
8. Stress on planning It is planned change. The administrative
strengthened to achieve developmental goals.
capabilities
are
But
19
2. goal and result oriented
3. flexible and dynamic
4. Its objectives are complex and multiple
5. Concerned with new tasks.
6. believes in decentralization
7. stress on planning
8. Creative and innovative
9. Stress on participation of people
Traditional Public Administration
1. Status-quo oriented
2. emphasis on economy and efficiency
3. It is hierarchical and rigid.
4. Its objectives are simple and limited.
5. Concerned with routine operations.
6. believes in centralization.
7. Does not rely much on planning.
8. It resists organisational change.
9. Stress on directions from authority.
2.4.6 Conclusion :Though there is difference in public administration and
Development administration, yet both are supplimentary to
eachother. One cannot sustain in the absence of another.
2.4.7 Table :Development Administration
1
Reasons of
Emergence
of public
administration
Definitions
1. Developing Countries
2. Developing Schemes
3. Comparative
administraion
Hallmakrs
Difference
between
Development
Administration
and Public
Administration
1. Change - Oriental
2. Result - Oriental
3. Citizen Participation
4. Commitment to development
5. Integrated
6. development programmes
7. operation is wide
8. Stress in planning
9. believes in decentralization.
20
displayed unawereness of numerous socio-economic and political
problems as well as its inadequacy to offer any solution to the
problems.
2.5.1 : Emergence
In 1967, American Academy of political and social science
organised a conference in Philedelphia. The topic was The Theory
and practice of Public Administration : Scope, objectives and
methods. In this conference participants expressed their views and
after discussion following points emerged 1. Bureaucracy should be studied structurally as well as
functionally.
2. Definition of the subject is as difficult as de-lineation of its
scope.
3. A hierarchical view of organisational authority needs to be
changed; administrators must view workers as coordinates
rather than subordinates,
4. Policy and political considerations are replacing management
concerns as the major focus of public Administration.
5. Future administrators should be trained in professional schools.
Public Administration courses should emphasis not only
Administrative organisation and procedures but also in
interdisciplinary approach.
6. Public Administration has not been able to deal with societal
problems.
Conclusion of the discussion was - Public Administration should be
viewed as an acadmic discipline, as a field exercise and as
administration in the public interest.
2.5.2 In 1968 in Minnowbrook conference Dwight Waldo expressed
following points about new Public Administration.
1. What is the proper terrain of Public Administration?
2. What are the logics of inquiry appropriate to the tarrain?
3. What is the social relevance of knowledge in Public
Administration?
In 1971, Frank Marini published a book Towards a new Public
Administration New Public Administration emphasis on the
following themes :1. Rejected the value neutral view
2. Less generic and more public
3. Stress on social equity
4. Anti-bureaucratic, anti-hierachical, anti-technical.
5. Socially conscious and client oriented view.
6. Stress on Decentralization of administrative process.
7. Stress on qualitative transformation.
21
1. Rejected the value neutral view The new Public Administration made clear its basic normative
concern in administrative studies. It rejected the value neutral view
taken by behavioural political science.
2. Less generic and more public New Public Administration stresses on innovation and change.
Hence, it take more public and client oriented view.
3. Stress on Social equity The protagonists of new Public Administration state that the
distributive functions and impact of governmental institutions should
be Public Administrations basic concern. The purpose of public
action should be the reduction of economic and social disparities
and the enhancement of life opportunities for all social groups.
They take action-oriented stand and said that Public Administrators
should work for the removal of the wrongs of society.
4. Anti-bureaucratic, anti-theoretic and anti-technical To serve the cause of social equity is to actively work for social
change. The attack is on the status-quo and against the powerful
interest entrenched in permanent institutions.
5. Take client-oriented and socially Conscious view In the third - world countries where Public Administration is in dire
need of basic, qualitative transformation. New Public Administration
displays an intense concern for relevant societal problems.
6. Stress on Decentralization of Administrative process New Public Administration give importance to Institutional pluralism.
Functions, responsibilities should be distributed in many parts.
7. Stress on qualitative transformation It stresses ethics and values. It lays emphasis on change. The
study of formal organisation, its structure and processes is of
secondary importance to the new theorists.
According to this new approach the most important need of the
times is to be alive to the contemporary issue and problems with a
view to finding ways and means for their solution, and to have
organisational change to suit the changing times.
2.5.3 Conclusion - Public Administration of the state will become
more meaning and useful with this characteristics of new Public
Administration.
Table - New Public Administration
1. Origin and development
2. Characteristics
22
3. Conclusion
2.6 QUESTIONS
1.
2.
3.
4.
Module 2
Unit 3
3
WORKING OF BUREAUCRACY
Theory of Bureaucracy - Max weber
Unit Structure :3.1.1 i) A brief life sketch of Max Weber
3.1.2 ii) Max Webers writings & contribution to the field of state &
Administration.
3.1.3 iii) Theory of Bureaucracy
3.1.4 iv) Model of Bureaucracy
3.1.5 v) Principles of Bureaucracy
3.1.6 vi) Appraisal & Criticism
3.1.7 vii) Conclusion / Let us sum up
3.1.8 viii) Glossary
3.1.9 Suggested Readings
3.1.10 Question Pattern
3.1 : Theory of Bureaucray : Max Weber (1864-1920)
3.0 OBJECTIVES
Public Administration has become an important branch of the
modern Government. It is regarded as heart of modern civilisation,
also as backbone of states machinery. Max Weber, a German
Socilologist, in his analysis of Bureaucracy, had made Bureaucracy
most important part of the study of Western Political Science.
In this unit, an attempt is made to describe the importance of
Bureaucracy, a hierarchy of technical experts in Administration.
Max Weber closely studied the inseperable relationship between Society & State. He understood the inevitability of Bureaucracy in
modern society in modern state. He wrote on theory of
Bureaucracy. Power, Authority & legitimacy. Weber also founded
the modern sociological study of Bureaucracy. Weber suggested
models of Bureaucracy & fundamental priniciples of Bureaucracy.
3.1.1. INTRODUCTION
Many social and political scientists have explained the concept of
Bureaucracy. Max Webers idea of state was that a state is a
compulsory association which successfully claims a monopoly of
legitimate use of force within a given territory. State alone
possesses power, authority & legitimacy. Weber concluded that it is
the legitimate authority of state to exercise power over its people.
24
Administration / Bureaucracy exercises its authority i.e. power of
command. Max Webers idea of Bureaucracy is based upon his
notion of rational legal authority. Bureaucracy, therefore, should
have certain definite organisational structures, principles &
characteristics.
In this unit, Max Webers ideas on Bureaucracy are discussed.
3.1.2 Life sketch of Max Weber
Max Weber was a German lawyer; a politician, a historian, political
Economist & Sociologist. He worked as professor of Economics.
His most famous work relates to economic sociology, political
sociology & the sociology of religion. Weber presented sociology as
a science of human action Weber completed his doctoral
dissertation on A Contribution to the History of Medieval Business
organisation. Weber wrote a number of papers on law, focussing
the attention on social, political & economic factors, prevalent at the
time. Weber insisted on analytical & systematic research work. He
was progressive & practical. His writings reflect social conditions of
Germany of his times. He worked at different places & gathered a
variety of experience, which widened his vision. He died at the early
age of fifty six, perhaps on threshold of the golden phase of his
career. His name is more widely known after his death.
3.1.3 Max Webers
Bureaucracy
25
technical instrument but is also social force, having effect on the
values of society at large.
Max Weber was the first administrative thinker to study
interrelationship between state & Society. As a scholar of Law, he
understood the significance of power, authority & legitimacy. Having
understood the importance of Bureaucracy, as viewed by Weber, it
is necessary to understand his Theory of Bureaucracy.
26
v) Every Bureaucratic organisation functions with a specific
procedure, laid down by the organisation. This procedure is laid
down for performing their functions.
vi) The Bureaucrats. should be properly & scientifically selected.
This enables efficiency of Bureaucracy. The Bureaucrats should be
given periodic promotion on the basis of their technical
competence.
vii) An employee in the organisation, obeys the authority. The rules,
regulations are practiced & obeyed by Bureaucrats. The procedure
of work is followed by employees.
viii) One of the unique features, suggested by Weber, is the
impersonal approach of an employee, in the organisation. The
interrelationship amongst the emplayees should be based upon
impersonal approach. Every employee should function with
impersonal approach, while performing duties.
27
ii) The Bureaucracy functions in accordance with definite rules &
procedures. The power & authority is well defined, to ensure
impersonal approach. The Authority brings corresponding
resposibility. The authority cannot be beyond the official work of the
organisation.
iii) Bureaucracy functions through proper division of work, authority
flowing from top to down.
iv) A Bureaucrat should not misuse authority. Official business &
private affairs should not be intermixed.
v) A Bureaucrat is responsible, accountable for the use of authority.
vi) A Bureaucrat cannot be appropriated by the incumbents as
private property which can be sold or inherited.
Max Weber also described some of the qualities, necessary for a
Bureaucrat. In his model of Bureaucracy, Weber underlines the
following Characteristics of a Bureaucrat.
i) A Bureaucrat is appointed in an official position on the basis of
contract. A Bureaucrat is not committed to a person but to the work.
ii) A Bureaucrat exercises authority with impersonal approach. A
Bureaucrat should be legal & faithful in the performance of duties.
iii) A Bureaucrat should have technical expertise & competence.
iv) A Bureaucrat should be paid adequate salary, other benefits &
opportunities of promotion.
Thus legal-rational model Bureaucracy of Weber, has the following
elements :
i) impersonal order
ii) Rules & regulations
iii) Competence & expertise
iv) hierarchy
v) written rules & regulations.
vi) monocratic nature.
The main emphasis of weber was on careful selection of technically
qualified people.
3. 6 PRINCIPLES OF BUREAUCRACY
The following becomes the important attributes / principles of
Bureaucratic organisation.
28
i) A permanent, rule bound conduct of official business.
ii) Technical competence of Bureaucrats.
iii) The organisation should be based upon hierarchy.
iv) The rules regulating the conduct of business should be technical
and based on norms.
v) Complete seperation of office property & personal property.
vi) Complete absence of misuse of power & authority. Complete
absence of appropriation of official position by the incumbent.
vii) formal & informal communication within the office.
viii) Bureaucracy is inevitable in modern state. Its legal authority
can be exercised in a variety of ways.
To conclude, Weber insisted a Bureaucracy from a purely technical
point of view. The legal rational authority is exercised over human
beings. Bureaucracy is stable, efficient & superior to all kinds of
administrative tasks.
29
independently without having consideration for social & political
forces.
Weber associated power, authority & legitimacy with state /
Bureaucracy. However, in a Democratic state, Bureaucracy comes
under the direct control of Executive. Weber underestimated the
role of legislatures, elected representatives, in exercising control
over Bureaucracy.
In the era of privatisation, Liberalisation & globalisation, Govt.
Bureaucracy, as advocated by weber, has less significance, rather
than the times, when weber wrote on Bureaucracy.
3. 8. LET US SUM UP
The name of Max Weber, as a German sociologist, is remembered
for his noteworth. contribution on
a) power, Authority legitimacy b) types of authority c) organisational
view point of Bureaucracy d) legal rational authority e) impersonal
approach of Bureaucracts. No writings on Bureaucracy could be
completed without a reference of weberian views on Bureaucracy.
While summing up, keep the following points in mind
i) Max Weber understood the power, authority & legitimacy of
state.
ii)
30
3.9 GLUSSARY
3.10 SUGGESTED READINGS
1) S. R. Maheshawari; Administrative Thinkers; MacMillan India Ltd,
New Delhi, 1998.
3. www.google.com
4. www.wikipaedia
3.11. QUESTIONS
1) Describe Max Webers Theory of Bureaucracy.
2) How has weber classified authority?
3) Discuss the principles of Bureaucratic organisation, laid down
by weber.
4) Explain Max Webers views on power, Authority & legitimacy.
5) What are the features of Weberian model of Bureaucracy?
Module 2
Unit 4
4
WORKING OF BUREAUCRACY
4.2 : Decision Making - Herbert Simon
In this Unit, the following areas will be studied 4.2.1. A brief life sketch of Herbert Simon
4.2.2. Herbert Simons Writings & his contribtion in the areas of
Administrative Behaviour & Decision Making
4.2.3. Herbert Simon on Decision Making
4.2.4. Herbert Simon on Rationality in Decision Making
4.2.5. Herbert Simon on Administrative Behaviour
4.2.6. Appraisal & Criticism
4.2.7. Conclusion / Let us Sum up
4.2.8. Glossary
4.2.9. Suggested Readings
4.2.10. Question pattern.
4.2.0 OBJECTIVES
As Public Administration has gained importance in the modern
times, so has been the case of behaviour of administrators. Main
contribution of Herbert Simon is that his views over administrative
behaviour has gained worldwide recognition. His contribution is
noteworthy in developing rationalistic theory of decision making. He
focussed on the decision making capacity in Administration by
pointing out three steps in decision making process. Simon insisted
upon rationality in the decision making process. Herbert Simon
was awarded the Nobel Prize for Economics in 1978.
Max Weber & Herbert Simon had valuable contribution in the field
of Administration / Bureaucracy. Max Weber had described the
anatomy of organisation & Herbert Simon had described its
physiology.
4.2.1 : INTRODUCTION
Herbert Simon was an American, a Noble prize winner, who had
contributed to the decision making theory. His writings on - the
decision making process & rationality in the decision making - are
still considered as the pillars for private & public Administration.
Herbert Simons writings are mainly concerned with private
organisations rather than public / Government sectors.
32
Besides his contribution to decision making, Simon knew the wide
use of computers, helpful to the head / executive, in modern times.
Today, use of computers largely help the private as well as public
sectors. In this chapter, an attempt is made to understand Simons
views on decision making theory.
4.2.1 A Brief Life sketch of Herbert Simon
Herbert Simon was born in 1916, in USA. He became an eminent
American political & social Scientist. He did his Ph. D. in political
science. He started his career in municipal government & then
worked in various companies & organisations as an academician &
as a consultant.
Simon was very much influenced by Follets ideas on group
dynamics in orgainsation, the human relations approach performed
by Elton Mayo & others & by Barnard.
Though Simon was awarded Nobel Prize in Economics, he was not
an economist. His work is mainly drawn from Administrative
Behaviour, the study of decision making, bounded rationality &
organisation as a human enterprise seeking internal & external
equilibrium.
4.2.3 Herbert Simons writings & his contribution in the areas of
administrative behaviour & Decision Making.
Simon wrote a number of books, few are :
Administrative behaviour (1945), Public Administration (1950)
Models of Man (1957), organisations (1958) Human Problem Solving (1472), Models of Thought (2 volumes-1979 & 1989),
Models of Bounded Rationlity (2 volumes - 1982) Reason in Human
Affairs (1991)
Simon equates administration with decision making. He insisted
upon how decisions are made, & how they be made more rationally
& effectively. He suggested valid principles of Administration & now
- how to apply these. He suggested empirical approach to the study
of science of Administration. He proposed a new concept of
Administration, based on theories & methodology.
Simons decision making theory is the core of administrative action.
His rationalistic Theory of Administration includes the concept of
bounded rationality. His book Administrative Behaviour gained
not only worldwide recognition, but it was also translated into twelve
languages. In 1988, he again revised this book.
4.2.3. Herbert Simon on Dicision Making.
Herbert Simons most valued contribution to administrative thought
is his focus on decision making. He proposed a new concept of
33
administration which is based upon purely factual statements in
Administrative science. That is why he calls traditional concept of
Administration as proverbs & myths. His concept of decision
making becomes the core of administrative action.
Decision making is synonymous with management. He calls
decision making as the heart of the organisation. Decision making
is the Vocabulary of administrative theory which should be derived
from logic & psychology of human choice.
According to Simon, an organisation is a structure created for
decision making. Decisions are made at all the levels of
organisation. Every decision may affect less or more members
within the organisation. Each decision, is based upon number of
premises. The task of deciding pervades the entire administrative
organisation, quite as much as does the task of doing - indeed, it is
integrally tied up with the latter.
Three stages in the decision making process :
Simon divides the decision making process into three phases i) The first phase, he calls, intelligence activity. The head of the
organisation tries to understand organisational environment in
which decisions have to be taken. Intelligence activity is finding
occasions to take decisions.
ii) The second phase, he calls, is design activity. A head of the
organisation tries to identify all possible options before making a
final decision. This involves time & energy of the head to think over
the best possible alternative.
iii) The third phase, he calls, is choice activity. Fianlly a head
chooses one of the selected options, which becomes adecision.
Though these three stages are described by Simon, he says that
these phases may appear to be simple & one precedes the other, in
practice, the sequence is more complex, than what it appears to be.
These three phases are wheels within wheels. These three phases
are closely related to the problem solving - what is the problem,
what are the atternatives & which alternative is the best?
Decision making is thus, a choice between alternative plans of
action & choice in turn, involves facts & values. To him, every
decision consists of a logical combination of fact & value
propositions. A fact is a statement of reality indicating the existing
deed or action. Whereas a value is an expression of preference. He
insists upon making analysis of ethical & factual statements that
remain present in a decision. Every decision, thus is a mixture of
fact & value.
34
On the basis of this premises, Simon views organisation as a
hierarchy of decisions - a complex network of decision processes.
Every decision involves the selection of a goal & a behaviour
relevant to it, till the final aim is reached. Thus decision making
involves close interrelationship between facts & values.
In order to achieve a balance between facts & values, Simon
proposes that every decision has to have rationality. Every decision
must be rational
4.2.4 Rationality in Decision Making
Simon spoke on the dynamics of decision on a different plane - the
plane of rationality. He emphasises upon being rational in decision
making. Rationality is defined in terms of appropriateness for the
accomplishment of specific goals. He focussed on the rational part
of decision. Every decision is a combination of reason (rationality) &
emotion. Simon gives importance to reason rather than emotion. A
head faces number of constraints while making decision. It is
because, while taking a decision, a head has to think, of all possible
consequences, affecting political culture & values of society. He
explains rationality in terms of means - end construct. If appropriate
means are adopted to reach desired ends, the decision is rational.
In brief, rationality is making an administrative man.
Simon is aware that, reaching rationality itself is a difficult process,
due to number of factors involved in it. So he has suggested
different types of rationality. A Decision may be
a) Objectively rational, where preference is given to values.
b) Subjectively rational, where decision maximises attainment
relative to knowledge of the subject.
c) Consciously rational where adjustment between means & end
is made.
d) deliberately rational where adjustment is deliberately made.
e) Organisationally rational where it reaches organisational goals.
f) Personally rational, where decision reaches individual goals.
Simon never agreed to the concept of total rationalty. It is because
no individual behaviour can be totally rational or totally irrational.
Simon therefore, described human behaviour in an organisation as,
intendedly rational Complete or total rationality is not possible
because of a) incomplete knowledge of the problem, alternatives &
consequences. Simon called it as bounded rationality
b) individuals cannot be completely standardised, having, as they
do, multiple, even unranked, preferences.
So Simon calls rationality in terms of satisfying which involves the
choice of course of action which is satisfactory or at least good
enough.
35
Simon was also aware about the limitations of the concept of
rationality. The following features stand in the way of rational
decision making i) Multiplicity of problems, goals & policy commitments.
ii) inadequate information about the variety of acceptable goals.
iii) the personal limitation of a decision maker, in capacity,
commitment & goals.
iv) Structural difficulties within organisation.
4.2.5 : Herbert Simon on Administrative Behaviour :
While dilating on the process of decision - making, Simon rejected
rational, economic man & replaced him by a more realistic,
administrative man. He proposed an idea of administrative man.
The behaviour of the administrative man, in the organisation, is
conditioned by organisational culture. The administrator, is
conditioned by organisational culture. The administrator has to
comply with establised rules & regulations & follow prescribed
course of action. Such a man is called organisational man Herbert
Simons administrative man tries to rationalise man.
The behaviour of organisational man is subject to two types of
influences - internal & external. Internal influence involves attitudes,
habits & temperaments, which leads him to reach the desired
decisions. Internal factors also include loyalty, concern with
efficiency & training. External factors involve authority, advisory &
informational services.
Programmed & non-programmed activities in an organisation
Simon is fascinated by the advent of electronic computers. He
makes a distinction between programmed & non-programmed
decisions. The electronic computer is making available to mankind
new decision - making techniques which bring changes in white
collar, executive & professional work making them as monotonous
as those, the introduction of machinery has brought to manual jobs.
Simon feels that the computer has the potential of revolutionising
organisational decision making. According to him repetitive &
routine type of decisions can be programmed to the computers.
Operations research, system analysis, quantitative data processing
etc. can be given to the computers.
The non-programmed decisions help the higher level authorities to
devote their time for taking more efficient decisions, innovative
ability, acquiring higher skills. The use of computers may increase
rationality. In fact, Simon believes in the unlimited confidence in
computer & management information systems. Computers
command revolutionary capacity in the process of gathering &
organising information public administration enables, to cope with
the ever- increasing complexity of public policies & programmes.
36
Simon thus suggests maximum use of computers for rational
decisions.
Principles of Administration
Logically, Simon cites some of the administrative principles :
a) administrative efficiency is increased by a specialisation of the
task among the group.
b) administrative efficiency is increased by arranging the members
of the group in a determinate hierarchy, of authority c)
administrative efficiency is increased by limiting the span of control
at any point in the hierarchy to a small number.
d) Administrative efficiency is increased by grouping the workers,
for purposes of control, according to (a) purpose (b) process (c)
clientel (d) place.
4.2.6 : Appraisal & Criticism
Appraisal :
Simon focusses attention on the dynamics of decision-making
processes & its role in organisations. His study provides a deep
insight into administrative behaviour & the interaction between
decision making processes & administrative behaviour found in
organisation. He Viewed organisational decisions, into three
phases. Rationality in decision making is a combination of facts &
value is a unique contribution of Simon. His administrative man &
administrative behaviour focus upon administrative system.
Criticium :
Simons idea of decision making mainly concerns with business
administration rather than public administration. His decision
making theory is also criticised on the ground that though decision
making process is an important variable in the organisation, it is not
the only factor. Decision making process involves many other
factors, especially emotional, which Simon ignores. Simons
decision making theory is too general.
Simon is also Criticised on his idea of administrative man and
administrative behaviour. These dimesions differ from person to
person & situation to situation. From this viewpoint, Administration
cannot totally be regarded as value free science. Similarly,
administrative systems do not bring similar role & similar
consequences.
Rationality in decision making is also subject to criticism.
Rationality, to Simon, meant a decision of Status quo, it is not
dynamic
37
4.2.7 Conclusion / Let us Sum up
Inspite of all the points of criticism, against simons decision making
theory, one understands the importance of decision making, in
every walk of life. Simons idea of rationality in decision making
shows his deep insight of establishing close relationship between
facts & values. His is a major contribution in the evolution of
administrative theory. His administrative man & organisational
behaviour, has more concern are tested. No administrative thinker
on Public Administration has written so widely on decision making
as by Herbert Simon.
While Summing up, keep the following points in mind 1) Herbert
Simon was a great administrative thinker & a Nobel prize winner.
He wrote extensively on Public Administration, Administrative
theory & decision making processes.
ii) He suggested valid principles of organisation & focussed his
attention on decision making.
iii) He brought empirical approach to the science of Administration.
He combined facts & values in his theory of Administration.
iv) Simon calls decision making as the heart of an organisation. In
fact an organisation is hierarchically structured to take decisions.
Every decision, more or less, affects everybody in the organisation.
v) Simon divides decision making activity into three phases - a)
Decision making is an intelligent activity, the decisions have to be
taken in anticipation, which is an intellectual exercise. b) decision
making is a design activity, in which, a head has to visualise all the
possible options/alternatives, before reaching a final decision.
c) decision making is a choice activity, where a final decision is
made.
vi) These three may appear to be simple, they are not very simple,
but are complex, closely related to problem solving - what are the
problems, what are the alternatives & which alternative is best?
vii) Simon also discusses rationality in decision making, which
involves facts & values.
viii) Simon defines rationality, appropriateness for the
accomplishment of specific goals of organisation. A head has to
take into consideration all the possible consequences before taking
any decision
ix) Simon is also aware that even reaching rationality is a difficult
process. He gives different types of rationality. He also knew the
limitations of rationality.
38
x) on the basis of rationality, Simon reaches to his idea of an
administrative man & administrative behaviour. The internal &
external factors determine the behaviour of administrative man.
xi) Simon was very much influenced by the use of computers for
administrative work. He distinguished between programmed & non
programmed activities & found that computers can bring
revolutionary changes in the working of organisations. A head can
relieve himself / herself from the monotonous & mechanical work by
relying on computers.
xii) Simon also described some fundamental principles of
organisation.
4.2.8 Glossary
4.2.9 Suggested Readings
(same - take it at the end)
4.2.10 Question Pattern
1) Describe the contribution made by Herbert Simon in the field of
organisation.
2) Explain the importance of decision making, as viewed by
Simon.
3) Describe the three stages of decision making processes,
suggested by Simon.
4) What is programmed & non-programmed activity in an
organisation? How can computers be helpful to the
administrative task?
5) Explain Simons concept of rationality in decision - making?
What are its types? What are its limitations?
6) Explain Simons idea of administrative man? What are the
factors that, affect the behaviour of an administrative man?
Herbert Simon
Module 2
Unit 5
5
WORKING OF BUREAUCRACY
5.5.3 : The Human side of the Enterprise : McGregor Douglas
Mcgregor (1906-1964)
In this unit, the following points of Mcgregors views, are discussed.
5.3.0 Objective
5.3.1 Introduction
5.3.2 A brief life sketch of Mcgregor
5.3.3 X Theory
5.3.4 Y Theory
5.3.5 Relevance of Y Theory
5.3.6 Appraisal & Criticism
5.3.7 Conclusion / Let us sum up
5.3.8 Glossary
5.3.9 Suggested Readings
5.3.10 Question Pattern
5.3.0 : OBJECTIVES
Douglas Mcgregors contribution has been in the field of art &
science of management. Mcgregor emerged as a management
Psychiatrist during the behaviouralist movement of post war era.
Mcgregor attacked on the unrealistic & limiting assumptions of
traditional theories of management, having concern for human
nature & human behaviour. Control over human behaviour in
organisations leads to resistance, restriction of output & indifference
in the accomplishment, of organisational objectives. Mcgregor
divided his views into - a) X Theory & b) Y Theory. The traditional
assumptions, he regarded, fall under X theory. He suggested Y
theory which is based upon integration & Self control, by the
employees in an organisation, to accomplish organisational goals.
Mcgregor hoped that his Y theory as a new & superior ethic - is a
set of moral values that ought to replace the values managers
usually accept.
5.3.1 : INTRODUCTION
In the field of study of Management, name of Mcgregor, is highly
recognised. He was a Psychiatrist, who studied human Psychology
& group sociology. Being a Management researcher, his main
research was to make empirical science of Management. He
40
wanted to guide manager as a professional manager. Mcgregor
had a great concern for employees also.
Mcgregor had developed X Theory, as a traditional view of
management, Mcgregor did not support X theory. Hence he
developed Y theory, which would suit the contemporary industrial
society. In his Y theory, Mcgregor had suggested positive
approach to be adopted by managers as well as employees.
In this chapter, an attempt is made, to understand Mcgregors X
theory; Y theory & the relevance of Y theory in todays world.
41
executive should not expect to achieve desired goals through
inappropriate managerial action. So, he very aptly advances a
hypothesis that all control is selective adaption. His deep
observation led him to conclude that control in human affairs can be
viewed as an integration of human behaviour either through
coercive compulsion or through motivational self control. He
developed these two assumptions & scientifically tested their
validity to propound his theories of managerial control, popularly
known as X theory & Y theory. His X theory is a traditional view
of direction & control. In his book The Human side of the
Enterprise, published in 1960, he has examined theories on
behaviour of individuals at work.
The X Theory :- The average human being has an inherent disliker of work & will
avoid it, if he can.
- Because of their dislike for work, most people must be
controlled & threatened before they will work hard enough.
- The average human prefers to be directed, dislikes
responsibility, is unambiguous & desires security above
everthing.
- These assmptions lie behind most organisational principles
today & give rise both to tough management with punishment &
tight controls & soft management, which aims at harmony at
work.
- Both these are wrong because man needs more than financial
rewards at work, he also needs some deeper higher order
motivation - the opportunity to fulfill himself.
- Theory X managers do not give their staff this opportunity so
that the employees behave in the expected fashion.
The X theory of Mcgragor resembles carrot stick theory. This can
be one type of managerial strategy. This theory does not describe
human nature. It considers humans as fearful, a disliker to work &
an insecure beast. These assumptions limit managerial strategies.
New managerial strategies, new organisational goals, new pattern
of leadership etc. do not fall under this X theory. He came to a
conclusion that as long as the assumptions of theory X continue to
influence managerial strategy, we will fail to discover, let alone,
utilise the potentialities of the average human being.
42
motivation. The following assumptions are embodied in the Y
Theory :
-
43
A Diagram of X Theory & Y Theory
Theory X
Management
Theory X : authortarian
repressive style, Tight
control, limited & depressed culture
staff
Theory Y
staff
Theory
Y
liberating
&
developmental,
control,
achievement
&
control,
achievement
&
continuous
improvement,
achieved
by
ebabling, empowering & giving
responsibility.
Management
The Scanlon plan proposes that, used wisely & with understanding
participation is a natural commitment of management by integration
& self control.
44
had an assumption that managment science has transnational
influence.
One important relevance of Y Theory of Mcgregor, to modern
industry is related to the Line & Staff Agencies in the organisation.
Modern industries are mostly operated by skilled staff. Their
knowledge & experience influence decision making process in the
organisation. The Line employee increasingly depend upon
specialised staff. However, the Y theory of Mcgregor, can
coordinate Line - staff relationship. The conflict between Line & staff
bring lowered commitment to organisational objectives. The Y
theory establishes improved human resources, either for resolving
conflicts or taking best decisions. Magregor had also written on
leadership qualities of a manager. He had placed an idea of
integration within the conceptual mould of transnational concept of
power & influence.
Discussing and resolving the conflicts within the organisation,
Mcgregor suggests three strategies to be adopted a) divide & rule
b) suppression of differences & c) working through of differences.
The first two are based upon X theory, whereas the third one is
based upon Y theory.
45
into practice. Expecially his Y theory seems to be difficult to bring
into practice.
Mcgregor tried to answer this question by claiming that each person
must find his own answer. A manager has to think about the deal
with himself, his role, his style, his own power & the issue & control
over others.
Mcgregor is also criticised on the ground that neither his X theory
nor Y theory represent human behaviour or human relationship.
These theories are tools by which managerial skills can be studied
& analysed. The current research in management has gone beyond
Y theory to Z theory.
Today, any theory is seldom used explicitly. The managers & the
employees somewhere fall in between these two poles of X theory
& Y theory.
However, Mcgregors X & Y theories are still important theories in
the field of management & motivation. His X theory & Y theory
still remain a guiding principle of positive approaches to the
management, to the development of organisation & to bring
improvement in organisational culture.
46
8) In his Y theory, Mcgregor suggests integrity & self control to
be brought into the organisation. This is equally applicable to
the managers as well as employees.
9) Mcgregor wanted to apply individual Psychology & group
sociology to his study of Management.
10) Mcgregor makes his Manager understand human side as well
as professional side of managerial skills;
11) Mcgregor collaborated his Y theory with Scanlon Plan of
Fredrick Lesiaur.
12) The Y theory of Mcgregor has apt relevance in todays world
of management. His Y theory bridges Line & staff relationship.
It might bring improved Line-staff collaboration.
13) Mcgregor suggests his professional manager, leadership
qualities & transnational concept of power & influence.
14) In spite of criticism, Mcgregor will be remembered for his
profound knowledge of human nature, human hehaviour &
positive approach in management.
5.3.8 : GLOSSARY
5.3.9 : SUGGESTED READINGS
1) S. R. Maheshwari : Administrative Thinkers; MacMilan India
Ltd, New Delhi, 1998.
2) D. Ravindra Prasad; V. S. Prasad; P. Satyanarayana (Ed);
Administrative Thinkers; sterling Publishers Pvt. Ltd., New
Delhi, 1989.
Module III
Unit 6
6
PUBLIC ADMINISTRATION IN THE AGE
OF GLOBALIZATION AND
LIBERALIZATION
(New Public Management, Good Governance)
Unit Structure
6.0
Objectives
6.1
Globalization
6.1.1 Check your progress
6.2
Liberalization
6.2.1 Check your progress
6.3
Public Administration since World War II
6.3.1 Check your progress
6.4
New Public Management
6.4.1 Features of New Public Management
6.4.2 Evaluation of New Public Management
6.4.3 Check your progress
6.5
Good Governance
6.5.1 Features of Good Governance
6.5.2 Evaluation of Good Governance
6.5.3 Check your progress
6.6
Let's sum up
6.7
Suggested Reading
6.8
Question pattern
6.0 OBJECTIVES
Public Administration as a subject of inquiry as well as practice
cannot remain isolated from the developments in the real world. As
throughout the last century the political, economical, and social
changes were engulfing the human life all over the world, these
changes also influenced the public administration. Decade of
eighties brought fundamental change in the orientation of public
administration in the western world. These changes are owing to
the wave of globalization. In this unit we are broadly entrusted with
the task of understanding the impact of the globalization and
liberalization on the public administration. Narrowly we will fulfill
following objectives.
To understand the meaning and dynamics of globalization and
liberalization.
48
To understand the concept of New Public Management
To understand the concept of Good Governance.
6.1 GLOBALIZATION
Historically human societies across the globe are connected with
each other in pursuit of trade, education, art, literature, religion etc.
However the pace of their interaction has dramatically increased in
the last century owing to the advancement in the technologies like
aeomantics and communication. Time and space dimensions have
shrunk like never before and the world became more
interdependent than ever.
Very recent changes in the eighties of the twentieth century are
unprecedenting owing to the complexity and speed which
characterize them. Along with the improvement in the means of
transportations like airplanes, ocean going vessels, development in
Information technology, computers, satellite phones have
established close links among the societies all over the world.
Multinational corporations manufacture products in many countries
and sell to consumers around the world. Money, technology and
raw materials move more swiftly across national borders. Along
with products and finances, ideas and cultures circulate more
freely. As a result, laws, economies, and social movements are
forming at the international level. These changes with their
economical, ideological, political, cultural dimensions are called as
globalization.
Globalization means
Integrating and connecting cultures and communities in new
space-time combinations, and making the world in reality and in
experience more interconnected
Hall
Globalization is the integration of markets, finance and
technologies in a way that is shrinking the world from a size
medium to a size small and enabling each of us to reach around the
world farther, faster and cheaper than ever before. Like all previous
international systems, it is directly or indirectly shaping the domestic
politics, economic polities and foreign relations of virtually every
country.
Friedman
6.1.1 Check your progress
1. Globalization implies compression of time and space in terms of
communication, information, trade, culture. True/False
2. Globalization is uni-dimensional i.e. only economical True/False
49
6.2 LIBERALIZATION
Although such interconnectedness in the present century is
unprecedented, it is not historically delinked from the past.
Economically, politically and culturally it can be explained as the
expansion of western liberalism with all its facets to the rest of the
world. The economic theory relates globalization to the model of a
free world market without restrictions of competition and mobility, a
global mass culture and a world-encompassing information society.
This approach shows that the neo-liberal market of domestic
economics has simply been shifted to the world market level. Neoliberal market is particularly followed and pushed by western
capitalist states. Thus the globalization becomes synonymous to
the western-capitalism as against socialist policies which were
followed by many Third World countries after their independence
from the clutches of colonialism.
Liberalization refers to a relaxation of government restrictions,
usually in areas of social or economic policy. Economic
liberalization is often associated with privatization. Some time it is
referred to as deregulation. It is also linked with democratization.
In order to understand the impact of globalization and liberalization
on the public administration in general and in the form of New
Public Management and Good governance in particular we will now
focus on certain key issues which brought transformation in the
theory and practice of public administration in the post World War II
era.
6.2.1 Check your progress
Liberalization refers to (Select odd man out)
1 Market regulation
2 Privatization
3 Deregulation
4 Democratization
50
economy which sparked the wave of economic reforms that swept
through the public sector after 1990s.
In the present situation the role of the state vis-a-vis the market is
changed. Government and thus State now a days have lost a
position of sovereignty which it enjoyed earlier. Increase in global
interdependence in terms of international economic and financial
relationships, and international institutional collaboration affected
the capabilities of the governments to decide exclusively on the
national affairs. National economic resources and political decisions
have got global overtones. At the same time new issues of
governance
erupted
with
unprecedented
intensity,
like
environmental management, ethnic minorities, tribal development,
child labour, gender equality, social equality, human rights which
increased the pressures over the present day governments.
"Thus the contradictory forces of globalization and liberalization on
the one hand and the search of communitarian, egalitarian, ecofriendly, humanistic civilization on the other have thrown up
challenging agenda items before public management today."
6.3.1 Check your progress
1 Since World War II functions of governments have been
increased. True/False
2 Neo liberal economic theory advocate (select odd man out)
a. Free market
b. Development of private sector
c. Shrinking of state d. State control of market
51
The critics of this approach point out that:
Its organizational design led to rigid hierarchical centralized
structures dysfunctional to organizational goals.
Public agencies became machine-like, rigid and impersonal.
Effective management of the public sector and efficient
production of organizational targets could not be correlated with
the so-called universal principals of traditional public
administration.
In real life the bureaucratic mode of organization was not
necessarily the most national, efficient or effective model of
organizational design.
Thus the major concepts of traditional public administration are now
challenged on the fronts of efficiency, effectiveness, accountability,
transparency and responsiveness. The modern age with the rapid
change in technology and societal demands ask for different
paradigm of administration. At this juncture an idea of deploying
private sector managerial tactics for the public service gained
ground in the 1980s. Citizens are now increasingly viewed as
consumers of public goods. Many of the flexible organizational
designs and practices pioneered by the corporate sector and
business administration are found introduced in the public
agencies. Both sectors are now viewed as complementary to each
other rather than separate and antagonistic. This new paradigm of
public sector management is called as New Public Management
with efficiency, economy and effectiveness as its watch words. New
Public Management is theoretically rooted in Public Choice Theory
and Neo -Taylorism
Public Choice Theory
Principal exponents of Public Choice Theory are Buchanan and
Tullock, Vincent Ostrom, Niskanen.
Underlying assumptions of PCT are
1. Individuals act rationally with adequate information and ordered
preference.
2. Individuals are utility maximizers.
Neo-Taylorism
It believes that major reasons for the dysfunctionality of the public
sector are the high cost of subsidizing the public services and lack
of accountability of individual administrators.
Public organizations are geared to routine and maintenance
administration rather than adapt to the dynamics of rapid social
change.
6.4.1 Features of New Public Management:
Some of the salient features of New Public Management are as
follows:
52
EXPERIENCE OF NPM
UK
The concept of citizen charter has been introduced to ensure
greater citizens satisfaction.
New Zealand
Public sector corporations are sold to private sector.
Contracts have been entered between the Chief Executives of the
Corporations and Ministries to specify the input and output.
Autonomy has been granted to public sector organizations.
Canada
Public Service has been more open and visible.
The link between people and interest group on one hand and
government on the other hand is strengthened.
Powers are delegated to the public organizations and they have
been made accountable for results.
India
Opened up new areas for private sector development, dismantling
price controls, deregulation and privatization of loss making public
sector enterprises.
6.4.2 Evaluation of NPM
In brief NPM advocate the progressive back tracking of government
from the micro issues especially removal of political interference in
53
the administration at the execution of the policies. Economic
rationality and performance are the keywords of NPM. NPM
attempts to refashion the bureaucracy as a dynamic, resultoriented, efficient, responsive and responsible public servant who is
sensitive and aware of public needs, wishes and preferences. In
order to achieve its objectives NPM attempts to downsize
governments and tries to replace the philosophy of public interest
with that of the market which is criticized by scholars of public
administration. Its central concern about optimization of scarce
public resources and development of new ways of public/private
cooperation receive positive response but its emphasis on the
relaxation to the market forces is targeted by many especially in the
Third World.
5.4.3 Check your progress
1 Following are the watch words of the New Public management:
A...........
B...........
C...........
2 New Public Management is theoretically rooted in Public Choice
Theory and Neo -Taylorism
True/False
3 Assumptions of Public Choice Theory are:
A............................................................................................
B............................................................................................
54
In the document of 1992 entitled Governance and Development
the World Bank stated three applications of the concept of
governance;
1. In the form of political regime
2. The process by which governmental power is exercised in the
management of a countrys economic and social resources
3. The capacity of governments to design, formulate and
implement policies
It is imperative to understand that present need to reconceptualize
the governance is felt out of the compulsion of regulating
developmental assistance given by the international financial
institutions like World Bank to the Third World countries. The World
Bank after its establishment in 1944 in the Bretton Woods
Conference, is committed to provide developmental assistance to
the underdeveloped and developing countries for the purpose of
poverty reduction, education, health, empowerment of weaker
sections, environmental sustainability etc. Around 1980s the World
Bank from its lending experience in many developing countries
observed that despite of sound policy design, programmes and
projects have failed due to institutional failures in those countries.
World Bank experts identified some of the problems as;
1. Governments in these countries are not determined enough to
implement the policies.
2. There is an absence of proper accounting or budgetary system
3. Widespread corruption is prevailing in these countries.
4. General lack of popular participation due to public apathy and
misinformation among the people.
In order to overcome these difficulties lending agencies like the
World Bank insists on structural adjustment programmes for the
recipient countries which emphasize on downsizing the
bureaucracy, opening up new sectors to the private sector for
development and redefining the state role as an enabler rather
than a provider. The development aid was linked up with
promotion of open, market friendly competitive economical
readjustment of the national economies, support for
democratization and improvement of human rights records and
insistence on the new package called good governance.
OECD further clarified the expectations of lending countries vis-avis recipient countries under the following heads;
Participatory Development
Human Rights
Democratization
Legitimacy of Government
Respect of human rights
55
Rule of law
5.5.1 Features of Good Governance
From the above discussion we can spell out some important
features of Good Governance. Good Governance insist on removal
of corruption, voices for the minorities, participation of most
vulnerable in decision-making and responsive to the present and
future needs of society.
56
must be freely available and directly accessible to the affected, and
thirdly, complete information in easily understandable forms and
media.
Responsiveness
It suggests that governance must be responsive to the concerns of
all stakeholders within a reasonable timeframe.
Consensus oriented
Good governance requires mediation of the different interests in
society to reach a broad consensus in society on what is in the best
interest of the whole community and how this can be achieved. It
also requires a broad and long-term perspective on what is needed
for sustainable human development and how to achieve the goals
of such development. This needs sensitivity of the administration to
the historical, cultural and social contexts of a given society or
community. In political term it is called as political pluralism.
Equity and inclusiveness
Good governance must address the issues concerning justice and
equity. None in the society should feel side lined or exploited in the
process of development. Growth should be inclusive and equitable.
Mostly the vulnerable and marginalized must share the fruits of the
development and must have opportunities to improve and maintain
their well being.
Effectiveness and efficiency
It means that developmental needs of the society must be achieved
by the optimum utilization of the resources at their disposal. It
further suggests sustainable use of natural resources and the
protection of the environment.
Accountability
Accountability is a key of good governance. Both public and private
institutions along with civil society organizations must be
accountable to the public and to their institutional stakeholders.
Transparency and Rule of Law are prerequisites of accountability.
6.5.2 Evaluation of Good Governance
Good governance is thus a vague normative formulation which is
very difficult to practice in its original form. The criticisms of the
good governance can be summed up in the following points:
It draws very ideal picture of harmonious functioning of various
stakeholders like State, Private Sector and civil society
organizations like NGOs. In reality their relationship is complicated
and guided by their struggle for supremacy in their respective
spheres which hampers the process of governance and divert the
resources in wrong directions.
57
Good governance advocates increasing participation of private
bodies in the issues of governance. However practice shows that
accountability for an activity which has been contracted out, and
maintenance of ethical standards in private sector is problematic to
maintain.
It seems that the concept tried to re invent the old politics
administration dichotomy of the Wilsonian age which is nothing but
a neo-liberal agenda to legitimize the profit making agenda of
capitalist economies from the first world.
Good governance attempt to impose western notion of democracy
and governance over the Third World. It neglects indigenous
strudures of governance alternative paradigms of developments.
To belittle the importance of public agencies in the Third World
may prove disastrous due to the social and political issues (like
communalism, casteism, racism, ethnic clashes) involved in the
community life of the people from these countries.
6.5.3 Check your progress
Fill in the Blanks
Features of Good Governance are :
A Participation
B..........................
C Transparency
D..........................
E Consensus oriented
F..........................
G Effectiveness and Efficiency H..........................
58
New Public Administration and Good Governance along with its
manifold problems of implementation have now become key words
in the vocabulary of public administration after 1980s.
Module IV
Unit 7
7
ETHICS AND ACCOUNTABILITY
IN GOVERNMENT
7.0: Objective is to study
7.1 Introduction
7.2 Ethics and accountability in Public Administration
7.3 Legislative control over public administration
7.4 Check your progress
7.1 INTRODUCTION
Public administration as an activity which encompasses each and
every aspect of human life. The explosion and spread of
information and communication technology, the wide acceptance of
democratic form of government and changing social norms enable
the people to demand higher standards of ethics, transparency and
accountability in the public sector. Ethical public service is
considered as a prerequisite of well functioning democracy. Ethical,
transparent and accountable public sector is also a precondition of
good governance that ensures sustainable development and
responsive public policy. It also helps to improve the performance
of public sector by preventing systemic corruption.
The effectiveness of public administration depends on the
understanding and cooperation between the citizens and public
servants. The primary concern of the citizens in a good civil society
is that their government must be fair and good. For a Government
to be good it is essential that their systems and sub-systems of
Governance are efficient, economical, ethical and equitable. In
addition the governing process must also be just, reasonable, fair
and citizen friendly. For these and other qualities and good
governance, the administrative system must also be accountable
and responsive, besides promoting transparency and people's
participation.
There is a great deal of alienation between the people and the
public service which undermines the legitimacy, effectiveness and
credibility of public administration. To bridge this gap it is necessary
to create confidence in the minds of the people towards the
competence, fairness, honesty, impartiality and sincerity of the
public services.
The manipulation and lack of ethics in administration not only
reduces the effectiveness but also has several negative effects for
60
the society as a whole. It leads to poor administration and
mismanagement of human and material resources. Several rules,
regulations and laws exist to ensure impartiality, honesty and
devotion among the public servants. But still there remain a vast
area of administrative activity which cannot be controlled by formal
laws, procedures and methods. 'In such cases administrators are
accountable only to their own conscience, their own sense of duty
towards the social welfare. Along with that there is also a need to
have an "ethics infrastructure" that not only provides guidance for
good conduct but also administratively and legally punishes
misconduct. The "ethics infrastructure" includes measures to
enhance and preserve organizational integrity, access to
information that promotes transparency and accountability and
prevents misuse of power by public personnel. Decision-making by
administrators must be based on fairness, transparency and
accountability and a sense of the public interest, as well as the
careful exercise of the legal authorities delegated by Parliament.
61
favoritism and ensure that others receive credit for their work and
contributions.
4.
The public officials should make every effort to strengthen
organizational capabilities to apply ethics, efficiency and
effectiveness in serving the public. For the purpose the
organizations should adopt distribute, and periodically review a
code of ethics as a living document. They should work to enhance
organizational capacity for open communication, creativity, and
dedication. The organization should establish procedures that
promote ethical behavior and hold individuals and organizations
accountable for their conduct. The organizational accountability can
be ensured through appropriate controls and procedures. The
organization also should promote merit principles that protect
against arbitrary and capricious actions.
5. The public officials should strive for Professional Excellence.
They should work hard to strengthen individual capabilities
and
encourage the professional development of others to
upgrade competence.
They should accept the responsibility to
keep up to date on emerging issues and potential problems.
Accountability of Public Administration;
Transparency and accountability are often talked about in the
context of administration in general and civil services reforms in
particular. Accountability of public administration implies that for
every action and inaction in government and its consequences
there is a civil servant responsible and accountable to the
government, the society and the people. Political accountability
implies an established legal framework based on the rule of law and
independence of judiciary to protect human rights, secure social
justice and guard against exploitation and abuse of power. On the
other hand Bureaucratic accountability ensures a system to monitor
and control the performance of government offices and officials in
relation to quality of service, inefficiency and abuse of discretionary
powers. The phenomenal increase in the functions of the
government leads to the expansion in the powers and functions of
public administration. Power in a democratic society needs to be
controlled and greater the power, the greater is the need for the
control as the grant of power carries with it the possibility of misuse
of power. The major dilemma before the governments of the day is
to vest the sufficient power to serve the purpose in the view, but at
the same time to maintain adequate control. The need for effective
control of administration thus is obvious.
Check your Progress:
Explain the code of Ethics for public administrators.
What is meant by accountability of public administration?
62
63
of the budget every department puts forth the demands for grants
and for the approval of the Parliament. At this stage the members of
Parliament get the opportunity to discuss and evaluate the affairs of
the administration of various departments. The members of the
opposition can also move cut motions to express their displeasure
with the working of the administration at this stage. Thus the
discussion on the finance bill provides the members of Parliament
an opportunity to discuss the entire administration.
Question Hour :
It is a very powerful technique of legislative control over
administration. During the session of the Parliament, every
parliamentary day starts with the question hour. The first hour of the
day is reserved for questions. The purpose of the question hour is
to elicit information or clarification on the matters pertaining to
public interest. The members of the Parliament address written
questions to the government. On an average thirty questions are
asked. If the members of parliament are not satisfied with the
answers they can ask supplementary questions. In practice the
actual purpose of the question hour is to draw public attention to the
failure and abuse of authority by the government or to address the
public grievances.
Adjournment Motions :
To draw the attention of the government to the questions of urgent
nature and of public importance such as flood, earthquake etc. The
device of adjournment motion is used. If the moving of adjournment
motion is permitted by the presiding officer then the normal
business of the House is suspended for the day and the immediate
debate takes place. During the debate and the discussion on the
adjournment motion the members of parliament get an opportunity
to criticize the administration. Adjournment Motion is the tool of dayto-day control.
Censure Motion:
This means the Vote of No-Confidence. The members of the
Parliament have the right to move the Vote of No-confidence in
order to express the total disapproval of the policy of the
government or the part of it. In case of an adverse vote the
government has to resign.
Debates on the legislation:
The bill of law passes through various stages before the enactment.
The various readings of the Bill provide an opportunity to the
members of Parliament to criticize the entire policy underlying the
bill.
Parliamentary committees:
The Parliamentary committees act as a tool of effective control over
the administration. The financial committees of the Parliament such
64
as Public Accounts Committee, Estimates Committee and the
Committee on Public Undertakings exercise detail and substantial
control over the financial matters. The Committee on Assurances
reports on as to what extent the assurances given by the ministers
on the floor of the House are implemented in a specified time limit
required for the purpose. Such enquiry makes ministers more
responsible and careful and administration to take quick action on
the given promises.
Audit :
The office of Comptroller and Auditor General audits all the
government accounts to ensure that the money granted by the
Parliament have been used for the stated purpose and the amount
has not exceeded without sanction of the supplementary grant by
the parliament and the expenditure confirms to the rules. The
reports regarding the same are submitted by the CAG to the
Parliament.
7.3.3 Limitations of Legislative Control :
Though the legislature lays down the general policy of the
government by enactment, amendment of laws, it has been
observed that in practice this responsibility is shifted to the
executive branch. The executives generally take initiative in Policy
Making in which civil servants play a decisive role. In majority of the
cases even the bills of legislation originate from the executive
branch and the bureaucracy.
The work of the administrative branch has increased in volume
and complexity. The members of the parliament who meet only
during the session do not have the necessary time and expertise to
control the expanding administrative work.
Members of the Parliament often do not possess the required
technical knowledge of the various departments and therefore
cannot effectively criticize the working of the department and their
demands for grants.
In the parliamentary form of government the administrative
officials are not directly responsible to the legislature. They cannot
be called before the House to give explanation of their official acts.
Though they can be called by the Committees of Parliament they
are not obliged to answer personal criticism. It is the Minister who
shoulders the responsibility for the administrative acts of his
department. Administrators thus are only indirectly responsible to
the legislature.
7.3.4 Check your Progress:
What is meant by legislative control over public administration?
What are the means of legislative control?
What are the limitations of legislative control?
Module IV
Unit 8
8
CONTROL OVER PUBLIC
ADMINISTRATION
Unit Structure
8.0 Objective
8.1 Executive control over the Administration
8.2 Judicial control over the Administration
8.3 Suggested Reading
8.4 Unit end questions
8.0 OBJECTIVE
to study about Executive and Judicial control over administration.
66
amount sanctioned cannot be exceeded by the administration.
Thus the executive can exercise continuous control over the
administration through financial regulation.
67
rights have been abrogated or are likely to be abrogated as a result
of some action of the public official. Secondly, the courts cannot
interfere in each and every administrative act, as too much of
Judicial action may make the official too much conscious and very
little of it may make them negligent of the rights of citizens.
8.2.2 Generally judicial intervention in administrative activities is
confined to the following cases:
a) Lack of Jurisdiction:
If any public official or administrative agency acts without or beyond
his or her authority or jurisdiction the courts can declare such acts
as ultra-virus. For instance, according to administrative rules and
procedures, in all organizations, the competent authority is
identified for taking decisions and actions. If any authority or person
other than the competent authority takes action, the courts
intervention can be sought under the provisions of lack of
jurisdiction.
b) Error of Law:
This category of cases arises when the official misconstrues the law
and imposes upon the citizen obligations, which are absent in law.
This is called misfeasance in legal terminology. The courts are
empowered to set right such cases.
c) Error of Fact:
This category of cases is a result of error in discovering cases and
actions taken on basis of wrong assumptions. Any citizen adversely
affected by error of judgment of public official can approach courts
for redressal.
d) Error of Procedure:
Due procedure is the basis of governmental action in a
democracy. Responsible government means a government by
procedure. Procedure in administration ensures accountability,
openness and justice. Public officials must act in accordance with
the procedure laid down by law in the performance of the
administrative activities. If the prescribed procedure is not followed
the intervention of the courts can be sought and legality of
administrative actions can be questioned.
e) Abuse of authority:
If a public official exercises his or her authority vindictively to harm
a person or use authority for personal gain, courts intervention can
be sought. In legal terms, it is called malfeasance. The courts can
intervene to correct the malfeasance of administrative acts.
68
8.2.3: Forms of Judicial control over Administration;
Judicial Review
The judicial review implies the power of the courts to examine the
legality and constitutionality of administrative acts of officials and
also the executive orders and the legislative enactments. This is
very important method of judicial control The statutes made by
Parliament and State Assemblies itself provide that in a particular
type of administrative action, the aggrieved party will have a right of
appeal to the courts or to a higher administrative tribunal.
Sometimes, legislative enactment itself may provide for judicial
intervention in certain matters.
Statutory Appeals
The statutes made by Parliament and State Assemblies itself
provide that in a particular type of administrative action the
aggrieved party will have a right of appeal to the courts or to a
higher administrative tribunal. Sometimes, legislative enactment
itself may provide for judicial intervention in certain matters. The
State is liable for the tortuous acts of its officials in respect of the
non-sovereign functions only.
Criminal and Civil Suits against Public Officials
In India civil proceedings can be instituted against a public official
for anything done in his official capacity after giving two months
notice. When criminal proceedings are to be instituted against an
official for the acts done in his official capacity, previous sanctions
of the Head of the State i.e., the President or the Governor is
required. Some functionaries like the President and the Governor
are immune from legal proceedings even in respect of their
personal acts. Ministers, however, do not enjoy such immunity.
Extraordinary Remedies
Apart from the methods of judicial control already discussed, there
are the extraordinary remedies in the nature of writs of Habeas
Corpus, Mandamus, Prohibition, Certiorari and Quo Waranto.
These are called extraordinary remedies because the courts grant
these writs except the writ of Habeas Corpus, in their discretion and
as a matter of right and that too when no other adequate remedy is
available. A writ is an order of the court enforcing compliance on
the part of those against whom the writ is issued. In India these
writs are available under the provisions of the Constitution. While
the Supreme Court is empowered to issue these writs or orders or
directives only for the enforcement of
Fundamental Rights, the High Courts are empowered to issue
these writs not only for the enforcement of Fundamental Rights but
also for other rights. We will discuss these writs now.
Habeas Corpus:
69
Habeas Corpus literally means to have the body of. This writ is an
order issued by the court against a person who has detained
another to produce the latter before the court and submit to its
orders. If it is found that the person in unlawfully or illegally
detained, he will be set free.
Mandamus:
Mandamus literally means command. If a public official fails to
perform an act which is a part of his public duty and thereby
violates the right of an individual, he /she will be commanded to
perform the act through this writ.
Prohibition:
It is a judicial writ issued by a superior court to an inferior court,
preventing it from usurping jurisdiction, which is not vested with it.
While Mandamus commands activity, Prohibition commands
inactivity. This writ can be issued only against judicial or quasijudicial authorities to prevent exercise of excess of jurisdiction by a
subordinate court. As such, its significance as a method of judicial
control over administration is limited.
Certiorari:
While Prohibition is preventive; Certiorari is both preventive and
curative. It is a writ issued by a superior court for transferring the
records of proceedings of a case from an inferior court or quasijudicial authority to the superior court for determining the legality of
the proceedings.
Quo Waranto: Literally, Quo Waranto means on what authority.
When any person acts in a public office in which he/she is not
entitled to act, the court by the issue of this writ, will enquire into the
legality of the claim of the person to that office. If the said claim is
not well founded, he or she will be ousted from that office. It is,
thus, a powerful instrument against the usurpation ofpublic offices.
8.2.4 : Limitations of judicial control over administration
The effectiveness of judicial control over administration is limited by
many factors. Some of these limitations are:
1. Unmanageable volume of work:
the judiciary is not able to cope up with the volume of work. In a
year the courts are able to deal with only a fraction of cases brought
before it. Thousands of cases have been pending in Supreme
Court, High Courts and Lower Courts for years together for want of
time. There is an increase in the cases of litigation without a
commensurate expansion of judicial mechanism. This excessive
delay in the delivery of justice discourages many to approach the
court. The feeling of helplessness results in denial of justice to
many.
70
2. Post-mortem nature of judicial control:
In most of the cases the judicial intervention comes only after
enough damage is done by the administrative actions. Even if the
courts set right the wrong done, there is no mechanism to redress
the trouble the citizen has undergone in the process.
3. Prohibitive Costs:
The judicial process is costly and only rich can afford it. There is
some truth in the criticism of pro-rich bias of judicial system in India.
As a result, only rich are able to seek the protection of courts from
the administrative abuses. The poor are, in most cases, the
helpless victims of the administrative arbitrariness and judicial
inaction.
4. Cumbersome procedure:
Many legal procedures are beyond the comprehension of common
man. The procedural tyranny frightens many from approaching the
courts. Even though the procedures have a positive dimension of
ensuring fair play, too much of it negates the whole process.
5. Statutory limitations; the courts may be statutorily prevented
from exercising jurisdiction in certain spheres. There are several
administrative acts, which cannot be reviewed by courts.
6. Specialized nature of administrative actions: The highly
technical nature of some administrative actions act as a further
limitation on judicial control. The judges, who are only legal experts,
may not be able to sufficiently appreciate the technical implications
of administrative actions. As a result, their judgments may not be
authentic.
7. Lack of awareness: In developing societies, most of the people
who are poor and illiterate are not aware of judicial remedies and
the role of the courts. As a result they may not even approach the
court to redress their grievances. The courts which can intervene
only when it is sought may be helpless in this situation. The general
deprivation of people also results in deprivation of justice to them.
8. Erosion of autonomy of judiciary; There is executive
interference in the working of judiciary. The quality of judiciary
mostly depends on the quality of the judges. The Law Commission
made many recommendations to ensure the judicial standards of
the bench. The suggestion to create Judicial Commission with
responsibility for judicial appointments deserves serious
consideration. In recent years, there are many allegations of
corruption against judges. This undermines the prestige and the
effectiveness of the judiciary.
8.2.5 Check your Progress:
What is meant by Judicial control over administration?
71
What are the forms of Judicial control over administration?
What are the limitations of judicial control?
SECTION II
Module V
Unit 9
9
THE INDIAN ADMINISTRATIVE SYSTEM BASIC FEATURES
Unit Structure
9.0 Objectives
9.1 Introduction
9.2 Historical Overview of Indian Administrative System
9.2.1
Indian Administration Under British Rule
9.2;1 .1 Administration under East India Company
9.2.1 .2 Administration under direct authority of British Crown
9.2.1 .3 Check your progress
9.2.2 Post Independent Indian Administration
9.2.2.1 Challenges on the eve of Independence
9.2.2.2 Check your progress
9.3 Constitutional and Legal Framework
9.3.1 Constitutional Provisions for Civil Services in India
9.3.2 Check your progress
9.4 Salient Features
9.5 Let us sum up
9.6 Glossary
9.7 Suggested Reading
9.8 Question Pattern
9.0 OBJECTIVES
Dear students till now we studied various theoretical issues
concerning academic field of Public Administration. We are now
familiar with number of concepts and ideas which in last more than
hundred years enriched the understanding of the theory and
practice of public administration.
From this module onwards, we are entrusted with the task of
applying our understanding of the above mentioned issues to the
Administrative System in India. Thus in this module we are
expected to get basic understanding of the Bureaucratic framework
of the Indian Administration.
We will attempt to achieve following objectives in this unit.
To understand historical linkages of Indian Bureaucracy
To understand the constitutional and legal framework in which
Indian Administrative System operates.
73
the
salient
features
of
Indian
9.1 INTRODUCTION
Although systemic enquiry in to the field of public administration
began in last half of 19th century in U.S., as a practice it was a
matter of great interest in ancient civilizations like India, & China.
Administrative system of any given country is always contextual to
the socio-political milieu surrounding it. Indian administration too is
not an exception to it. From ancient times to present it adapted itself
to the changing circumstances in which it operated. Present
administrative system in India is a remarkable example of continuity
and change. Pre British Administration in India was considerably
preoccupied with concerns of revenue generation, internal law and
order, and maintaining strong bonds with religious and cultural
currents in the contemporary society. Administration in those times
was guided by religious and monarchical dictates.
British, first under East India Company and then under the British
Parliament brought the rule of alienated legal structure with
plantation of British system primarily with a motive of control and
exploitation to enrich their mother country. Post British
Administration in India is more complex
which was entrusted with the task of nation building, development,
and establishment of egalitarian society. In this trajectory of
development the Public Administration acquired various unique
characteristics. Understanding of these features is essential to
understand the complex machinery of Indian Administrative
System.
74
In its last phase it attempted certain social legislation to ban certain
religious, cultural practices but by and large it was focused on the
business activities, exploitation of Indian market and natural
resources in India, destruction of indigenous trade activities. To
carry on these duties East India Company had its military personnel
as well civil officials to perform civil duties including judicial
functions. East India Company coined the term Civil Service to
distinguish officials performing civil duties from Military/armed
services.
9.2.1.2 Administration under direct authority of British Crown
It is after the first war of Independence in 1857 that the Crown
started direct rule in India. Since then it evolved a systemic
construction of Steel Framework of Indian Bureaucracy under
colonial control. Development of Railways, Post and Telegraph,
Revenue system, educational system were especially designed to
serve the colonial purpose. The government was interested in the
collection of taxes, maintenance of peace and law and order. In the
words of Prof. Fadia role of bureaucracy was mainly negative, i.e.,
it performed regulatory functions and made all efforts to crush
people/s movement for independence. Following are the some of
the landmark developments of this period in the course of evolution
of Civil Service in India.
75
higher civil services gained momentum. Under the Government
of India Act of 1919 responsible government was introduced in
India. It worked as catalyst to bring changes in the political
milieu of the country. Thus growing criticism of individual
members of the Services by questions in the Provincial and the
Central Legislatures, the ignominy of working under Indian
Ministers in the provinces, the Non-cooperation Movement of
1920-1922 putting the officers and their families in personal
discomfort, the insufficiency of salaries due to the high level of
prices prevailing in the wake of the First World War resulted in
the early retirement of many British officers from the Services.
Lee commission in its report recommended abolition of certain
All-India services, particularly those dealing with departments
that had been transferred to Indian hands. These departments
were Indian Educational Service, Indian Agricultural Service,
Indian Veterinary Service, and the Roads and Building Branch
of the Indian Service of Engineers. It further recommended
retention of Indian Civil Service, Indian Police Service, Indian
Forest Service, Indian Medical Service and the Irrigation Branch
of the Indian Service of Engineers.
The Government of India Act of 1935 further brought important
reforms in the nature of the higher civil services. The Act
strengthened the federal machinery. Though Indian public opinion
was in favour of dismantling all the All India Services, but the act
retained two services i.e. I.C.S. and I.P.S and thus maintained the
steel frame as it is.
In order to maintain firm grip over Indians, British Government
offered all kinds of favours, privileges and concessions to the public
services in India, especially All India Services. Same protection was
continued to these services in the provisions of the 1919 Act, 1935
Act. Their interests were guarded by the Governor General of India.
As a matter of fact, the introduction of limited responsible
government in 1920 and its extension in 1937 had been marked by
frequent clashes between the Indian ministers and the British
officers. Protective measures for the services were continued in the
Indian Independence Act of July 1947. Thus despite the protest by
some members in the Constituent Assembly, the government of
independent India provided in the Constitution of India the
protection of the rights of the.existing officers of the Indian Civil
Services.
9.2.1.3 Check your progress
1 Motive of the East Indian Company Administration in India was
...................................................................................................
2 British Administration in colonial India was welfare oriented. True/
False
3 All India Services under British Crown were (Mark the right
option)
76
a. Happy with Indian ministers
b. Received high privileges and protection
c. Indian freedom struggle had good rapport with civil services
9.2.2 Post Independent Indian Administration
Although the independence of India unlike American or Russian
revolution was a matter of transfer of power from British Parliament
to the Indian Government, the event was not as comfortable as was
desired during the long drawn freedom struggle. There were
enormous challenges before this newly born republic.
9.2.1 Challenges on the eve of independence:
Defending external boundaries:
Soon after the independence both the newly independent nations
were engaged in a full scale war over the issue of Jammu and
Kashmir. The war led to financial and diplomatic burden over the
Government of India which results in the diversification of attention
to the boundary problems. Similarly boundary disputes with China
remained unresolved which led to the war in 1962 with that nation
too. Consequent to these the administration of independent India
had to engage enormous resources for the external security.
Combating communalism:
Partition of the country on the communal line led to the problems of
very serious nature. Subsequent communal riots result into the loss
of thousand of lives, loss of property and further growth of ill
feelings among Hindus and Muslims. Further, exodus of millions of
refugees from across the border forced the administration to
prepare for their resettlement and rehabilitation. Although Indian
administration finished the unprecedented task with remarkable
speed and success it caused enormous strain on the financial and
other resources.
Unification of the country :
The Act of Independence allowed the Princely States, which were
earlier not the part of direct rule of British India to retain the power
to decide on integration to the Indian Union or remain sovereign.
There were more than six hundred such princely states whose
sovereignty implied constant threat to the security of independent
India. Indian administration under the able leadership of the then
Home Minister of India, Shri. Vallabhbhai Patel successfully
managed the integration of these princely states in the Union of
India.
Nation Building:
Large territory and diversity of region, language, culture, history,
religion, caste, class etc. provided fertile land for the secessionist
forces in India. The responsibility of the administration was to deal
with the separatist forces within the country without developing ill
77
feeling among the masses. This was delicate balance which was
needed in the process of nation building in the country.
Advent of Welfare State:
The constitution of India promises the citizen of India guarantee of
freedom, equality and social justice. These promises meant for the
beginning of welfare government had considerably increased its
functions. Bureaucracy had to shed of its administration in the
India. So the new colonial attitude of arrogance and apathy towards
the masses. They had to emerge as catalyst for modernization and
development of the newly independent nation.
A welfare state is a government that provides for the welfare, or the
well-being, of its citizens completely. Such a government is
involved in citizens lives at every level. lt provides for physical,
material, and social needs rather than the people providing for their
own. The purpose of the welfare state is to create economic
equality or to assure equitable standards of living for all.
Above mentioned challenges were just few to be highlighted from
the list of many more to expect from the nation which was newly
freed after more than one and half century long colonial rule.
Severity of the problems was increased with the personnel crisis
which country faced at the beginning. With the increase of the
functions of government the country was in need of trained
personnel to shoulder the responsibilities. But on the eve of
independence most of the British officers sought premature
retirement from the service, and due to the partition the majority of
the Muslim offices went to the Pakistan. Thus, nearly 600 members
of the Indian Civil Services left India, leaving only 600 officers in the
Service. Same shortage was faced by Indian Police Service and
External Affairs Ministry too. To deal with the crisis caused by the
gaps in the services, the government initiated emergency process
for the recruitment to the Services. A Special Recruitment Board
was set up in 1948 to fill the newly created posts in I.A.S. and I.P.S.
Its task was to survey the available administrative manpower in the
country both inside and outside the ranks of the permanent
services, and to select men of the requisite standards in order to
make good and fill up deficiency in services. The Special
Recruitment Board came to an end with the inauguration of the new
Constitution on January 26, 1950.
Now after the brief survey of the historical circumstances
surrounding evolution of the public Administration in India we will
turn to understand the foundation of the Bureaucracy in India as a
torchbearers for the development and modernization which is laid
down in the legal framework of the Constitution of India.
9.2.2.2 Check your progress
1 Greatest challenge before the Indian Administration after
Independence was (Select odd man out)
78
9.3
79
Article 311 (1) states that member of civil services, All India,
Central and State should not be dismissed or removed by an
authority subordinate to that by which he was appointed.
Article 311 (2) protect the civil servants from arbitrary dismissal,
removal or demotion in rank without informing the charges
against him and denial of opportunity to defend himself.
Article 315 to Article 323 made provisions for the Public Service
Commissions for the Union and for the States pertaining to their
establishment, appointment and terms of office, their removal
and suspension and other related provisions such as functions,
powers, expenses and reports etc.
80
Administrative Dualism:
Owing to the quasi federal nature of Indian political system the
executive and administrative powers of the Union and States are
co-extensive with their legislative powers. Central Services
administer 97 subjects which are constitutionally allocated to Union
and State Services administer 66 subjects reserved for States. For
the subjects in the Concurrent List, the Union formulates policies
and enacts legislations and the responsibility of administration is
entrusted to the State Services. Both the Services and State
Services are classified into four categories, Viz. Class-I. Class-II,
Class-Ill and Class-IV, depending on the responsibility, the nature
of work and required qualifications. Class I and II for the Union and
States, are recruited respectively through Union Public Service
Commission and State Public Service Commissions. Class-Ill
consists of clerical staff and Class-IV service constitutes all menial
staff which are recruited by the Subordinate Staff Selection Board
for Central and Regional Staff Selection Boards for the States.
All India Services
All India Services are the successors of Indian Civil Service known
as steel-framework of the British Raj. Personnel of All India
Services are inter-changeable between the Central and State
governments. They occupy strategic positions in the Central as well
as State administration. According to Dr. Ambedkar, they are
strategic posts from the point of view of maintaining the standards
of administration of the country. Article 312 of the Constitution of
India empowers the Council of States, in the wider national interest,
to recommend to the Union Parliament, creation of All-India
services. At present there are two All India Services, viz. Indian
Administrative Service (IAS) and Indian Police Service (IPS). The
recruitment for All India Services is done by the Union Public
Service Commission. (UPSC)
Recruitment to Public Services:
Since 1856 recruitment to the Indian administrative system has
been made through open competitive examination with an objective
to secure for the Indian Civil Service young men who had received
the best, the most liberal and the most finished education. The
Constitution of India has provided for the Union, State and Joint
State Public Service Commissions and has entrusted them the task
of ascertaining the merit of the candidates by conducting
competitive examinations and making recommendations to the
Union and state Governments in the matter of recruitment to public
services. Adequate provisions to ensure their independence and
thereby fair recruitment are made in the Constitution of India.
Differential Recruitment Policy
While recruiting the staff for Civil Services preferential treatment is
given to certain sections on the basis of social backwardness in the
form of relaxation of eligibility conditions and reservation in the
81
public employment. According to Art. 16(4) of the Indian
Constitution, Centre as well as State governments are required to
make provision for the reservation in appointments or posts in
favour of any backward class of citizen which in the opinion of the
State is not adequately represented in services under the state.
Domicile Requirements in State Services
Despite of constitutional obligation to not to discriminate persons on
their place of birth many States in India follow the policy of
recruiting
only the domicile citizen of those States. They justify such policies
on the grounds such as moral duty of a State to provide
employment to its Sons of Soil, possibility of encroachment of
public employment by the persons from other states, non familiarity
of the outsiders with the social cultural environment of those
states, and possible emotional non involvement or attachment to
the people of the region.
Training:
After the independence the method of institutionalized training for
Civil Services is adopted in order to impart the specialized
education to the new entrants for the efficient conduct of their
duties. Revenue and development administration remained the
central concern of these orientations. Common institutional training,
known as foundation training, is provided to recruits to the All-India
and Central Services Class-I, at Lal Bahadur Shastri National
Academy of Administration, Mussourie. Professional training to the
new recruits is provided at various Central Training Institutions.
Other training programmes like executive Development
Programme, Advanced Management Development Programme
etc., are conducted in the National Academy of Administration for
the central and All India services.
Dominance of Generalists:
The Indian Administrative Service is known as generalists who
occupy superior positions at policy formulation and
considerations levels in the Central and State secretariats. Apart
from this, these cadres are appointed to the specialized executive
agencies like Director of Education or Agriculture or Public Health.
Despite of fifty percent of the Class-I officers belong to the technical
services they are generally excluded from these key positions.
A Large Public Sector:
The public sector in India covers a vast and varied range of
activities as compared to the Private sector. The industrial and
commercial undertakings in the public sector in India are classified
into three groups:
82
- Undertakings run directly by the departments of executive
agencies of the Government like railways, posts and telegraphs
etc.
- Undertakings run by statutory corporations like L.I.C., Indian
Airlines, and O.N.G.C. etc.
The public sector:
sometimes referred to as the state sector is a part of the state that
deals with either the production, delivery and allocation of goods
and services by and for the government or its citizens, whether
national, regional or local/municipal.
Undertakings run by Government Companies registered in
accordance with the provisions of the Indian Companies Act, 1956.
Planning Commission :
Planning Commission was set up, by a Cabinet Resolution, on 15th
March, 1950 with an objective to secure rapid advance along
democratic and equalitarian lines. As an expert advisory body to
the Cabinet it works in close cooperation with the Union and State
Government. It takes initiative in suggesting new policies and
programmes and also to co-ordinate policies and programmes of
the other agencies of the government. Central and State
governments bear the responsibility for decisions and
implementing. However, in practice, the planning commission has
reduced the importance of the Ministries, the States, and even of
the Union Cabinet. It has affected the balance of power and the
federal structure by affecting the autonomy of the States and
reducing them to the status of doles receiving corporation.
83
In the process it retained some of the old features like continuation
of dominance of generalists All India Services, administrative
dualism has acquired some new characteristics like,
institutionalized recruitment and training to Public Services in both
central and state level, differential recruitment Policy, domicile
requirements in State Services, a large Public Sector and
emergence of Planning Commission.
9.8 QUESTIONS
1.
Module V
Unit 10
10
THE INDIAN ADMINISTRATIVE SYSTEM
Changing Nature-with reference to Liberalisation and
Privatisation Public-Private Partnership
Unit Structure
10.0
Objectives
10.1
Introduction
10.2
Changing Nature-With Reference To Liberalisation and
Privatisation
10.2.1 Shift in Economic Policy in Indian Economy after 1991
10.2.2 Check your progress
10.2.3 Behaviour and attitudinal influence of GLP on the
Administration
10.2.4 Check your progress
10.2.5 Globalization, liberalization, Privatization and the Public
Sector in India:
10.2.6 Check your progress
10.2.7 Globalization Liberalization and Planning In India:
10.2.8 Check your progress
10.3
10.3.1
10.3.2
10.3.3
10.3.4
10.3.5
10.3.6
10.3.7
10.4
10.5
10.6
10.7
Let us sum up
Glossary
Suggested Reading
Question Pattern
10.0 OBJECTIVES
This unit is the continuation of the last one. From the last unit we
are familiar with the Public Administration in India and its various
features under the Nehruvian model of planned, welfare economy.
Thus, now we can start addressing the issues concerning Indian
Administration in the Globalized world. This unit from Module V is
designed to fulfill following objectives:
85
1.
2.
3.
4.
10.1 INTRODUCTION:
After 40 years of long engagement with the welfare state model, in
1991 India joined the bandwagon of globalization and integrated its
market with the global market. Gigantic transformation of every
sector of the Indian society was unavoidable with this change in the
economic policy of the government. The polity before 1991 was
characterized by the socialist approach towards the governance
and administration was based on Weberian model of bureaucracy.
Both of them were fused in order to tackle the challenges of nation
building, development, social justice and international peace.
Assessment of forty years of practice of Indian bureaucracy
revealed success stories on some fronts while failure on some
other. Fiscal crisis of 1990s led the Indian government to initiate
neo-liberal economic reforms. Various changes followed these
reforms. Along with unresolved issues of social justice, poverty,
border conflicts with neighbouring countries the New Economic
Order under the Brettonwoods Institutions (International Monetary
Fund, World Bank) and World Trade Organization posed new kinds
of challejiges which include global competition, environmental
concerns etc. The public administration in India has undergone
drastic changes from its traditional portrayal of rigid, leviathanian,
welfare image to the flexible, decentralized and catalyst under the
changing nature of the political economy after 1991.
TO
Meaning:
Globalization entails progressive integration of Indian economy in
the world economy. It implies opening up the Indian Economy to
foreign direct investment, removal of constraints to the entry of Multi
National Companies in India.
Liberalization means free-market economy. It marks a change from
a restrictionist regime to a free regime. It implies reducing, relaxing
and dismantling of governments controls and regulation in
86
economic activities. These measures include delicensing of a good
number of industries, raising of licensing limits, relaxations under
the MRTP Act, broad banding, relaxation under the FEMA
regulations, legalization of additional capacities, relaxations in
export-import policy and so forth. Thus, the private sector is
permitted to function freely in respect of investment, production and
products.
Privatization suggests changing the ownership of pubic enterprises
fully or partially to the private parties, allowing the entry of private
sector into areas hitherto exclusively reserved for the public sector
and operating contract that is, entrusting the management and
control of public enterprises to the private parties on agreed
remuneration.
10.2.1 Shift in Economic Policy in Indian Economy after 1991
Indian economy before new economic policy of 1991 was
characterized as mixed economy which was heavily inclined
towards centralization. Due to socialist orientation of the
government more emphasis was on the public sector. Development
was guided and planned by the ideal of Welfare State. Industrial
policy was protectionist towards indigenous businesses and
agriculture with stringent regulation of import and export
transactions.
The New Economic Policy announced as New Industrial Policy in
1991 was the beginning of the era of liberalization which eventually
led to privatization and globalization. The policy was the radical
departure from the Nehruvian Economic Philosophy contained in
the 1956 policy designed to improve the overall performance of the
Indian Economy. With this change the approach of the governance
towards the public sector has changed dramatically. Various
reasons are cited by the government to justify this changing focus
towards public sector. Some of which are the poor financial
performance of the public sector; low returns against heavy
investments in public enterprises; inability of government to provide
budgetary support to sick enterprises; growing necessity to develop
competitive culture for the public enterprises to earn profits through
improved efficiency; the global trend towards liberalization,
privatization, and globalization, initiative from private sector to
invest in public infrastructure; growing influence of external factors
like advanced countries, MNCs, World Bank, IMF and so on.
10.2.2 Check your progress
1 Globalization is the integration of internal economy with
international market.
True / False
2 State any four reasons that compelled Indian Government to
open the economy in 1991.
a. ...........................
87
b. ...........................
c. ...........................
d. ...........................
10.2.3 Behaviour and attitudinal influence of GLP on the
Administration
Thus with the adoption of New Economical Policy, competitiveness
became the watchword of the new era administration. The old rulebound, rigid, conservative, cautious, slow and unresponsive
bureaucratic systems are increasingly being viewed as archaic. The
winds of change started affecting the structure, orientation and
behaviour patterns of the administrative system. Inefficiency and
high costs involved in the maintaining of the huge bureaucracy was
sought to be reduced by reducing the employees strength and
promoting professionalism and increasing speed of modernization.
Following changes are now seen crucial to prepare the
administration for the global competition.
Modernization and Technological preparedness:
The administration needs modernizing technology and development
of necessary infrastructure to play pivotal role in transforming
economic scenario.
Attitudinal changes in the Bureaucracy:
The attitude of administration towards public needs drastic change
in the wake of growing demands of citizens rights and privileges.
The emergent administrative system ought to be client-oriented or
people oriented with its major focus on empowering the people.
More particularly, administration at the cutting-edge level should
develop a positive, empathetic and helpful attitude towards the
common man.
Entry for Specialists:
Indian bureaucracy in the past was dominated by generalists. In the
present situation bureaucrats are expected to act as an
entrepreneur who is result-oriented and, therefore, is willing and
eager to cut red-tape. In the policy-making the role of specialist has
increased. They are needed to occupy top policy positions. In order
to facilitate greater role of professionals and technocrats in the
policy system, they are offered lateral entry into the civil service.
Decentralization:
The culture of decentralization and delegation should pervade the
whole administrative system and the field functionary should feel
that he is an integral part of the governance system. The top heavy
secretariat in the Central and state governments should be pruned
adequately with a view to broad-basing the policy process and
providing a greater role and scope to the middle level of
administration in the policy system.
88
Flexibility in control:
The governmental rules and procedures including audit need
revision in order to be more commercial and flexible. It is more
desirable to change mind set of bureaucrats. Accountability should
stem from a sense of moral responsibility and social obligation.
Personnel Administration:
Personnel administration requires rigorous mechanism of
manpower planning. Recruitment process needs to streamline to
form the basis of proven and potential merit. Training for improving
professional competence, reorienting attitudes and influencing
value-patterns will have to be a continual process. The salaries and
perks in government organizations need to be more attractive. To
compete corporate in order to attract bright talent in the services
and retain them in it, it would be desirable to create for them a set
of non-economic incentives. There is visible need to promote work
ethics in the Indian administrative system including, national pride,
organizational loyalty, professional commitment, dignity, prestige
and social recognition.
10.2.4 Check your progress
1 Which of the following is the watchword of the public
administration under the liberalization?
a. Competition
b. Red-tapism
c. Conservatism
d. Cautious
2. Following changes are expected in the administration in order to
prepare for the global competition.
a. .......................................... b................................................
c. .......................................... d................................................
e. .......................................... f................................................
10.2.5 Globalization, liberalization, Privatization and the Public
Sector in India:
Thus owing to the reasons above the New Industrial Policy of 1991
contained following provision; with regard to the public sector.
1.
Reduction of the role of the public sector to few strategic, hitech and essential infrastructure areas.
2. Entry to private sector in some of the areas earlier reserved for
the public sector. Expansion of the public sector to the areas
not reserved for it.
3. Chronically sick public enterprises will be referred to the Board
of Industrial and Financial Reconstruction (BIFR) for
formulation of revival and rehabilitation schemes.
89
4.
5.
6.
7.
8.
90
3. Oil and Natural Gas Commission.
4. Indian Oil Corporation Ltd.
5. Hindustan Petroleum Corporation Ltd.
6. Bharat Petroleum Corporation Ltd.
7. Gas Authority of India Ltd.
8. National Thermal Power Corporation Ltd.
9. Mahanagar Telephone Nigam Ltd.
The Navratnas have freedom to: incur capital expenditure without
any monetary ceiling; enter into technology joint ventures or
strategic alliances to obtain technology; to effect organizational
restructuring including establishment of profit centers, opening of
offices in India and abroad; decide on the posts below the Board
level; raise capital from
the domestic and international markets; establish financial joint
ventures and wholly subsidiaries in India and abroad; and to deal
with manpower management.
6. The government further identified some profit making public
enterprises as Miniratnas and granted them financial, managerial,
and operational autonomy. These were divided into two categories
depending upon their recent performance, Miniratnas I and
Miniratnas II. Both these categories are those which have positive
net worth, have not defaulted in the repayment of loans/interest to
the Government and have not sought budgetary support from the
Government.
The Miniratnas have freedom to: incur capital expenditure without
government approval upto Rs. 300 crores or equal to their net worth
whichever is lower (for Miniratnas-I) and upto Rs. 150 crores or
upto 50% of their net worth whichever is lower (Miniratnas-II), enter
into financial joint venture, establish subsidiary companies and
overseas offices, enter into technology joint ventures, and work out
their own manpower policies.
7. The system of memorandum of understanding (MOU) was
introduced in 1987-1988 after the recommendation by the Arjun
Sengupta Committee (the committee to Review the Policy for the
Public Enterprises) Report of 1986.
MOU is an agreement between the Government and the public
enterprises management to grant autonomy to latter, that is, to
reduce day-to-day interference of the ministry in the management
of public enterprises. It defines obligations of both the parties for
improving performance of public enterprises. It makes public
enterprise management responsible for results.
91
10.2.6 Check your progress
1 Write any five provisions of New Economical Policy of 1991
pertaining to Public Sector.
...........................................................................................................
...........................................................................................................
2 What is disinvestment?
...........................................................................................................
...........................................................................................................
10.2.7 Globalization Liberalization and Planning In India:
The greatest influence of economic reforms found on the socioeconomic planning. In its annual report of 1992-93 the Planning
Commission of the Government of India hinted at the application of
indicative planning which stress more on persuasion than on
regulation and control of the private sector. The governments role
in seriously tackling the problems of rural and urban poverty,
unemployment, inequalities and regional imbalances would
continue to be significant in the foreseeable future. But side by side
with the expanding role of the private sector in economic
development, indicative planning is likely to be reinforced in certain
segments of the economy.
With the 73rd and 74th constitutional amendments in 1993 the
Indian bureaucracy is now entrusted with new obligation to make
district planning and metropolitan planning effective. It is an
important challenge to Indian administrators to implement
successfully the system of multilevel planning (centre-state-districtblock-village).This requires strategic as well as attitudinal change to
shed centralizing tendencies in governance and devise new
approaches to resources allocation which would respect
responsibility and functional autonomy at all territorial and functional
levels.
10.2.8 Check your progress
1 Indicative planning indicates...
a. more stress on persuasion than on regulation and control of the
private sector
b. total control of private sector
c. uncontrolled freedom to the private sector
d. absence of planning for public sector
2 Multi level planning necessitate functional autonomy at all
territorial and functional levels. True / False
92
compounded the pressure on the existing infrastructure, and
increased the demand- supply gap in most of the developing world.
While the infrastructure gap is rising, government budgetary
resources are increasingly constrained in financing this deficit. Thus
governments and policymakers felt need to explore new ways of
financing and managing these services.
Governments have been pushed to explore new and innovative
financing methods in which private sector investment can be
attracted through a mutually beneficial arrangement. Since neither
the public sector nor the private sector can meet the financial
requirements for infrastructure in isolation, the Public Private
Partnership (PPP) model has come to represent a logical, viable,
and necessary option for them to work together. PPPs enable
private investment flows, deliver efficiency gains and enhanced
impact of the investments. The efficient use of resources,
availability of modern technology, better project design and
implementation, and improved operations combine to deliver
efficiency and effectiveness. PPP projects also lead to faster
implementation, reduced lifecycle costs, and optimal risk allocation.
Private management also increases accountability and incentivizes
performance and maintenance of required service standards.
Finally, PPPs result in improved delivery of public services and
promote public sector reforms.
The idea of PPP originated during the debt crisis of 1970s and
1980s. Governments especially in European countries encourage
private investment in public infrastructure. In 1992 the Conservative
government in United Kingdom introduced the private finance
initiative, the first systematic programme aimed at encouraging
public-private partnerships. Subsequently governments in Australia
adopted systematic programmes based on the PFI like
Partnerships Victoria.
10.3.1 Meaning:
Public-Private partnership is the joint venture of Government and
Private business operated through their mutual partnership. It
involves a contract between public sector authority and a private
party, in which the private party provides a public service or project
and shoulders a substantial financial, technical and operational risk
in the project.
Depending on the type of responsibility shared between both
governmental side and private side we can categorize the types of
PPPs.
1. In some type of PPP, the cost of using the service is borne
exclusively by the users of the
service and not by the taxpayer.
93
2. In other types capital investment is made by the private sector on
the strength of a contract with government to provide agreed
services and the cost of providing the service is borne wholly or in
part by the government. Government may also contribute in kind.
3. In projects that are aimed at creating public goods like in the
infrastructure sector, the government may provide a capital subsidy
in the form of a one-time grant, so as to make it more attractive to
the private investors.
4. In some cases the government may support the project by
providing revenue subsidies, including tax breaks or by providing
guaranteed annual revenues for a fixed period.
5. Typically, a private sector consortium forms a special company
called a special purpose vehicle (SPY) to develop, build, maintain
and operate the asset for the contracted period. In cases where the
government has invested in the project, it is typically (but not
always) allotted an equity share in the SPY. The consortium is
usually made up of a building contractor, a maintenance company
and bank lender(s). It is the SPY that signs the contract with the
government and with subcontractors to build the facility and then
maintain it.
10.3.3 Scope of PPPs:
Since the 1990s, there has been a rapid rise of PPPs across the
world. Governments in developing as well as developed countries
are using PPP arrangements for improved delivery of infrastructure
services. Governments are building transport (roads, railways, toll
bridges, airports, tunnel, and flyovers), education (schools and
universities), healthcare (Cancer and other diseases research
centres, hospitals and clinics), waste management (collection,
waste-to-energy plants, sewage and drainage), energy (hydro
electric projects) disaster management and water (collection,
treatment, and distribution) infrastructure through PPP. Some
Public-Private Partnerships are in the realm of specific public health
goods. Product development partnerships (PDPs) are a class of
public-private partnerships that focus on pharmaceutical product
development for diseases in the developing world. These include
preventive medicines such as vaccines and microbicides, as well as
treatments for otherwise neglected diseases.
10.3.2 Limitations:
Although invented to transform public infrastructure with the help of
private enterprises, PPP is not immune from limitations. They have
been facing criticism from civil society organizations, public interest
groups, media, and other stakeholders. Some of the problematic
PPPs have raised concerns about the role of the private sector in
public services. Lack of trust in the private sector, tariff increases,
94
layoffs, and poor stakeholder management has contributed to these
concerns. Certain objections against the PPPs are as follows:
1. High procurement costs of PPPs deter small companies and
curtail competition
2. Due to faulty, rushed, noncompetitive, and nontransparent
application of the PPP principles some projects failed to deliver
expected results.
3. Private investors obtained a rate of return that was higher than
the governments bond rate, even though most or all of the income
risk associated with the project was borne by the public sector.
4. In many cases it is found that the schemes being proposed were
inferior to the standard model of public procurement based on
competitively tendered construction of publicly owned assets.
10.3.4 Check your progress
1 Define Public Private Partnership...........................................
.................................................................................................
.......................................................................................................
2 PPP projects may include: (Select odd man out)
a. Hospital
b. Border Security c. Railway
d. water supply
3. PPPs are flawless.
True / False
10.3.5 Public Private Partnerships in India
Despite becoming the fast growing economy of the world, India
continues to face large gaps in the demand and supply of essential
social and economic infrastructure and services. Rapidly growing
economy, increased industrial activity, burgeoning population
pressure, and all-round economic and social development have led
to greater demand for better quality and coverage of water and
sanitation services, sewerage and drainage systems, solid-waste
management, roads and seaports, and power supply. Increased
demand has put the existing infrastructure under tremendous
pressure and far outstripped its supply. The infrastructure shortages
are proving to be the leading binding constraint in sustaining,
deepening, and expanding Indias economic growth and
competitiveness.
Indias
global
competitiveness
remains
constrained and is adversely affected by lack of infrastructure,
which is critical for improved productivity across all sectors of the
economy. Poor infrastructure is a major barrier to foreign direct
investment (FDI). Lack of infrastructure is preventing the sectoral,
regional, and socioeconomic broadening of the economy and its
benefits, and is affecting inclusive growth in India. Further the large
sections of the population which are labour dependent, low skilled,
rural based, and working in agriculture and manufacturing sectors
have not received the benefits of accelerated growth of the
country.. Infrastructure shortages have slowed the growth of
95
manufacturing industries and agriculture, which are the labour absorbing markets for the low skilled. Poverty levels remain
significant, with about one-fourth of the population live in poverty.
Growing recognition of the prevailing infrastructure deficit in the
country and its impending impact on sustaining economic growth as
well as poverty reduction has made development of social and
economic infrastructure among the highest priorities of the
Government of India (GOI). However, estimated investment
requirements far exceed government resources. The expectations
can not be met from governments budgetary resources. The scope
for making improvements is limited by the state of public finances.
Given the large resource requirements and the budgetary and
borrowing constraints, GOI has been encouraging private sector
investment and participation in all sectors of infrastructure. It has
recognized that while public investment in infrastructure would
continue to increase, private participation needs to expand
significantly to address the existing deficit in infrastructure services.
To resolve the issues arisen out of these situations the Government
of India and of the States have adopted PPP model to sustain the
developmental needs of the country.
10.3.6 Experience of PPPs in India:
Institutional Efforts:
The GOI constituted, on August 31, 2004, the Committee on
Infrastructure (Col), chaired by the Prime Minister. The Col is
tasked with steering initiating policies that would ensure time-bound
creation of world-class infrastructure, delivering services matching
international standards; developing structures that maximize the
role of PPPs; and monitoring progress of key infrastructure projects
to ensure that established targets are realized. The CoI is
supported by the Empowered Subcommittee, which formulates,
reviews, and approves policy papers and proposals for submission
to Col, and monitors and follows up on implementation of the
decisions of Col. The Col has also formed a Committee of
Secretaries to prepare and implement an Action Plan for providing
adequate road and rail connectivity for Indias major ports.
The GOI started Viability Gap Funding (VGF) scheme which is a
special facility to support PPP projects especially in the initial years
to establish the commercial viability to overcome problems of long
gestation periods and economic externalities. The scheme provides
20% funding of the project cost for state or central PPP projects
implemented by the private sector developer on a BOT basis
(selected through a process of competitive bidding). If required, an
additional 20% can be made available by the sponsoring Ministry/
agency or it can come from the state government or any sponsoring
statutory agency like local bodies. Sectors eligible for VGF are
Transportation (roads, railways, seaport, airport); Power/Energy;
Urban Infrastructure (water supply, sewerage, solid-waste
96
disposal); Tourism (international convention centers); and special
economic zones.
A study conducted by the World Bank of 13 states in 2005 found 85
PPP projects awarded by states and select central agencies (not
including power and telecom). Their total project cost was Rs 339.5
billion. The largest number of PPP projects is in the roads and
bridges sector, followed by ports, particularly greenfield ports.
According to a Morgan Stanley report, more than Rs 1000 billion
worth of PPP projects are under development in India. State
governments have identified a whole range of sectors for PPP,
including roads/highways, ports (air, sea, and container),
telecommunication, water supply, waste management, tourism,
power, industrial infrastructure, township development, leisure, and
health.
Experiences of PPPs in States in India
Experiences of PPPs in India varies from State to State. Largescale private financing in water supply has so far been limited to a
few cities like Visakhapatnam and Tirupur. Most PPPs in water
supply projects have been through municipal bonds in cities such
as Ahmedabad, Ludhiana, and Nagpur. West Bengal has recorded
significant success in housing and health sectors which delivered
quality housing and quality living conditions to the lower middle
class and the middle class. Gujarat and Maharashtra achieved
success in ports, roads, and urban infrastructure. Karnataka also
has done well in the airport, power, and road sector. Punjab has
had PPPs in the road sector.
Varied institutional framework.
State/UT governments have indicated marked differences in the
process of PPP development, including variations in existence of
infrastructure legislation and policies, institutional arrangements for
identifying and approving PPPs, project development funds and
companies, financial structuring, procurement procedures, etc.
States like Andhra Pradesh, Gujarat, and Punjab have legislation to
define the infrastructure and outline of its execution by the private
sector. Some other states have administrative frameworks in place
for decision-making. Madhya Pradesh and Maharashtra are
focused on a single sector (roads) by building up capacities in line
departments but due to absence of platforms to transfer acquired
skills to other departments other departments are lagging behind.
Gujarat, Andhra Pradesh, and Punjab have developed crosssectoral enabling legislation and dedicated agencies but have not
had a very successful track record in taking PPPs to the market.
Some other states, such as Tamil Nadu, have developed a few
PPPs across a wide range of sectors, without explicit cross-sectoral
PPP units or legislation. Rajasthan has a cross-sector
97
policy/regulatory framework and a project development company
but has concluded only one tourism project and a few road projects.
One lesson to be learnt from the implementation of PPPs in India is
significant capacity development is required to make available
sufficient skilled staff in the Centre as well as States.
10.3.7 Check your progress
1 Committee on Infrastructure is chaired by...
a. Prime Minister
b. President
c. Finance Minister d. Home
Minister
2. VGF scheme is introduced to support PPP projects especially in
the initial years to establish the commercial viability to overcome
problems of long gestation periods and economical externalities.
True / False
3. Non availability of sufficient skilled staff is the important problem
of PPPs in India.
True / False
10.4
LET US SUM UP
98
10.6
1
2
3
4
5
QUESTION PATTERN
Module VI
Unit 11
11
PERSONNEL ADMINISTRATION
RECRUITMENT
UNIT STRUCTURE
11.1 Introduction
11.2 The Process of Recruitment
12.3 Union Public Service Commission
12.4 Questions
11.1: INTRODUCTION
The most striking feature of Indian Administration is the enormous
growth in the powers, functions and influence of the civil service in
the post independence period. The economic and social
compulsions of free India have led to the acceptance of the concept
of a welfare state and a socialist society to be achieved through a
planned process. Civil service is engaged in a large variety of
developmental activities. The growing importance of civil service
has led to a significant change in the approach to the civil service.
Owing to the tremendous increase in the number of personnel of
public services in the post-independence period, the issue of
recruitment has assumed great significance. Prior to 1979 a single
competitive examination used to be held. There were three
compulsory papers: Essay, General knowledge and General
English - each carrying 150 marks. But of a number of optional
papers three papers of 200 marks each, and two additional subjects
(for IAS and IPS only) out of another list of subjects each carrying
200 marks were to be offered. The candidates who qualified in the,
written examination were called for interview, which carried 300
marks.
The above system of recruitment in the All India Services was
criticized from a number of view points, and the UPSC decided to
review the system thoroughly. For this purpose a Committee on
Recruitment and Selection Methods under the Chairmanship of Prof
D.S: Kothari was appointed by the UPSC. Committee submitted its
report in 1976 and made the following recommendations 1) To hold a Preliminary examination to screen the candidates for
the Main examination;
100
2) To hold the Main examination to select candidates for entry to
the LBS National Academy for a foundation course of about nine
months;
3) To hold a post-training test of 400 marks to be conducted by the
UPSC on completion of the foundation course, the purpose being to
assess personal qualities and attributes relevant to the civil
Services
4) To assign candidates to a particular service on the basis of the
total marks obtained in the Main examination and the Post-Training
Text at LBS Academy, taking into account the candidates for the
Services
5) To allow the candidates to answer all papers, except the
language paper, in any language listed in the Eighth Schedule of
the Constitution, or in English.
The Kothari Committees recommendations regarding the
examination scheme (preliminary and main) were accepted by the
government, and it was implemented by the UPSC in 1979.
Accordingly the present system of recruitment was adopted.
101
Age Limits:
Candidate must have attained the age of 21 years and must not
have attained the age of 30 years on 1st August of the year in
which examination is being held. The upper age limit may be
relaxed in respect of the SC/ST and other backward classes.
Reservation will be made for candidates belonging to Scheduled
Castes, Scheduled Tribes, Other Backward Classes and physically
disabled categories in respect of vacancies as may be fixed by the
Government
Number of Attempts
A maximum of 4 attempts is permitted to every candidate and 7 to
those belonging to Other Backward Classes. There is no restriction
on the number of attempts in the case of SC/ST candidates.
Check your Progress:
1. What are the eligibility conditions for the public service?
2. What were the suggestions of Kothari Committee?
1.2.2: Procedure of Civil Services Examinations
The notification of the examination is made in December. The
Examination consists of 2 subjects where the mode of testing is via
Objective type questions. One paper is compulsory (General
Studies) and the other optional (e.g. Economics, Physics, Medical
Science, Engineering etc.) This exam is held every year in June
and about 300,000 candidates take it.
The Preliminary Examination is followed by the Main Written
Examination and a personal Interview. The Main Examination is
held in November and December of the same year. Approximately
7000 candidates are called for this examination, chosen on the
basis of merit from the Preliminary (Qualifying) exam.
The marks obtained in the Main Examination (Written and
Interview) determine the final ranking. The candidates are then
allotted to various services on the basis of their ranks and the
preferences expressed by them.
Examination Papers:
Preliminary Examination - The preliminary examination consists
of two papers:
Paper I General Studies 150 marks
Paper II ~ An Optional subject 300 marks
Subjects for Paper II (one subject to be selected): Agriculture,
Animal Husbandry and Veterinary Science, Botany, Chemistry, Civil
Engineering, Commerce, Economics, Electrical Engineering,
Geography, Geology, Indian History, Law, Mathematics,
Mechanical Engineering, Medical Science, Philosophy, Physics,
102
Political Science, Psychology, Public Administration, Sociology,
Statistics, Zoology.
Both the papers will be of objective type questions (multiple choice).
The question papers are set in Hindi as well as in English. The
course content for the optional subjects will be of the degree level.
Each paper is of two hours duration. Blind candidates are allowed
an extra time of 20 minutes for each paper.
Main Examination - It consists of the following papers:
1. Paper I - One Indian language (selected by the candidate) 300
marks
2. Paper II - English 300 marks
3. Paper III - Essay 200 marks
4. Paper IV&V - General Studies 300 marks each
5. Paper VI-IX - Any two subjects (optional papers to be selected by
the candidate) with two papers each 300 marks for each.
The Candidate has to select any two subjects but the following
combinations are not allowed
Political Science & International Relations and Public
Administration
Commerce and Management
Anthropology and Sociology
Maths and Statistics
Agriculture and Animal Husbandry and Veterinary Science
Management and Public Administration
Animal Husband & Veterinary Science and Medical Science
Any two branches of engineering.
Each paper is of 3 hours duration.
Interview:
The final stage of selection is the interview which is conducted in
April/May every year. It carries a weightage of 300 marks and is
conducted by boards comprising of retired and serving senior
administrators and academicians. The interview is only held at the
UPSC headquarters in New Delhi. About 1400 candidates from
those who took the Mains are called for
the interview on basis of merit. Candidate will be asked questions
on matters of general interest. The object is to assess the personal
suitability and judge the mental caliber of the candidate. The
candidate must exhibit an intelligent interest in events happening
around him so that he appears to be a complete personality. The
final result is announced in June of the year. Thus the entire
examination process from the Preliminaries to the Mains takes a
year.
Check your Progress:
6. What is the pattern of the preliminary examination?
103
7. What is the pattern of the main examination?
104
The major role played by the Commission is to select persons to
man the various Central Civil Services and Posts and the Services
common to the Union and States (viz. All-India Services).
Expenses of public service commissions
The expenses of the Union or a State Public Service Commission,
including any salaries, allowances and pensions payable to or in
respect of the members or staff of the Commission, shall be
charged on the consolidated Fund of India or, as the case may be,
the Consolidated Fund of the State.
Under Article 320 of the Constitution of India, the Commission are,
inter-alia, required to be consulted on all matters relating to
recruitment to civil services and posts.
Recruitment is made by one of the following three methods:
1. Direct Recruitment;
2. Promotion; and
3. Transfer
Direct recruitment is conducted broadly under the following two
methods:
1. Recruitment by competitive examination.
2. Recruitment by selection through interview.
Recruitment by competitive examination
Under the Constitution one of the functions of the Commission is to
conduct examinations for appointment to Civil Services/Posts of the
Union. In addition, competitive examinations are also held, by the
Commission under arrangements with the Ministry of Defence for
entry to certain Defence Services, through the National Defence
Academy, Indian Military Academy, Naval Academy, Air Force
Academy and the Officers Training Academy.
The Commission usually conducts over a dozen examinations
every year on an all India basis. These include Examinations for
recruitment to services/posts in various fields, such as Civil
Services, Engineering, Medical and Forest Service, etc. At present
the Union Public Service Commission conduct their examinations at
numerous venues spread over 42 regular centers throughout the
country.
Recruitment by selection
Recruitment by Selection is made by the following methods:
1. By Interview Only
2. By Recruitment Test Followed By Interview
By interview only
Where the number of applicants is very large, it is not practicable to
call for Interview all the applicants who fulfill the minimum eligibility
conditions prescribed. The Commission, therefore, shortlist the
105
candidates to be called for the interview on the basis of certain predetermined criteria related to the job. A large number of recruitment
cases are handled by the Commission by the method (1) above.
By written test followed by interview
In this category, there are two types of procedure followed:
a. An objective-type written and/or practical test to test the skill of
the candidates followed by Interview, the final selection being
decided by Interview, aided by the performance of the candidates in
the written test and/or practical test.
b. An objective-type written and/or practical test to screen
candidates to be called for interview, the final selection being
decided by Interview only.
Appointment by Promotion and Transfer on
Deputation/Transfer
In accordance with the procedure decided by the Government, in
consultation with the Commission, Chairman or a Member of the
Commission presides over the Departmental Promotion Committee
Meetings to consider promotions from Group B to Group A and
from one grade to another within group A, where promotion is to be
made by Selection.
Extension of functions to local bodies etc
Article 321 also empowers the Parliament to extend the functions of
the Public Service Commission to any local authority or other body
corporate constituted by Law or by any public institutions.
The Commission have a duty, under Article 323 of the Constitution
to present annually to the President a Report as to the work done
by the Commission and on receipt of such report, the president
shall cause a copy there of together with the Memorandum
explaining, as respect the cases, if any, where the advice of the
Commission was not accepted, the reasons for such nonacceptance to be laid before each House of the Parliament.
Assessment of the working of UPSC
The UPSC was envisaged as an expert body and a non-partisan
organization which would be the major recruiting agency for public
personnel. However the role and functioning of UPSC has come
under the serious criticisms from time to time.
UPSC holds the responsibility of recruitment of the public
personnel. It is the recruiting agency of the All India Services and
the Central Civil Service, Class I and class II which
constitute only 2% of the central Government Employees. The
responsibility for staffing lower services and posts rests with the
department concerned. The Class III and Class IV employers
constitute about 98% of the total number of the Central Government
Employees. But UPSC is not consulted in their appointments.
106
The UPSC is not consulted in regard to selection of appointments
of the
- Posts of higher diplomatic nature
- Membership or chairmanship of Tribunals or Commissions
- Posts in the Secretariat of the Lok Sabha and the Rajya Sabha.
- All technical and advisory posts in or under the Atomic Energy
Commission
- Judicial Commissioners and Additional Judicial Commissioners,
District Judges and Additional District Judges in Union Territories.
Further, UPSC is set aside by the government by resorting to
some devices such as making of ad-hoc appointments for a
temporary period, without consulting the Commission
The recommendations of UPSC are only advisory in nature. The
government is at liberty to accept or reject the advice given by the
UPSC which reduces its effectiveness.
The method of recruitment employed by the Commission also has
come under the criticism. The procedure of recruitment is quite
lengthy and the recruitment takes a long period of time. The
interview test has been criticized as being weighted in favor of the
Urban English medium school products and is discriminative
against candidates having rural background.
11.4 QUESTION
1. Explain the structure of UPSC
2. What are the function of UPSC
3. Write on recruitment
Module VI
Unit 12
12
PERSONNEL ADMINISTRATION
1. Training
2. Integrity in Administration
Unit Structure
12.1 The Training
12.2 Lal Bahadur Shastri National Academy
12.3 Corruption
12.4 Integrity
12.5 Central Vigilance Commission
12.6 Suggested Reading
12.7 Questions
108
Basic political Concepts
Constitution of India.
Basic Economic Principles and
General administrative Knowledge.
12.1.3 : Training programme:
The IAS probationers stay in Academy from July to December
for foundational and a brief spell of institutional training.
The probationers are sent to the state to which they are allotted
for practical training for a period of one year.
Second spell of institutional training lasts for six months that is
January to June in the subsequent year.
12.1.4 : Foundation training - objectives
To give the probationers a basic understanding of the
Constitutional, political, economic, legal and social framework
within which these officers have to work
To impart basic knowledge on the core subjects
To promote a common outlook, and common understanding
amongst members of various higher services
To help in building up right attitudes and values and the qualities
of leadership and org skills which make a civil servant proficient
in his duties.
At the end of the course exam is conducted and also a proficiency
test in Hindi is conducted + they are provided lessons in the
regional language of the state to which they are assigned. In
December initial advanced training is given a special emphasis is
placed on Law and Economics. And professional course exam is
conducted in the mid of December.
In the second spell of training the probationers go for practical on
Job training to the state to which they are allotted. This training is
intended for understanding the field situation and application of
knowledge and skills acquired in phase I. The training consists of
the following.
109
not in a frame of mind to receive further theoretical training and
usually evince great keenness in seeking answers to the problems
faced by them in the course of the practical experience gained in
the districts. The emphasis is therefore on the discussion of
administrative problems. Thus the training is problem oriented.
At the end of this training the probationers appear at final
examination conducted by UPSC. On the successful completion of
the training he is given charge of a sub division. In order to widen
his experience, the probationer is transferred from district to district.
After 6 to 7 years of service he is assigned independent charge of a
district.
110
12.3 : CORRUPTION
Corruption is an abuse of public resources or position in public life
for private gain. The scope for corruption increases when control on
the public administrators is fragile and the division of power
between political, executive and bureaucracy is ambiguous.
Political corruption which is sometimes inseparable from
bureaucratic corruption tends to be
more widespread iri authoritarian regimes where the public opinion
and the Press are unable to denounce corruption. In India,
however, in spite of a vigilant press and public opinion, the level of
corruption is exceptionally high. The increase of opportunities in
State intervention in economic and social life has vastly increased
the opportunity for political and bureaucratic corruption, more
particularly since politics has also become professionalized.
12.3.1 : Forms of Corruption
The report of the Santhanam Committee identifies following forms
of corruption:
111
Securing pecuniary benefits:
The Committee felt that the most common form of corruption was
securing some kind of pecuniary or other material advantages
directly or indirectly for oneself or family or relatives or friends by
misusing ones official position.
Another widespread form of corruption is speed money.:
With the complexity of the modern welfare state, a number of laws,
rules and regulations have come into force. For example, for getting
any services from the government or having any transactions which
the government requires the observance of government procedures
and formalities which take time; often the administrating officials
cause deliberate delay in completing this process or charge some
speed money for shortening it.
Another form of corruption is embodied in the liaison men who try to
cultivate close social relations with senior officers who are in a
position to influence the government policies in their favour.
Needless to say that tries to give a number of favours to win them
over. A number of other forms of corruption have been pointed out
in various reports of different committees and commissions which
examined the question of corruption from time to time. Some of
them are indicated below:
8. Donations by rich individuals and big companies to the political
parties are a very important and widespread form of corruption.
Since the major beneficiary is the ruling party, it influences the
administrators in passing on some undue benefits to the donors.
9. Sometimes the private companies offer jobs to retired officials.
This may lead to corruption in as much as an officer may bestow
undue favour to the company in the expectation of future
employment. To some extent a remedy has been provided for this
by prohibiting the government servants and their family members
from taking up private employment within two years of their
retirement.
10. In all contracts of construction, purchases, sales and other
regular business on behalf of the Government, there is a chance of
money being passed on to the Government officers for showing
some favours in relaxing the specifications, etc.
11. Sometimes the corruption operates at lower levels also when
money is demanded for helping a person in his service matters like
promotions, transfers etc.
12. At times, the performance evaluation of an honest officer is
distorted for not meeting the pecuniary demands of the superior
officers. The resulting damage to the moral of honest officers can
be well-imagined.
112
13. Then there are some minor forms of corruption like availing of
the facilities of private guest houses, lavish expenditure during the
tours of Ministers and senior officers, etc. No list of mode of
corruption can ever be complete. The methods listed above give
only a small sample. A dishonest officer can discover methods of
corruption in almost any situation.
12.3.2 : Harmful effects of Corruption
Corruption in high places affects the very fabric of the social
system. It has many direct and indirect harmful effects. Some of the
important ones are described below:
i) Corruption in high places reduces the faith of the people in the
Government. The people expect high standards of morality from
their rulers. When these standards are not met, it may result in the
alienation of people from the Government.
ii) Corruption increases the effective cost of administration. The
people who are in any case paying to the Government for its
services in the form of taxes are unofficially required to pay more to
its officers.
iii) The widespread corruption in the bureaucracy causes cynicism
and social disunity. This may reduce the willingness of the people
to make sacrifices for the economic development of the society.
iv) Corruption comes in the way of making decision on merits.
When the decisions are made on the basis of pecuniary benefits to
be obtained from the transactions, the merit naturally gets the
second place. There is even a possibility of sacrificing the national
interest for the sake of these benefits. This may for example,
happen in case of purchase of sub-standard arms, which may not
be effective during a battle.
v) Corruption has a very adverse effect on the morale of the honest
officers. In fact, it militates against the very basis of the principles of
a pure bureaucracy. When the evaluation of work, placement and
promotion are dependent on consideration other than merit, the
whole system may be vulgarized and demoralized. Corruption has
often resulted in a tremendous waste of national resources. For
example, purchased goods not used for years result in the
depreciation of goods as well as increase in inventory cost.
12.3.3 : Check your Progress:
What are the different forms of corruption?
Explain the harmful effects of corruption.
113
114
Lack of Strong Public Opinion against Corruption
The officials, even when they are known to be corrupt are often not
looked down upon in the society. In fact, they are often more
respected than their honest counterparts because of their ability to
help and entertain their friends and relatives. Sometimes the
corrupt politicians are re-elected to high offices by the people even
when corruption charges against them are established by judicial
enquiry. Very often corruption is accepted by the people as a way
of life and they do not complain against it.
Corrupting influence of big industrial magnates
A number of big businessmen try to oblige the Government servant
in many ways to obtain some favours in future. They take it as an
investment for the future. This acts as a temptation to the
Government servants.
Complicated and Cumbersome Procedure
The procedure of the Government even in respect of simple things
like getting a ration card has unnecessarily been complicated. This
provides the Government employees an opportunity to extract
money from the clients. The situation probably can be remedied by
simplifying procedures and reducing the discretion of the lower
staff.
Existence of influence peddlers
The cumbersome procedures of the Government and all
pervasiveness of Government controls have created a tribe of
influence peddlers. These people maintain liaison in the
Government offices. They get the work of the clients done through
their contacts in the Government. They operate at all levels. In fact,
they are the middlemen of the corruption between the Government
employees and their clients
Inadequate Provisions and Enforcement of the Law
The Indian Penal Code and Prevention of Corruption Act do not
provide adequate framework for punishing the guilty officers.
Moreover, the administration of these laws leaves much to be
desired. Not many prosecutions are launched. Out of the
prosecutions launched not many are
pursued vigorously. The result is that a number of guilty persons do
not get punished.
This encourages the dishonest employees in continuing their
corrupt
practices. Undue Protection Given to the Govt.
Employees
The constitution of our country as well as the disciplinary
procedures etc., make it almost impossible to take action against
corrupt employees. Naturally, there is nothing to deter them from
115
followingtheir corrupt practices with a vengeance if they are so
inclined.
116
12.5.2 Organization:
The Commission was accorded statutory status through an
Ordinance dated 25.08.1998, The Ordinance envisaged the
Commission to be a multi-member Commission, consisting of the
Central Vigilance Commissioner (Chairman) and not more than four
Vigilance Commissioners as its members. The appointments of the
CVC and the VCs were to be made by the President by warrant
under his hand and seal on the recommendations of a committee
consisting of (i) The Prime Minister, (ii) The Minister of Home Affairs
and (iii) Leader of the Opposition in the House of People.
The Central Vigilance Commission is assisted by a Secretary, who
is of the rank of Additional Secretary to the Government of India,
two Additional Secretaries, who are of the rank of Joint Secretary to
the Government of India, 10 Officers of the rank of Directors/Deputy
Secretaries, an Officer on Special Duty, four Under Secretaries and
other staff. In addition, there are fourteen officers, designated as
Commissioners for Departmental Inquiries (CDs), who are
nominated to conduct departmental inquiries relating to major
penalty proceedings on behalf of the disciplinary authorities in
serious and important disciplinary cases.
12.5.3 Check your Progress:
What are the forms of corruption?
What are the effects of corruption?
What are the causes of corruption?
117
Module 7
Unit 13
13
FINANCIAL ADMINSTRATION
BUDGETARY PROCESS
Unit Structure :- Budgetary Process
13.0 Introduction
13.1 What is Budget?
13.2 Importance of Budget.
13.3 Budgetary process
13.4 Preparation of the Budget in India.
13.5 Enactment of Budget in India.
13.6 Execution of Budget.
13.7 Performance of Budget.
13.8 Unit end Questions
Objective : To understand Budgetary process in India.
119
Origin of the term Budget has been derived from a french word
Bougette meaning a leather bag used for carrying official papers.
The Story goes that the term was used in its present sense for the
first time in 1733 in a satire Opening of the Budget directed
against Walpoles financial plan for that year. In England the
chancellor of the Exchequer used to carry to the House of
commons a leather bag containing papers, on financial plans. He
used to open his Budget i.e. the bag. Since then the term has been
used for a financial statement of annual income and expenditure of
the government.
In conclusion : The Budget is a statement of expected revenue
and proposed expenditure for a year. It sets forth the procedure and
manner in which the revenue is to be collected and the
administration of expenditure is to be carried out.
120
121
122
123
124
13.8 : QUESTIONS
1)
2)
3)
4)
5)
MODULE 7
Unit 14
14
FINANCIAL ACCOUNTABILITY
Unit Structure :
14.0 Introduction
14.1 Nature of Financial Accountability
14.2 Means of ensuring Financial Accountability
14.2.1 Estimate Committee
14.2.2 Public Accounts Committee
14.2.3 Committee on Public Undertakings
14.2.4 Evolution
14.2.5 Audit as a means of Financial Control
14.2.6 The Comptroller and Auditor General of India.
14.2.7 Unit End Questions
14.0 INTRODUCTION
Adminstration and finance are intimately related Every
administrative act involves expenditure of money. Hence foremost
attention shall be paid to the treasury. Sound fiscal Management is
essential for smooth working of the governments. As revenue is
derived from the citizens, it is morally binding upon the government
to spend money efficiently and economically. Hence Financial
control and financial accountability is necessary.
Unsound financial administration blasts the prospects of
democracy. The unprecedented increase in governmental
expenditure in modern times makes it absolutely necessary, that
sound principles, tools and techniques of financial administration
are evolved and employed by all governments. The American
people had raised the banner of revolt when the British parliament
imposed unjust taxes without consulting the representatives of the
native population by giving slogan. Notaxation without
representation,? Since that time the principle of accountability of
the government, to those from whom the taxes collected, has been
firmly established. This financial control is also described as
financial accountability of the government to the people and is
ensured through their elected representatives.
126
127
128
129
130
c)
131
to examine, in the context of the autonomy and efficiency of the
Public Undertakings, whether the affairs of these undertakings
are being managed in accordance with sound business
principles and prudent commercial practices;
132
unanimous;
c) The reports of the Committee are not discussed in the House.
The departments concerned of the government are required to
intimate the Committee regarding the action taken on the
Committees recommendations;
d) Government department make available to the Committee all
the information and documents pertaining to the subject matter
under discussion and
e) For the cases requiring a detailed examination, the Committee
usually appoints a Sub-Cornmittee with specific terms of reference.
14.2.4 : Evaluation :
During 30 years since its inception, the Committee produced
a
very large number of reports
and recommendations and
justified its existence. In first two years, the period of the Third Lok
Sabha, the Committee submitted 40 reports. It submitted 70 reports
covering the period of the Fourth Lok Sabha. The Committee tries
to cover maximum number of undertakings in a record period of
time. Avasthi and Maheshvari have observed that The Committee
is doing a useful job and has forever put to rest the varied fears
expressed by the critics. It is a fact finding Committee, its function,
essentially, is to help Parliament to have a more effective annual
debate on the working of the Public Undertakings. The Committee
has great value in improving the performance and the profitability of
the public enterprises. S. P. Mathur has observed that In its tone,
temper and manner of working the Committee functions like the
Estimates and the Public Accounts Committee. The Reports of the
Committee cover almost every aspect of the working of
undertakings right from the history of the undertakings to their aims,
objects, administration of stock, lack of inventory control and many
other matters of general interest. Mathur has further observed that
the reports of the Committee have an educative value in as much
as these reports educate the public, and in particular, inform public
which takes an interest in the working of the government. The
reports also educate the members of the Parliament who do not
have first hand knowledge of how undertakings are run. The reports
of the Committee have improved the quality of debates in the
Parliament, and the main facts and problems of the enterprises are
presented before the public in a neat readable manner... party
political controversies are non - existent and the reports are
unanimous . However, it is unfortunate that in a number of cases,
the government does not attach any importance to recommendation
of the Committee and have not been accepted by the government,
and if accepted, have not been fully implemented.
14.2.5 : AUDIT AS A MEANS OF FINANCIAL CONTROL.
Audit is a recent development in the science of public
133
134
Ministries).
As
a
result,
there
is
now departmentalisation of accounts in the Central Government and the
administrative departments have assumed full responsibility for
making payments and their accounting. Certain public sector banks
have now been entrusted with the work of handling receipts and
payments for the different ministries and departments. This
work was being done, until 1976, through the Government
Treasuries. Under the new system, the payment functions have
been taken over by the Ministries themselves and are discharged
by their own Pay and Accounts Officers. Hitherto, only the Reserve
Bank of India and the Branches of the State Bank of India and its
subsidiaries were authorised to handle cash transactions of the
Government. Apart from putting a heavy burden on the Reserve
bank of India and the State Bank of India, the old system caused
great deal of inconvenience to all those who had transactions with
the Government.
Several advantages have been claimed for the scheme of
separating accounts from the audit. These are as follows :
a) The departmentalization of accounts will enable the Ministries
to watch the flow of expenditure regularly and take effective
corrective action wherever necessary.
b) It will facilitate the settlement of all claims directly by the
departments by issuing cheques to the parties concerned.
c)
135
136
14.2.7 : QUESTIONS
1) How is the financial accountability ensured in India?
2) What is audit control? How is it ensured in India?
3) Write short-notes ona) Estimates Committee
b) Public Accounts Committee
c) Committee on Public Enterprises
d) Controller and Auditor-General of India.
MODULE 8
Unit 15
15
LOCAL GOVERNANCE
Unit structure
15.0 Objective
15.1 Introduction
15.2 Characteristics of Local Government
15.3 Importance of Local Government
15.4 Local Government in India
15.5 Urban Local Government
15.6 Rural Local Government
15.7 Unit end questions.
Note : Rural and Urban Administration to be covered under Local
Governance.
15.0 Objective : To study about local governance
15.1 : INTRODUCTION
Besides the Union and the State Government, the third tier of
governance in India is local government. Local government has
been described as the local self-government; i.e.; public
governance of the locality by the representative elected by the
eligible and registered voters living within the territorial boundaries
of a village, a town or a city. Local governments have existed in
India since the ancient times. However, the foundation of the local
government, existing at present, were laid in the second half of the
19th century by the British Government.
138
139
140
Class B
Class C
Population
Over 1,00,000
Population
between 40,000
and 1,00,000
Population
Less than 40,000
141
committees. The President; the chairperson of the Standing
Committee. Besides this, there are six subject committees to
deal with Public, works, education, sanitation water supply,
planning and development and women-child welfare.
142
Maharashtra.
transfer
of power
and
143
144
8) Chief Executive Officer of the Zilla Parishad, to be appointed
from. I.A.S. Cadre.
9) The Panchayat Samiti at the,Taluka level should be a
statutory one having executive and supervisory functions
and it should serve as a link between the Village Panchayats
and the Zilla Parishad. It should act as a regional Committee
of the Zilla Parishad. No direct elections to Panchayat
Samiti. All Councillors of the Zilla Parishad to be Ex-officio
members of the Panchayat Samiti in their respective
Talukas. In addition, double the number of Councillors to be
elected from amongst the Sarpanchas as Members.
10) Zilla Parishad to exercise control over Panchayat Samiti,
which in turn, will exercise control over Village Panchayats. )
11) Village Panchayats to be organically linked with Panchayat
Samiti and Zilla Parishad.
12) No change in the existing provisions relating to Village
Panchayats to be made.
145
2.
3.
4.
146
6.
7.
8.
147
148
149
year.
The Gramsabha is a deliberative body. It gives villagers an
opportunity to express their views, opinions and grievances. It helps
to bring transparency and openness in rural politics. It takes
decisions regarding development schemes to be implemented in
the village.
15.7 : QUESTIONS
1) Give an account of urban Local government in India.
2) Give an account of rural local government in India.
3) Explain importance and characteristics of Local Government.
MODULE 8
Unit 16
16
PEOPLES PARTICIPATION IN
ADMINISTRATION
Unit Structure :
16.0 Introduction
16.1 Adminstration and public relations.
16.2 Peoples perception in Adminstration.
16.3 Adminstrations attitude towards people.
16.4 Reconciliation of Public and Adminstration.
16.5 Collaboration with the voluntary organizations.
16.6 Collaboration between the Government and the voluntary
ganizations.
16.7 Council for advancement of people action and Rural
envelopment.
16.8 Unit end questions.
16.0 INTRODUCTION
Administration and public are inseparable entities, both in theory as
well as practice of public administration. The very term indicates
that the administration is meant for the public. The nature of public
administration, as already discussed in the First chapter, has
underwent transformation from public administration to
development administration; from night-watchman state to the
welfare state. As a consequence, over and above its traditional law
and order functions for the well-being of the people, the public
administration is the instrument of governance and the success or
failure of a modern welfare state and its government is related with
the performance of the administration. It is an instrument to realize
the ideals enshrined in the Constitution and aspirations of the
people reflected in the laws enacted by the representative
institutions.
Thus, administration has become the cornerstone of the civilized
society in todays administrative State, a dominant factor in the life
of public at every stage, from craddle to grave. Thus,
harmonization of public and administration is a key issue present
in every modern State as the well-being or the public depends on
the administration and the success or failure of administration
depends on the trust, confidence, cooperation and initiative of the
public.
151
152
153
The public attitude towards the Indian administration has been the
subject of much speculation for years. The press, public
administration scholars and even the government officials have
debated the issue time and again, at great length. A.D. Gorwala
had pointed out that To state plainly, the public in India hardly have
any respect and pride .for the administration or the civil servants
who manage the administation. It is hostile and antibueaucratic.
Thus, the citizens hold the bureaucracy in low esteem. The
relationship between the citizens and public servants lacks
cordiality and mutual understanding. Numerous complaints are
always made by the public against the civil servants regarding
delays in disposel of cases, corruption, lack of proper
communication, evasion of responsibility, exploitation, favouritism,
arbitrary and high-handed functioning and indifferent attitude. The
public is suspicious about the integrity of the public officials and
regard right contacts, political pulls, speed money, etc. as the
ways and means to get the things done. The public feels that the
bureaucrats are too much rule-minded and totally devoid of any
human considerations. They are reluctant in disposal of work, thus
creating scope for middle-men who exploit the poor, needy public.
The Administrative Reforms Commissions findings on public view
of administration are as follows :
a)
b)
c)
d)
e)
154
The bureaucracy points out that the people are unaware of their
rights, have no understanding of the problems and make no efforts
to get their grievances redressed. Further, they do not have
adequate knowledge of the rules, regulations and procedure of
administration. To some extent, people are pessimistic about the
assistance from the bureaucracy in getting the things done. The
civil servants, complain that there is too much interference in the
administration and that the citizens try to bring pressure through
local politicians. The administrators on such occasions, find it most
difficult to work honestly and freely.
Another standing complaint about the masses is that the general
masses neither take keen interest in their own affairs nor do they
show any initiative for bettering their own prospects. Further, they
hardly support or co-operate with the civil servants who honestly try
to bring about the change in the society. In fact, in a number of
cases, the civil servants are looked at with contempt, suspicion,
fear and distrust.
Occasionally, it is alleged that the citizens deliberately deviate from
the sanctioned plans. Thus, tempts the civil servants to overlook
and violate the rules and regulations, to ignore and connive at the
provisions of Law. Ultimately, this creates a scope for the civil
servants to indulge in mal-practices and corruption.
155
156
157
158
159
160
161
into the training programme for I.A.S. officers. The official policy of
the government towards voluntary agencies is thus apparently
based on watchful benignity. However, at the grassroots level, the
actions of the police and the bureaucracy to Voluntary agencies
also frequently find themselves at loggerheads with the local
centres of economic and political power. These include influential
and wealthy individuals or groups and the institutions controlled by
them. In collusion with the local government machinery, they
present a formidable threat to the more radical Voluntary Agencies.
The latter have responded through a series of measures such as
reaching a wider audience through the press, securing the support
of influential political leaders and public figures, protest
marches/demonstrations, seeking legal redressal and forming
regional and national networks, such as Jana Andolan in
Maharashtra and Voluntary Action Network of India.
2.
3.
4.
5.
162
16.8 : QUESTIONS
1) What is peoples participation? State its significance.
2) Explain voluntary organizations and peoples participation
relationship.
3) Explain about Administration and public relations.
4) Write on Administrations attitude towards people.
5) What is the need for reconciliation of public and Administration
(MODULE 8)
Unit 17
17
RIGHT TO INFORMATION AND
E-GOVERNANCE
Unit Structure :17.0 Objective
17.1 Right to information
17.2 E-Goverance
17.3 Decentralised planning
17.4 Unit end questions
17.0 : OBJECTIVE :
To understand and study about Right to information, E-Governance
and Decentralised planning.
164
17.13 : Request for obtaining information :A person who desires to obtain any information under this Act, shall
make a request in writting or through electronic means in English or
Hindi or in the official language of the area in which the application
is being made, accompanying such fees as may be prescribed.
17.2 : E-GOVERNANCE
17.2.1 : Meaning - The impact of information technology on Indian
Adminstration finds manifestation in the Electronic governance, i.e.
e-governance. EG is the application of ICTs to the processes of
government functioning to accomplish simple, accoutable speedy,
responsive and transparent governance.
E-G is not about simply automating their current ways of doing
business. With the new tools of a networked society, government is
not merely computerising existing government; it is transforming the
existing government. E-G is the ICT enabled route to achieving
good governance. It integrates people, processes information and
technology for meeting governance goals. E-G represents a journey
from passive information giving to active citizen involvement :
Informating The Citizen; Listening to the citizen; Representing the
citizen; Consulting the citizen; Engaging the citizen.
E-G involves new styles of leadership, new ways of debating and
deciding policy and investment, new ways of accessing education,
new way of organising and delivering information and services.
17.2.2 : The Principal goals of expanding e-government are:
To Make it easy for citizen to obtain service and interaction with the
government at different levels;
-Improve government efficiency and effectiveness; and
- Improve government responsiveness to citizens.
Government to Citizen (G2C) initiatives are to bring one-stop,
online access to benefit and services. This potential for under
activity is identified as one of the most important elements in the
way E-G will change the nature of government.
Government to Business (G2B) initiatives will adopt processes that
dramatically reduce redundant data collection, provide one-stop
streamlined support for businesses and enable digital
communication with business using the language of e-business.
Government to Government (G2G) initiatives will enable sharing
and integration of Central, State and local data to facilitate better
leverage of investments in IT systems and to provide better
integration of key government operations.
165
166
167
168
169
170
Legal Infrastructure:
The laws and regulations required to support E-G should be
enacted. For instance, creation of Public key Infrastructure and
Certification Authorities are essential without which e-commerce
and E-G. in the final phases, cannot take off effectively. Public Key
Infrastructure is to encrypt communications for security,
authentication and non-repudiation for facilitating online
transactions.
Technological Infrastructure:
Creation of network infrastructural in which computing, connectivity,
interoperability and security are assured, is of vital importance.
Developing a high-capacity communications infrastructure is
essential to reduce the current digital divide between high
bandwidth (generally urban) and low speed dial up users.
Human Infrastructure :
People with the right skills, attitudes or mindsets are essential to
initiate, implement and sustain E-G. Most of those in the
government tend to resist change, lack customer orientation and
resist information-sharing.
Ensuring this is the greatest challenge.
Institutional Infrastructure :
There has to be a dedicated institution to act as a focus, to lead and
drive E-G.
Leadership and Strategic Thinking :
Successful E-G initiatives demonstrate that one champion or a
small group of champions provide the leadership and vision to take
other along and put E-G on top of the agenda of a given
government. The passion with which Chandrababu Naidu, the Chief
Minister of Andhra Pradesh, has been pursuing E-G initiatives is a
case in point.
Think Big, Start Scale Fast is robust guideline to pay attention to
while implementing E-G programmes.
17.2.7 : E-Governance in India
A wide range of E-G initiatives are being pursued at the national as
well as the State-level with varying levels of commitments and
success.
According to NASSCOM, the southern States of Andhra Pradesh,
Karnataka and Tamil Nadu are leading in terms of implementation
at different citizen-Government interfaces. Others, Kerala, Gujarat,
Maharashtra, West Bengal and Raj asthan are catching up fast.
Nevertheless, other than a few show-case projects, E-G has not
made much progress due-to several operational, financial,
personnel, planning and implementation challenges.
171
Financial :
Government unwilling to commit funding; uncertainties in
viability of public-private partnerships.
Accelerate
public-private
partnership
when
core
infrastructure and procedures in place.
Secure multi-lateral funding to accelerate e-Government
spending.
172
173
174
175
176
177
178
planning is carried to the lower sub-national levels. Thus
decentralisation is needed for effective mobilization of public
participation.
179
Complementarities
Multi-level planning is a two-way approach. It requires a lot of
preparatory efforts from both ends. The higher level should give all
macro framework indicators and guidelines for planning. The lower
level must feed the higher level with information and has also to
prepare the plan from below. The two approaches will then have to
be harmonised.
17.3.5 : THE STAGES OF MULTI-LEVEL PLANNING
In order to ensure that the multi-level planning; becomes
meaningful, the following stages, have to be observed:
i) The first stage in the multi-level planning process is the
determination of appropriate levels of decision-making with
reference to various activities. This, would include
(a) establishment of a suitable planning machinery or structure at
the level which will be the nucleus planning body; (b) defining the
scope and functions of planning at each level; and (c) deciding on
inter-area allocation of resources among different levels.
ii) The second stage in the multilevel planning process Involves
organising inter-action between different levels in terms of
exchange of information and organising deliberative consultations
at different stages of plan formulation and plan appraisal. This step
is the most important and the success of a Multi-level planning
operation would depend on the frequency and efficiency of this
process of inter-action. Suitable conventions and procedures will
have to be evolved for this repetitive process to be successful.
iii) The third stage in the multi-level planning process is what is
called the nesting of the plans at different levels and integrating
them into a unified frame. Nesting implies securing both balances
within the plans drawn up for different levels and also their
harmonisation. Integration is a multi-level concept. Securing
integration within plans at different levels implies achieving balance
at three levels viz., sectorial, spatial and operational levels/ At each
level, the balance has to be achieved within certain parameters.
Sectoral balance has to be achieved with due consideration for
national and State priorities, localre levance, economic efficiency
and internal consistency. Similarly, spatial balance has to take into
account considerations like location, accessibility, net-work or
international efficiency. Operational balance has to be achieved
with due consideration to organization, delegation of functions and
powers, management procedures and personnel systems. Thus,
integration of plans at different level itself is a complicated process.
Such integrated plans of different level will then have to be
harmonised. This task is call nesting.
Multi-level planning may thus be viewed as an intricate
management concept calling for some exacting jobs. These include
organization of planning machinery at different levels with
adequately
trained and sufficiently motivated
personnel,
180
181
17.4 QUESTIONS
Write Notes on :
1. Right to information
2. E-Goverance
3. Decentralization
( REVISED COURSE )
( 3 Hours )
N.B.
JL-670
1.
2.
4.
5.
6.
7.
8.
9.
10.
183
(REVISED COURSE)
( 3 Hours )
N.B. (1)
(2)
(3)
1.
2.
3.
4.
5.
6.
[Total Marks:100
7.
8.
9.
10. Write short notes (any two) :(a) Peoples Participation in Administration.
(b) Right to Information.
(c) Lok Adalat.
(d) Role of NGOs.
184
(REVISED COURSE)
( 3 Hours )
N.B. (1)
(2)
(3)
[Total Marks:100
1.
2.
3.
4.
5.
6.
Section II
Explain the significant features of the Indian Administration
system.
7.
8.
9.
185