IGNOU Public Administration BA PDF

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UNIT 1 ADMINISTRATIVE SYSTEM AT

THE ADVENT OF BRITISH RULE
1.0 Objectives
'
1.1 Introduction
1.2 Mauryan and Gupta Administration
1.3 Major Characteristics of Moghul Administration
1.3.1 Role of the King
1.3.2 Bureaucracy
1.3.3 Army
1.3.4 Police
1.4 Structure of the Moghul Administrative System
1.4.1 Central Administration
1.4.2 Provincial Administration
1.4.3 District and Local Administration
1.5 Revenue Administration
1.5.1 Land Revenue as the Primary Source of Income
1.5.2 Types of Land Tenurial Systems
1.5.3 Administration of Land Revenue
1.5.4 Important Revenue Reforms
1.5.5 Modus Operandi of Revenue Collection
1.6 Administration of Justice
1.6.1 Administration of Civil Justice
1.6.2 Administration of Criminal Justice
1.7 Let Us Sum Up
1.8 Key Words
1.9 References and Further Readings
1.10 Answers to Check Your Progress Exercises
1.0 OBJECTIVES
In this Unit the overall objective is to examine the political and administrative
environment in India at the advent 6f British rule. After studying this unit, you
should be able to:
Understand the administrative system prior to the Moghuls;
Explain the Moghul administration which was by and large inherited by the
East India Company; and I
Trace the roots of some of the present day adminiktrative practices and
institutions. .
1.1 INTRODUCTION
There are evidences that Indian history originated with the Indus Valley
civilization. The sites at Mohenjo-Daro, Harappa and Lothal are described as
pre-Vedic period and the coming of Aryans as Vedic period. During the Vedic
period, Hinduism first arose (it was during this time when Vedas were \1~ritten).
Large parts of India were united during Ashoka's rule. It was at that time that
Buddhism spread not only in India but in other parts of Asia also. In the
Mauryan reign, Hinduism took the shape. Islam came to light in thi eighth
century and in the subsequent three centuries established as a political force.
Lodhis, Tughalaks and a number of other dynasties were succeeded by the
Moghuls. 1ndian administration in the contemporary period possesses
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of heterogeneity ~ f ; ' ~ o a ideals,
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focus and roles. It has reflection
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Historical Context
f
The main focus o this Unit is on Mauryan and Moghul administration as it was
known in the days of the great emperors, Chandragupta, Ashoka, and Akbar, who
are singled out the most outstanding rulers of India known for their
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administrative abi ities of a high order.
This Unit gives a detailed coverage to Mauryan and Moghul adminisetion
because these reflect the significant features of earlier administrative systems.
Before we examine the nature of the British rule, its distinguishing characteristics
and style of functioning, we must examine the administrative environment in
India at that time. In other words, we must examine Mauryan and Moghul
administration at great Length and take peep into post-Moghul developments to
get a comprehensive picture of the administrative system at the advent of British
rule.
1.2 MAURYAN AND GUPTA ADMINISTRATION

As mentioned earlier, Indian administration can be traced to the Indus Valley
Civilisation which is about 5000 years old that forms the basis of our civilisation
and culture. -
In the ancient period we know of the Magadha, Mauryan and the Gupta Ages.
Kautilya's Arthashastra, a political treatise on ancient Indian political
institutions, written sometime from 321 to 296 B.C., examines statecraft, gives
an account of State administration and reflects the rule of the Mauryan kings.
Arthashastra, a treatise by Kautilya, a Brahmin Minister under Chandragupta
Maurya, is written in Sanskrit. It discusses theories and principles for effective
governance.
It comprises fifteen books dealing extensively with the powers and obligations of
the king; major organs of the state including the King, the Ministers, the
Janapada [territory with people settled on it], the Durga, the Treasury, and the
Army; Revenue administration; and personnel administration. A thorough
analysis of the Arthshastra brings to light the following principles of Public
Administration: welfare orientation; unity of command; division of work;
coordination; plarlning, budgeting and accounting; decentralisation; 'recruitment
based on qualificafions laid down for each post; paid civil service; hierarchy; and
delegation of authority.
In the Mauryan administration, the State had to perform two types of functions.
The constituent (component) functions related to maintenance of law and order,
security of person and property and defence against aggression. The ministrant
(welfare) functiods had to do with provision of welfare services. All these
functions were carried out by highly organised and elaborate governmental
machinery. The empire was divided into a Home Province under the direct
control of the central government and 4 to 5 outlying provinces, each under a
Viceroy who was responsible to the Central Government. The provinces had
considerable autonomy in this "feudal-federal type" of organisation. Provinces
were divided into districts and districts into villages with a whole lot of officials
in charge at various levels. There was city government too and two types of
courts corresponding to the modem civil and criminal courts. All the
administrative wark was distributed among a number of departments, a very
important department being the special tax department, managed by an efficient
and highly organised bureaucracy who was supplemented by the army and the
secret police.
The king was all-powerful and everything was done in his name. He was assisted
by the 'parishad' and the 'sabha'. The administrative system was a close
combination of military force and bureaucratic despotism. An outstanding
features of Mauryan administration was that the State, through a new class of
officials, known as 'dharma mahamantras' carried out the policy of moral
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A n n a r h n n n t oa1lnA thn M i n i e t r v nf M n r a l c
~ h e ' ~ u ~continued
tas the legacy of the Mauryans in many respects. The divine Administrative System at
the Advent of British Rule
character of the king was upheld and the king controlled all the levels of the
administrative machinery. The empire was divided, like the Mauryan, for
administrative purposes into units styled as 'Bhukti', 'Desa', 'Rashtra' and
'Mandala'. Villages had their own headmen and assemblies and towns and cities
had special officers called 'nagarapatis' and even town councils. The king had
the help of various functionaries to share the burden of administration. Apart
from the confidential adviser, there were civil and military officials, feudatories,
district officers and many others.
1.3 MAJOR CHARACTERISTICS OP MOGHUL

ADMINISTRATION
The Moghuls upheld the earlier traditions in political and administrative matters.
The Moghul emperor was a perfect autocrat and the administration was 'a
centrajised autarchy'. The king symbolised the state and was the source and centre
of all power agencies. The Moghuls did succeed in building up a 'monolithic
administration'.
When compared to the Mauryas, the Moghuls moved in the direction of greater
centralisation. They did not pay much attention to social services of health and
welfare as also morals which were areas of special concern for the Mauryan
kings. But the Moghuls had an efficient civil service They recognised merit and
accepted Hindu intelligentsia in the higher civil service. Its only drawback was
that it was 'land-based'. It means it was mainly concerned with revenue
functions and was a 'highly urbanised institutions'.
1.3.1 Role of the King
Administration was personalised. It has aptly been described as paternalistic. The
entire administrative machinery revolved around the king who was viewed as a
'father figure' or a 'despot' by his people. Most of the time the king was seen as a
benevolent despot who worked for the welfare of his people. The theory upheld
was that of absolute monarchy based on the divine right to rule. The king was
everything to his people. He was the source of all authority and the fountain-head
of justice. The administrative system was highly centralised and personalised.
Everything, therefore, depended on the character and person of the king. Hence,
when Aurangzeb showed himself as a religious bigot and indulged in religious
persecution of the worst kind, while indulging in endless wars in the South, central
authority weakened, efficiency suffered and administration collapsed. Rajputs,
Marathas, Jats, Sikhs and other local elements sought their independence and thus
set into motion, forces of disintegration.
1.3.2 Bureaucracy
Organisation of the administrative machinery was unstable. It depended on the
whims and fancies of the king. Recruitment was on the basis of caste, kin, heredity
and personal loyalty to the king. Administration was based on fear of force. In the
name of the king, the officials struck terror in the hearts of people, They wielded
much awe and respect among the people.
Officials were primarily engaged to maintain law and order, safeguard the
interests of the king from internal uprisings and revolts, defend and extend the
boundaries of the empire and collect revenue and other taxes.
Every officer of the State held a mansab or official appointment of rank and
profit and was expected to supply a certain number of tcoops for the military
service of the State. Hence, bureaucracy was essentially military in character.
Officials or mansabdars were classified into 33 grades, ranging from
Commanders of 10 to those of 10,000 soldiers. Each grade carried a definite rate
of pay, out of which its holder had to provide a quota of horses, elephants, etc.
State service was not by hereditary succession, nor was it svecialised.
Historical Context Officers received their salaries either in cash or through jagirs for a temporary
period. The officers did not have ownership of lands in their jagirs, but only the
right to collect the revenue equivalent to his salary. The jagir system provided
scope for exploitation of the masses and gave undue power and independence to
the holders of ja6rs. These evils were difficult to check when the Emperor was
weak.
1.3.3 Army
The army must b;e understood largely in terms of the Mansabdari system. In
addition, there were the supplementary troopers and a special category of
"gentlemen troopep" who were horsemen owing exclusive allegiance to the king.
The army had cavalry which was the most important unit, the infantry, made up of
townsmen and pesants and artillery with guns and navy.
The Moghul army was a mixture of diverse elements. As it grew in numbers it
became too heterdgeneous to be manageable. The soldiers did not owe direct
allegiance to the Emperor but were more attached to their immediate recruiters or
bosses and as such were b ~y with their bitter rivalries and jealousies. Above all,
the pomp and splendour ot the army proved to be its undoing. The army on the
move was like a huge moving city, with all its paraphernalia of elephants,
camels, harem, b w s , workshops, etc. Soon indiscipline set in and the inevitable
deterioration was fully manifest at the tipe of Jahangir. .No longer capable of
swift action, the' Marathas, under Shivaji, could score over the Moghuls in
battles.
1.3.4 Police
In the rural areas, policing was undertaken by the village headman and his
subordinate watchmen. This system continued well into the 19' century. In the
cities and towns police duties were entrusted to Kotwals. Among their many
duties Kotwals had to artest burglars, undertake watch and ward duties, regulate
prices and check weights and measures. They had to employ and supervise work
of spies and make an inventory of property of deceased or missing persons.
However, the Kowal's main job was to preserve peace and public security in
urban areas. In the districts, law and order functions were entrusted to Faujdars.
Check Your Progreis 1
Note: i) Use the space given below for your answers.
ii) Check your answers with those given at the end of the unit.
I) Explain the Mmsabdari System.
2) Enumerate the special fc.,tures of Moghul administration.

Administrative System at
1.4 STRUCTURE OF THE MOGHUL; the Advent o f British Rule
ADMINISTRATIVE SYSTEM
1.4.1 Central Administration
Central administration, like administration in general, was personal and paternal.
The system operated with a fair degree of efficiency as long as the king was able to
exercise control from above. As soon as his grip loosened, the system fell to
pieces, as seen in the reigns of Shahjahan and Aurangzeb.
The two highest officials were the 'Vakil' and the 'Wazir'. The Vakil, in fact,
was higher of the two. He functioned as regent of State and was in over all
charge of the State. The 'Wazir' or high diwan was the highest officer of the
revenue department. He was actually known a s 'Wazir' when he acted as Prime
Minister.
The Chief Diwan supervised revenue collection and expenditure. He was head of
the administrative wing of Government. He supervised the work of all the high
officials. He controlled and guided provincial diwans who along with their
subordinates were in touch with him. He signed all kinds of documents and put
his seal authenticating government transactions.
The Moghuls had many diwans. Under the high diwan, that is, diwan-e-ala, there
was the 'diwan-e-tan' in charge of salaries and 'diwan-e-khalsa' in charge of
State (crown) lands. 'At times, the diwans were also successful military
commanders. There was also the 'mustaufi' who audited income and expenditure
and the 'waqia-navis' who kept a record of all important farmers.
Among other officials there was the 'Khan-e-sama' or the high steward in charge
of royal expenditure, the 'diwan-e-buyutat' who was the understudy of the
'Khan-e-sama', the 'Mir-e-Bakshi', the paymaster-general of the empire and the
'Sadr-e-sudur', the head of the ecclesiastical department.
Apart from the major officials of the central government, there were several
others of minor importance who kept the system going. The administrative
pattern was based on regulations, traditions and practices. ..
1.4.2 Provincial Administration
Given the centralised and personalised character of Moghul administration,
provincial authorities were only administrative agencies of the Centre.
The Empire was divided into 'subas' or provinces. At the head of the province
was the tsubedar' or Governor. He was appointed by imperial order and was
given the insignia of office and instrument of instructions which defined his
powers, functions and responsibilities. As executive head, he was in charge of
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the provincial administrative staff and ensured law and order in the province. He
tackled local civil and intelligence staff with a firm hand and realised tributes
from the local chiefs under him. He also controlled the local Zamindars and
contained their political influence.
The provincial diwan was sc'ccted by the imperial diwan. Though next in
importance to the governor, he functioned independently of him and was
subordinate to the imperial diwan. He was in charge of'the finances of the
province and appointed 'kroris' and 'tehsildars' to induce ryots to pay
.
government dues in time. The diwan also exercised functions of an auditor and
exercised full control over public expenditure. His establishment included the
office superintendent, the head accountant, the treasurer, and clerks.
The provincial 'bakshi' performed a role similar to that of the 'bakshi' at the
Centre. He was responsible for the maintenance and control of troops and kept an
account of the salaries and emoluments of all provincial officers in terms of their
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Historical Context The 'Sadr' and the 'Qazi' were the two officers at the provincial level which
were sometimes united in the same person though there was a distinction in the
jurisdiction of the two. 'Sadr' was exclusively a civil judge, but did not handle all
civil cases. 'Qazi' was concerned with civil suits in general and also with
criminal cases. .
1.4.3 District and Local Administration
The 'Suba' or province was divided into 'Sarkars' which were of two types. There
were those ruled by officers appointed by the emperor and those under the tributary
rajas. At the head of each sarkar was the Faujdar who was the executive head.
Although Faujdars were subordinate to the provincial governors, they could have
direct communication with the imperial government. On his appointment, a
'Faujdar' received advice regarding policy and conduct. He was also in charge of a
military force and saw to it that rebellions were put down and crimes investigated.
Apart from the 'Faujdar', the other head of the 'sarkar' was the 'amalguzar'. He
was in charge of revenue. Each of them had their own set of subordinate
officials. The 'kotwal' did policing of the town and its suburbs.
A barkar' was divided into 'parganas'. Each 'pargana' had a 'shiqqdar', and
'amil' and 2i 'qazi'. The 'shiqqdar' was executive head and combined in himself
the functions of the 'Faujdar' and 'kotwal' of the 'sarkar'. He took care of law
and order, criminal justice and general administration. The 'amil's' duties were
similar to those af the amalguzar and the 'qazi's' were judicial.
The 'parganas' were further divided into 'Chaklas', which were creatred to
facilitate and improve the realisation and assessment of-revenue and had their
own set of local iofficials like the 'Chakladars'. Each of the officials was
responsible and accountable to those above.
Check Your Progress 2
ii) Check your answers with those given at the end of the unit..
1) Make a list of important officials at the Central level.
2) Make a list of important officials at the p o v i s h l and district leueb.
1.S REVENaE ADMINISTRATION

1.5.1 Land Revenue as the Primary Source of Income
The Revenue system needs to be closely studied &cause land revenue has been
traditionally, the pr'imary source of income
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cultivator were two parties to the contract. The right of the State to a share of the Administrative System at
produce was recognised as a principle of political economy from times
immemorial. What was disputed and had to be determined periodically was the
fixing of the share of each.
In ancient times, the State's share was defined by law-givers as one-twelfth, one-
eighth or even one-fourth. However, about one-sixth was realised. While in the
14thcentury, the State took half, Akbar kept it at one-third.
1.5.2 Types o f Land ~ e n u r i a Systems
, l
There were three types of land tenurial systems in India. The Zamindari system
was prevalent in Bengal and was extended by the British to parts of Madras. Here
the Zamindars as the intermediaries played a crucial role. In the Mahalwari system,
as seen in the North West Provinces, the settlement of land revenue was with
zamindars that held their Mahal (estate) in joint proprietorship and not on an
individual basis. The Ryotwari system, seen in North India and the Deccan, did
away with all kinds of intermediaries between the State and the ryots or peasants.
Though the actual cultivators of the soil were responsible for the annual payment
of the fixed revenue, they did not have proprietary rights. These continued to be
vested in the State.
1.5.3 Administration of and Revenue
Land tenures were pretty complex and, varied from place to place. These could be
understood through the following three groups.
i) Non-proprietary tenures were held by peasant cultivators who worked as
tenants and reht-payers. They held land on van rous conditions and got a share
ofthe produce in cash or kind. Though in theory they could be evicted by the
proprietor, yet custom recognised their right to continue as tenants as long as
they r id rent.
ii) The superior proprietary tenures were held by a mixed group. They were
descendants or representatives of ancient chiefs and nobles, military chiefs
or even middlemen called 'assignees'. They also included hereditary
officers and local influential that acted as temporary or permanent owners
of the government share of the produce or rent so long as they paid a
certain tribute or revenue to the State. They usually took 10% of
Government share and were responsible for law and order, land
improvement and even administration of justice. These various types of
assignees formed the feudal structure of society. They often farmed out
their lands and this system of revenue farming was oppressive to the
cultivators.
iii) - The subordinate proprietary tenures were in between the earlier two. Their
existence came to light as a result of the painstaking researches of Holt
Mackenzie and Sir Charles Metcalfe. In the North West Provinces, these
formed a large part of the proprietary community and their counterparts
were found in Punjab, Bengal, Bihar and Orissa.
Since the bulk of the State's income originated from land revenue, administration
of revenue was much critical. The machinery for collection was elaborate and
hierarchical. Apart from the ,official"bureaucracy, there were a whole lot of
intermediaries who had a role to play in revenue collection. The net result was that
the peasants were exploited and-ictimised. They were th'e worst sufferers in the
system because of undue extortion. The only gain for them was a certain amount of
security as they could not be evicted from their holdings for default of payment.
1.5.4 Important Revenue Reforms
important revenue reforms were introduced during the reign of Akbar when Todar
Mal was appointed the Diwan-e-Ashraf. Todar Mal established a standard system
of revenue coilection, with major highlights as survey and measurement of land,
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Historical Context the revenue system depended on the king and the quality and nature of the
centralised administration. Akbar is credited with having scientifically organised
his land revenue system. It continued till the 18' century though it gradually lost its
vigour and was injurious to the interests of the peasants.
1.5.5 Modus Operandi of Revenue Collection
Mention has been made of the modus.operandi of revenue collection. The
Empire was divide'd'into 'subas', which were subdivided into 'sarkars' and
'sarkars' into 'parganas'. The 'amalguzar' was the chief revenue collector in
charge of a district and was assisted by a large subordinate staff. Among other
officials, mention must be made of the 'Qanungo' who kept revenue records, the
'Bitikchi' or.accountant and the 'Potdar' or district treasurer.
1) Distinguish between the Zamindari, Mahalwari and Ryotwari tenurial
systems.
2) Who were the "assignees"? What were their functions in the society?
3) Mention three important revenue officials.
1.6 ADMINISTRATION OF JUSTICE

1.6.1 Administration of Civil Justice
The Moghul State, being a Muslim State was based on Quranic law. The judges
followed the Quranic precepts, the 'Fatwas' or previous interpretations of the Holy '
Law by eminent jurists and the ordinances of the Emperors. They did not disregard
customary laws and sought t~ follow principles of equity. The Emperor's
interpretations prevailed, provided they did not run counter to the sacred laws.
For the dispensation of justice, there were two types of tribunals. There was the
Chief 'Qazi' with subordinate 'Qazi' who followed the Islamic law, both civil a d
criminal. The other was the 'mir'adl', a secular officer who took care of suits not
specifically provided for by the religious laws of the two communities. The king
was the suoreme court of both original and abbellate iurisdiction.
he' o&ce of 'mir'adl' was limited to big cltles and towns where the mixed Administrative System at
population and advanced commerce gave rise to cases not covered by Quranic law.
Here too, there were opportunities for corruption and misuse of authority. Where
thelLmir'adl' and 'qazi' were both present, the former exercised a general
controlling authority over the 'qazi' who acted under him as a law officer.
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1.6.2 Administration of Criminal Justice
The Quran was the guide for conduct of criminal justice for Muslims as well as
non-Muslims. According to Muhammadan law, crimes were classified under three
main heads: (i) Crimes against God; (ii) Crimes against the sovereign; (iii) Crimes
against private individuals. Punishment of Crimes was on the fotlowing principles:
(a) 'Huda' @ punishment specified by Quranic law which included death,
flogging, etc.; (b) 'Qisas', or retaliation due as a right of man; and (c) 'Tazir' or
punishment inflicted at the discretion of the judge, but not defined by law. It
included admonition, exposure to public insult and even exile and scourging.
By modern standards of justice, punishments were severe and barbarous.
Whipping to death was common. Persons were flayed alive for treason and
conspiracqt against the State. In the reign of Aurangzeb, no Muslim could be
convicted on evidence of a non-Muslim, but the latter could be readily punished
on the testimony of a Muslim or any other person.
The operation of regular courts was seriously affected. With the-disintegration of
the Moghual authority and the collapse of the empire, the operation of regular
courts was confined to chief towns where the provincial governors continued to
wield a measure of autonomy.
At a later stage, one finds that attempts were made by the Britishers to improve
administration of criminal justice.
British administration was especially concerned with criminal branch and sought
to do away with the inequities and inadequacies of Islamic law and order to meet
the needs of a more advanced society as well. as to conform to principles of
natural justice and equal citizenship.
Briefly, the principles the Public Administration during the Moghul period could
be listed as: Centralisation; personalised administration; civil service; different
levels of administration; division of work; bureaucracy having military character;
revenue administration based on well laid down principles; administration based
on fear of force; administration based on regulations, traditions, and practices;
and inadequate unity of command (one could find gaps through illustrations like
the position of provincial Diwan, who was directly under the Imperial'Diwan and
not under the Governor, and the position of Faujdars, who were though under the
Governors, yet could have direct communication with the imperial government).

Qs
1) Describe the types of tribunals forjudicial administration. f~?

Historical Context 2) Explain the distinguishing features of the Moghul judiciary. I
1.7 LET US SUM UP

At the advent of British rule, -the administrative system was paternalistic,
centralised and personalised. There was an elaborate network of officials at the
centre constituting tlhe central secretariat which was repeated at the provincial
and local levels. The emperor had the total control of the state. Land revenue was
the principal source of income and land tenures were complex, elaborate and a
mix of rules, regulations, customs and traditions. The judicial system was under
executive dominance and was poorly structured. Society was feudal, with the
toiling masses often given a raw deal.
1.8 KEY WORDS

Bureaucratic Despdtism : Absolute and domineering rule of bureaucrats
in a society.
Centralised Autarchy : Government by an individual or a group with
absolute and unrestricted authority.
Intelligentsia : The educated or intellectual people in a
society.
Monolithic Administration : Undivided and unitary administration.
Paraphernalia : Miscellaneous.
1.9 REFERENCES AND FLJFiTHER READINGS

Majumdar, R. (et al) 1967, An Advanced History ofIndia; Macmillan, New York
Misra, B.B., 1959, The Central Administration of the East India Company
1773-1834, Manchester University Press, Manchester
Puri, B.N. 1975, History of Indian Administration Volume II; Medieval Period,
Bharatiya Vidya Mandir, Bombay
1.10 ANSWERS TO CHECK YOUR PROGRESS

EXERCISES
1) Your answer must include the following points:
Functions of the officers holding 'mansabs'
Classification of mansabdars into grades
Exploitative nature of mansabdari fibtern
Amy .
Mansabdari System
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n
Check Your Progress 2 Administrative System at

1) See Sub-section 1.4.1.
2) See Sub-section 1.4.2 and 1.4.3.
Clteek Your Progress 3
Differences relating to role of intermediaries
Differences relating to payment of revenue
Differences relating to places where they existed
Composition of Assignees
Source of Income of Assignees
Resp~nsibilitiesof Assignees
Cbeck Your Progress 4
Two types of tribunals .'
Role of the dhief 'Qazi' and subordinate 'Qazis'
Role of 'mir'adl'
Justice in Moghul period was based on Quranic Law
Classification of crimes into three main heads
Nature of punishment
Discrimination between Muslims and non-Muslims
Dominance of executive authority
~radati;d of Courts

UNIT 2 BRITISH ADMINISTRATION:

1757-1858
.
Structure
\
2.0 Objectives
2.1 ~ntrodktion
2.2 The Nature of Administration
2.2.1 Characteristic Features of the East Iridia Company
2.2.2 The Regulating Act of 1773
2.2.3 The Amending Act of 178 1
2.3 Constitutional Changes from 1784-1834
2.3.1 Pitt's India Act 1784
2.3.2 The Amending Act of 1786
2.4 The Central Secretariat
2.4.1 The Departments of Secretaries to Government
2.4.2 Changes in the Secretariat from 1787-1 808
2.4.3 Financial and Colonial Departments
2.4.4 Reconstruction of Departments in 1815
2.5 Departments under the Governor General and Other ~ i v i b e ~ a r t m e n t s
2.6 The Administration of Revenue
2.6.1 The Imperial Grant of the Diwani
. 2.6.2 Formation of the Board or Council of Revenue
2.5.3 District Administration and the District Collector
2.7 Board of Revenue
2.8 Role of Divisional Commissioners
2.9 The Administration of Criminal Justice and Police
2.10 The Civil Service
2.1 1 Let Us Sum Up
2.12 Key Words
2.1 3 References and Further Readings
2.0 OBJECTIVES
- - -
After studying this Unit, you should be able to:

Understand the important landmarks in the British East India Company
administration from 1757-1857;
Discuss the features of Regulating Act of 1773 that brought major changes in
administration in India and Pitt's India Act of 1784 that effected major
changes in England;
Describe the structure of Central Secretariat as it took shape in its formative
years;
Highlight the administrative system of revenue, criminal justice and police;
and
Explain the features of dhisional and district administration during the days
of the East India Company.
2.1 INTRODUCTION
British administration in India. till 1858 was mainly that of the East India
Company. Though the British Government passed Acts from time to time, and%
interfered with and regulated the Company's administration, the complete
takeover by the Crown took place in 1858. Also, the Company, which began as a
purely commercial corporation, gradually attained the status of a Government or
*-
While the British started tmding operations from 1600 A.D., other foreign British Administration:
powers like the Portuguese, the Dutch and the French were already in the trading
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1757 1858
business. So the British were in competition with other European pbwers to

capture the trade in the East. Simultaneously, they competed.to acquire territorial
supremacy. This was possible because of the collapse of the Moghul Empire and
the mutually destructive wars between princes and nawabs. For instance, through
the Carnatic wars, the English secured the Northern Circars which were
previously administered by the French. By winning the Battle of Plassey in
Bengal in 1757 and through the Treaty of Allahabad, the ~ r i t i m int 1765, the
Diwani of Bengal, Bihar and Orissa and the right of administering these
provinces andcollecting their revenue.
In a hundred years, from the Battle of Plassey (1757) to the Sepoy Mutiny
(1857), the British virtually captured the whole of India and India soon became
the brightest jewel in the British Crown.
2.2 THE NATURE OF ADMINISTRATION

2.2.1 Characteristic Features of the East India Company
The East India Company, established on 31* December 1600, was a monopoly,
mercantile Company, which was granted by the British crown the right-to trade
in the eastern parts. A trading station, with a number of factors was called
Factory. A settlement (number of factories) was under ah Agedt. Factor was the
term applied to an agent transacting business as a substitute for another in
mercantile affairs. Employees were graded as &;,irentices, writers, factors and
merchants.
Recruitment of officials, their nomenclature, terms and conditions of service
were governed by rules and practices apptopriate to commercial business.
Generally, patronage was the method of recruitment and promotion in the
services. Patronage was in the hands of the Proprietors or Directors of the
Company.
In the early years of Company rules, officials were frequently moved around,
from one district to another. They had no training on the job and learnt the hard
way by trial and error. They were ignorant of the laws, customs and languages of
the local people. Given very low salaries, the Company's servants were known to
be corrupt.
The system of governance was commercial in character. It was basically
government by Council. The Council had eb;ecutive and legislative powers with
the overn nor or the Governor-General having the casting vote. With the
acquisition of more territorial sovereignty and the need to take prompt decisions,
more power came to be concentrated in the head or Chairman of the Council, but
the fundamental principle of collective rule and responsibility remained.
It was also a government by Boards. ,After the Board of trade, the next in
importance was the Military b a r d . But the Board of Revenue bad the longest
history and the most distinguished record of work. Later, there was also the
Railway Board. The Board made possible counseling, discussion, deliberation
and even legislative and judicial activities. Questions of policy and principle,
conduct and action were settled in the Board.
It was a government by record. When transactions were commercial, records
were brief and manageablg. But political dealings made record keeping
cumbersome and voluminous. Notes, minutes, despatches and reports became an
integral part of British administration. All this was in a w& necessary because
only through written reports and records could control be exercised by officials
in the governmental hierarchy. With the Company headquarters in far away
England, recordfrom:-
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Historical Context The East India Company mismanaged administration of acquired territories in
India. One example of it is through Clive's Double or Dual Government of
Bengal, Bihar and Orissa. While the Company took over direct responsibility for
defending these territories from outside attack, internal matters, like revenue
collection was still left to the Nawab and his officers who worked on behalf of
the Company. This was because the Company did not know the local customs
and practices and felt comfortable leaving the existing system of revenue
collection intact. But this resulted in exploitatiorl of the worst kind as maximum
revenue was extracted from the people. Though it was done in the name of the
Company, which got a bad name on this account, the Nawab and his men
pocketed a lot and grew rich at the cost of the Company.
2.2.2 The Regulating Act of 1773
This Act deserves special mention because it was the first actron on the part of
the British Government to regulate the affairs of the Company in India. The
Company, through a Charter, had only been given trading rights by the British
Crown. When it acquired territories in India and slowly but surely converted
itself into a ruling body, the Parliament could not accept and regularise this
development. Moreover, it was believed that whatever lands the Company
acquired were in the name of and on behalf of the King. Therefore, the
administration of these territories had to be controlled by the Crown.
Again, merchants and traders could hardly equal the task of administration. This
was proved by the growing level of corruption and mismanagement of territorial
acquisitions: While the shareholders of the Company were looking for bigger
dividends because the Company was playing a double role of trading and ruling,
the Company was making big losses and had to be bailed out. To tide over a
critical period when finances were low because of Indian wars and growing
demand for increased dividends, the Company asked the British Parliament for a
loan of E 1,400,000. This gave Parliament a long-awaited chance to assert its
right to control the political affairs of the East India Company. They granted the
loan on condition that administration in India would be according to directions of
the British Parliament. Hence, the Regulating Act of 1773 was passed.
Changes Introduced by the Regulating Act in England
The Court of Proprietors of the Company was reformed. Formerly, a shareholder,
holding a stock o f f 500 and over, became a member of the Court of Proprietors.
The Regulating Act raised it to the minimum to E 1000. This made the Court of
Proprietors a compact, better organised body to discharge both its duties and
responsibilities.
Changes were also made in the. Board of Directors. It was now to consist of 24
members elected by the Court of Proprietors every 4 years, 6 directors retiring
every year - instead of all the Directors being elected every year as before. This
gave the Board some continuity and facilitated better management.
Changes Introduced bj. the ~ e ~ u l a tAct
i n ~in India
The Governor of Bengal was now designated as the Governor-General of Bengal
and Governors of other provinces in India were subordinate to him. The Governor-
General was to be-assisted by a council of four members sent from England.
Decisions were to be taken by majority vote and the Governor-General Warren
Hastings had a casting vote. The British territories in India came to be controllkd
from Bengal and that in turn was subject to control from England.
The Regulating Act set up the Supreme Court at Calcutta with Lord Chief Justice
and three judges. This was the Supreme Court of Judicature, the highest court in
British India. It had power to exercise civil, criminal, admiralty and ecclesiastical
jurisdiction. It had jurisdiction over British subjects and Company's servants. But
its relations with the existing courts were not defined.
Effects of the Regulating Act British Administration:

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1757 1858
The changes in the Company's organisation in England made it more effective
managing body at headquarters.
The Act created a centralised administration in India, making the Bombay and
Madras Governors subordinate to the Governor-General of Bengal. There was a
felt need for a uniform policy for the whole of British India, thus, avoiding much
wasteful expenditure.
'The creation of the Supreme Court made for better justice to British subjects.
The Regulating Act brought in a system of checks and balances. It made the
Governors subordinate to the Governor-General, the Governor-General
subordinate to his Council and the Supreme Court effective in its control over the
Governor-General in Council.
The Regulating Act laid the foundation of a Central administration and instituted
a system of Parliamentary control. It marked the beginning of the Company's
transformation from a trading body to a Corporation of a new kind, entirely
administrative in its object and subordinate to Parliament.
Defects of the Regulating Act
Though the Act was expected to regulate and centralise administration to
provide better justice and bring in a system of checks and balances, it was
found to have serious drawbacks in practice. For example, it had the
following defects relating to the Supreme Court:
i) The ambiguity of jurisdiction between the Supreme Council, and the
Governor-General in Council was a drawback in the Act of 1773. The
Regulating Act entrusted the entire civil and military administration of the
diwani prot-inces to the Governor-General and Council. But the Supreme
Court was also autborised to take cognizance of cases not only against
British but also native \employees of the Company. It could punish all
persons who committed' acts of oppression either in the exercise of civil
jurisdiction or in the collection of revenue. But the Act did not specify
whose authority would be final in case of a conflict between the Council and
the Court. These difficulties arose because the Company which was the
virtual sovereign of the diwani provinces was not declared to be so by
Parliament.
ii) The Regulations passed by the Governor-General in Council had to be
registered by the Supreme Court before they were executed as law. Court's
refusal to do it could amount to hamper the smooth working of the
administration and there was no explanation provided to this effect.
iii) The Act did not clearly specify which law had to be applied while trying
cases. The Court applied English law in all cases even where Indians were
charged with offences. This was resented by the Indians.
IV) The Provincial and other Courts were not recognised. All these defects did
much harm. The British Government corrected these defects through the
Amending Act of 1781.
The drawbacks relating to the Governor-General-in-Council included:
The Governor-General was answerable to the Directors and was held responsible
for all acts pertaining to the administration in India. But he was not given a free
hand as he was bound by the majority decisions of his council. Though this is
understandable as part of the system of checks and balances, yet it resulted in the
Council taking decisidns for'which the Governor-General alone was held
accountable. There was constant friction between the Governor-General and his
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Historical Context Though the Governors were subordinate to the Governor-General, yet, in actual
practice, they acted independently of Bengal. They justified their action by
saying, the matter was urgent and decisions could not be delayed. In this way, the
idea of unity and uniformity sought by the Act was defeated in practice.
According to the Regulating Act, the East India Company was to supply all
c&espondence relating to military, administrative and financial matters to the
British Government. This indirect control did not work satisfactorily in practice
and the Proprietors and Directors followed a policy based on personal
consideratiofis rather than administrative need.
2.2.3 - The Amending Act of 1781
This Act amended the jurisdiction of the Supreme Court. It was deprived of its
right to action arising in the collection of revenue. Landholders, farmqrs or other
persons connected iri,land revenue work were not covered by the Supre* Court.
In the same way, no person, just by virtue of being the Company's employee,
could be subjected to the Court's jprisdiction. Even though the Court's
jurisdiction extended over all the inhabitants of Calcutta, the Court had to take
into account personal.laws of Hindus in case of Hindus and Quranic law in case
of Muslims.
The Amending Act recognised the appellate jurisdiction o'f the Governor-General
and Cou?cil and confirmed their judicial authority to entertain all such pleas and
appeals as they had done all along as a Court of record.
The Oovernor43ener~land' Council were. further itivested with "power and
authority, ftonl time to time, to frame regulations for the provincial courts and
councils". Their legislation under this Act, was not to be subject to registratiop in
the Supreme Court of Judicature, but was requifed to be finally approved by h e '
Crown.
1) Explain the Statement: "The Company's governance was commercial in
character".
Discuss the major defects of the Regulating Act of 1773.

3) How did the Amending Act of 1781 affect the working of the Supreme British Administration:
1757 - I858
Court and the Governor-General in Council?
2.3 CONSTITUTIONALCHANGES FROM 1784-1834

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2.3.1 Pitt's India Act 1784

The shortcomings of the ~ e g u l a t i nAct
~ soon became manifest. To remedy these
defects was not easy because it involved a complete separation of commercial and
political functions of the Company which was viewed with disfavour in England.
The urge for a change was very strong and it could not be suppressed for long. In
1783, a bill was introduced by Dundas, but it failed. In the same year, Fox
introduced two bills but these were rejected in the House of Lords. When
William Pitt came to head the Government he was determined to introduce a bill
on India and see it through. At the first attempt, it was defeated by a narrow
majority and on second attempt after Pitt's party was returned to power it was
introduced.
Pitt's India Act provided for a body of six commissioners popularly known as the
Board of Control. It consisted of one Secretary of State, the Chancellor of the
Exchequer and four Privy Councillors appointed by the king and holding office
during his 'pleasure. Three of the six formed a quorum and the President
possessed a casting vote in case opinion was equally divided. The Secretary of
State was to preside over the meetings of the Board, which in his absence, done
was by the Chancellor of the Exchequer or a Senior Commissioner.
The Board of Control was empowered to superintend, direct and control the
Company's'affairs in India with regard to civil, military and revenue work. The
Directors of the Company had to deliver to the Board, copies of all
correspondence with the compahy. The orders of the Board on civil and military
government or revenues of India became binding on the Directors. According to
the Act, the Board could transmit, through a secret committee of three Directors,
secret orders to India on the subject of war, peace, or diplomatic negotiation with
any of the country powers.
The Propri'etors lost most of their powers. They could no longer revoke or
modih a decision taken by the Directors with the approval of the Board of
Council.
The Directors retained their control of commerce and right to patronage except in
the appbintment of the Governor-Generalkthe Governors of Madras and Bombay
and the Commanders-in-Chief of the three Presidencies.
The arrangement made by Pitt's India Act operated till 1858. Indian Government
was subjected to a system of dual control in which the Company could initiate
proposals subject to the revising and directing authority of the Board.
The Act reduced the number of members of the Governor-General's Council to
three. One of them was to be the Commander-in-Chief. This change enabled the
Governor-General
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... . . . ..
Historical Context The Act clearly indicated the subordinate character of the Governments of
Bombay and Madras and made independent action on their part, impossible. The
Governor-General-in-Council had the power and authority to superintend, direct
and control other Presidencies in all matters. The entire diplomatic relations of
the Company in India as also the finances necessary to support them were
entrusted to the Governor-General-in-Council. The subordinate governments
were directed not to disobey any of the orders of the Supreme government on the
ground of competence. They had to obey such orders in all cases except when
they received positive orders and instructions from the Directors or the Secret
Committee. They also had to send true and exact copies of all such orders,
resolutions or acts to the Governor-General-in-Council.
Pitt's India Act invested the Governor-General-in-Council with much
discretionary power to deal with emergencies. Though they had to obey orders
from home, they could act on their own when the situation warranted it.
Generally, in matters of war and peace, the Governor-General-in-Council was to
be guided by instructions of the Court of Directors.
Hence, through Pitt's India Act, the Control of the Crown over the Company, of
the Company over the Governor-General-in-Council and of the supreme
government over the subordinate Presidencies was greatly improved and fairly
well defined.
2.3.2 The Amending Act of 1786
The Amending Act of 1786 took care of the problem related to the Councils of the
Governor-General and Governors. The Act invested the Governor-Qeneral or
Governor with power to override the decision of his Council and act without its
concurrence in extraordinary cases involving in his judgment the interests of the
Company or the safety and tranquility of British India.
If the Governor-General or Governor had to use this extraordinary power, to
overrule the majority, both sides had to put in writing their respective positions
on the issue under dispute. If the Governor-General or Governor finally chose to
act in his own way, he was personally to bear the responsibility of the measure
adopted without the concurrence of the Council.
2.4 THE CENTRAL SECRETARIAT

In 1784, the Central Secretariat had three main branches: General, Revenue and
Commercial. Judicial. branch was later established in 1793. Between 1793 and
1834, the Central Secretariat worked through four branches. Of these, the civil
section of the General branch was under the immediate control of the Supreme
Board which consisted of the Governor-General-in-Council and it was
administered through Secretaries to Government in various departments.
2.4.1 The Departments of Secretaries to Government
Before 1756, all transactions of business were handled by one general department
with the help of a Secretary and a few Assistants. Due to pressure of business and
exigencies of war, the General Department had to be reorganised to secure
efficiency and despatch. Accordingly, a plan was drawn up to have two
Departments, that is, the Public Department which dealt with the affairs of trade,
shipping, revenues, accounts and other matters of a public 'nature and the Secret
Department which dealt with military plans and operations and all transactions
with country powers. Separate records should be maintained for each. The two
departments had to be jointly managed by a Secretary and an Assistant Secretary,
with a sub-secretary attached to each Department. There were eight Assistants for
the Public Department and seven for the Secret Department. Their specific duties
were defined. The President and Council at Fort William accepted this plan and
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centralise authority in the office of the Governor. In 1774, the Governor-General British Administration:
and Council took over the entire civil and military government of Bengal under the
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1757 1858
Regulating Act.
With increase in the volume of administrative work and the supervision of
military operations against the Marathas and Mysore, the Public and Secret
Departments had a Secretary each. The post of Assistant Secretary was abolished
and a sub-secretary was attached to each of the two departments. The duties of
each were specified again and the Secret Department was removed to a separate
house so that its records and papers were not 'exposed to improper inspection'.
Foreign Department
The affairs of foreign nations in India were part of the business of the Secret
Department. These were now separated and vested in a Foreign Department, which
was established in 1783 and placed under the charge of the Secretary to
Government in the Secret Department.
Military Department
Matter relating to military expenditure, ranks, pensions and other claims of a
military nature were previously dealt with by the Government in its General or
Public Department. Warren Hastings, in 1776, suggested that military matters
spread over different departments should be brought together under a new Military
Department. This was done in 1777.
Revenue Department
When the Company acquired Diwani provinces in 1765, the collection of revenue
was left to Indian officers who acted as agents for the British. This arrangement
continued till 1769 when the Governor-General and Council appoiited Supervisors
in all districts to acquire knowledge of revenue resources and report on abuses in
the current systCm. But since their powers were limited and they failed in their
duties, a new management was created. There was to be a Controlling Council of
Revenue at Murshidabad and another at Patna. Since these lacked co-ordination, a
Controlling Committee of Revenue was set up in 1771 at Calcutta with powers to
inspect, control and direct revenue affairs.
In 1772, the Company decided to stand forth as diwan and carry out all revenue
administration through its own men. So a Committee of Circuit was formed
which worked along with the Controlling Committee of Revenue. Finally in
1772, it was decided to have a Revenue Department at Calcutta in place of these
various bodies. The Department had a Secretary, an Assistant Secretary, and a
sub-secretary, a Persian TransIator, an Accountant-General and several
Assistants.
In addition to Department Secretaries to Government who acted under the
direction and control of the Council, there were three inferior Boards to take care
of details of execution. These were:
1) The Committee of Revenue formed in 1781 to take care of revenue, justice
and police.
2) The Board of Ordinance, formed in 1775 to manage military stores.
3) The Board of Trade formed in 1774 for commercial transactions.
In 1785, these were reconstituted as the Board of Revenue, the Military Board and
the Board of Trade.
In 1786, the old Secret Department was renamed as Secret Political Department.
The Foreign Department was designated as Secret and Foreign Department. A
n e w Secret and Militam nenartment w a s e t iln, with Edward RRV a9 the
Historical Context Secretary of all the three departments. The old Military Department was
0
reconstituted in 1786 as the Military Department of Inspection and was distinct
from the Secret and Military Department. With slight changes in nomenclature
like dropping the words Secret in titles of Departments and creating a new Secret
Department these continued after 1 787.
2.4.2 Changes in the Secretariat from 1787-1808
Cornwallis reorganised the Secretariat. A Secretary-General was appointed for the
Public, Secret and Revenue Departments while each continued to have a sub-
Secretary. This arrangement preserved the independence of each department while
uniting all under the Secretary-General.
Cornwallis also established a separate Judicial Department with proceedings kept
under two distinct heads, civil and criminal.
Wellesley reconstituted the Secretariat and the changes he effected proved to be
of a permanent nature. By now there were four groups of Departments. They
were:
a) The Secret, Political and Foreign Departments.
b) The Revenue and Judicial Departments.
c) The Public Department including Commercial branch.
d) The Military Department.
Each of these departments had a sub-secretary and all acted under the orders of a
Secretary-General who was usually nominated as Secretary to Government. Sub-
Secretaries became 'Secretaries'. The Chief Secretary had powers of general-
control and authority, but execution of details was not his job. Individual
Secretaries were filly responsible for transaction of business in their respective
Departments. There was a considerable increase of salaries as well. He also
opened new Departments since new territories were acquired by the Company.
Wellesley, in sum, raised the status of the Secretaries to Government by raising
their salaries and augmenting their responsibilities to include research and
planning.
2.4.3 Financial and Colonial Departments
With ~ ~ l l e s l e ~arrangement,
's secretaries had come to shoulder greater
responsibility and distinguished themselves as extraordinary administrators. When
Minto took charge, he chose to depend on his Secretaries and be guided by them
rather than act on his own views and principles.
Minto added two new Departments Financial and Colonial. The Financial
business of Government was separated from the Public Department in 1810 and
established as a distinct Financial Department.
The Colonial Department was designed to manage the affairs of Mauritius and
Java which had come under the Company.
2.4.4 Reconstruction of Departments in 1815
The organisation of the Secretariat was again revised in 1815 in conformity with a
plan proposed by the Governor-General. This was partly in conformity with the
requirements of the Charter Act of 1813 which had directed that separate accounts
to be maintained of the Company's territorial and commercial revenues. This
separation had also been ordered by the Court of Directors and was necessitated by
the policy laid down by the Parliament and the home authorities. According, a new
Temtorial D e p m e n t was created.
Check Your Progress2
L
Note: i) : Use the space given below for your answers.

1) . How did Pitt's India Act alter the administrative machinery in England? British Administration:
-
1757 1858
2) Between 1793 and-1834, the Central Secretariat worked through the

following four branches. (Tick those 4).
1. General 4. Public
2. Judicial 5. Commercial
3. Secret 6. Revenue
3) Enumerate the five stages in the setting up of the Revenue Department.
4) ......................... reorganised the Secretariat and appointed a Secretary-

General.
5) ..........................brought in the post of Chief ~ e h e t a r y .
6) ......................... added the Financial and Colonial Departments.
2.5 DEPARTMENTS UNDER THE

GOVERNOR-GENERAL AND OTHER CIVIL
DEPARTMENTS
- -
The office of the Governor-General consisted of the official establishment of his

Private Secretary, his Interpreter and a number of Assistants.
One of the main duties of the Private Secretary was to administer Darbar charges
which were stipends paid to the Nawab of Bengal and others. Residents were
appointed in various parts of the country. A Resident was appointed to get
complete knowledge of what transpired at Courts of native rulers and uphold
.British interestXagainst those of other foreign powers. The administration of
political residencies, though conducted through the Secretary to Government in
the Secret and Political ~ e ~ a h m e n twas
s , essentially linked up with the office of
the Private Secretary to the Governor-General. Residents soon became very
powerful and had large administrative staff.
The other civil Departments included the Treasury which handled money,
managed the financial resources of Government and control of its expenditure,
the Department of Audit and Accounts, the Persian Department and the Agencies
specified as the Agent for stationery, agent for Indigo and agent for despatching
ships to Europe. There was also the Post Office, the Mint and other
establishments like that of Surgeons and Chaplains, the Clerk of the Market and
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Historical Context
2.6 THE ADMINISTRATION OF REVENUE
Land revenue was the most important source of income for the Government and
revenue settlement was one of the most complicated functions of the Government.
It involved the consideration of a multiplicity of rights and obligations' and it I
differed in fundamental principles and details fiom place to place. The Company's
servants had to gather proper information as to the economic resources and social
traditions of the people and the methods of revenue administration followed in the
past. On the basis of facts thus collected, they had to frame suitable regulation for
imposition of revenye and suitable machinery for its collection.
2.6.1 The Imperial Grant of the Diwani
The Company got the grant of Diwani, that is, the right to collect taxes in Bengal,
Bihar and Orissa in 1765. But it did not assume direct charge. Expediency and
policy dictated such a course of action wherein the Company through the
Resident, restricted its authority only to the superintendence of the collection and
disposal of revenues. Because the British lacked knowledge and experience of
revenue collection and they did not want to antagonise or alienate the natives,
they preferred civil administration to continue in the hands of the Nawab or his
minister. This meant that power was divorced from responsibility.
The native oRce;s, zamindars and others exploited the peasants. They were
guilty of acts of oppression without any fear of punishment from the British
Government as long. as they satisfied its revenue demands. Soon in 1769, the
Government appointed supervisors in the districts of the diwani provinces to look
into the produce of the land, revenues, taxes, etc. In 1770, two controlling
Councils of Revenue, one at Murshidabad and another at Patna were appointed.
No appointment could be made by the Nawab's men without their permission.
These piecemeal measures did not go far in solving the basic problems which
related to power being divorced fiom responsibility. The outbreak of famines,
especially the one of 1770, added to the sufferings of the common people.
However, the Supervisors did do some good work in reconstructing revenue
records.
In 1771, the Direcqon stated that they would takeover, through the agency of the
Company's servants, the entire managerrient of the revenues of Bengal, Bihar
and Orissa. To give effect to his decision, a Committee of Circuit was appointed
in 1772 and supervisors were nominated as Collectors.
2.6.2 Formation of the Board or Council of Revenue
With the collection of revenue.given over to Collectors, the Committee of Circuit
favoured the discontinuance a f the Controlling Committee of Revenue at
Calcutta. Control had to be exercised by the Supreme Council. In 1772,
therefore, the Committee of Circuit recommended the formation of the entire
Su reme Council into a Board or Council of Revenue. This Board first met on
l
13 October 1772, when the Controlling Committee of Revenue at Calcutta also
came to an end. The Committee of Circuit was abolished in 1773. The structure
of Revenue admihistration was greatly simplified. It consisted of the Board of
Revenue at the Presidency, with Collectors in the districts, assisted in joint
responsibility by the native diwans.
2.6.3 District Administration and the District collector
The position of the District Officer was the foundation on which British rule in
India rested. Disttkt administration by the agents of the Central Government has
been a basic feature of our Governmental system since times immemorial. The
Mauryah Empire was divided into a number of provinces and each province was
further divided into districts. Villages were governed by village communities.
The district officer was responsible to the Provincial Governor and ultimately to
the Emperor. A similar arrangement prevailed under the Guptas. The District
continued to be m important area of administration even under the British.
In 1772, Warren Hastings placed a district under a Collector who was a British. British Administration:
1757 - 1858
Two years later this arrangement was abandoned and again picked up in 1781. I
By 1786, the district came to occupy a central place in the scheme of local
administration.
In 1829, some districts were grouped together and formed a Division which
was under a Commissioner of Revenue and Circuit, This Commissioner was
given powers of supervision and conbol over the administration of the districts.
Later, districts were sub-divided into sub-divisions each under a sub-divisional
officer.
One school of British administration readily accepted the theory that an oriental
principle of government was that all power and authority should be concentrated
in one officer at the head of each unit. Though it was not generally accepted,
given the anarchy in the lathcentury, there seemed to be no way out but to have
such an arrangement.
After the district was made the basis of administration in 1786, the Collector
performed the duties of a Revenue Collector, Judge and Magistrate. The District
Officer had to assess and collect the revenue, try civil and revenue cases and
maintain law and order.
Lord Cornwallis was not happy with this arrangement for an officer who
assessed the revenue, and had to hear complaints against that assessment. The
temptation would be to justify in his judicial capacity what he had done as a
Revenue Officer. Accordingly, in 1793, a new Regulation was adopted by the
Governor-General-in-Council by which Collectors would not try the
revenue cases any longer.
In each district, there were two important officers - Collectors for collection of
Revenue and the Judge Magistrate to maintain peace, supervise police work,
apprehend thieves and robbers, try them as Magistrate and functions as the Civil
Judge.
In 1 83 1, there was a further change in the duties of District officers. Until this
time, Collector collected revenue, while Judge-Magistrate was to act as the Civil
Judge, maintain law and order, discharge other duties of general and administer
lower criminal justice. These civil judicial duties were now (183 1) handed over
to a separate Civil Judge while the rest of the functions of the Judge - Magistrate
were entrusted to the Collector. The Collector now discharged all functions of
the Chief Executive officer of the district including the collection of revenue,
administration of lower criminal justice and maintenance of law and order.
This was much too heavy a burden for the Collector especially because he did
not have a well organised police force at his command nor trained assistants to
help him. Lawlessness became a rife and in 1836, Lord Auckland appointed a
Committee called Bird Committee (presided over by W.W. Bird) to investigate.
The Committee was of the opinion that these functions were too exacting and
District Officer could not cope up with them. Since he paid more attention to
revenue collection and neglected duties of general and police administration,
something ought to be done. The Committee recommended that revenue
functions should be placed in the hands of separate functionaries called
Collectors. This was affected and put into operation by 1845. But thjs division of
labour did not improve the efficiency of police administration. Towards the close
of 1853, change5 were again effected and there was a reunion of magisterial and
revenue funcdons, because the separation of the offices of C~llector and
Magistrate had been injurious to the character of the administration and the
interests of the people. The oriental theory of government was clearly enunciated
and the principle of unity of authority in District administration advocated.
In fact, there were three officers in a district, between 1838 and 1859 namely the .
District Magistrate, District Collector and District Judge. In 1859, there was a
reunion of officers of Collector'and Districj Magistrate and henceforth they https://t.me/Upsc_Zone_Official
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were
held hv nne nnd the snme n f f i r e r
Historical Context ' Later, the British'came firmly to believe that if District Magistrate could not
punish the law-breakers himself, his authority would be undermined. They
upheld the combination oftriminal justice with executive administration.
2.7 BOARD OF REVENUE

British administration in its initial stages had a number of Provincial Revenue
Councils at work and above them was a Secretariat at Calcutta. These Provincial
Revenue Councils came to be replaced by a Board of Revenue which came to
assume tremendous importance both in revenue collection and general
administration for nearly 140 years. The jurisdiction of the Board extended to the
whole field of revenue administration including settlement, collection and receipt
of public revenues.
In 1788, Cornwallis revised the constitution of.the Board of Revenue. The Board
was concerned with the deliberdtion, superintendence and control. The details of
management of revenue were left to Collectors who were responsible to the
Board. In the exercise of its powers, the Board could summon any officer to
explain his conduct, fine him or even suspend him with the final consent of
. Government.
The Collectors became very important because they supplied, in the first
instance, all the data on the basis of which the Board's report to Government
would be prepared. Once decisions were taken and instructions issued, the
execution of details was left to the Collectors who with the discretionary power
they wielded, became supreme in district administration.
Two more reforms were affected in the Board of Revenue on the
recommendations of John Shore in 1788. They sought to effect total control of
revenue administration by the covenanted civil servants.
In 1790, a regulation was passed which empowered the Board to Act as a Court
of review as well as appeal in all revenue cases. In the same year the Governor-
General in Council, constituted the Board of Revenue into a Court of Wards.
This was to bring under the Board, the affairs of all such estates as belonged to
females, minors, idiots, lunatics and persons of doubtful character. From time to
time, regulations were issued to guide the Board in this activity. Subsequently,
Divisional Commissioners came to be appointed.
'
In the history of the Board of Revenue from 1786, one sees two main
developments - one jurisdictional and the other functional in character:
Jurisdictionally, the extent of territories under its control increased progressively
till 1807, when it covered Bengal, Bihar, Orissa, Banaras as well as the
conquered Provinces. It was followed by a process of decentralisation which was
first marked by the establishment of the Board of Commissioners for the ceded
and conquered Provinces. This process continued until two district Boards of
. Revenue came to be established in 1831 with a namber of Commissioners of
Revenue to take care of local supervision.
Functionally, the controlling and supervisory character of the Board of Revenue
remained unchanged. As for judicial powers, the Cornwallis principle (which
favoured separation of judicial fiom revenue work) was reversed. This was
necessitated by the exigencies of periodical assessment in the ceded and
conquered Provinces where frequent judicial matters came up.
A third development was the tendency of the Government to reduce the number
of Board members or to vest in a single member, the powers and authority
exercised by the Board as a whole. This was done for the sake of speedy conduct
of business, economy, and the want of trained men.
-2 3 ROLE OF DIVISIONAL COMMISSIONERS

The territorial jurisdiction of the Board of Revenue was unmanageable. So in 1822,
separate Boards of Revenue were reconstituted. These were the Board of Revenue
for the Lower Provinces or the Sadar Board, Board of Revenue for the Central British Administration:
Provinces or the Western Board. -
1757 1858
,.
Despite this arrangement, each Board found that it was unable to manage the
territory under its jurisdiction. Conduct of business was slow and corruption was
on the increase. The major problem was that of distance between the Board o f '
Revenue at the Presidency and the Collectors in the districts. The need was felt
for effective local supervision, especially in the ceded and conquered Provinces.
Holt Mackenzie felt the solution lay in appointing local commissioners. William
Butterworth Bailey improved on this arrangement by suggesting that these
Commissioners of Revenue be given the duties and powers exercised by the
Courts of Circuit and Superintendents
'
of Police. Accordingly, a new plan was
adopted on 1" January 1829.
Under this new regulation, all British owned land was to be divided into 20
divisions excluding the territory of Delhi which was under a separate
Commissioner and stood on a slightly different footing. The Governor-General-
in-Council could transfer any district from one division to another and increase
or reduce the number of Commissioners according to administrative needs.
The Divisional Commissioners were to exercise the duties, powers and'authority
vested in the Boards of Revenue and Courts of Wards. In the exercise of their
powers they were subject to the control and direction of a Sadar or Head Board
of Revenue stationed at the Presidency and guided by the orders of Government.
Note: i) Use the space given below fdr your answers.
ii) Check your answers with those given at the end ofthe unit.
1) . Describe the khanging functions of the Collector from 1786 to 1853.
2) What were the functions of the Board of Revenue?

.-
3) Examine the role of Divisional Commissioners.

Historical Context
2.9 THE GnMINISTRATION-OF CRINIINAL JUSTICE
AND PaLICE
We have examined in the earlier Unit, the Moghul administration of criminal
justice and police. It was based on Quranic law wh'.. h was applied to Muslims and
non-Muslims alike. With the collapse of the Moghul Central authority, there was a
breakdown of the law and order machinery. Zamindars, farmers and other agents
of revenue took over control though they did not have the right to do so. However,
they prevented a sibhation of anarchy.
Hastings had the fdllowing four objectives when he sought to improve criminal
administration:
1) To reconstitute the criminal courts.
2) To establish an efficient machinery of supervision and control.
3) To offset the inadequacies of Muslim criminal law.
4) To restore power of Faujdars.
Hastings, as per his plan in 1772, had a criminal court in each district and a
superior court of criminal jurisdiction at Murshidabad. The Ckllector had to
exercise supervision and control and keep an eye on judicial proceedihgs.
In 1781, the Governor-General and Council abolished the office of Faujdars and
transferred their duties to the Company's covenanted servants acting primarily as
judges of the Courts of diwani adalat. They were designated as Magistrates.
In 1787, on orders from the Directors. Cornwallis united in the office of
Collector, the duties of Magistrate and Civil judge. In addition, he conferred on
the n~agistracy,part of the authority exercised by the criminal courts themselves.
Though contrary to Islamic jurisprudence, police and judicial functions were for
the first time united in the office of the Magistrate on a general plan.
Cornwallis wanted the authority of the Magistrate to be more effective and
cor;lplete. But the administration of criminal justice remained practically
unaltered. It was still outside the sphere of the Company's responsibility.
Cornwallis Europeanised and functionalised the Civil Service. He did not have
faith and trust in Iddians especially in the administration of Criminal justice. He
set up four courts of circuit, one for each of the four divisions of Calcutta,
Murshidabad, Dacoa and Patna in place of the darogas of criminal courts. Each
of these courts of circuit was under two covenanted civil servants who were
designated Judges of the Court of Circuit. They were assisted by a qazi and a
mufti as law officers.
The police duties of the Magistrate continued. He was to apprehend criminals
and peace b~eakersand have them tried before the Judges of Circuit.
Cornwa4lis introduceql measures to r e f o h the administration of police in 1792:
These had three features:
1) Landholders and farmers who maintained thanedars and chowkidars were
divested~oftheir entire police authority.
2) Districts were divided into thanas or police jurisdictions. At the head of each
was an officer of Government called daroga of police.
3) Duty of rural police like chowkidars and others was to .assist the daroga in the
apprehension of criminals and to undertake intelligence work.
In his police reforms of 1792, Cornwallis had been guided by administrative and
political .considerations.
Administratively, police administration at the hands of the zamindars was
unsound in principle. There was much. exploitation and personal revenge.
PolitiCally, the thanedari system was risky because it meant continuance of small
pockets of local influence which was prejudicial to the Company's interests. British Administration:
Cornwallis' daroga system was hailed as an innovation which strengthened the
-
1757 1858
Magistracy.
But after 1793, the crime rate steadily increased. Bengal was known for gang
robbery. Thugs operated in the Upper Provinces. Many more social evils
increased considerably. The police system of Cornwallis suffered because it did
not have roots in society. Moreover, the resumption of the whole or part of the
lands previously adjusted in the rentals of the zamindars for the support of their
police establishments was resented. The resumption of service lands of village
watchmen and zamindari servants led them to combine with the zamindars and
make common cause against the darogas of Police. A gap developed between the
official police under Magistrate and rural police under zamindars with their roots
in society.
The darogas of police were unfit ~ n negligent.
d But they had extensive powers.
Ill-paid, they indulged in corrupt practices. The administration of police suffered
in addition from the union of the Magistracy with the office of the Judge.
Between 1793 and 1 8 13, several measures of reforms were designed to:
1 ) seek the cooperation of zamindars,
2) remove the inadequacy of the stipendiary police,
3) to impart efficiency and speed to criminal administration, and
4) to modify Muslim criminal law as well as the established mode of trial.
Responsible Hindus and Muslims were appointed as amins and commissioners of
police who could assist a daroga in maintenance of law and order. The police
amins were to preserve peace, help suppress crime, control village watchmen and
the like. The idea was to unite the influence of zamindars with the power of
darogas through the police amins.
The Government increased the establishments of the Kotwali and Thana police.
Apart from a general increase in the establishment of the stipendiary force,
provisions were made to meet local exigencies. Also, not only was there an
increase in the powers of the Magistrates, Joint and Assistant Magistrates were
appointed. Above all, modifications were introduced in criminal law.
The necessity of decentralising the powers of superior courts arose mainly
because of increase in the bulk of crime. Magistrate's powers were increased,
courts of circuit appointed and later on in their place, divisional commissioners
assigned tasks.
By and large in administration of criminal justice and police, an attempt was to
have an effectual administration of justice and liberalise criminal law by
reducing severity of punishment, by having trial by jury and bringing dangerous
social customs under purview of law. In short, the effort was to make the law
conform to principles of liberalism and natural justice.
2.10 THE CIVIL SERVICE

With responsibilities of ruling territorial possessions in India, the British
Governors and Councillors needed assistants in the Central offices and in districts.
They also had to study the manners and customs of the people, collect necessary
facts and make timely recommendations. To begin with, the men to fill this
important role in public service were drawn from the ranks of writers, factors and
merchants of the Company. It was not till 1769 that some of these officers were
appointed supervisors over large areas and charged with responsibilities. Though
most of the men did not prove equal to their tasks there were a few like John
Shore, Charles Stewart, Charles Grant and Jonathan Duncan who did outstanding
work. The Court of Directors continued to send every year fresh batch of writers
without realising that a revolutionary change had taken place in the Company's
role and functions and. therefore. better e a u i ~ ~ emen
d were reauired. None of the
Historical Context Acts of Parliament between 1773 and 1793 looked into the education and training
of civil servants inIndia.
To the open question as to whether administration would be efficiently conducted
by only 1ndians;a mixed agency or exclusively by the British, Cornwallis provided
the answer by deciding on the policy of complete Europeanisation. All higher
positions in Government service were filled by the Company's British covenanted
servants. The Charter Act of 1793 took care of this and provided the Charter or
Rights of civil servants. Promotion was by seniority. Duties of different
departments were defined. Salaries were proportionate to responsibility.
Wellesley realised that civil servants of the Company had to discharge functions of
Magistrates, Judges, Ambassadors, etc. To discharge these duties efficiently they
had to be not only well acquainted with the languages, laws and usages of the
people but be well-informed on the British Constitution and be well versed in
Ethics, Civil Jurisprudence, the laws of nations and general history. To provide all
these, Wellesley set up the College of Fort William in Calcutta. The civil servants
of Bombaypd Madras had to undergo training at the College like those of Bengal
for three years.
The three year course provided for instruction in liberal arts, classical and Modern
History and Literature, Law of Nations, Ethics and Jurisprudence. The syllabus
also included Indian languages, different codes and regulations. f i e college
aroused mental and intelleckal powers of the civil servants and imbroved thkir
morals to a considerable extent. But the College was short-lived. After seven years
it continued as only a language school.
In 1805, the Hailey bury college was set up in England and that really spelt the end
of the College at Fort William. The young recruits to the covenanted Civil Service
had to spend two years at Hailey bury and for the next 50 years the ICS was the
product of the Hailey bury College.
The syllabus drawp up by Wellesley for his College was followed at the Hailey
bury College. The young civil servants had to continue their mathematical and
classical education for two years under expert guidance. They had also to read
Political Economy, principles of jurisprudence, elements of Indian history and
rudiments of Indian legal codes and regulations and Indian languages.
But admission was still on the basis of patronage. Each of the Company's
Directors could nominate one candidate while Chairman and Deputy Chairman
could nominate two candidates each. Though there was an entrance test, it was so
simple, that no one ever failed it. Though candidates did equip themselves with
liberal education, the standard at Hailey bury was not really high or else it woqld
have resulted in a high rate of failures. The admission system, though modified
later, was at best, one of qualified patronage.
Despite this, the College had a good name and its products were known for their
corporate outlook and spirit comradeship yvhich they brought to India. These meh
in far-flung part. of India still upheld old Hailey bury ties. They set healthy
traditions especially in honesty and integrity. But at the same time they felt high
and mighty and some did become despotic in outlook and dictatorial in behaviour.
In 1837, an arrangement was made for the preliminary examinations to .Hailey
bury College. Yet it did not achieve the expected results. The men who came out to
India were not of the level of competence demanded by the work.-Meanwhile,
opposition was developing in England against patronage since 1833, when the
Company lost the last vestige of commercial monopoly. The Northcote Trevelyan
Report submitted to Paliament in 1854 suggested that patronage must give place
to open competitive examination. Among those happy to promote merit system
was Macaulay. Once the principle of competition was accepted, the necessary
regulations had to be framed. For this an expert body was appointed of which
Macaulay was Chairman. The committee recommended that candidates be
Downloaded from:- between ages 18 and 23 and the examination should
https://t.me/Pdf4Exams be in subjects of liberal study.
First competitive examination was held in 1855. From 1858 the exams were British Administration:
conducted by the British Civil Service Commission. -
1757 1858
It must be noted that the Civil Service established a great reputation for itself as a
most efficient, honest and upright organ of government. But civil servants had
limited functions to perform. They were essentially concerned with law and order
and revenue administration.
7
Note: i) Use the space given below for your answers. 13
1) How did Hastings improve criminal administration?
2) Critically evaluate Cornwallis' darogas of police.
3) . What was the contribution of Wellesley to improving the civil service in

India? .
We have seen how administration in India ti11 1858 was in the hands of the East
India Company which was a monopoly trading body. To regulate its management
of Indian affairs, the British Parliament passed two major Acts, the Regulating
Act and Pitt's India Act. Subsequently, Acts of 1793, 1813, 1833 and 1853 were
passed by which the Company was steadily deprived of its authority and power
in India and its privileges curtailed. Finally, the Act for the better Government of
India, 1858 passed after the Sepoy Mutiny, brought the governance of India
directly under the Crown.
The Central Secretariat took shape over the years and responded to the
exigencies of the time. Important departments were those dealing witti military.
nnl it icnl fnreiun 2nd revenlie mntterc
Historical Context Administration of Revenue has had a long and interesting history with the
Collector emerging as the kingpin at the district level. Administration of criminal
justice and police was very much the concern of the British though they did not
achieve much here. What is creditable is the Indian Civil Service tradition that
was built up and which continued through the Indian Administration Service to
modem times.
2.12 KEY WORDS
Court of Wards : The Board of revenue, looking after matters of
estates belonging to females, minors, lunatics, etc.
Eccleriastfeal Matters : Matters relating to the Church.
Patronage : The practice of making appointments to the
Company's Office through favour.
Quorum : The minimum number of members required being
present in an assembly or any meeting before any
business can be transacted.
2.13 REFERENCES AND FURTHER READINGS
'Agganvala, R.N., 1962, National Movement and Constitutional Development of
India; 4' ed., Metropolitan Book Co. (P) Ltd., Delhi
Mahajan, V.D., 1956, Constitutional History of India; S. Chand and Co. (P) Ltd.,
New Delhi
Mishra, B.B., 1956, The Central Administration of the Em India Company
1773-1834; Oxford University Press, Mumbai
Roy, N .C., 1958, The Civil Sewice in India; K.L. Mukhopadhyay, Kolkata
E~RCPSES
Check Your Progrew 1
The East India Company was a mercantile company.
Its ruks and practices were appropriate to commercial business.
The system governance was commercial in character.
Ambiguity of jurisdiction between the Supreme ~ o m i land the
Supreme Court.
Uncertainty in the application of law.
Non-recognition of provincial and other courts.
Curtailing of the jurisdiction of the Supreme Court.
Govemr Qeneral having appellate jurisdiction and 'acting as a Court of
record.
Governor bieneral-in-Council legislation was to be approved by the
Coutt, and dot subject to the registration in the Supreme Court.

. Setting up cif the Board of Control.
Powers of the Board of Control.
In'dian ~ovkrnmentsubjected to a system
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2) 1,2,5,6. British Administration*

1757 - 1858
3) See Sub-section 2.4. I.
4) Cornwallis.
5) Wellesley.
- 6) Minto.
1) Your answer must include the following pbints:
Combining the Collections duties as Revenue Collector, Judge and
Magistrate in 1786.
In 1793 the Collector could not try the revenue cases.
The functions of the Judge-Magistrate given to the Collector in 183 1.
Appointment of separate functionaries for revenue functions in 1845.
a Revision of magisterial and revenue functions in 1853.
Jurisdiction of the Board over revenue administration.
Board of Revenue as a Court of review and appeal in revenue cases.
Board of Revenue as a Court of Ward.
3) See Section 2.8.
Reconstitution of the criminal courts.
Establishment of an efficient machinery of supervision and control.
Offsetting the inadequacies of Muslim Criminal Law.
Restoration of powers to the Faujdars.
21, Your answer must include the following points:
Merits
It brought an end to exploitation and personal revenge.
Discontinuation of local influence which was based on the company's
interest.
/
Strengthening of the Magistracy.

Demerits
Development of gap between the official police under Magistrate and nual
police under Mindars.
Negligence, corrupt practices among the Darogas.
The administration of police suffered due to union of magistracy and
office of the Judge.
3) ~ & answer
r must include the following points: -
Eurpoeanisation of Civil Service under Cornwallis.
Setting up of four courts of circuit.
Designation of civil servants as judges of the Court of Circuit.
Realisation of variety of functions to be performed by the civil servants
as Magistrates, Judges, Ambassadors, etc.
Need to make them well acquainted not only with the laws, languages of
people, but also about the British constitution, ethics, jurisprudence, etc.
Setting up of College of Fort William in Kolkata to provide training
on
various as~ectsto the civil servants.
UNIT 3 REFORMS IN BRITISH

ADMINISTRATION: 1858 TO 1919 ,
Structure
3.0 Objectives
3.1 Introduction
3.2 The War of Independence and After
3.3 The Indian Councils Acts
3.3.1 The Need for Policy of Association
3.3.2 The Indian Councils Act 1861
3.4 The National Movement and Administrative Reforms
3.4.1' The ~ a t h n aMovement
l and Constitutional Reforms
3.4.2 Demandb for ~dministrativk~cforms
3.5 The Motley Minto Reforms 1909
3 3.1 The Maih Provisions
3.5.2 Examination of the Reforms
3.5.3 Pointer to Further Reforms
3.6 The Administbative Structure
3.6.1 Reorganisation of Departments
3.6.2 The Civil Service
3.6.3 Financial Administration
3.6.4 Police Administration
3.6.5 Cocal Administration
3.7 The Montagus Chelmsford Reforms 1919
3.7.1 The Preamble of the Government of India Act 191 9
3.7.2 The Central Government
3,7.3 Machinery of Dyarchy at the Provinces
3.7.4 The Balance Sheet of Refarms
3.8 Let Us Sum Up
3.9 Key,Words
3.1 1 Answers to Check Your Progress Exercises
3.0 OBJECTIVES
Understand the reforms in British administration in India from 1858 to 1935;
Explain the features of Indian Councils Acts; and
0 Examine the impact of Nationalist movement on administrative reforms.
3.1 INTRODUCTION
So far we have covered the administrative system of India at the time when the
British arrived here and its evolution to their need9 first as traders and then as
rulers of this colony. In this Unit, we shall try to account for the main reforms
introduced by the British government in India during the period 1858-1935, as it
adjusted itself to the growing needs of administration. We will also read these
a
enactments in the context of changing political and economic demands of an
awakening nation.
3.2 THE WAR OF INDEPENDENCE AND AFTER

The outbreak of 1857, called by Dr. Pattabhi Sitaramayya as the First War of
Independence, was a shock to the British government and its bureaucracy. -
Economic exploitation, social deprivation, and political unrest made 1857 outburst
inevitable. The British rulers had to revise their policy of conquest and annexations
and to a d o ~at cautious and calculated wlicv of association and coo~eration.
The Act of 1858 ended the Company rule and the system of Double Government Reforms in British
Administration:
by Board of Control in England and €he Court of Directors of the company 1858 to 1919
introduced by the Pitt's India Act, 1784. Indian Administration came directly
under the-Crown. The Act created the office of the Secretary of State who was a
cabinet minister in the British cabinet. His salary and establishment was paid
from the Indian revenue. He was assisted by a council of fifteen members to
make him familiar with Indian affairs. With the end of the East India Company,
British Parliament lost much interest in Indian affairs and the Secretary of State
for India became the defacto government of India. He had overriding powers
over. the Council in deliberations, appointments and the supremacy of Home
government over the Government of India as firmly established. The enlightened
Indian opinion always criticised the constitutien and functioning of this council.
The various changes introduced by the Act of 1858 were formally announced by
a proclamation of Queen Victoria. The Queen felt that such a document should,
lead to feeling of generosity, benevolence and religious toleration. It assured the,
native princes their rights, dignity and honour. This would pacifj them and
would make them act as a reactionary block against any progressive force raising
its head against the British rule.
3.3 THE INDIAN COUNCILS ACTS

3.3.1 The Need for Policy of Association
The war of 1857 was an eye opener for the British rulers. Ruling such a vast
colony form a distance was a great risk - if such instihitions were not provided to
get the feel of the Indians. The addition of the native element to the Council,
therefore, became necessary unless one was prepared for the perilous experiment
of continuing to legislate for millions of people with few means of knowing
except by a rebellion, whether the law suits them or not. Also there was much
inadequate representation for provincial governments on the Central Council.
Along with the administrative need for larger association, the British government'
wanted to distinguish between Executive and law making functions and stop the
legislative council moving towards a 'petty Parliament'. Industrial capitalism
needs enlightened section as an associate and representation becomes the sign of
development of the society.
The advance made by'the Indian Councils Act 1861 over the 1858 Act was mainly
in the inclusion of a number of non-official members in the Executive Council of
the Governor-General. The Governor General's executive council consisted of five
members. And for the purpose of legislation, the council was reinforced by six to
twelve nominated members for a two-year term. Half of these were to be non-
officials, both European and Indian not in the service of the Crown. There were
similar councils at the provinces.
The powers of the Governor-General increased more in the field of legislation.
The Council was presided over by the Governor-General. His Ijrior approval was
necessary to introduce measures affecting public finance, religion, discipline and
maintenance of military and naval forces and relations of the Government with
foreign princes and States. His consent was nec9sary for any Act passed by the
legislature and his Ordirances had the validity of an Act. The idea was that the
legislature should conduct its business like a 'Com~ittee' or a 'Commission',
their publicity being limited to official reports on . The aim of the Act,
f
according to Sir Charles Wood, Secretary of State for ndia, was to prevent the
legislature from interfering with the functions of the executive government. In
the official despatch he avoided the word 'legislative council' and there was no
mention of session in the rules of business. The Executive government became
too strong as legislature had power without control, association without
representation. The belief of the British rulers was that the most merciful rule
over conquered millions is despotism and the most tyrannical is that of the https://t.me/Upsc_Zone_Official
lowest
memhers of a dominant claw
Historical Context The earlier non-official members were mostly ruling princes, or their diwans or
big landlords. Thuy had little interest or initiative in its working. And their
representation was hardly 'public'. European interests settled in India differed
from the purely imperial interests rooted in Britain. The practice of private
correspondence between the Secretary of State and the Viceroy bypassed the
majority of the council. Also as the functions of the council were merely
legislative, it was a step backward with the provisions of the 1853 Act. It looks
as if that the British Statesmen and thinkers, both conservative and liberals, felt
sincerely (though wrongly) that Parliamentary form of government was
unsuitable for India. Even John Stuart Mill, the liberal, believed that India was
not in a sufficiently advanced state to aspire for a representative government.
3.3.3 The Indioln Councils Act 1892
The Indian Councils Act 1861 naturally could not satisfy the progressive public
opinion in India. h its very first session the Indian National Congress passed
resolution to make these councils broad based, elective and with powers, over
budget and powers to interpellate the Executive. To move too fast is dangerous, but
to lag behind is more dangerous still (Lord Ripon). The liberal Governor-Generqls
and Viceroys advocated the need for making councils more popular. Also the
Government of India felt that it would strengthen its position vis-a-vis the British
government with the help of elected Indian members. European business interests
in India also favoured larger elective element and broader functions enpsted to
the councils. Lord Dalhousie's policy of providing for legislation on the basis of
petitions from individuals and their associations contributed to the organisation of
opinion for reforms. Constitutionalism and consultative machinery thus moved
towards a government based on popular representation.
Lord Dufferin's Egyptian experience in the establishment of elected provincial
councils was encouraging. He wanted to experiment the same in India. The main
recommendations of the Dufferin Committee (1888) were: (i) the expansion of
Presidency councib and enlarging their functions; (ii) providing representation to
important interest; (iii) representation to Muslims in proportion to their population;
(iv) reservation of a few seats to be filled by nomination as a safeguard against any
inequality in the results of elections. The provincial iouncils would be of two tiers.
The first representing hereditary trade, professions, commercial interest. The first
directly elected and the second indirectly. The provincial administration would also
be divided in two parts - general and local and the councils would have larger
powers in local matters.
As the British Statesmen were still influenced by the feeling that 'constitutional '
principles could not be applied to a conquered country' and that there would be no
relaxation of 'bureaucratic despotism', The Indian Councils Act 1892 did not much
satisfy local aspirations. It expanded the Executive Council of the Governor-
General. Nominations were to be made by provincial councils, local bodies,
professional bodies, etc. The members had now a right to put questions and discuss
on matters of budget. Though a previous notice was necessary and the question
could be disallowed without assigning any reason, this right was more than
symbolic. Obviously, official majority was main$ined in both the Supreme as well
as provincial councils.
The Act really was an advance over the 1861 legislation as it gave rights to the
council which wey Parliamentary in nature. It was an attempt at a compromise
between the official views of the council as 'pocket legislature' and the educated
Indian view as emqryo Parliaments. The right of interpellation without the right to
veto carries little meaning and less weight. The extremist element in the National
Congress was dominating and the practice of the Act also defeated its purpose of
'giving fiwther opportunities to the non-officials and the native element in Indian
society to tab part in the workof the government'.
ii) Check vour answers with those niven at the end of the unit,
Comment on the changes brought about by the Act of 1858. Reforms in British
1) Administration:
1858 to 1919
2) Explain the features of Indian Councils Act of 1861
-.
3) Explain the impact of National Movement on administrati* reforms.
------------ --
3.4 THE NATIONAL MOVEMENT AND

ADMINISTRATIVE REFORMS
3.4.1 The National Movement and Constitutional Reforms
While the British established a regular system of government in India from 1857 to
1947, the slow pace of constitutional experiments showed uneasy compromises,
the British Statesmen were making with the exigencies in the Indian situation. The
policy of apparent association, therefore, went had in hand with the policy of
oppression, and constitutional advances were always barbed with restrictive
conditions so that the core of executive bureaucratic responsibility would remain
untouched. Such contradictions seem to be inevitable with imperialism because
imperialism itself is incompatible with democratic theory and practices.
The contradictions were clearly exposed in Lord Lytton's repressive policy, the
Arms Act, the Vernacular Press Act, holding of Imperial Darbar during severe
famine, abolition of cotton import duty to serve British textile interest. (This was
the first time when the veto power was exercised by the Governor-General in
India). The Ilbert Bill controversy (1 883) also was an eye opener to Indians. The
Bill was to empower Indian magistrates to try criminal cases of white people which
were objected by the whites. Equally eye opening were the attempts to keep
Indiafis out of higher jobs, especially the Indian Civil Service. All these clearly
indicated the imperialist belief in white man's supremacy.
The Indian National movement organised itself in the Indian National Congress
(1 885). Initially influenced by the Western educated upper middle class, it aimed at
securing reforms through peaceful and constitutional means. The British rulers also
Historical Context fett that this wouM remove misunderstanding about the intkxtions of the
government and wouM save thc empire. The moderats had faith in the British
sense ofjustice and fair play.
Their aim was gradual rc~rms with constitutional means. The Congress
progromrne tossed Mlwecn extremists and liberals till it became a mass movement,
in the real sense and &manded nothing short of 'Puma Swmj'.
3.4.2 Demands for Administrative Reforms
The early Congress quested the British Government to reform administration by
making it broad baed and representative. Various issues that rose during its early
phase revealed that thre National Congress was concerned with wider interests and
larger sections of the people. It advocated reduction in expenditure on military and
hdme departments and establishment of military colleges in India. On the
economic side it advacated repeal of eotton excise duties, reduction of salt duties,
reduction in land revaue and opening of agricultural banks. It proposed changes in
tenancy3lawsto help peasats. On the industrial side, it advocated establishment of
technical and industrial educational institutions, revival of old industries and
establishment of new ones, protective tariff for new industries and extension of
irrigation work In Social and individual field, it promoted temperance, repeal of
various laws, restricting individual liberty and appointment of Indians to higher
posts. In the political field, it advocated the abolition of Indian Executive Council
and reforms in the Legislative Councils established under the Indian Councils Act
1861, more powers to local bodies, reducing official interference in their
functioning and removing restrictions on press. The Indian National Congress thus
wanted to be representative of all classes and interests that were Indian. It was an
interesting blend of liberals and extremists. Constitutional in means, it turned
agitational in spirit. Further, constitutional dose became necessary to boost liberals'
faith and to prevent the National Congress going progressively under the influence
of the extremists. The Morley Minto Reforms 1909 as the Indian Council's Act
1909 indicate the line of action taken by the British government - the line of
apparent association a d adoption of the divide and rule principle.
3.5 THE MORLEY MINT0 REFORMS 1909

3.5.1 The Main Provisions
The Indian Councils Act (1909) substantially increased the strength of legislative
councils - the Imperiql and provincial. For the Imperial, the Supreme Council, the
?umber of additional members was raised fiom 16 to 60. For major provincial
councils, the number was raised to 50 and for minor provinces it was fked to 30.
The additional members were both nominated and elected. The principle of
election was hctioncil representation. In the Supreme Legislative Council, the
official majority was maintained by in h e provincial councils, the non-officials
formed the majority. The A& definitely expanded the functions of the legislative
councils. These canaerned discussions on' the budget (The Annual Financial
statement), discussion on any matt& of general public interest and thirdly the
power of asking questions. T b Act also increased the number of Executive
~duncillorsin the thnx major Presidencies - Bombay, Madras and Bengal, Indians
were now appointed as members of the Secretary of States' Council (1907) and
members of the Governor-Generals' Council (1909). Some other important
f e a W of the Act of 1909 included: right of separate electorate to the Muslims;
the Secretary of the state for India was empowered to increase the number of the
Executive 43ouncils of Madras and Bombay fiom two to four; two Indians were
nominated to the Cquncil of the Secretary of state for Indian affairs; and
empowering Governor-General to nominate https://t.me/Upsc_Zone_Official
one Indian Member to his Executive
Council. etc.
3.5.2 Examination of the Reforms , , Reforms in British

Administration:
Both Lord Morley, the then Secretary of Statc, and Lord Minto, the then Governor 1898 to 1919
General of India, felt that it wes not desirable to introduce a responsible
government in India and it would never suit the Indian conditions. 'The safety and
welfare of this country must depend upon the supremacy of the British
administration and that Bupremacy can in no circutllstances be delegated to' any
kind of representative assembly' (Lord Minto). .
The reforms introduced Indians to the legislative culture - developing opinions out
of the interaction of different interests. This is the essence of Parliamentary
institutions. The transfer of Parliamentary responsibility now became the logical
next. Introduction of elections.(though indirect-elections), the power of asking
supplementary questions (though restricted), the right of voting on some part of the
budget (the votable part), the right of moving resolution on the matters of public
interest strengthehed legislative practices. The non-offtcial and elective base also
was sufficient1 hvanced as compared to the earlier Acts. The Indian Netional
Y";
Congress, dom~ht d by the Moderates, said that the scheme was a 'large and
liberal installment o reforms'. Morley had discussed these reform proposals with
Gokhale, the liberal leader.
But the rules and regulations made under the Act and the implications of certain
provisions defeated the liberal spirit. The indirect system of.elections inspired little
interest and offered less political education. The representation of different
functional interests affected the team spirit of the non-officials. The most harmful
was the provision for separate representation for Muslims. This was the beginning
of the communal representation, the communal electorate which logically led to
the partition of the country on communal basis. The Muslims objected to the joint
electoral colleges but the role of the Government has also been very evident and
positive in introducing communal electorates. The Muslims had got
proportionately more representation than their population on the assumption of
their political importance. Similar protection was not extended to Hindus minority
in Muslim majority provinces. Also the Governor General had powers to reject the
appointment of any elected member to the council. And this provision restricted
the freedom of the electorate.
The non-official majority in provincial councils yas n.ot elective. The Europe'ans in
the Indian eyes were as good as officials. The fantilords and nominated members
habitually voted with the government. The representation gave Indians only
personal influence but not power in legislative councils. The constituencies were
small (the largest which returned a Member directly had 650 voters).
Even with enlarged functions, the powers and position of legislative councils were
secondary. The resolutions of the council were not binding on the Gbvemment. Its
deliberations were of advisory nature. The official members were fully controlled
by the official mandate and had tittle freedom in legislative participation.
3.5.3 Pointer to Further Reforms
The policy of change with caution was bound to fail. As the reforms did not
provide responsible government, the moderates in the National Congress were also
unhappy. The association of the Government of India with the Allies in the First
World War, the Congress League Lucknow Pact of 1916, the Extremists rejoining
the National Congress and the Home Rule Movement made it necessary for a
further attempt of constitutional reforms leading not only towards a good
government but a responsible government. Montague, the Secretary of State for
India, declared in August 1917 the policy of increasing association of Indians in
every branch of administration and gave direction and purpose for future
constitutional development. Montague toured India with Lord Chelmsford, and the
Montague-Chelmsford report, an expression of liberal philosophy, proposed
the
rpfnrmc n f 1919 It hac heen a mile~tnne
in the ~nnctit~ntinnal
rle\mlnnment n f Inti;=
Historical Context
3.6 THE ADMINISTRATIVE STRUCTURE]
3.6.1 Reorganigation of Departments
Constitutional r e f m s were reflected in the changing structure of the
governmntal machihery as the government moved towards the federal form.
Creation of new departments, their reorganisation and setting procedures for
smooth conduct of department business naturally became inevitable.
Departmental orNsation not only makes administration smooth but also
streamlines its processes and secures economy in its operation. In the beginning,
administration was grouped under two broad segments one covering General,
Foreign and Finance and the second covering Secret, Revenue and Judicia:
departments. In 1843, administration was divided into four departments, Military,
Foreign, Home and Finance. The Home'department dealt with legislation also. In
1855, a separate department of Public Works was established with the
development of irrigation and railways. In the cause of time three main
departments were established. The Legislative Department (1869) took over the
ledslative work of the Home Depment. Obviously, it did not initiate or originate
legislation. The second department was Agriculture, Revenue and Commerce
created in 1871 mainly to work as a guiding agency in the context of recurring
famines. The third dbpartment was Industries and Commerce established in 1905.
The Railway Board also yas constituted in the same year. It was to look after the
Industrial and commercial development of the country. Due to the controversy
between Cumn atrd Kitchner over the military administration in India, the
Military department was divided into two separate departments, the Army
Department and theiMilitiuy Supply Department. In 1911, Education department
was created. The ctljation of departments reflects the growinguolume of work
attended by them.
It is during this peribd that the concept of departmental responsibility grew: Lord
Dalhousie assigned each member of the Council some specific departments and
introduced the classification of papers as urgent, routine, unimportant and
important. Only urgent papers would go directly to the Governor-General. Findly,
in 1862 the portfolio system came into operation. The distribution of work was
made specific and t h system
~ of noting was introduced. In 1882 the flat file system
was adopted. Lord Cunon improved upon this system to reduce delay to minimise
official pedantry. The emphasis was on discouraging excessive noting and
encouraging personal communication.
3.6.2 The Civil Service
Before the Charter Act of 1833, the kourt of Directors of the East India Company
controlled the selection and appointment of Civil Servants. The nominations were
made individually by the Directors. Young Englishmen took writership as a career
and they entered into a covenant to serve the company faithfully and honestly.
They were, therefgre, called as 'Covenanted Servants'. The uncovenanted
personnel were nqt a part of regular graded service. Abo the security of service
was limited. The distinction between the two was, however, getting blurred over a
'
period. With the Act of 1833, the disciplinary control 6f the Government of India
was established over civil servants. The important issues in the development of
civil service were thb age of reMtment, division of service between executive and
judicial branches d d the need and en* of Indians into these services. Lord
Salisbury in 1874 keduced the upper age limit to nineteen and the lower to
seventeen. This affkted Indian candidates. Though the division of service into
administrative and judicial branches was not favoured, Sir Campbell &vised the
system of Parallel lines of Promotion and a covenanted servant would choose after
some years of service one or the other line. As the number of covenanted servants
was restricted, the need for expanding uncovenanted services to fill in subordinate
services was felt. ?this became obvious with provincial services and growth in
governmental work. This subsequently led to
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Reforms in British
3.6.3 Financial Administration Administration:
A centralised financial system was introduced in 1833 as the earlier structure was 1858 to 1919
too diffused for effective control and economy. Lord Ellenborough created the post
of a Finance Secretary at the Central level and brought all financial operations
under the review of the Government of India. It realised effective control and
economy but ended in delay in final approval. Ellenborough really wanted to have
a Finance Member on his council. For Central control the ofice of the Comptroller
General of Accounts was created and he remained in charge of appropriation audit.
In 1860, the system of budget was introduced. Financial relations were
decentralised for the first time in 1870 when Lord Mayo made provincial
government responsible for the management of local finance in some areas which
were primarily of provincial interest. This relieved the Imperial Finance too
because provincial governments were expected to raise additional revenue by
raising local taxes. Obviously provincial budgets were required to be submitted to
the Government of India for approval.
3.6.4 Police Administration
The law and order was earlier a community function and was administered by a
non-official force controlled by individual zamindars. Lord Cornwallis introduced
bthe daroga system in 1792, replacing zamindari thanedars under the direct control
of the district head and on its payroll. At the village level, village patels performed
the functions, both revenue and police. With the experiment in Sindh by Sir
Charles Napier, a separate self-contained expert police force came into existence.
At every district there was a Superintendent who was subordinate to the District
Magistrate but departmentally under the control of the Commissioner of Police. In
1860, the Government of India appointed a Police Commission. It recommended
the establishment of a single homogenous force of civil constabulary. It was
controlled by the Inspector General of Police. He was assisted in his work at the
district level by a District Superintendent. The District Magistrate retained his
judicial authority in the administration of criminal justice. The codification of
penal and procedural law also was undertaken.
3.6.5 Local Administration
Local government institutions are both n itural and useful. Village community
government existed in India with a vil1ak.e headman performing both civil and
judicial functions. But the present system of local government is entirely a British
creation. The principle of election and Lie concept of representativeness were
foreign to the old local government systeni. The Mayo resolution of 1870 stressed
the need for introducing self government in local areas to raise local resources to
administer locally important services and also to provide local interest and care in
the inanagement of their funds. Municipal Acts were accordingly passed in many
provinces with elective local bodies coming into existence. The first local
government, the Madras Corporation was established in 1687. In a course of time,
other Presidency towns also formed local governments. Lord Ripon's resolution in
1882 has. been regarded as the landmark in the history of local government in
India. The resolution declared that 'it was not primarily with a view of
improvement that this measure is put forward - It is chiefly desirable as an
instrument of political and popular education'. The resolution extended election
principle with an elected non-official Chairman. Ripon wanted to provide for the
new educated middle class an opportunity for association and thereby check rigid
bureaucracy.
3.7 THE MONTAGUE-CHELMSFORD REFORMS 1919

3.7.1 The Preamble of the Government of India Act 1919
'It is the declared policy of the Parliament to provide for the increasing association
n f Indians in everv hranch n f lndinn ndminirtrntinn 2nd fnr the wndiinl
- --
Historical Context development ~f seI$,governing institutions with a view to the progressive
realisation of respowible government in British India as an integral part of the
Empird'. In response:to the spirit'of the preamble, the Act provided eemplete
popular control as far as possible in local government areas. There was also
maximum popular repesentathn e d freedom to provincial government. This is
reflected in the s y s t p of diarchy. The Government of India was still to be
responsible to the British Parliament. But Indian legislative council was enlarged
and made more populbly representative. In tune with the spirit of the declaration,
the control of British flarliament over the Indian G~vernmentwas relaxed and that
of Central Governmedt over the provincial .government was reduced. The basic
contention wai that v ~ k q the Government of India and the Central legislature
were in agreement, the Home Government would not interfere. Main features of
the 1919 Act include& (a) the Council of the Secretaq of state to have eight to
twelve members with thee Indian Members and at least one-half of them to have
spent a minimum of ten years in India; (b) the Secretary of the state to follow the
advice rendered by the Council; (c) the Secretary of state was not allowed to
interfere in the administrative matters of the provinces concerning 'Transferred
subjects'; (d) to carryout their administrative affairs, the Governors were given
'ln&&t of instructions' z& a guide; (e) other than Muslims, the minorities
including Sikhs, Anglo-Indians, Christians and Europeans were given right of
separate electorate; etc. ,
3.7.2 The Central Government
The Central Government was more representative and responsive but not
responsible. The Govetnor General at the apex of administration was still an
autocrat. He had the powers of superintendence, direction and control over the
entire administration and these were very effective powers. Ih theory, the
Government of India was ruled by the Government of England and the Governor
General who differed fiom the policy of the Secretary of State had no alternative
but to resign. But in actual practice, the Governor General as the man on the spot
carried a great deal of power and influence. He could werrule the decisions of his
Executive Council. He was 'the executive'. The executive councillors were
virtually his nominees. He had full control over foreign and political department
(department dealing with princely States in India). Every bill passed by the Central
or Provincial Legislature needed his assent, in certain cases his prior ascent. He
could put any bill on the statute, also restore cuts. He has used his powers to
overtide the legislature (for example, Princes' Protection Act 1923, the Finance
Bill 1925 raising salt duty).
The Legislature was broad based (the strength of the Council of States 60, and the
Central Legislative Assetnbly 140). But its composition was faulty and powers
very much restricted. The Communal representation introduced in the 1909 Act for
Muslims was now extended to other communities like the Sikhs, the European thus
encouraging separatist teqdencies in tbe Indian people. The Governor General thus
had too many powers and was not responsible to the Legislature.
3.7.3 Mschinev of'Dyarchy at the Provinces
The division of subjects into Central and Provincial '(Federalism) and the further
division at the provincial level between Reserved and Transferred subjects was a
novel feature of the Mont-Ford Reforms. Dyarchy means double government at the
provincei. The 'Resewed' subjects in charge of councillors, 'nominated' by the
Governor and transferred subjects in charge of councillors - Ministers 'appointed'
by him. The reserved subjects were really 'key' departments while transferred
subjects were felt 'safe' even if placed in thehttps://t.me/Upsc_Zone_Official
Indian hands. The councillor in
charee of rerewed rilhiecd w m not rernonsihle to the Secretarv of State and the
British Parliament. The ministers in charge of transferred subjects were responsible Keforms in British
Administration:
to the provincial legislature. -rhk Governor exercised effective powers over the 1858 to 1919
whole administration through the Instrument of Instruction and Executive Business
Rules.
3.7.4 The Balance Sheet of Reforms '
The experiment of diarchy failed. The Indian National Congress boycotted the first
elections (1920). Though it participated in the second election (1924), its expressed
objective was to wreck the reforms.
Dyarchy was bound to fail. It was structurally weak and insincere in spirit. It could
not, therefore, evolve those conventions and practice which are very n e c e s w for
administration of any constitutional experiment of such ia kgnitude. Thd division
of subject also was wrong as a subject would be partly oouwed as mserved and
partly transferred, e.g., irrigation was reserved but agriculture which very much
depended on alsb the concept ofjoint responsibility of the council. The division of
Council between councillors and Ministers and the excessive control of Finance
~ e ~ a r t r n e n(reserved
i shject) over the administration of transferred subject
affected their smooth functioning. Transferred subjects starved financially as they
needed more money for development. And to their disadvantage the sources of
revenue were 'jointly' kept. The Secretaries of the Departments, belongng to ihe
ruling class also did not cooperate with ministers in charge of transferred subjects. '
But it created parliamentary atmosphere in the legislature and gave people an
opportunity to have a look in administration. Some major reforms pertaining to
local go&mment (Bombay, Bengal) and Education Social Welfare (Madras) were
carried out during this period. Almost in every province, right to vote was extended
to women.
Dyarchy failed but it showed the way to further reform - a federal government
which should be more representative and more responsive.
ii) check your answers with those given at the end of the unit.
1) Bring out the main provisions of Morley Minto Reforms.
2) Explain thk important features of Montague Chelmsford reforms.

Historical Context 3) What are the reasons for the failure of diarchy introduced by the Montford
Act of 19191
3.8 LETUSSUMUP
The British govemment was trying to reconcile between the interests of the Empire
and national interests of the Indian people. The government needed the association
of native people in the 'adminis9tion of this vast colony but abo reatised the
potential danger in such an association. The constitutional experiments w i g
with the Indian Councils Acts which tried therefore to obstruct the tnnsfer of
effective power to the Indian people by making the GovemorIGovemor Omcnl
autocratic and the Legislative Council dominated by official element and divided
in it. The reforms in effkct could not satis6 the Indian people and the National
Congress representing their interests moved to its goal of Puma Swamj.
3.9 KEY WORDS

Dyarchy : It is the two-level government introduced at
the provincial level under the Montford Act
of 1919. It divided the whole administration
between the 'reserved' (controlled by
Councillors) and 'transferred' (controlled by
the Ministers) subjects.
Imperialism : It is a system where the advanced nations
(mostly Europeans) control the less
advanced nations (mostly Afro-Asian)
mainly for economic reasons. This is
regarded as the last stage of development of
a capitalistic system).
Libtrals : The group of people who dominated the
Indian National Congress in its early years.
They believed in constitutional refoms and
had a faith in the British sense ofjbtice.
SccretaryofState ter India ; It was a ministerial post in the British
cabinet to look after the afiirs of the Indian
colony. The Government of India Act 1919,
created the post of the Indian High
Commissioner to assist him in his duties.
Tbe I.d&n Comaeib Ada ; These Acts &It with the omposition,
powers and &tiow .
of LBgislativc
Councils assisting and (Pdvising the
Governor General of India in legislative
/
duties.

Aggarwala, R.N., 1964, National Movement and Constitutional welopment of
India; S. Chand & Co. (P)Ltd., New Delhi
Johari, J.C., 1977, Indian Government and Politics; Vishal Publications, Delhi
I
Mahesh wari, S.R., 1984, Indian Administration; Orient Longman, New Delhi Reforms in British
Administration:
Mishra, B.B., 1 970, The Administrative History of h a ; Oxford University 1858 to 1919
Press, London
Robert, P.E., 1952,History of British India under the Company and the Crown;
Oxford University Press, London
Thomson, Edward and Garratt, G.R., 1958,Rise and Fulfilment of British Rule
in India; Central Book Depot, Allahabad
b
3.1 1 ANSWERS TO CHECK YOUR PROGRGSS

EXERCISES
Check Your Pmgrcss 1
1) Your answer must include the btlowing points:
Significant changes were brought about by the Act of 1858, which ended
the rule of Company and the system of Double Government.
Indian administration put directly under the crown and creation of the
Ofice of the Secretary of State.
Powers of the Secretary of Stato.
Establishment of supremacy of Home Government over the Government
of India.
Increase in powers of the Governor General in the field of legislation.
Inclusion of non-official members in the Executive Council of the
Governor General.
Strengthening of the Executive government.
3) ~ i of
m the Indian National Movement to bring about reforms in administration
through Constitutional means.
Various types of refohs advocated by the National Congress in political
field, economic, industrial, fronts, social and individual field.
Check Your Progrtss 2
I) Your answer must include the following points:
Increase in the strength, functions and powers of the Legislative
Councils.
Increase in the number of Executive Councillors.
Representation of Indians in the Council of Secretary of State and
Governor General.
Provision of complete popular control as far as possible, even in local
government areas.
Increase in poweri of the Governor General who was at the apex of the
administration, which strengthened his position as an autocrat.
Introduction of diarchy at. the provinces.
Creation of Parliamentary atmosphere in the legislature.
Failure to evolve conventions and practices necessao for administrakion
of machinery of diarchy.
Improper division of subjects under transferred and reserved categories.
Lack of coordination between the Secretaries of the Departments and
Ministers. https://t.me/Upsc_Zone_Official
' I
UNIT 4 ADMINISTRATIVE SYSTEM UNDER

1935 ACT
Structure
Objectives I
Introduction
Prelude to the Refortps
4.2.1 The Simon (=ommission (1927)
1,
4.2.2 The Nehm $cheme
4.2.3 Response ,
The Governmerit of India Act 1935
4.3.1 Main Featuhs
4.3,2 Comments
Admin-tive $ystem at the Centte
4.4.1 All India ~e&ration
4.4.2 Failure oft& All India Federation
Provincial Autonomy
4.5.1 Legislature &Id Executive at the Provinces
4.5.2 The Working of Provincial Autonomy
4.5.3 The Gains
The Administrative Structure
4.6.1 Organisation of Departments
4.6.2 The Public Service
4.6.3 Administratibn of Finpce
4.6.4 Administration of Ju liict
4.7 Towards the Ney Constitution
4.7.1 The Deadlock
4.7.2 f i e Process of Change
4.7.3 The Legacy of British Rule
4.8 LetUsSumUp I
4.9 Key Words '
4.10 References and E*urtherReadings

4.0 OBJECTIVES
Explain the prelude to the Government of India Act 1935;
Discuss the features of the Government of I?dia Act 1935; and
Understand the administrative structure under the Government of India
Act 193 5.
4.1 INTRODUCTION
In the previous Unit, we have covered administrative developments during the
period from the War of Independence (1857) to the Montagu-Chelmsford
Reforms (1919). The general observation was that the policy of the British
government to associate people with the system of government seemed to be
more apparent than raal and, therefore, failed. In this Unit, we will discuss
developments that led to the Government of India Act 1935 and its main
provisions affecting the structure of government and administrative
arrangements. We will also locate the reasons for the failure of the Act of 1935
and highlight the events inevitably leading to the New Constitutional exercise for
Free India. https://t.me/Upsc_Zone_Official
Administrative System
4.2 PRELUDE TO THE REFORMS under 193SAct
4.2.1 The Simon Commission (1927)

'The 1919 Act had provided for the appointment of a Commission to review the
provisions of the Act in the light of its working and to extend, modify or restrict
'the degree of responsibility of government of India. The Commission was to be
appointed in 1929 as per the provisions of the Act. it for various political
reasons, it was appointed in 1927 with Sir John Simon as its Chairman. The all-
European composition of the Commission was taken as an insult to Indian
nationalism. The Indian National Congress, therefore, decided to boycott the
Commission at every stage and in every form. The slogan 'Simon Go Back' had an
electrifying effect. There was also a revival of terrorist activity reflecting the anger
of the people due to the manner in which the national leaders like Lala Lajpat Rai
were treated by the police. The Commission, however, completed its work. The
recommendations of the report were further examined by the Joint Select
Committee of the Parliament.
1
The Simon report recommended the discontinuation of the dyarchy and leave
provincial government in the hands of ministers responsible to provincial
legislatures. some safeguards, however, were retained in the interest of minorities
in the grant of special powers to the Governor. It recommended a Federation like
structure at the Centre - a 'Council of Greater India' representing both the interests
-the British India and the princely States. Political atmosphere in India was hostile
to acceptance of the report. Otherwise, some of the recommendations of the Simon
Commission would have hastened the process of fully responsible government in
the provinces as well as at the centre.
4.2.2 The Nehru Scheme
Boycotting the Simon Commission was a negative way of response. The
challenge was to frame a proposal of constitutional reforms acceptable to all. An
All Party Conference was, therefore, called at-Delhi in February 1928 and it
came out with a report within six months (August, 1928) known as the Nehru
Report. It was named after Pandit Motilal Nehru,;the Chairman of the Committee
which was constituted to draft the recommendations. The Indian National
Congress ratified the Nehru report in its Calcutta session held in December 1928.
!
The report recommended responsible governments both at the provinces and the
Centre. The Central government had bicameral legislature. Its lower house (The
House of Representatives) was directly elected from joint non-communal
constituencies. The distribution of power was on federal basis with residual
powers retained with the Centre. It recommended settina up a defence committee
with advisory functions. It also provided Fundamental Rights in the constitutipn.
The Report suggested reorganisation of provinces (creation of Sindh, and raising
the status of North West Frontier province) so as to help Muslims have majority
in four provinces. It recommended princely states to hasten the introduction of
similar changes.
4.2.3 Response
Though Congress accepted the Nehru Report, Muslims rejected it. Under
Jinnah's Fourteen points (1929), they favoured residuary powers to the
provinces, one-third representation to Muslims in Central legislature and
ministers, concurrence of three-fourth members of a community before a Bill
affecting its interests is passed, protection of Muslim culture and due
representation in governmental services.
Congress also was not happy with the goal of dominion status as recommended
by the Nehru Report. Obviously, the Report had favoured Dominion status not as
an ultimate goal but the next immediate step in constitutional reforms. The
Simon Commission's recommendations were discussed in three Round https://t.me/Upsc_Zone_Official
Table
- - --. .- -- - - - A
Historical Context GandhiY$Civil Disobedience Movement. The second met when sympathet~c
labour party was voted out of power in Britain. he Third worked in the shadow
of the Communal Award of MacDonald (August 1932) which accorded separate
electorates on communal basis thereby perpetuating communal tensions' and
encouraging separatist tendencies. The Poona Pact (September 1932) between
Mahatma Gandhi and B.R. Ambedkar modified the provisions of the Communal
Award with respect to the depressed classes. Ambedkar agreed to joint
electorates and in (exchange got more representation. The Third Round table
finalised the sub-committee recommendations. The three conferences
collectively shaped the most important constitutional reforms in the Indian
history - the Government of India Act 1935.
I
4.3 THE GOVERNMENT OF INDIA ACT 1935

'4.3.1 Main Feijtures
The White Paper and the Joint Select Committee report shaping the Government of
India Act 1935 dropped and altered many suggestions of the Simon Commission
and the recommendations of the Round Table conferences. This confirms that
'British nation has no intention whatsoever of relinquishing effective control of
Indian life and progress' (Winston Churchill). The Act retained the supremacy of
the British Parliament and also the Preamble of the Act of 1919. It meant 'gradual
realisation of self governing institutions' as the goal and there was no mention of
Dominion status and the inclusion of provisions to attain it. All rights of amending,
altering or repealing the provisions were kept with the British Parliament. The Act
removed dyarchy of the provincial level but introduced it at the Central level. It
also introduced safeguards operated in the interest of the British. For the first time,
the wide range of subjects were classified in the three list system and assigned to
appropriate level of government. This was a novel experiment.
4.3.2 Comments
Looking at the providions of the Government of India Act 1935 it appears that the
Joint Select Committee moved away from some of the recommendations of the
Round Table Conferences and the White Paper, for example, introduction of
indirect system of election for the Federal Council or the restrictions on the powers
of the Federal court to preserve the supremacy of the Privy Council. The nature of
safeguards, residuary powers with the Governor General, composition of the
Federal legislature make it clear that the Act provided a Federal form, but lacked
Federal spirit.
4.4 ADMINISTRATIVESYSTEM AT THE CENTRE
4.4.1 All India Federation
The Act proposed a federation bf British provinces and Princely States in India.
The Princely States had an option to join the Federation and the nature of
relationship would differ from state to state according to the Instrumeht of
.Accession. But the Instrument of Accession once extended would be irrevocable.
The Act provided a bicameral legislature - the Lower House elected directly and
the Upper House with a composite representation to princely states and affluent
classes. The Act also gave more powers to the Upper House (The Council of
States) -that of voting grants and making ministers responsible to the Council too.
The subjects allotted to the Federal Provincial governments were detailed in the
Three list system. Muslim representatives wanted the United States of America
model with strong provincial governments. The Liberals favoured the Canadian
model with strong Centre by keeping with it the residuary powers. At the Round
Tables, Lord Sankey, the Chairman of the Federal Structure Committee, therefore,
suggested the model of three list system detailing powers of both the centre' and
the provincial governmhnts and doing it exhaustively so as to leave very little
Dowers in the residuarv area. The subiects of common interest for the whole
country and which demanded a uniform treatqent were covered by the Federal list. Administrative System
under 1935 Act
These included 59 items. Subjects primarily of provincial interests and where no
uniform treatment was necessary were put in the provincial list. This contained 54
items. A third list covered subjects primarily of provincial interests where uniform
action was or would be desirable. These numbered 36. Residuary powers to
accommodate future needs were vested in the hands of the Governor-General. The
Act provided a Federal Court to interprd the provisions and to decide over inter-
province disputes. The principle of Dyarchy, that is, dividing governmental
administration into reserved and transferred subjects and treating them
differentially, was introduced at the Centre. The Act thus proposed a Federal form
of government for India and for the first time tried to bring British provinces and
Indian States under one common constitution. It carried the essential features of
Federation - a written constitution, division of subjects between federal and
provincial governments and thirdly, a Federal Court to interpret the provisions of
the Constitution. The Act not only pointed out the direction of our constitutional
development but also greatly influenced our constitution making in independent
India.
4.4.2 Failure of the All India Federation
The proposed All India Federation did not materialise. It was conceptually
inadequate and structurally defective. It could convince nobody - the Indian
National Congress, the Muslim League, the Hindu Mahasabha or the Princely
States. Muslims opposed the majority rule. Princes opposed the forces of
democracy and Congress opposed Federation by courtesy. It thus remained 'a lost
ideal '.
Federation is a political mechanism. The members entering into a union should be
independent, legally equal and should voluntarily form the union. Here the
Princely States had an option to join the Federation and also to decide their
relations with the Federal government through the provisions of the Instrument of
Accession. Also undue weightage was given to the Princely States. They could
send their nominees (and not elect representatives like British provinces) and the
representation was proportionately larger than their geographic or demographic
strength. With roughly one-fourth of the population of British India, the princely
states had 104 seats out of 260 in the Council of State and 125 out of 375 in the
House of Assembly. This created a reactionary block in the legislature as the
Princely States were lagging behind the provinces in the introduction and practice
of democratic reforms.
In a federation, Constitution is supreme. But in the Act, supremacy of the British
Parliament was retained. The Secretary of State for India and the Governor-
General were the ultimate authority and they were above the Act. The Act gave
area of discretion, area of individual judgement and special responsibility to the
Governor-General. This made the Governor-General not responsible to the
legislature. As the dyarchy was introduced at the Centre, his control over reserved
subjects was absolute and over transferred subjects very effective. All the
Governors and ICS officers acted under .his instructions. Federal constitution on
the other hand tries for a balance in power in its different organs and levels.
Provincial autonomy was also restricted in practice in the context of safeguards
provided in the Act. Such provincial governments with an unrepresentative and
powerless Central legislature made negation of the spirit of Federalism. Though
the distribution of power through the Three-list system could be condoned as being
the first attempt and could have been improved upon, keeping residuary powers
with the Governor General was harmful.
The Act could have developed some healthy conventions and certain powers given
to executive been accepted as natural if the executive would have been responsible
to the legislature and the legislature supreme, in its field. Both these aspects were
missing. Atlee called, therefore, the keynote of act as 'mistrust and distrust'. The
Historical Context line of thinking now changed and Congress felt that the struggle for self-
government could not further be carried within a constitutional fiame but need to
be carried on a mass base. This indicated the full decline of the liberals and the
endorsement of Mahatma Gandhi's mass agitational movements. The logic of Quit
India thus becomes clear.
1) What are the recommendations of Simon Commission?
2) What are the features of Nehru Scheme?
3) What are the features of Government of India Act, 1935?
4.5 PROVINCIL AUTONOMY

\
4.5.1 Legislature and Executive at the Provinces
\
The 1935 Act discontinued the application of dyarchy introduced at the provincial
6
level under the ct of 1919 as the experiment failed miserably. The distinction
between transf rred and reserved subjects was removed and the whole
administration was entrusted with the ministers responsible to the legislature. The
provinces were given a separate legal status, specified subjects to operate
according to the three-list system and provided a federal relationship with the
Centre. But the All India Federation did not materialise and the powers given to the
provinces became delegated authority under the devolution rules of the 1919 Act.
Significantly, the Joint Parliamentary Committee report stated that each province'
will possess executive mechanism and legislature. It meant duality of power in
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under 1935 Act
The Governor-General was the final authority in case of conflict between the
Centre and provinces over the concurrent list. Many Bills in the provincial
legislature needed prior approval of the Governor-General. The executive authority
of the provincial government was restricted. The Governor-General could give
direction, issue instructions to the Governor regarding the manner in which
executive authority could be exercised in certain matters. Also in all matters where
the Governor acted in his discretion or in his individual judgement, he was bound
by the instructions of the Governor-General. On the face of it, many of these
provisions would be formal and natural in the context of the formation of a federal
state from the otherwise unitary administration. Restrictions of similar nature have
found place in our present constitution too. Centre-State relations are more political
than administrative. As it would have it, the 1935 Act put these powers in the
executives who were politically not responsible to the elected legislature.
Governor's power of acting in his discretion and in individual judgement to
discharge his special responsibilities was very comprehensive. He had special1
powers with regard to Police Department and Services besides the power of
making ordinances. Further the powers under 'Governor's Act' were more drastic
than the power of certification given to him under the 1919 Act. Here he could
bypass the legislature. The legislatures were broad based and elections direct. But
the principle of communal representation was extended to promote, new classes.
Yoting qualifications were minimum level of literacy and other Monetary-
qualifications like payment of income tax, etc. The voters thus constituted hardly
27 per cent of the adult population of British India. It was an advance\ over the
1919 Act, but it was too short of adult franchise which would make democracy
broad based. The legislative and financial powers too were restricted because of
the ordinary and extraordinary powers of the Governor.
4.5.2 The Working of Provincial Autonomy
In the elections, Congress obtained clear majority in six provinces. In three
provinces, Bengal, Assam and North-West Frontier provinces, it was the single
largest party. Only in the Punjab and Sindh, it could not come close to power.
Congress victory in North-West Frontier provinces was more significant giving it
the real national representative character. After receiving assurance from the
Governor-General that Governor will not interfere in the day-to-day
administration and that he would reach his decisions with full understanding of
the ministers' arguments, Congress assumed power. The ministries were
entrusted with large developmental activities and engaged in introducing social
change. These covered primary education, prohibition, tenancy laws, agricultural
indebtedness, rural development, industrial wage disputes, cottage industries and
improvement of weaker sections of the society. But political issues created
problems and made clear the reality of Governor's overriding authority, for
example, release of political detenues in U.P. and resignation of the Congress
ministries in October 1939 on the issue of unilateral declaration by the British .
Government of India's joining the World War I1 on the side of the Allies.
4.5.3 The Gains
Whatever the powers, the record of provincial ministers was satisfactory. It gave
administrative expertise and Indian people proved worthy of it. It also proved that
the Indian National Congress while agitational in political programmes was
equally a constructive force in Indian politics. The Act gave first taste and practice
of parliamentary self-government and established good parliamentary conventions.
The working of provincial autonomy thus furthered the cause of nationalism.
*
Note:
i) Use the space given below for your answers.
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your answers with those given at the end of the unit. https://t.me/Upsc_Zone_Official
Historjcal Context , 1 What are the reasons for the failure of All India Federation proposed in the
Act of 1935?
2) Elaborate the gains of provincial autonomy.
4.6 THE ADMliNISTRATIVE STRUCTURE

4.6.1 Organisation of Departments
h the reorganisation of departments, natural grouping of subjects and
administrative branches was the main consideration. The workload of the
department also was a factor in reorganisation. The whole administration was
organised into eleveh departments. Council of Agricultural Research was
established in 1929. In 1937, the Foreign and Political Department was divided
into two departments. Similarly, Department of Industries and Labour was
bifurcated into two saparate departments. In 1942, there was reorganisation in
Food Department and 'also three separate Departments of Education, Health and
Agriculture were established. However, departmental reshuffling was not always
rational but influenced by economy considerations and the exigencies of war. In
1947, there were hineteen departments, Home, External Affairs and
Commonwealth relatipns, Finance, Transport, Railways, Education, Health,
Agriculture, Food, Industries and Supplies, Political (States), Legislative Works,
Mining and Power, Labur and Information, and Broadcasting.
Procedural changes aimed at reducing delay in administrative process. The
Secretariat Procedure Committee, 1919 advocated delegation of power (Financial
delegation), simultaneous circulation of papers to concerned levels and intormal
communication between the Member, Secretary and Deputy Secretaries in a
Department. The Maxell Committee (1937) looked into the Minister-Secretary
relationship in the context of administrative continuity. Gorawala Committee
(1951) looked into ihe question of administrative integrity while Appleby
Committee (1953) focused on training needs of officials especially the middle level
officials and the need to establish Organisation and Method Department for
continuous appraisal of administration structures and processes.
4.6.2 The Public Sewice
The 1935 Act classified services as superior and other services. The Indian Civil
Service, Indian Police and Indian Medical (Civil) Services were classified as
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superior services and controlled by the Secretary
of State. These continued to enjoy
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~ aoainct a mpmhpr nf the ciin~rinr
service could be passed without concurrence of the Governor. They had right to Administrative System
under 1935 Act
appeal to the Secretary of State against an adverse order.) The 1919 Act had
recommended for the establishment of the Federal Public Service Commission and
through it, Indianisation of Services was realised. The profile of service that
developed was that of a generalist associated with the formulation of policies and
their implementation. As a whole Public Service retained an All India character.
4.6.3 Administration of Finance
The financial arrangements under the Government of India Act 1935 were based
on the recommendations of the Niemeyer Committee. Revenue sources followed
the list system. As such receipts from provincial subjects formed the main income
source for provinces. Provinces were given some additional sources of revenue
too; for example, share in succession duty other than landed property, share in
income tax, grant in aid, etc. The provinces were also given power to raise loans on
the security of their resources. The Centre to secure financial stability for itself
could for a period retain such sums as might be prescribed in the form of a fixed
percentage of income tax assigned to the provinces. The Auditor General of India
occupied a key position in financial administration. He controlled the accounts
both of the Centre as well as the provinces. The Reserve Bank of India was
established in April 1935. Financial control over expenditure ww exercised
through the Public Accounts Committee of the legislature. The centralised
machinery of finance has been a feature of the Indian system since the Charter Act
of 1833. The position of the office of the Comptroller and Auditor General in
India, a statutory office in our present*constitution, derives strength from this
historic fact.
4.6.4 Administration of Justice
The Government of India Act 1935 established the Federal Court to interpret the
provisions of the Act and also to deal with inter province conflicts. It is a
prerequis'ite of a federal form of government. The Privy Couneil still continued as
the highest court of appeal for India (it indicates uneasy compromise). The Federal
court made substantial contribution to the constitutional development of India.
Much credit for this goes to Sir Maurice Gwyer, as the first Chief Justice in the
formative period of its working. It established the cardinal principle of
'tldependence of Judiciary in the critical period of its functioning. The immediate
aim was to protect the autonomy of provinces and to emphasise order in the
;~oliticallyactivated atmosphere.
Local government being a 'transferred, subject' received attention since the
introduction of dyarchy under the Act of 1919. All provisions enacted in this field
made local governments more representative and popularly controlled. The
legislation also provided for representation for backward and depressed classes and
for labour class. But as local bodies were drawn in the nationwide political surge
through civil disobedience movement, they lost the priority of attention. The
traditional panchayat system had long been defunct. ~ n d t h new
e local government
could not take firm roots. The fact is that local government rural or urban grew as
administrative necessity of managing local funds. Ripon's objective of political
education was lost in executive directions that followed the Resolution. Older
village panchayat system was based on a corporate spirit and the British tenancy
legislation affected this base. The British administration of Justice was also
centralised. The defunct panchayats, therefore, became a sink of lacalism and a den
of narrow mindedness (Ambedkar). The Decentralisation Commission also looked
at the problem from administrative angle. It was only with the experiment of
Community Development Movement and its subsequent development in
Panchayati Raj that rural government structure became meaningfully involved in
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. Historical Context
4.7 TOWARDS THE NEW CONSTITUTION
The Government of India Act 1935 was introduced in provinces. It was expected
that the All India Federation would follow and provinces would get status of
Federal units. But the All India Federation did not materialise, the Governor-
General-in-Council exercised the executive authority on behalf of His Majesty.
Even though the Federation did not come into existence, Federal Court, Federal
Public Service Commission and Federal Railway Authority started functioning.
Unilateral decision on the part of the British Government of India's participation in
the Second World War on behalf of the Allies provoked Congress. It wanted the
British Government to declare that India would be free after the war. The
Government declared that it would undertake the review of 1935 Act immediately
after consulting with various representatives of communities and Princely States.
Participation in the Advisory Consultative Group suggested by the Governor-
General was felt inadequate as the Governor-General could accept its advice at his
will. Under these circumstances, Congress ministries under the resolution of the
Working Committee resigned from their offices in October 1939 creating a
political deadlock. Declaration of constitutional breakdown by the Governors was
no solution to this situation. Therefore, the British Government in response to the
Poona resolution of the Congress Working Committee (July 1940) renewed its
offer conceding some of the demands of Congress. But the precondition that such a
transfer needed the acceptance of minorities (in essence the Muslim league) made
the offer ineffective. ?he 1935 Act thus became a 'lost ideal7.
Political developments were now quick, like individual Satyagraha (1940),
inevitable failure of the Cripps Mission (1942), the Quit India Movement (1942),
the Cabinet Mission Plan (1946) and the Mountbatten Plan (1947) leading to
partition and ultimate independence of the country.
4.7.2 The Process of Change
Change is a continuous - discontinuous process. It is a development from earlier
systems taking something from these and at the same time rejecting the other. As
it moves through interaction with the old' institutions, it shapes them and while
doing so itself too undergoes a change. The outcome is a mix of the old and new
together. The administration of free India inevitably contains the impact and
influence of the earlier experiments carried by the British government. The
legacy of British rule is, therefore, natural and obvious.
4.7.3 The Legacy of British Rule
The Free India inherited governmental machinery, as developed by the British.
More than the machinery, it received from the British rule the feeling of
importance attached to these institutions - the feeling of Raj, the importance of
having a government, its necessity and. accepting its strength. The traditional
respect the 'Sarkar' carried was as if passed on to the new government. The
government is everywhere - One cannot escape it. There is an awareness of it, a
sense of importance and acceptance that it needs to be strong and stable. The
Federal structure of government is also an important legacy. India is a federal
state with important unitary features. The 1935 Act which influenced its structure
was unitary with strong federal features.
The British administration was district-centred. It was headed by a generalist
head with an overriding authority. The district head not merely represented
government at the district level; he was in fact governmint at the district level.
The district was subdivided into talukas consisting of villages and also grouped
upwards into firkas. This framework still continues.
The All India services, especially the Indian Administrative Service and the
Indian Police Service strengthen integration.https://t.me/Upsc_Zone_Official
It gives an All India character to
governmental personnel and provides a steel frame to the administrative Administrative System
under 1935 Act
machinery. The structure of these services, their built and shape, their manner of
functioning, inter-service and intra service relations and the ethos has influenced
not only governmental functioning but governmental thinking too not only of the
government but also of people at large.
Constitutional experiments were enlarging and strengthening legislatures. Along
side legislative institutions, legislative culture also was spreading even though
the national environment was becoming uncongenial. The Indian National
Congress under the leadership of Mahatma Gandhi was becoming agitational,
anti-governmental and extra parliamentary. The essence of legislative culture is
discussion and dialogue between different interests, answerability of the
executive and acceptance of responsibility in case of failure of its actions. This
was accepted and necessary skills were developed as people took part in the
working of councils.
The legacy of judiciary, respect for the judicial structure, acceptance of its
independence, and regard for its values has also taken firm root in the soil. The
boycott of courts was not as strong as the boycott of legislature. Many of the
leaders in the early freedom struggle were from law profession who respected
this tradition. The debates in the constituent assembly regarding judicial system
also reflect this aspect. Considering various reforms leading to independence it
looks that the thread of British legacy runs through and reflects a degree of
continuity in the process of change in later year.
1) Explain the features of administration of Finance.
2) Bring out the significance of British legacy in India.
4.8 LET US SUM UP

The Montford Reforms gave a responsive autocracy at the Centre and a truncated
government at the provinces in the form of dyarchy..Its failure was confirmed and
the Round Table Conferences indicated the nature of the new constitutional
refirms. The 1935 Act, as it was ultimately drafted through these conferences,
proposed an
Downloaded All India
from:- Federation at the Centre and provincial autonmy
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Historical Context acceptance by a requisite number of Princely States before coming into force.
Provisions regarding provincial governments were implemented. Provincial
autonomy was a success in its operations as well as in bringing out its limitations.
The Act of 1935 as a whole, however, was important. It not only acted as an
interim constitution but also provided a basis for the constitution of Free India. The
Acts along with earlier constitutional reforms gave direction to the process of
change as well as influenced its contents. It is this aspect which provided
continuity in change.
4.9 KEY WORDS

Bicameral Legislature : Legislature with two Houses. Normally
the lower house is broad based and
representative and is politically more
important. The Upper House has special
1 significance in a federal form of
government.
Civil Disobedience Movement : One of the nationwide movements
launched by Mahatma Gandhi in 1930
expressing his techniques of Satyagraha.
It covered voluntary withdrawal of
association with British Government
including non-payment of taxes.
Independence of Judiciary : Provisions keeping judiciary away from
the executive influence. It gives them
security of tenure and freedom in the
administration of justice. This
independence is an indicator of
democracy.
Three List System : This is the detailed division of subjects
between the Central and Provincial
governments. Subjects were divided into
three types - Federal, Provincial and
Concurrent. The subjects which were of
common interest for the whole country
were covered under the Federal list.
Subjects which were primarily of
provincial interests were put in' the
provincial list. The rest of the subjects
where uniform action was or would be
desirable were put under Concurrent list.

Aggarwala, R.N., 1964, National Movement and Constitutional Development of
India; S. Chand & Co. (P) Ltd., New Delhi
Johari, J.C., 1977, Indian Government and Politics; Vishal Publications, Delhi
Maheshwari, S.R., 1984, Indian Administration; Orient Longman, New Delhi
Mishra, B.B., 1970, The Administrative History of India; Oxford University
Press, London
Robert, P.E., 1952, History of British India under the Company and the Crown;
Oxford University Press, London
Thornson, Edward and Garratt, G.R., 1958, Rise
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AII-L-L-A
Administrative System
4.11 ANSWERS TO CHECK YOUR PROGRESS under 1935 Act
EXERCISES
1 ) Your answer must include the following points:
Discontinuation of the dyarchy.
Setting up of a Federation.
Special powers given to the Governor.
Setting up of responsible governments at the Centre and provinces.
Constitution of Bicameral Legislature at the Centre.
Distribution of powers between the Centre and provinces.
Provision of Fundamental Rights in the Constitution.
Reorganisation of provinces.
Other recommendations.
Constitution of a Federal form of government.
Written Constitution.
Division of subjects between the federal and provincial governments.
Setting up of Bicameral Legislature.
Federal Court for interpretation of the provisions of the Constitution.
Retention of supremacy of the British Parliament.
Absolute powers given to the Secretary of State for India and Governor
General, who were above the Act.
Unrepresentative provincial governments and Central Legislature with
no powers.
Undue weightage given to the Princely States.
Restricted provincial autonomy.
Provided administrative expertise to Indians.
Proved the worth of Indian National Congress as a constructive force in
Indian politics.
Establishment of good parliamentary conventions.
Working of provincial autonomy furthered the cause of nationalism.
Sources of income for provinces and Centre.
Key role of the Auditor General of India.
Financial control exercised over expenditure by the Public Accounts
Committee.
Establishment of the Reserve Bank of India.
,
Inheritance of governmental machinery as developed by the British.
Awareness ofhttps://t.me/Pdf4Exams
importance of government, which is to be strong and
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Historical Context Framework of District Administration headed by a generalist.

All India Services.
Independence of judiciary, judicial structure, regard for its values.

' UNIT 5 CONTINUITY AND CHANGE IN

INDIAN ADMINISTRATION:
POST 1947
Structure
5.0 Objectives
5.1 Introduction
5.2 Continuity in Indian Administration
5.3 Departmental Organisations
5.4 The Public Services: Structure
5.5 Public Service Commissions
5.6 Development and Welfare Content of Administration
5.7 Administrative Implications of Federalism
5.8 Political Involvement and Popular Participation in Administration
5.9 Let Us Sum Up
5.10 Key Words
5.12 Answers to Check.Your Progress Exercises
I
5.0 OBJECTIVES
/
, 0 Understand the continuity and change in Indian Administration after
Independence;
Explain the structure of public services on the comparative backdrop of the
British administration in India; and
Highlight the main directions of Indian administration in post-1947 India.
5.1 INTRODUCTION
This .Unit analyses the salient features of Indian administration after
indepeodence on the comparative backdrop of the conditions obtained
under the British rule. The organisation of the various departments and
ministries indndependent India is dealt with reference to the departments
that existed before Independence.
The growth of the public services in tho aspects bf structure and Public Service
Commissions is delineated thereafter.
The main directions of the welfare content of the Indian administration and of the
economic developtnent that has taken pIace are indicated in the next section. This
is done in the follow-up of the Constitutional directives.
The main features of the federalism in regard to the administration are depicted
later and finally, the phenomena oE political involvement and popular
participation are examined. .
5.2 CONTINUITY IN INDIAN ADMINISTRATION

- -- -
- - -
There has been continuity in the Indian Administration after 1947 from the pattern
that existed before independence. At the same'time the political background and
the psychological atmosphere and the objectives of administration have changed
completely after independence.
The most important reason for this continuity was the sudden and peaceful
transfer of power from the British rulers to the Indian people. Another reason
Historical Context was that millions af'fefugees migrated between the two post-partition countries,
India and Pakistan, partly due to communal violence and partly due to the willing
option of sections of population to settle in the other country. Most of the cadres
in Administration got depleted as most of the Muslims and European Civil
Servants resigned md left the country. So there were neither the resources nor
the people to set up new administrative machinery. A stable and well-founded
administrative organisation comprising departments and civil services was the
critical need of the hour. So, the then existing administrative framework
continued after independence.
However, free India adopted its own Constitution within three years after
Independence. The objectives and nature of this Constitution are altogether
different from those of the constitutional Acts prevailing under the British rule.
Free India's has been a democratic constitution - free periodic elections to the
national Parliament and the State legislatures, adoption of laws, amendments of
the Constitution, control over the executive and expression of popular opinion.
The liberties of the individuals, of the political parties, minorities and other
organisations are guaranteed by the Constitution. An independent judiciary
protects these rights and freedom. The Constitution contains the ideal of welfare,
socialist State. A federal political 'system based on the Union (Central)
Government and State Governments is set up by the Constitution. Local
Governments, urban and rural, looking after the civic and also developmental
fbnctions, are provided for by the Constitution. Public Service Commissions at
the Union and the State levels ensuring the selection of meritorious public
services are established by the Constitution.
These and other provisions of the Constitution have increased the responsibilities
of Public Adminisfration in the country. Moreover, the public services are
accountable to the Parliament and State legislatures. They also have to be
sensitive to the aspirations and grievances of the people who elect the
government in the country.
The Constitution has establidhed parliamentary democracy in the country. Before
independence tht country had legislature at the Centre and in the Provinces.
These did not possess full powers and authority as under the present
Constitution. During the periods of partial legislative control, 1920-35, 1937-39
and 1946-47, the public services were to an extent accountable to the popularly
elected representatives and the ministers responsible to them. This was another
feature of administrative continuity after independence.
5.3 DEPARTMENTAL ORGANISATIONS

The pre-independence era saw the administrative organisations of the Central and
the State (then called 'Provincial') governments intact. This was a factor
contributing to the undisturbed transfer of power from the British to the Indian
hands. The administration of the country's security, law and order, finances,
communication system, educational organisation and other elements of the
infrastructure after 1947 continued as before.
At independence on 15 August 1947, the following eighteen departments
(redesignated as 'Ministries') fbnctioned under the Government of India: (1)
External Affairs and Commonwealth Relations, (2) Defence, (3) Finance, (4)
Home, (5) States, (6) Legislative (Law), (7) Commerce, (8) Industries and
Supplies, (9) Railways, (10) Transport, (1 1) Communications, (12) Labour, (1 3)
Agriculture, (14) Food, (15) Education, (16) Health, (17) Information and
Broadcasting, (1 8) Works, Mines and Power.
From five departments in 1858, at the transfer of the government in India from the
charge of the East India Company to the control of the British Parliament (actually
handled by British Government), to eighteen in 1947 indicated an enormous Continuity and Change in
Indian Administration:
increase in the administrative activity. These nine decades of the British rule Post 1947
witnessed the beginning of the elementary social services like primary education,
health and medicine, agricultural research, fiscal incentives for industries, etc.
Legislative activity had commenced. The two World Wars introduced price and
physical controls over the essential supplies including food, cloth, petrol and
kerosene, etc., besides growth in armed services, war industries and supplies. In
1921, the number of departments stood at nine, which were increased to twelve in
1937, After 1919 the main administrative activities in agriculture, education,
health, and labour were conducted by the provincial governments, due .to
decentralisation under the 1919 and 1935 Government of India Acts.
The following are the typical present-day secretariat departments in the State
governments: (1) General Administration, (2) Home, (3) Revenue and Forests, @)
Agriculture, Food and Cooperation, (5) Education and Social Welfare, (6) Urban
Development and Public Health, (7) Finance, (8) Buildihgs and Communication,
(9) Irrigation and Power, (10) Law and Judiciary, (1 1) Industries and Labour, (12)
Rural Development.
'
Though the volume and variety of the administrative activities in the State have
increased after independence, the number of Secretariat departments has not grown .
much. The administration in the States has changed in nature and size in rural
development, in education, agriculture, health and medicine and related matters.
The administrative work both at the Centre and State levels has, after
Independence, become more complex and challenging. New forms of organisation
of these administrative activities have come up which did not exist before
independence. The types of knowledge and skills required among the
administrative personnel have also become more complex. The new economic
social welfare, scientific and technical activities assumed by the state in India
account for their variety and complexity. The growing international and defence
responsibilities of the Indian state have also partly contributed to the strengthening
and speeding up of this process. The low levels of literacy and awareness of
numerous people have also added to the responsibilities and tasks of the
administration.
Usually, the ministries at the central level will be having one or more departments,
depending on the need for specialisation. For instance, the Ministry of Personi.:l,
Public Grievances and Pension, as the name suggests, has three departments. The
number of Ministries and their constituent departments go on increasing on both '
political and administrative grounds. Need to accommodate many ministries leads
to proliferation of Ministries and Departments. Also, specialization asks for
creation of new ministries and departments. Science and technology, Atomic
Energy, Non-Conventional Energy are such instances of new needs. In short
terms, the Ministry of Social Justice and Empowerment exemplifies the need for
new administrative set up to deal with social justice and empowerment. The new
economic activities undertaken by the Union Government are reflected in the
departments of coal, power and non-conventional energy sources in the Ministry of
Energy, departments of chemicals and petrochemicals, industrial development and
public enterprises in the Ministry of Industry, departments of planning and
statistics in the Ministry of Planning, and Ministries of Petroleum and Natural Gas,
Programme Implementation and Steel and Mines. Nationalised banks are looked
after by the Finance Ministry. Concerns for the development of Science and
Technology are imbibed by the Ministries of Science and Technology and
Department of Atomic Energy, Electronics and Space. The electronic media and
the computers have brought about a change in methods of information, storage and
retrieval, and communication. The forum of Parliament and State legislatures have
brought in the Ministry of Parliamentary Affairs and increased the work of the
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Historical Context in administration has led to the creation of the new Ministry of Personnel, Public
s Pensiw. The new Departments of Family Welfare, Youth Affairs'
~ i e v a n c e and
and Sports and Womell and Child Development mark the compulsions of a social
awakening among the families, youth and women and the awareness of social
responsibilities towards them, after independence. The Planning Commission,
though not a department in the strict sense of the term, belongs to that species.
The innovated forms of public corporations, government companies and joint
companies have appeared on the post-independence administrative scene, giving
rise to the demand for new categories of administrators. Attached ofices like the
Ndisnal Academy of Administration at Mussoorie and subordinate ofices like the
N a i g d Fire Strvice Colkge at Nagpur are new off-shoots of administration.
Scientific laboratories and research stations have broadened the scope of
nQminis&&h.Numerous advisory bodies like the Central Board of Education and
the C~ntralLabour Advisory Board evoke the participation of concerned interest
groups in the policy-making in those areas.
In terms of internal organisation and relationships within the departments and
outsih, the working of the Departments has not changed much after indtpendence.
Hierarchy and i m p o m e of the written word and communication have continued.
Red-tapism and &lay still haunt the administration. Prelindependence manuals
prepared during the colonial rule still &ern in most of the older departments with
modification here and there.
The Chief Secretary of provincial administration before 1947 continues today; but
at the Centre, the Cabinet Secretary, de faeto head of administration, is an
innovation.
Another recent development is the growth of independent regulatory agencies like
TRAI in telecommunication, SEBI in shares and stock exchanges, etc. These
agencies have been set up to lend a ckgrge of independence, away from normal
executive departments, to quasi-judicial arbitration, rate-fixation and conflict
resolution functions of the government.
Check Your Progress1 1
1) Which elements at the time of Independence accounted for the continuity in
Indian A$ministration?
2) How has the Indkn Constitution brought about a change in the nature and
activities of the M i a n Administration? a

What are the new departmental activities undertaken by the Central Cqntinuity and Change in
3) Indian Administration:
Government? Post 1947
5.4 THE PUBLIC SERVICES: STRUCTURE

The post-independence administration in India was fairly stable due to the
continued tenures of the public services which were in office before independence.
The Indian Civil Service and the Indian Police Service were the two All India
Services that helped the country to hold together. The other All India Services
included the medical, engineering, forest, educational and others.
The Indian Civil Services was the most pivotal and prized of these services. Its
members occupied positions in the executive councils of the Governor General of
India and the provincial Governors. Most of the posts of Secretaries to the
departments in the Central and provincial governments and of heads of executive
departments were held by them. ICS men were district collectors- and
magistratesldeputy commissioners. Before independence, the officers of the ICS
and other All India Services were appointed by the Secretary of State for India.
After independence, under the India Independence Act, 1947, the ICS and other
officers in All India Services, who continued in ofice, became officers in the
service of the Government of India. At independence about two hundred and fifty
European ICS officers retired, while about fifty of them opted to be in office here.
Vallabhbhai Patel, India's Home Minister realised the dire need of the Indian
members of the ICS continuing in service here after 1947. He assured to honour
the existing terms and security of their tenure. They did contribute to the stability
and continuity of the Indian administration.
, After independence the Indian Civil Services was repIaced by the Indian
Administrative services. A larger number of the officers in the IAS and the Indian
Police Service (that replaced the Imperial Police Service) were required to replace
-the former services. They had to man the posts in the recently merged princely
states. Much more than that, the character of these All India Services had changed
-
after independence. India became a democracy after independence. The services
had now to serve the people of the country, and not the imperial masters. The ICS
men were not only officials; they were a part of the colonial government. The
officials of independent India - no more rulers - had to imbibe the democratic
temper of its polity. This marked a change from the pre-1947 scene.
The All India Services Act, 1951 of the ~ndianParliament provided for the
formation of two services, the Indian Administrative Service and the Indian Police
Service. This was an outcome of the deliberations in the Constituent Assembly of
India. The Constitution contains a separate Part XIV titled 'Services under the
Union and the States': Article 312 of the Constitution relates to the All India
Services.
A new All India Services, the Indian Forest Service, was constituted in July 1966,
though an amendment to the All India Services Act, 1951 effected in 1963
provided for the formation of three new All India Services, viz., the Indian
Services of Engineers,
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HistwkaI Context 'ihs pr~0~#1 belo~$ng to the Central Services work in the vuious dcputments
of* Central Govenumnt. They are o r p i s e d into foru p u p s , A, 8, C and D, on
thc b i s of the pay scaks of the posts in them. The followin8 are of the
Central Services: Centrail Engiweting Services, Central H e r b S-crvkc, Central
ktetariat Service, Indian Audit and Accounts Ssrvice,Indian Dcfoncc kccounts
Service, Indian Forcip Sewice, Mien Postal Service, Mian R e d Service,
Central Leg4 Service, Cantral InfannatiQn Service, Indian !Whhl Semjce,
Indian Economic Service. B c f i 1947, spcialisr oficials w d in various
h n c t i m l departments of the Central Govemanent, brtt a i k ,
diffmnt services (cadres) were formed. Statistical Scrvioe, lkommk Servioe,
Information Service and Foreign Service wtze some of the m v rdsoe Gymad to
cater to the meqpnt ntods of tkc C o d Gowmmt. Th Wm Foreign
!kvice attracts intelligaat young p d w b s a h g with tho ~ n d i n~dministrrtive
Service; the entrants @ it reach the highest position of Am to h i p
countries. After Indtpendanee, as the firnctions undertaken by the St&
governments have diversified s e v d specialist services in Class I and 11 were
formed. Some of t b s e m: Forest Service, Agricultural Service, Animal
Husbandry, Prohibitio~and Excise, Judicial, Police, Jail, Medical, Public Health,
Educational, Engineering, Accounts, Sales Taxmd Industries Service. A few of
these services did exist before 1947, but now the strength of these has gone up.
Besides, Class I11 and lV Services are on roll.
The new public sen+ces share, to a long extent, the attrhutes af political
impartiality, selection on merit and integrity like in the ICS and edrcr services
before in&pendmw. ,The public services in fie? India are com~lictadto the
objectives of the Consdtution.
The local bodies and cdoperative's have their own personnel.
5.5 PUBLIC SERVICE COMMISSIONS

I
To ensure impartial qelection of meritorious civil servants, a Public Service

Commission in India 1 was established in 1926 with the Chairman cmd four
members. This (Central) Public Service Commission was vested widt two
functions in the main, necruitment to All India and Central Services, and scmaing
of disciplinary cases. It was also to advice in the matters of stpnQrBs of
qualification and methods of examination for the civil services, so f a as
recruitment in India was concerned. The Commission was redgsignstbtd as the
Fadcmi Public Service omm mission h the 1935 Act.
Under the 1935 Act, provincial goverarnents were to fbh Public Sarvice
Commissims independently or in groups or in single commissioh for all of h m .
By agreement of the Governor and the Governor-General, the Federal Commission
mt&t act for Provinces, like Bombay, Madras set the Provincid Public Serviw
Commissions with fbnptions similar to those of the Federal Commission. The
Constituent Assembly df the country had, therefbrc, a model and p & t before
it in the Public Service Commissiorts set up barlie! at the Centre and in eemc of the
prwimm. Mowam, ttlc functions of the Coinmissions after ~~ have
increased. The responsibilities in regard to m i t m e n t of public cqAayees
h u g k wdlten test d o r irrterviews are enormous in view of the large number of
qualified offick$s the qovemmcnts at the Union and.the States requinc in Wit
employment. Promatids and tra&ers to another service are also refenad to the
c o m m b s i i for their Bdvicc. Costs in legal defence and awards m m i o n arc
dm referred for advice to them.
The Chaiian and members of these Commissions are appointed by the Prusident
in the eases of the Unian Commission and by the Governor in the case of a State
Commission (obviously~in consultation with the council of ministers). Nearly one-
A - - -
an office in the government. A short term of six years for C h a i m or members Continuity and Cbanga in
and the age limit of sixty five years for UPSC and sixty two years for State Post 1947
Commission, so also bar of hrther government appoi~tmentto them, prevents
them from being vested interests.
It may be noted that the recommendations of the commissions to the government
concerned are advisory, and not binding. But safeguard in this respect is the
obligatory presentation of the annual reports of the commissions to Parliament or
respective State legislatures for discussion by the members. The governments
concerned have to give reasons for the non-acceptance of the Commissian's
recommendations.
1) What are the characteristics distinguishing the IAS from ICS?
2) What are the Central Services? List the functions they carry out.
3) Describe the structure of the Public Service Commission sunder the

Constitution. How do tKey differ from the Public service. Commission of
pre-independence priod?
5.6 DEVELOPMENT AND WELFARE CONTENT OF

ADMINISTRATION
After Independence, the welfare and development content of the administration has
become very prominent. It might be said that this content is predominant over the
law and order and regulatory content. It does not that during the British rule the
development and welfare aspect did not exist at all. 1t was there, but it was
subordinate to the chief motivation of the foreigners to rule over this country and
its people. Railways, posts and telegraph, highways, canals, ports, banking and
insurance, capital
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Historical Context at primary, secondary and University levels began. Health and medical facilities at
an elementary level were started. Agricultural research was commenced. After the
First World War, fiscal incentives were given for industrial development through
individual initiative. But the Public Administration under the British was not
deeply involved in the development of the country and welfare of the people.
The Preamble of the Constitution seeks to secure to all citizens social and
economic justice and equality of status and of opportunity. This object is further
- elaborated in Part IV of the Constitution which deals with Directive Principles of
the state policy. The& principles give guidance to the government in making
laws and administering them. Thus, the following are the most important among
these Directive Principles. The State is to strive to minimise the inequalities in
income and fa eliminate inequalities in status, facilities and opportunities among
individuals and groups -territorial and vocational. ~ o t men
h and women have an
equal right to an adequate means of livelihood. Equal pay for equal work is
another Directive given by the Constitution. The moral and material health of
children and youth is protected. Equal justice and free legal aid are assured.
Within the limits of the economic capacity and development of the state, the right
to work, education and public assistance in old age, unemployment, etc., is
secured. Humane conditions of work and maternity relief are provided for. A
living wage and a decent standard of life would be sought to be attained.
Workers' participation in industrial management would be promoted. Free and
compulsory education for children up to the age of 14 years would be provided.
The welfare of the scheduled caste and scheduled tribes and other weaker
sections would be adv nced. However, these directives cannot be enforced
%
through resort to courts o law.
/
The pressures of the people in a democratic set up have brought the welfare state.
Planning has guided the economic development of the country since the
beginning of the first five year plan from 1" April 1951. Plans formulated by the
Planning Commission set up in March 1950, aimed at the rapid all round
economic development of the resources of the country. The progress achieved in
development is also checked from time to time and remedial measures are
adopted. Planning evokes public cooperation for its success. Plans set the targets
of development in different sectors including industry, agriculture, electricity,
minerals, transport and communication, education, health, etc. The
administration at different levels, Central, State and local, is geared to the
realisation of the goals of the plans. It also furnishes data and statistics to the
Planning Commission to enable it to frame the plans and check the progress in
their implementation. Besides the national plan, State and District Plans are also
prepared by the administration at these levels. Planned development has been the
hallmark of the activities of the administration since independence, specifically
the fifties. Blueprints of post-war reconstruction plans in specific sectors like
education (Sergeant Plan) and health (Bhore Plan) had been prepared by the
Central Government on the eve of independence but it was left to the
governments of free India to implement these.
Rapid all round industrial development posed a chal.lengekrthe administration in
free India. To attain industrial self-sufficiency, basic and heavy industries like
steel, machine-building, heavy electrical machinery, extraction and processing of
minerals were established. The execution of the Industrial Policy Resolution of
1948 and 1956 required industrial development through the growth of public
sector as the private sector did not possess the requisite capital and technical
personnel. The administration and management of the public sector industries
and business called for the recruitment and training of the managerial and
technical personnel in the public enterprises. The realisation of the targets set
before the public enterprises depended upon the efficiency, skills, innovation and
hard work of the directing, managerial and administrative personnel of the public
enterprises. Operating various physical and financial controls over the industry,
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policy towards industrialization and the public enterprises is changing. he ~otitinuityand Change in
preference, since the 1990s has been for a larger side of the private sector and Post 1947
gradual 'divestment' of government shares in public enterprises. Loss-making
enterprises are slowly being closed down or privatized.
The development administration in the rural areas has been faced with much
more difficult tasks than the administration of the public enterprises. Increasing
agricultural production, helping raise the milk yield of the milch cattle,
promoting the public health and medical standards, spreading education as well
as taking care of its quality; provision of civic amenities - all these and other
tasks in the rural areas had to be realised by breaking the walls of illiteracy and
prejudice and providing needed economic means, technical tools and inputs.
Involvement of the rural people in the transformation was sought by entrusting
some of these tasks or their aspects to their political and administrative
institutions. Fruits of development have also to reach the poor farmers and rural
labourers.
The welfare of the women, the scheduled castes and tribes and other backward
sections had also to be advanced on the part of the administration in terms of the
Directive Principles and also Fundamental Rights mentioned in the Constitution.
Not that the achievements of the administration in regard to the above tasks were
uniformly satisfactory in different regions or different functions, but the
administration of free India has been engaged in the; performance of these tasks,
in response to the new social demands after independence.
1) What are the Constitutional directives of State Policy? How far are they
useful in promoting welfare and development?
2) In which sense has the Development Administration in the rural areas been
faced with much more difficult tasks than the administration of the public
enterprises?
5.7 ADMINISTRATIVE IMPLICATIONS OF

FEDERALISM
Federalism integrates a nation by distributing governmental hnctions and powers
between the federal, that is, the Central and the constituent State governments.
H i ~ t o r i c aContext
l The Constitution of India has introduced a federal political system. ~ e f o r e1947, a
federation was to be set up under the Government of India Act, 1935. But it was
not due to the opposition of most of the princely states. But, for all practical
purposes, due to the provincial autonomy a d the (elected) ministers' rule in the
provinces under the 1935 Act, the provinces experienced the federal reality. The
princely states, with few exceptions were, however, princely autocracies, handling
all domestic subjects. Treaties existed between a few princes and the British
government, but the latter could find excuses to interfere in the former's
administration, even to change a ruler. Defence and foreign affairs were the
prerogative powers d the Suzerain British government. It could, therefore, be said
that the federal principle was absent even in the relations between the British
government and the princely States.
The Constitution has divided the country's administration into two spheres,
administration of the Union, that is, national and of the States. The Union
administration looks after the subjects in list 1 of the Seventh Schedule of the
Constitution and the States administer the subjects enumerated in list 2. List 3 is
the Concurrent list ~f subjects on which both the Union and the States are
competent to legislate and, therefore, to administer, but a Union law takes
precedence over a Stdte law on a matter in this list.
The administration of the States covers the matters which are easier to tackle from
a closer distance and those which conduce in better way to the welfare and
development of the people. Police, jails land tenure and revenue, public works
(except national, that is, inter-state hig.tways, and river valleys, etc.), local
government, etc., are examples of the fortrier. Agriculture and animal husbandry,
Health and medicine, social welfare, arL illustration of the latter. The States
administer (that is, levyi collect and use) the taxes on agricultural income, estate
and succession duties in respect of agricultural land, taxes on land and buildings,
electricity duties, vehicle and profession taxes, etc. Some of these, for example,
octroi, property tax, etc., are given over to the local bodies for levy collection and
use by the State govetnments through legislation.
The Union administers those subjects which are essential for national security and
integrity, for the maintenance and growth of a nationwide infrastructure, and for
national economic development. Defence, foreign affairs, atomic energy,
citizenship, etc., enisure national security and integrity. Railways, airways,
maritime and inter-State transport and communications, etc., maintain the national
infrastructure. Curredcy and coinage, foreign and inter-State trade and commerce,
industries of national interest, banking, insurance and national finance, facilitate
economic development of the country as a whole. The Union is vested with
expanding financial.resources. These are taxes on income other than agricultural
income, customs, exoise duties on manufactured and produced commodities (with
some exception), succession and estate duties on properties other than agricultural
land, etc.
The common subjects in the Concurrent list enable both the Union and the States
to legislate and administer matters of special and economic significance and of
legal nature imptying concern to both economic and social planning, transfer of
property and contracts relating to other than agricultural land, population control
and family planning, trade unions and industrial labour, employment and
unemployment, etc. Civil and criltlinal laws are of conccl.n to both, hence, are
vgsted in both the achpinistmtions. Education and forests and protection of wild life
snd bkda have been recently transferred fiom the State to the Concurrent list due to
growing national concern in them.
\
The depwtmmts in $rate subjects at the Union are engaged in coordinating the
work of the States, research, pilot projects, 'training and advice to the States on the
concaned subjects.
Tho remaining ('resicbay') subjects are vested in the Union.
Governors and heads of the State governments are. appointed by the President of
India. They are, for all practical purposes, https://t.me/Upsc_Zone_Official
formal heads. But in times when the
Constitutional provisions do not work, on Governor's report or otherwise, the Continuity and C k ~ d g cin '
Indian Admiitbtratkn:
Presideit's rule comes into operation. Such situations arise when the political p&y Post 1917
in power loses majority support in the State legislative assembly. In normal times
the Governor acts on the advice of the Cpuncil of Ministers led by the Chief
Minister.
The Parliament adopts several laws every year; a large number of these are
administered by the State administration as the Union does not have its own
personnel in the States. The Union Government provides financial assistance to the
States as the former possesses larger financial resources and latter fall short of
these due to their growiig development functions. The States call fci the help of
the Union forces during disturbed times. On account of planning, even in regard to
the State subjects, consultations are held between the Union and the State
administrations regarding planning and progress of the plans. On matters in the
Concurrent list such consultations are essentially held.
India's is a cooperative federation. But it has undergone stresses and strains. The
federal polity has to hiumonise national integrity with constituent States'
aptonomy, so necessary for a live democracy. Financialty, the Union is stronger
than the States, so it has to help them. The Indian federalism is no doubt titled in
favour of the Union, but this was inehtable from the point of view of national
security and development.
Note: i) Use the space given below for your answqs.
1) Which are the subjects that are within the competence of the Union
Administration?
2) Fnumerate the matters within the competence of State Administration.

0
3) Cite the matters in the Concurrent list.

Historical Context 4) Give example's of areas in which consultations between the union and the
state administtation are held.
5.8 POLITICAL INVOLVEMENT AND POPULAR

PARTICIPATION IN ADMINISTRATION
The involvement of the political parties, groups and workers in the administrative
processes of decision making and implementation is implicit in a democratic
political system. Policy-making in government bears the imprint of the
programme(s) of the political party/parties in office. The opposition political
parties also seek to influence policy-making through the debates in the
parliament and the legislatures and propaganda outside these forums. The normal
expectation is that the projection of the political parties, groups, and workers, as
also of the pressure and interest groups, should not violate the laws and the rules.
It is within their functions and activities to point out the lacunae in the framing of
the laws and the rules and the shortcomings and aberrations in their execution. It
is also expected that1the off~cialsexercise their direction in public interest and f0.r
the good of the individual citizens.
Before independence under the colonial rule, the involvement of the political
parties, groups and workers in the administrative processes was very limited.
This was because in the first place, a democratic political system did not exist in
the country. It was by and large a rule of the bureaucracy. Under the Dyarchy
laid down by the 1919 Act, the influence of the ministers who were political
heads of the transferred subj&ts only was confined to these subjects and that too,
subject to the exercise of discretionary powers and financial veto by the
Governors of the provinces. The major, that is, dominant political party in the
country, the 1n'dian National Congress, had kept aloof fiom the administration for
most of the time during 1920-47 excep brief interludes of 1937-39 and 1946-47.
1
Under the provincial autonomy laid down by the 1935 Act, therefore, the
political parties had some scope of influencing the administration. The term
'political involvement' is used here to refer to the extra-governmental influence
of the political parties, groups and workers on the administration. The Central
administration was kept away fiom the sphere of political accountability even
under the 1919 and 1935 Act. Whatever political influence was cast on it was
through the debates in the Central legislature, and that too was little. Secondly, as
the functions of the State were limited to law and order and regulation, the
people did not have many occasions for contact with the governments.
Lobbies or pressure and interest groups do operate in the
system. Before Independence, the lobby of the Indian
currency. Now, the industrialists, exporters and
are some examples of the lobbies who do
and decision-making of the Union government and administration. Similarly, at
the State administration level big farmers, builders, trade unions, motor transport
owners, traders, are some of the pressure and interest groups influencing the
decision-making. The political parties also take up their causes and seek to
change the government policies and decisions. The opposition parties organise
demonstrations, public meetings, resort to 'gheraos' and lead delegations to the
Downloaded from:- ministers and other dignitaries in the government.
At the district level and below the political projections are quite visible. The Continuity rod Change in
District Collector and his officers, the Chief Executive Officer of Zilla Parishad, Post 1947
the Block Development Officer and a host of administrative officials, are visited
by the people and their representatives with pleas to meet their demands and
solve their grievances.
Particularly, during the tours of the ministers people and their representatives
wait on them and present their demands and grievances. Due to the government,
cooperatives and banks, supply of irrigation water, availability of drinking water,
location of irrigation projects, resettlement of the persons displaced due to the
hydro-electric and irrigation projects, slums improvement and removal, octroi
abolition, and several such issues are raised in the citizens' and their
representatives' meetings with the ministers and the administrative officials.
During the sessions of the pariiament and the State legistatures also, people with
tlikir representatives lead demonstrations and delegations to s5e the ministers
with pleas to deal with their demands and grievances. There is nothing wrong in
this, provided violence does not occur and copstitutional norms are not violated.
Popular participation in administrative processes has assumed prominent
proportions after Independence. Before independence, it was confined to the mle
of the popular representatives in the local self-governing bodies. AAer
Independence, specifically from the iate fifties, panchayati raj has been the most
significant channel of the participation of the rural people in the rural
development administration. Community development was the earlier phase of
this popular participation. But it w~ dominated by the officials, so it could not
evoke adequate participation of villagers in rural development. So, panchayati raj
was introduced in late fifties by a few Stat.. governments, like Rajasthan,
Andhra, Maharashtra and Gujarat. But its progress was uneven in other States.
Lately, West Bengal, Tripura, Andhra Pradesh and Karnataka introduced
progressive measures relating to the panchayati raj. Thp 73rd constitutional
amendment has given a further boost to popular participation in rural areas.
Much still needs to be done to make it more meaningful and beneficial in terms
of increasing agricultural production and improving the standard of life of the
rural people. Cooperatives are another channel of popular participation in
development.
Municipal government is another mode of popular participation in civic
administration,. Much requires to be done to step up its efficiency and usefulness
to the urban dwellers.
Voluntary organisations can do a lot in accelerating the pace of development -
both rural and urban, through their participation in the developmcnt processes
and education of the people. Women's organisations in particular can help in the
implementation of the women's and children's welfare and deveiopment
programmes and schemes. These organisations can be a liaison between the
administrative agencies and the people.
0

1) Name a few lobbies or pressure and interest groups.that have been working
since Independence.

Historical Context 2) How do the people ventilate their demands and grievances at the district
level and below? What kinds of demands and grievances do they air?
3) -Whatare the main institutional channels of popular participation in rural and

urban areas?
4) What role can the voluntary organisations play in the developme~rocess?

-*
-- .-
5.9 LET US SUM UP

The important factors of change in Indian administration after Independence in
comparison with that before are the advent of democracy and the compulsions of
development and a .welfare state. The elements of stability are found in the
continuity of some of the departments and the smooth induction of new public
services with the characteristics of political impartiality, selection on merit,
integrity and commitment to the Constitutional objectives.
The number of (economic) development and welfare departments has grow
after Independence. Growth of scientific and technological knowledge and its
application has influenced the administration. However, the influence of
organisational features such as hierarchy, predominance of the written words, red
tapism, old time manuals, still persists.
Various new public services have been constituted in free India. The Indian ICS
incumbents continued in office, but as a service it was replaced by the IAS. The
Indian Police Service and the Indian Forest Service were the other two All-India
Services constituted after 1947. Besides, the Central Services man the
departments of the Union government. The States have also their own services
including the generalist one and those serving various functional departments
like agriculture, education, cooperation. Local bodies have their own personnel,
so also the cooperatives. Public Service Commissions
have been set up to ensure
r e m ~ i t m ~ nntf nemnnnel nn merit nnd tn a d v i r ~nn diccinlinaw caws nn
transfers and promotions. Chairman and members of these 'bodies have a fixed Continuity and Change in'
Indian Administration: '
short term and are prevented fiom having any government appointment after the Post 1947
completion of the term in the commission.
The Constitutional directives seek to promote the ideals of a just social and
economic order and of a welfare state. Planning sets the targets of development
to the administration in both the Union and the States. Now, besides national
planning, State and District planning has also come into being. A large public
sector to bring about rapid, all-round and self-sufficient industrial development
has posed great challenge for efficient managerial and administrative personnel
in the public enterprises. The development administration in rural areas has to
fulfil much more difficult tasks.
Before 1947, the administration was centralised, though in reality administration
at provincial level exercised a good deal of autonomy. The Constitution has
created a federal political system. The Union administration operates subjects
like defence, foreign affairs, etc., mentioned in the Union list (list 1 of 7'
schedule) while the State administration covers subjects intimately connected
with the development and welfare in List 2. The matters in the Concurrent list
can be legislated by both the Union and State Governments, but even the Central
legislation in these matters are mostly administered by'the State administration.
The Governors are appointed by the President of India. The President's rule
operates when the Constitutional provisions do not work. It is said that the Indian
federalism is titled towards the Centre but this was inevitable fiom the points of
view of national security and development.
The democratic compulsions have brought in projection of political parties,
groups and workers in the administration. 'Lobbies' or pressure and interest
groups influence the administration. At the district level and below the politkal
pressures are exerted often and more intensely as the people whose demands and
grievances are sought to be ventilated through the political elements are
numerous and pressing. Popular participation in administration, particularly of
development, occurs through the panchayati raj institutions, municipal
governments, cooperatives and voluntary organisations.
5.10 KEY WORDS

Devolution of Power : A transfer of authority fiom a central government to
regional governments.
Pressure Group : A group of people who seek to exert pressure on
legislators, public opinion, etc. in order to promote
their own ideas or welfare.
Suzerain : A state or sovereign exercising some degree of
dominion over a dependent state.
5.1 1 REFERENCES AND FURTHER READINGS

Basu, D.D. 1998, Constitutional Law of India; Prentice Hall of India Pvt. Ltd.,
New Delhi
Chanda, A. 1968, Indian Administration; George Allen and Unwin Ltd., London
Divekar, V.D., 1978, The Planning Process in India Polity; Popular Prakashan,
Mumbai
Gopal, S. 1979, 1984, Jawahar La1 Nehru: A Biography, Volumes 2 and 3;
Oxford University Press, Delhi
Jain, R.B.(ed.) October 1983, Public Services in a Democratic Context; https://t.me/Upsc_Zone_Official
Downloaded from:- https://t.me/Pdf4Exams I.I.P.A.,
KT-... n-I&:
Historical Context Muttalib, M.A., 1967, Union Public Service Commission;I.LP.A., New Delhi
Prasad, Bishwanath, 1968, The Indian Administrative Services; S.Chand and Co.,
New Delhi
5.12 *ANSWERSTO CHECK YOUR PROGRESS

EXERCI$ES
Check Your Progmh 1
1) See Section 5.2. .
2) Your answer must include the following pints:
The objectives and nature of the Constitution of India were altogether
different from those of the Constitutional Acts under the British rule.
The differences between the present democratic administration and the
earlier bureaucratic administration.
The Constitution of India contains the ideal of a Welfare Socialist State.
Administration has to work according to the objectives of the
Constitution.
3) See Section 5.3.
.I) Your answer must include the following points:
ICS was the most pivotal and prized service during the British rule.
ICS members occupied the positions in the executive councils of the
Governor-General and tfie Governors.
IAS has to setve the people and not the imperial masters.
2) See Section 5.4.
PSCs are established at the Central and State levels.
Constitution of PSC (Public Service Commission).
Appointment of members of PSC.
. Advisory role of PSC.
The non-compliance of the recommendations of the Commission has to
be explained to the parliament.
PSC in pre-Independence has a limited role.
Directive principles are contained in part IV of the Constitution.
Nature of Directive Principles; goals underlying the Directives.
2) Your answer must'include the following points:
Walls of illiteracy and bias in rural areas have to be broken.
Technical tools, economic means and inputs have to be provided to the
farmers.
Invo
lvement of the rural people.
Check Your Progresd 4
1) See Section 5.7.
*\ 0-- 0--.:--I C
3) See Section 5.7. Continuity and Change in

4) See Section 5.7. Post 1947
1 ) See Section 5.8.
People visit the district collector and other offtcers at the district level
with their grievances.
People put up their demands during the tours of the ministers.
Political parties take up the cause of people.
Role of Government cooperatives and banks.
Opposition organise demonstrations.
Kinds of demands like proper supply of irrigation water, drinking water,
slums-improvement,etc.
Role of Panchayati Raj.
Role of Cooperatives.
Municipal government as a mode of popular participation.
Functions of voluntary organisations.
4) See Section 5.8.

Constitutional Framework
UNIT 6 CONSTITUTIONAL FRAMEWORK
Structure
6.0 Objectivks
6.1 Introduction -
6.2 Basic Features
6.3 Powers of Central Government
6.4 Role of Council of Ministers
6.5 Constitutional Authorities and Commissions
6.5.1 Comptroller and Auditor General of India
6.5.2 Attorney-General of India
6.5.3 The Special Officer for Linguistic Minorities
6.6 . Constitutional Commissions
6.6.1 Finance Commission
6.6.5 Election Commission
' 6.6.6 Official Language Commission
6.6.7 Union Public Service Commission
6.6.8 National Commission for Scheduled Castes
6.6.9 National Commission for Scheduled Tribes
6.7 Let Us Sum Up
6.8 Key Words
6.0 OBJECTIVES
After studying this Unit you should be able to:
Understand the constitutional framework of India;
Throw light on the basic features of our Constitution;
Discuss the powers are distributed between the Central Government and
State Governments; and
Analyse the role of Council of Ministers, various constitutional authorities
and constitutional commissions.
6.1 INTRODUCTION
The Constitution of India is a remarkable document. It occupies an important
place not only among the newly emerged States but also in the constitutional
history of the world. The Constitution of India deals, in an elaborate manner with
the problem of relations between Union and the States, probleins relating to
public services, special classes like Anglo-Indians, scheduled castes and
scheduled tribes. The Constitution embodies an elaborate list of Fundamental
Rights and also the Directive Principles of the State Policy. The Preamble of the
Constitution declares India to be a sovereign socialist secular democratic
republic. A study of its features reveals that it is a unique document in size, form
and content. In this Unit, we shall study the important features of our
Constitution, role of council of ministers, constitutional authorities, constitutional
commissions and the powers of the central government. This will give you a
clear idea of how our constitutional set up is working at the central level.
6.2 BASIC FEATWRES

Written Constitution
Constitution can be of two types, written or unwritten. Unwritten constitutions are
those where most
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Central Administration constitution. On the other hand, the written constitutions are those where most of
the provisions of the constitution are laid down very clearly in black and white,
e.g., Constitution of the United States of America is a written constitution.
Indian Constitution is a written constitution. It is the most lengthy and detailed
constitutional document in the world. It has borrowed most of its provisions from
all the known constitutions in such a way that they suit the existing conditions and
needs of the country. The constitution makers framed the chapter on Fundamental
Rights upon the model of American constitution. Parliamentary system of
government has been adopted from the U.K. Idea of the Directive Principles of
State Policy was taken from the Constitution of Eire Republic of Ireland.
Provisions regarding emergencies were added in the light of the Constitution of
German Reich and the Government of India Act, 1935.
Our Constitution is very lengthy because it had embodied the medified results of
judicial decisions in other countries to minimise uncertainty. We have detailed
provisions in our Constitution regarding judiciary, the Public Services, the Public
Service Commission, relations between Union and the States and the like. Another
reason for our Constitution being lengthy is the vastness of the country and the
peculiar problems existing in the country.
Value Premises
Like other constitution in world the constitution of India also contains a Preamble,
which reflects the aims and aspiration of the people of India. The basic philosobhy
of our constitution is also reflects in the Preamble. It is true that it is not
enforceable in the course of law. But the Supreme Court has taken the help of the
Preamble I several decisions. The Preamble runs as follows:
"We, the people of India, having solemnly resolved to constitute India into a
Sovereign Socialist Secular Democratic Republic and to secure to all its citizens:
Justice, social, economic and political;
Liberty of thought, expression, belief, faith and worship;
Equality of status and of opportunity, and to promote among them all;
Fraternity assuring the dignity of the individual and the unity and integrity of the
Nation;
In our constituent Assembly this twenty-sixth day of November, 1949, do hereby
adopt, enact and give to ourselves this constitution."
Thus the Preamble sets out the system of government and its objectives, the ideas
and values. It is the responsibility of the administration to enforce the constitution,
and to create an environment in which the application of the ideals enshrined in the
Preamble may be possible.
Parliamentary Democracy
Another important feature of our Constitution is the establishment of a
parliamentary system of government both at the centre and in the states. In a
parliamentary system of government the executive is responsible to the
Parliament and not to the President. It creates a strong centre and vests the
constituent and residual powers of legislation in central legislature called
Parliament. The reasons behind adoption of a parliamentary democracy are two:
Firstly, our past experience is working with parliamentary system during the
British rule and secondly, the parliamentary system of government harmonises
with the demand for 'a strong centre which the Presidential system with divided
auth'ority does not. In the Parliamentary system of government, the executive and
legislature are not independent of each other, instead the executive is a part of the
legislature a n 4 therefore, unlike in a presidential system, conflicts are less likely
to arise between them.
Federalism Constitutional Framework
The political structure of the Indian Constitution is based on the twin principles of
parliamentary system of government and federalisni though the term 'Federation'
has not been used in the Constitution. A survey of our Constitution indicates that it
1
possesses all the essential features of a federal system. While in a unitary state
there is only one government, namely the~ationalgovernment, in a federal state,
there are two governments - the national or federal government and the
governments of the component states.
A federal state is a fusion of several states into a single state in regard to mattes
affecting common interests, while each state enjoys Autonomy in regard to other
matters. The states are not agents of federal government but both the federal
government and the state governments draw their authority from the Constitution.
The states do not have a right to secede from the federation.
A federal state derives its existence from the Constitution. Every power -
executive, legislative or judicial, whether it belongs to the federation or to the
component states, is subordinate to and controlled by the Constitution. Courts have
the final power to interpret the Constitution and nullify any action on the part of
the federal and state governments or their different organs which violate the
provisions of the Constitution. Another important feature of a federal state is that
there is a division of powers between the federal government and the governments
of the components states.
All these features are present in the Indian political system. The Constitution of
India can be both federal and unitary according to requirements and circumstances.
It is framed to work as a federal system during normal times. But in times of war,
insurrection or the breakdown of constitutional machinery in the states, it works
more like a unitary system. A proclamation of emergency in the country
automatically transforms a federal state into a unitary state.
Fundamental 'Rights
The constitution guarantees the fundamental rights t~ Indian citizens. They are
contained in part 111 of the constitution from articles 12 to 35. The framers of the
constitution drive inspiration from the constitution of USA in this regard. The
Parliament can repeal or curtail these rights only by amending the constitution in
accordance with the procedures mentioned in the constitution itself. The
Supreme Court is also made responsible for the protection these rights i.e. the
aggrieved person can directly go to Supreme Court for the enforcement of these
rights. Though these rights are justifiable they are not absolute and hence the
, government can impose reasonable restrictions on them. However, whether such
restrictions are reasonable or not is to be decided by the Courts.
Directive Principles of State Policy
The Directive Principles of State Policy are contained in the part of the
constitution from article 36 to 51. These principles are borrowed from the
constitution of Ireland. These principles are fundamental in the governance of
the .country and it shall be the duty of the state to apply these principles in
making laws. The Directive Principles are non-justifiable i.e. they cannot be
enforced in the court of law for their violation.
Fundamental Duties
These Fundamental Duties were added by the 42ndConstitutional Amendment of
,1976. There are 10 duties which are specified in the article 51A of part 4A of the
constitution. Like the Directive Principles these are also non-justifiable. The
constitution does not provide for their directive enforcement. Moreover, there i c
no legal sanction against their violation.
Unique Combination of Rigidity and Flexibility
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Central Administration Constitution depends upon two factors. First, it depends on the degree of difficulty
in the amending process. Secondly, it depends upon the content of the Constitution.
The Indian Constitution is partly flexible and partly rigid. It is only the
amendment of a few provisions of the Constitittion that requires ratification by
the state legislatures and even then ratification by only half of them is needed.
The rest of the Constitution may be amended by a simple majority of the Union
Parliament as is required for general legislation. Soine example where
ratification by States is not needed are: (a) changes in the names, boundaries,
area of the states and amalgamation and separation of states (Article 4), (b)
abolition or creation of the second chamber of a state legislature (Article 169),
(c) administration of scheduled areas and scheduled tribes (paragraph 7 of the srn
Schedule and para@aph 21 of the 6' Schedule). Our Constitution is fl&xible
because the Parliament can supplement the provisions of the Constitution by
legislation.
n e flexibility of the constitution can also be seen from the fact that in fi@ one
years, the Constitution has already been amended eight five times.
Independence of Judiciary
Another most important feature of ow Constitution is the independence of
judiciary and power of judicial review. India has a single integrated system of
courts for the Union as well as the States which administer both Union and State
laws, and at the head of the entire system stands the Supreme Court of India.
Below the Supreme Court are the High Courts and below the High Courts are
subordinate courts.
The judges of the Supreme Court and High courts are appointed by the
President, but in order to ensure their independence, the terms and conditions of
their service are regulated by the Constitution and they cannot also be removed
by the President at his pleasure. The judges of the Supreme Court and High
Court can be removed by the President upon an address to that effect being
passed by a special majority of each House of Parliament (viz., a majoriy of the
total membership of that House and by majority of not less that 213 of the
members of that House present and voting) on the grounds of proved
misbehaviour and incapacity. This ensures judiciary to act in a just and
independent manner and makes the provisions in the Constitution meaningful.
The Supreme Court performs three important functions.
i) It is protector Bnd guarantor of fundamental rights.
ii) It has to act as a check on executive authorities and enforce the rule of law.
iii) It maintains federal equilibrium.
Power of judicial review is yet another feature of our Constitution. Judicial review,
broadly speaking, means the powers of the courts to pronounce upon the
Constitutional validity of the acts of public authorities both executive and
legislative. The expression 'judicial review' does not figure in the Constitution but
has been derived by the judiciary through various provisions. In India, judiciary
ultimately determines what would be the limits,of Fundamental Rights. Supreme
Court has to see that all legislative measures are in accordance with the procedure
established by laws. Judiciary also has the power to interpret the Constitution and
to determine the relationship of the .different organs in the Constitution.
A unique fea,ture of our constitution is that constitutional status has been accorded
to the local government as a third stratum of government. By the 73d Constitution
Amendment Act, 1992 Panchayats in the rural areas, and by the 74' Constitution
Amendment Act, 1992 three types of Municipalities in the urban areas have been
introduced. It will be discussed in detail in Block 4.
Another important feature of the constitution is that there is a special chapter
dealing with civil services. This indicates a prominent place attached to services
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Commission for the recruitment of civil servants. They went further and made Constitutional ~ramework
certain special provisions (Article 31 1) dealing with the protection of the civil
servants. This is foreign to other constitutions.
1) The Constitution makers*~'ramedthe chapter on Fundamental Rights upon
the model of:
a) British Constitution
b) American Constitution
c) Canadian Constitution
d) French Constitution '
2) Why is the Constitution of India so lengthy?
3) What does Parliamentary Democracy mean?
- I. ' .
4) What are the essential features of a Federal System?
5) What does judicial review mean?

Central Administration
6.3 POWERS OF CENTRAL GOVERNMENT
Having discussed the special features of the Indian Constitution which have an
impact on the federal balance, we shall now turn to the division of powers between
the Centre and the States which forms the core of the doctrine of fecteralism.
The distribution of legislative powers between the Centre and the States has been
provided for in the Constitution according to three lists of subjects, these are
Union, State and concurrent. The union list gives the Centre exclusive hthority
to act in matters of national importance and includes among its ninety nine items
like defence, foreign affairs, currency, communication, banking, income taxation
and custom duties.
The State list has sixty one entries like law and order, local government, public
health, education and agriculture.
There are fifty two entries in the Concurrent list. These include the legal system,
trade and industry and economic and social planning. In respect of Concurrent
items the laws passed by Central Parliament prevail over those passed by State
legislatures.
The residual powers lie with the Union and in conflict between Union and State,
the Union law prevails.
Thus, the Constitution gives vast powers to the Central Government as compared
to the State governments. During emergency, the Parliament can make laws for
the whole or any part of the territory of India with respect to any of the matters,
enumerated in the State list. The President, if advised by the Governor, or on his
own, feels that the government of the State cannot be carried on in accordance
'with the provisions of the Constitution may proclaim a state of emergency and
assume all executive functions to himself and declare the powers of State
Assembly to be under the authority of the Parliament. Even, the Rajya Sabha by
a two third majority can ask the Parliament to make laws on the items in/State list
for a temporary period.
At the head of the Union executive stands the President of India and the States, it is
the Governor who is the executive head. Though the executive power of the Union
is vested in the president, he in practice is aided and advised by the Council of
Ministers headed by the Prime Minister. The Union legislature is called
Parliament. It consists of the President and the two Houses. The Lower HOW; is
called the House of People or 'Lok Sabha'. Entire responsibility of enactment of
laws rests with the R h e Minister who heads the Council of Ministers. The
Constitution provides that there shall be a Council of Ministers with the Prime
Minister at the head to aid andadvise the President who shall, in exercise of his
functions, act in accordance with the advice rendered after such reconsideration
(Article 74). While the Prime Minister is selected by the President, the other
Ministers are appointed by the President on the advice of the Prime Minister
(Article 75(1)).
The number of members of the Council of Ministers is now specified in the
Constitution. As per the constitution (Ninety-first Amendment) Act, 2003 the total
number of Ministers, including the Prime Minister, in the Council of Ministers
shall not exceed fifteen per cent of th; total number of members of the House of
the People (Lok Sabha). All the Ministers do not belong to the same rank. They
are classified under three ranks.
a) Cabinet Ministers Constitutional Framework

b) Ministers of State
c) Deputy Ministers
Thus, the Council of Ministers is a composite body, consisting of different
categories. The rank of the different ministers is determined by the Prime Minister. .
He also allocates portfolios among them. Ministers may be chosen from members
of either house and a minister who is a member of one house has a right to speak
and take part in the proceedings of the other House, though he has no right to vote
in the House of which he is not a member. Under the Constitution, there is no bar
to the appointment of a person from outside the legislature as minister. But he
cannot continue as minister for more than six months unless he secures a seat in
either house of Parliament. Though theoretically the function of the Council of
Ministers is to only aid and advise the President, practically the vast power
provided to the President by the Constitution is actually exercised by Council of
Ministers with the Prime Minister as their head.
Our Constitution is based on the concept of collective responsibility. The Council
of Ministers is collectively responsible to the lower house of the Parliament. The
essence of collective responsibility is that once a decision is taken by the
government, it is binding on all the ministers. Ministry as a body, is under a
constitutional obligation to resign as soon as it loses the majority in the lower
House (House of People) of the legislature.
In practice, the Council of Ministers seldom meets as a body. It is the Cabinet, an
inner body within the Council, which makes all the government policies.
6.5 CONSTITUTIONAL AUTHORITIES AND

COMMISSIONS
The Constitution provides for the creation of the following Authorities and
Commissions:
The Comptroller and Auditor General of India (Articles 148-151).
The Election Commission (Article 324).
The Union Public Service Commission (Article 3 15-323).
The Attorney-General for India (Article 76).
The Special Officer for Linguistic Minorities (Article 350 B).
The Finance Commission (Article 280-28 1).
The Official Language Commission (Article 344).
The Committee of Parliament to Examine the Report of the Language
Commission [Article 344(4)].
The State Public Service Commission (Articles 3 15-323).
The Advocate-General for the State (Article 165).
Administrative Tribunals (Article 323 A).
National Commission for Schedule Castes (Article 338).
National Commission for Scheduled Tribes (Article,338 A).
Constitutional Authorities
6.5.1 Comptroller and Auditor-General i f 1ndia

With the enactment of the Constitution in 1950, the Auditor Genera1,of India was
redesignated as Comptroller and Auditor General of India (CAG). The CAG is
appointed by the President by warrant under his hand and seal. He can be removed
from the Office in the like manner and on the like grounds as a Judge of the
Supreme Court.
The CAG is not given re-employment under the State after his retirement.
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Central Adminlstratlon subjected to vote of Parliament; these are charged upon the Consolidated Fund of
India. The Constitution does not define the terms and conditions of his service and
,his duties and powers. It is the Parliament that defines them.
The CAG performs such duties and exercise such powers in relation to the audit of
accounts of the Union and of the States and of any authority or body as may be
prescribed by or under any law made by Parliament. The report of the CAG of
India relating to the Union ts submitted to the President who causes it to be laid
before each house df ~drliament.The report relating to State is submitted to the
Governsf ~ h lays d it before the State legislature. Earlier CAG was engaged both
in maiiitenance of accounts as well as audit. Since 1976, the CAG has shed his
responsibilities in regard to the compilation and maintenance of accounts. Now he
audits all expendihkres fiom the revenues of the Central Government and State
governments in and outside India and sees whether the disbursed money shown in
the accounts was regally available and whether expenditure conforms to the
authority that governs it. So the CAG scrutinises the financial affairs of the
executive and submits his tepott to the parliament to which alone he is resporlsible, -
He audits all tnznsactiofis of the Central and State governments relating to
Contingency Pund ilnd Public account^. lie audits all trading, manufacturing profit
and loss accounts and balance sheets in any department of the Centre or the State
and in each case reparte ig~ the expediture, timsactions or accounts audited by
him. He wdltg the teceipts and expenditure of organisations substantially financed
hffl central or State revenues.
6.5.2 The ~ttorney-~eneral of India
The Attomey.Qen@rtalof fdia:is Sppointed by the President and holds Office
during the ia€tet.'s pl&istire. His emoluments and conditions of servihe are
determined by the Ptesident. His hnction is to advise the Central Government
upon legal mdhers as may be referred to him and to carry out d l l t i ~of B legal
character as assigned to him.
The Ofice of the A~8fM~-Generai is one of the offices placed on a speeial footing
by the [email protected] is the first Law Officer of the Government of India. His
ddiies are: C
i) to give advice on such legal matters and to perform such other duties of a
legal character as may, from time to time, be refeired-or assigned to him by
the President, and '
ii) to diecharge the functions conferred on him by the Constitution or any law
for the time being in force (Article 766).
Though the Attem@y=Qeneralof India is not a member of the Cabinet, he has a
kghl te speak in thd Houses of Parliament or in any Committee thereof, but he has
no fight to vote,
6.5.3 The Sptxtial Officer for Linguistic Minorities
The Specla1 Offlceif for Linguistic Minorities is appointed by the President to
inteatigate matters relating to the safeguatds provided for tinguistic minorities
under the Constitution and reports to the President upon those matters. His report is
laid before Parliament. The Constitution did not originally provide for this
functionary; this came into being when article 350 B was inserted in the
Constitution in 1956 (at the time of reorganisation of States).
,Note: i) Use the space given below for your answers.
1) How many entries are there in the State List?
2) What does collective responsibility mean? Constitutional Framework
3) What are the duties of Comptroller and Auditor-General of India?
-
4) What are the duties of Attorney-General of India?
.---------------------------------------------------------------------------------------.
-- .
6.6.1 ~ ~ f i a n Commission
ce
Articles 270, 273, 275 and 280 provide for the constitution of a Finance
Commission to recommend to the President measures relating to the distribution of
financial resources between the Union and the States. The distribution between the
union and the states of the net proceeds of taxes which are to be or may be, divided
between them, and the allocation between the States of respective shares of such
proceeds. It also determines the principles, which should govern the grants-in-aid
of the revenues of the States, out of the Consolidated Fund of India and any other
matter referred to the Commission by President in the interests of sound finance.
The Twelfth Finance Commission is expected to be constituted in the current year.
The constitution of the Finance Commission is laid down in Article 280. The
Commission is constituted by the President every five years. It consists of a
Chairman and four members to be appointed by the President. The Chairman must
be a person having experience in public affairs, and the other four members must
be appointed from amongst the following:
a) High Court judge or one qualified to be appointed as such,
b) Person having special knowledge of the finances and accounts of the
government,
c) Person having wide experience in financial matted and administration, and
Person having special knowledge of economics.
Central Administration Similarly in every state there is a State Finance Commission created by the 73d
and 741h Constitution Amendment to review the financial position of the local
government and make certain recommendations to the Governor. It has been
discussed in the Block dealing with ~ o c aGovernment.
l
6.6.2 Election Commission
For conducting free and fair elections, an impartial and independent agency for
conducting elections is needed. For this purpose, Constitution has set up the
Election Commission. The Election Commission has to supervise the entire
procedure and machinery for election.
The Election Commission consists of a Chief Election Commissioner and the
Constitution provides for other commissioners in the Commission as President
may fix from time to time. To begin with the Election Commission consisted of
the Chief Election Commissioner were appointed by the President. The Chief
Election Commissiondr is also appointed by the President. After.the ninth Lok
Sabha Elections the Election Commission again became a single-member
Commission. Election Commission has again been converted into a multi-
member body with the appointment of two Election Commissioners in 1993.
This is now a present amgement. The Chief Election Commissioner and the
Election Commissioners have equal say in the decision-making of the body. In
order to ensure the independence of the Chief Election Commissioner, two
provisions have been made:
i) the conditions of his service shall not be varied to his disadvantage after his
appointment and
ii) he cannot be removed from his office without an impeachment process.
The main function of Chief Election Commissioner is to direct, control and
conduct all electoral operations, including preparation of electoral rolls and
conduct of all elections to Parliament and State legislature as also of the election
of the President and Vice President. The Election Commission has not only
administrative but also some quasi-judicial fimctions. It has the power to settle
the election disputes.
Similarly in every state there is a State Election Commission created by the 73rd
and 74" Constitution Amendment for the conduct of all elections to the
Panchayats and Municipal bodies. The State Election Commissioner is
appointed by the Governor. It will be discussed in the Block dealing with the
Local Government.
6.6.3 Official Language Commission
The official language of the Union of India according to our Constitution is
Hindi in Devnagari script. The Constitution authorises the President at the
expiration of every teh years since the commencement of the Constitution, to
constitute a Commission which shall consist of a Chainnan and other members.
The Official Language Commission makes recommendations to the President as
/
to the:
a) Progressive use of Hindi language for the official purposes of the Union;
b) ~estriktionin the use of the English language for all or any of the official
purposes of the Union;
c) Form of numerals to be used for any one or more specified purposes of the
Union;
d) Matter (Any other) referred to the Commission by the President as regards
the official language of the Union and the language for communication
between the Union and a State or between one State and another and their
use. Thus, the Oficial Language Cominission tries to establish linguistic
harmony within the Union and between the
Downloaded from:- https://t.me/Pdf4Exams States.
6.6.4 Union Public Service Commission Constitutionai Framework
In India a limited role has been assigned to the .Union Public Service
Commission (UPSC) in personnel administration. The UPSC is a recruiting
agency to the All India services, and the Central Civil Services - Class I and
Class I1 - the responsibility for staffing lower services and posts rests with the
departments concerned. The Constitution endows the UPSC with advisory
functions. UPSC is required to submit an annual report of its functioning in
which it draws particular attention to the non-acceptance, if any, of its advice by
the government, and which is discussed in Parliament.
The UPSC is consulted by the Central Government on:
a) Matters relating to methods of recruitment to civil services and civil posts;
b) Principles to be followed in making appointments to civil services and in
making promotions and transfers from one service to another and on the
suitability of candidates for such appointments, promotions or transfers;
c) Disciplinary matters affecting a person serving under the Government of
India or the Government of State in a civil capacity, including memorials or
petitions relating to such matters;
d) Any claim by or in respect of a person who is serving or has sewed under the
Government of India or the Government of a State or under the Crown in
India or under the Government of an Indian State, in a civil capacity, that any
costs incurred by him in defending legal proceedings instituted against him
in respect of acts done or purporting to be done in the execution of his duty
should be paid out of the Consolidated Fund of India, or, as the case may be,
out of the Consolidated Fund of the State; and
e) Any claim for the award of a pension in respect of injuries sustained by a
.person while serving under the government.
The Constitution does not prescribe the number of members of the Commission. It
only says that at least half of the members must be government employees with at
least ten years governmental experience, that the members would hold Ofice until
the age of sixty five years or for a term of six years whichever comes first, and
finally that the Chairman is debarred from accepting any employment under the
government of a State while other members are eligible for appointment to only
one position, i.e., Chaipnanship of either UPSC or a State Public Service
Commission.
6.6.5 National Commission for Scheduled Castes
The 89Ih Constitution Amendment Act 2003, provided for the constitution of
National Commission for Scheduled Castes. The Commission shall consist of a
Chairperson, Vice-Chairperson and three other Members. The President
determines the condition of service, the tenure of the office of the Chairperson,
Vice-Chairperson and other Members from time to time. The President will
.appoint them by warrant and under his hand and seal. The duty of the
Commission are as follows:
1 ) The Commission shall have the power to regulate its own procedute.
2) It shall be the duty of the Commission -
a) to investigate and monitor all matters relating to the safeguards provided
for the Scheduled Castes under this Constitution or under any other law
for the time being in force or under any order of the Govemment and to
evaluate the working of such safeguards;
b) to inquire into specific complaints with respect to the deprivation of
rights and safeguards of the Scheduled Castes; https://t.me/Upsc_Zone_Official
Central Administration C) to participate and advise on the planning process of socio-economic

development of the Scheduled Castes and to evaluate the progress of
their development under the Union and any State;
d) to present to the President, annually and at such other times as the
Commission may deem fit, reports upon the working of those
safeguards;
e) to make in such reports recommendations as to the measures that should
be taken by the Union or any State for the effective implementation of
those safeguards and other measures for the protection, welfare and
socio-economic development of the Scheduled Castes; and
f ) to discharge such other functions in relation to the protection, welfare
and development and advancement of the Scheduled Castes as the .
President may, subject to the provisions of any law made by Parliament,
by the ru1.e specify.
3) The President shall cause all such reports to be laid before each House of
Parliament along with a memorandum explaining the action taken or
proposed to be taken on the recommendations relating to the Union and the
reasons for the non-acceptance, if any, of any of such recommendations.
4) Where any such report, of any part thereof, relates to any matter with which
any State Government is concerned, a copy of such report shall be forwarded
to the Governor of the State who shall cause it to be laid before the'
Legislature of the State along with a memorandum explaining the action
taken or proposed to be taken on the recommendations relating to the Statt
and the reasofis for the non-acceptance, if any, .of any of such
recommendations.
5) The Commission shall while investigathg any matter referred to in such-
clause (a) or inquiring into any complaint referred to in sub-clause (b) i f
clause (Z), have all the powers of a civil court trying a suit and in particular
in respect of the follower matters, namely:-
a) summoning and enforcing the attendance of any person from any part of
India and examining him on oath;
b) requiring the discovery and production of any document;
c) receiving evidence on affidavits;
d) requisitioning any public or copy thereof from any court or ofice;
e) issuing comrhissions for the examination of witnesses and documents;
f) any other matter which the President may, by rule, determine.
6) The Union and every State Government shall consult the Commission on all
major policy matters affecting Scheduled Castes.
6.6.6 National Commission for Scheduled Tribes
The 89Ih Constitution Amendment Act 2003, provided for the constitution of
National Commissiop for Scheduled Tribes. The Commission shall consist of a
Chairperson, Vice-Chairperson and three other Members. The President
determines the condition of service, the tenure of the office of the Chairperson,
Vice-Chairperson 'and other Members from time to time. The President will
appoint them by warrant and under his hand and seal. The duty of the
Commission are as follows:
1) The Commission shall have the power to regulate its own procedure.
2) It shall be the duty of the Commission -
- a) to investigate and monitor all matters relating to the safeguards provided
. for the Scheduled Tribes under this Constitution or under any other law
for the time being in force or under any order of the Government and to
evaluate the working of such safeguards;
b) to inquire into specific complaints'with respect to the deprivation of Constitutional Framework

rights and safeguards of the Scheduled Tribes;
c) to participate and adv~seon the planning process of socio-economic
development of the Scheduled Tribes and to evaluate the progress of
'
their development under the Union and any State;
d) to present to the President, annually and at such other times as the
Comm~ssion may deem fit, reports upon the working of those
safeguards;
e) to make in such reports recommendations as to the measures that should
be taken by the Union or any State for the effective implementation of
those safeguards and other measures for the protection, welfare and
socio-economic development of the Scheduled Tribes; and
f) to discharge such other functions in relation to the protection, welfare
and development and advancement of the Scheduled Tribes as the
President may, subject to the provisions of any law made by Parliament,
by the rule specify.
3) The President shall cause all such reports to be laid before each House of
Parliament along with a memorandum explaining the action taken or
proposed to be taken on the recommendations relating to'the Union and the
reasons for the non-acceptance, if any, of any of such recommendations.
4) Where any such report, of any part thereof, relates to any matter with which
any State Government is concerned, a copy of such report shall be forwarded
to the Governor of the State who shall cause it to be laid before the
Legislature of the State along with a memorandum explaining the action
taken or proposed to be taken on the recommendations relating to the State
and the reasons for the non-acceptance, if any, of any of such
recommendations.
5) The Commission shall while investigating any matter referred to in such-
clausc (a) or inquiring into any complaint referred to in sub-clause (b) of
clause (2), have all the powers of a civil court trying a suit and in particular
in respect of the follower matters, namely:-
a) summoning and enforcing the attendance of any person from any part of
India and examining him on oath;
b) requiring the discovery and production of any document;
c) receiving evidence on affidavits;
d) requisitioning any public or copy thereof from any court or office;
e) issuing commissions for the examination of witnesses and documents;
f) any other matter whioh the President may, by rule, de'termine.
6) The Union and every State Government shall consult the Commission on all
major policy matters affecting Scheduled Tribes.
ii) Check your answers with those given at the end of the Unit.
1) What are the functions of a Finance Commission?

Central Administration 2) Discuss the role of Official Language Commission in India.
. .. . . -.-
3) What is the main hnction of Chief Election Commissioner?

-.... .
6.7 LET US S U M UP
Our Constitution is ,a borrowed one: its provisions have been taken from various
sources and are properly codified in written form. It is unique combination of
rigidity and flexibility and combines in it both federal and unitary features. The
legislative powers are divided between the Union and the States in accordance with
three lists: Union, State and Concurrent. Formally, the executive power is vested
with the President, but in practice it is the Council of Ministers headed by the
Prime Minister who have the real powers of policy making. There are various
constitutional authorities and commissions which see that work of the government
is camed on in a just manner and according to tKe provisions' underlying the
Constitution.
6.8 .KEYW O R D S v
Impeachment Procedure : It is one of the ways of removal of the President

of India, the judges of the Supreme Court,
Comptroller and Auditor General of Indian and
he Chief Election Commissioner. According to
this procedure, a resolution containing .the
proposal is moved after a 14-day notice in
writing signed by not*lessthan 1/4Ihof the total
number of members of either house of -
Parliament and passed by 2/3d of the total
membership of the House.
Ratification : To give formal approval or consent.
Residual Powers : The power to legislate with respect to any matter
not enumerated in any one of the three lists in
Union legislature and the final determination as
t~ whether particular matter falls under residual
power or is that of the courts.
Right to Secede : Right of formal withdrawal of membership from
*?,,. L'r?lon by the States. Indian states do not
have d r1t;ha of secessioil
Constitutional Framework
Basu, D.D., 1993, introduction to the Constitution of ~ndia;Prentice Hall of
India Pvt. Ltd., New Delhi
Kapur, A.C., 1970, Selection Constitutions;S. Chand and Co. Ltd., New Delhi
Narang, A.S., 1985, Indian Government and Politics; Gitanjali Publishing
House, New Delhi
Pyle, M.V., 1997, (6thed.), Constitutional Government in India; S . Chand & Co.
Ltd., New Delhi

EXERCISES
1) b)
Our Constitution embodies the modified results of judicial decisions in
other countries.
Detailed provisions.
Vastness of the country.
Peculiar problems of the country.
3) Your answer must include the follow~ngpoints:
Executive is a part of Legislature.
Executive is responsible to the Legislature.
Presence of two governments - at the national and state levels.
Fusion of several states.
Federal state derives existence from the Constitution.
States do not have right to secede.
Division of powers between Centre and the States.
3) see Sub-Sectlon 6.2.5.
1) c)
2) See Section 6.4.
Finance Commission sees to the distribution between the Union and the
States of the net proceeds of taxes.
Principles which determine grants-in-aid.
Official Language Commission makes recommendations on the
progressive use of Hindi language.
Restriction in the use of English language for official purpose.
The forum of numerals to be used.
1) CPP C i t h - C ~ r t i n nh h 7
UNIT 7 CENTRAL SECRETARIAT:

ORGANISATION AND FUNCTIONS
Structure
7.0 Objectives
7.1 Introduction
7.2 Evolution of Central Secretariat
7.2.1 Mean~ng
7.2 2 Role
7.3 Functions of Central Secretariat
7.4 Structure of Secretariat
7.4.1 DepartmentlMln~stt-y
7.5 Functions of Different Grades of Officers of the Secretariat
7.6 Tenure System
7.7 Executive Agencies
7.7.1 Meaning
7.7.2 Classification
7.7.3 Relat~onBetween Executive Agencies and the Secretariat
7.8 Subordinate Offices
7.9 Let Us Sum Up
7.10 Key Words
7.0 OBJECTIVES
-

Explain the meaning, role and functions of the Central Secretariat;
Describe the structure and functions of different grades of officers of the
SCcretariat;
Explain the significance of the tenure system;
Explain the meaning and classification of Executive Agencies; and
Describe the relation between Executive Agencies and the Secretariat.
7.1 INTRODUCTION
The Central Secretariat stands for the complex of departments or ministries
whose administrative heads are designated as Secretaries and whose political
heads are ministers. In this Unit, we shall briefly trace the evolution of the
Secretariat, and describe its structure and hnctions. The tenure system, and the
staffing of the Secretariat will also be discussed. Under the Secretariat there is a
network of agencies which are responsible for the execution of the government
policies. The relation between these agencies and the Secretariat will also be
explained in this Unit.
7.2 EVOLUTION OF CENTRAL SECRETARIAT '
To begin with, the Secretariat in India referred to the office of the Governor
Gei~eralin British India. However, the size of the Central Secretariat and the scope
of its activities have undergone considerable change over the last hvo hundred
years of its evolution in keeping with the changes in the aims, objectives and
nature of the central government in India.
At the end of the eighteenth century the ce~tralgovernment consisted of a
Governor General and three Councillors, and the Secretariat of four departments.
Each of them was under a Secretary, and there was a Chief Secretary heading Central Secretariat:
them all. A hundred years later, on the eve of the Montford Reforms in 1919, the Organisation and
F~rnctions
Government of India consisted of a Governor General and seven members and
there were nine secretarial departments. This number remained the same till the
outbreak of the Second World War in 1939.
Prior to 1919, the Central Government, while administering certain subjects
directly like the army, posts and telegraphs and railways, had by and large left
the task of implementation of other subjects to the local provincial governments.
A major change came in the above position with the inauguration of the reforms
of 1919 which for the first time, made a division of functions between the
Central and provincial governments. Both the Central and provincial
governments became responsible for both policy and administration. As a result,
the role of the secretariat began to change from a merely policy-formulating,
supervising and coordinating agency to that of an executive agency as well. The
inauguration of provincial autonomy in 1937 and the outbreak of the Second
World War accelerated the above process. In consequence, there was a four fold
increase of the Central Secretariat and its total strength rose to about two
hundred.
The Government of India was still struggling with the post-war problems of
demobilisation and reconstruction, when Independence came, accompanied by
the partition of the country. At its very inception, therefore, the new government
found itself faced with tremendous problems like rehabilitation of refugees from
Pakistan, external aggression in Jammu and Kashmir, integration of princely
states into the Indian Union, internal security,.shortage of essential articles, at a
time when there occurred serious shortage of personnel due to the British
Officers returning home and many Muslim officers opting for Pakistan. Soon
after, the adoption of the goal of a welfare state made unprecedented demands on
the already over burdened administrative machinery. At the same time, the
Industrial Policy Resolution of 1948 started the process of a vast expansion of
the public sector.,The inev~tableconsequence of such a vast expansion, in the
functions and responsibilities of the government was a marked increase in the
number of departments, and personnel. Thus, the number of departments in the
secretariat, which stood at four in 1858. (9 in 19 19, 10 in 1939, 18 in 1947) had
risen to 74 by 1994. Correspondingly has also multiplied.
7.2.1 Meaning
The Central Secretariat occupies a key position in Indian administration. The
Secretariat refers to the conglomeration of various ministries/departments of the
central government. The Secretariat works as a single unit with cpIlective
responsibility as in the case of the Council of Ministers. Under existing rules, each
secretariat department is required to consult any other department that may be
interested or concerned before disposing of a case. Secretaries, thus, are secretaries
to the Government as a whole and not to any particular minister.
7.2.2 Role
The Secretariat assists the ministers in the formulation of governmental policies.
Ministers finalise policies on the basis of adequate data, precedents and other
relevant information. The Secretarial makes these available to the minister, thus,
enabling him to fornulate policies. Secondly, the Secretariat assists the ministers
in their legislative work too. The Secretariat prepares legislative drafts to be
introduced in the legislature. It engages In the collection of relevant information
for answering parliamentary questions. and, also, for various parliamentary
committees. Fourthly. it carries out a detailed scrutiny of a pioblem bringing an
overall comprehensive biewpoint on it., getting approval, if required, of other
lateral agencies like the Ministry of Lab and the Ministry of Finance; and also,
consulting. other organisations concerned with a particular matter. https://t.me/Upsc_Zone_Official
The
C o r r o t ~ v i g ti e the rle3r;nn nr~l;m~nor
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i n irrnmont-1 A e r i c i n n r F i C t h l x r it
Central Administration functions as the main channel of communication between the ~overnmentand
other concerned agendies like the Planning Commission, Finance Commission,
etc. And lastly, the Secretariat also ensures that field offices execute, with
efficiency and economy, the policies and decisions of the Government.
7.3,: FUNCTIONS OF CENTRAL SECRETARIAT

The Central Secretanat system in India is based on two phnciples:
1) The task of pblicy formulation needs to be separated fiom policy
implementation.
2) Maintaining Cadre of Officers operating on the tenure system is a
prerequisite to the working of the Secretariat system.
The Central Secretariat is a policy making body of the government and is not,ko
undertake work of execution, unless necessitated by the lack of official agencies to
perform certain tasks. The Central Secretariat normally performs the folkwing
functions:
1) Assisting the minister in the discharge of his policy making and
parliamentary functions.
2) Framing legislation, rules and principles of procedure.
3) Sectoral planning and programme formulation.
4) a) Budgeting and control of expenditure in respect of activities of the
ministryldepartment.
b) Securing administrative and finaocial approval to operational
programme and their subsequent modifications.
c) Supervisian and control over the execution of policies and
programmes by the executive departments or semi-autonomous field
xncies.
d) ~luuatlngsteps to develop greater personnel and organisational
competenae h ~ t h in the ministry/department and its execgtive
agencies.
e) Assisting in increasing coordination at the Central level.
Cbek Yoar Progress.1
Note: i) Use the ~ ~ a c e ' ~ i below
v e n for your answers.
ii) Check your answers with thoc; given at the end of the Unit.
1) What are the role and objectives of the Central Secretariat?
2) What are the,functions generally performed by the Central Secretariat?

Central Secretariat:
7.4 STRUCTURE OF SECRETARIAT Organisation and
Functions
The Central Secretariat is a collection of various ministries and department.
A ministry is responsible for the formulation of the policy of government within its
sphere of responsibility as well as for the execution and re\ iew of that policy. A
ministry, for the purpose of internal organisation, is divided into the following sub-
groups with an officer in charge of each of them. 5
Department - SecretaryIAdditionallSpecialSecretary
Wing - AdditionalIJoint Secretary
Division - Deputy Secretary
Branch - Under Secretary
Section - Section Officer
The lowest of these units is the section in charge of a Section Officer and consSsts
of a number of assistants, clerks, typists and peons. It deals with the work relating
to the subject allotted to it. It is also referred to as the office. Two sections
constitute the branch which is under the chqge of an under secretary, also known
as the branch officer. Two branches ordinarily form a division which is normally
headed by a deputy secretary. When the volume of work in a ministry exceeds the
manageable charge of a secretary, one or more wings are established with a joint
secretary in charge of each wing. At the top of the hierarchy comes the department
which is headed by the secretary himself or in some cases by an additionalkpecial
secretary. In some cases, a department may be as autonomous as a ministry and
equivalent to it in rank.
7.4.1 DepartmentlMinistry
The distinction between 'department' and 'ministry' may be explained by
referring to 'ministry' as the minister's charge and 'department as the secretary's
charge. Although a ministry stands for the minister's charge, its administrative
divisions are not uniform. A ministry may not have a department: or may have
one or more than one department in which it is formally divid . , '
While a department may be referred to as the secretary's charge, all secretaries,
although they get the same salary, are not necessarily of equal 'rank'. A Ministry
may have two or more secretaries, each in charge of a specified segment of the
Ministry's work, or of a department in it, but there is, in addition, one ~ e c r e ~
who is head of, and represents, the entire ministry. Although all of them are
secretaries, the former are subordinate to the latter who, in addition to his own
work, coordinates the work of these secretaries of departments/segments of wnrlr
within the ministry.
7.5 FUNCTIONS OF DIFFERENT GRADES OF

OFFICERS OF THE SECRETARIAT
At present the grades of officers it1the Central Secretariat are as follows:
1) Secretary
2) Additional Secretary
3) Joint Secretary
4) Deputy Secretary
5) Under Secretary
The first three grades constitute what is administrative parlance may be called 'Top
Management' while the grades of deputy secretary and under secretary, are
referred to as the 'Middle Management'. The Secretary is the administrative head
of the ministryldepartment and the principal adviser to the Minister. He represents
his ministryldepartment before the committees of Parliament.
Central Administration He is supposed to keep himself fully informed of the work of his
ministry/department by demanding weekly summaries on the nature of cases
disposed of by lower levels and the manner of their disposal.
Where the charge of a Secretary is too large, he may be assisted by a joint or
additional secretary who formally functions as Secretary in relation to the subject
allotted to him in the ministryldepartment. The function of the latter is to relieve
the Secretary of a bloc of work and to deal, where necessary, direct with the
minister. The Secretary, however, is invariably kept informed on all these direct .
dealings with the minister, for he is not formally relieved of his responsibility as
head of the ministryldepartment.
The deputy secretary is an officer who, as his designation implies, acts on behalf of
the Secretary. He should dispose of as many cases as possible on his own. Only on
more important cases he should - in fact must - seek the Secretary's instruction
either by refening to him in writing or discussing with him orally.
The under secretary should dispose of minor cases on his own. He should submit
more important matters to the deputy secretary in such a form that the latter is able
to deal with them quickly.
It must be stressed here that the functionaries at these different levels are supposed
to perform their functions, keeping in mind the interests of the Government of
India as a whole. The Secretary, in other words, is the Secretary to the Government
of India, not to his minister alone. This is true of lower levels as well.
7.6 TENURE SYSTEM - -
The system of filling senior posts in the Secretariat by officers who come from the
States (or from the Central Services) for a particular period and who after serving
their tenure, revert back to their parent States or services is known as the tenure
system. It has been a principle of Secretariat staffing since 1905 and continued by
the Government of India, even after Independence. The reasons for the
continuance of the system may be summed up as follows:
1) A joint pool of officers at the reserve of both the centre and the states helps
in administrative coordination at the centre and state level and exercises a
unifying influence on the functioning of our federal policy.
2) The Central Secretariat benefits from the administrative experience of a
number of bureaucrats who have first hand work experience at the district
and state levels.
3) A prolonged stay in the Secretariat may get senior bureaucrats out of touch
with actual administrative reality at the field level. The tenure system
enables them to get a constant feedback from the field and from the general
public.
4) The states also benefit from having at their service senior experienced
officers with a wide national perspective on all problems.
5) Under the tenure system most officers are promised a chance of work at the
Secretariat thus equalising opportunities for all.
6) It strengthens the independence of the civil service. It is a check against the
possible dangers of subservience by a few to the political masters for narrow
personal gains.
Though the tenure system is still in operation many arguments have been put forth
against it. They may be briefly sumrnarised as below:
1) Bureaucratic work in the Secretariats is gradually becoming specialised. The
tenure system is essentially based on the myth of the superior efficiency of
the generalist civil servants.
2) District experience is really not necessary in many areas of Secretariat work.
The tenure system has led to the bureaucrats getting too dependent on the Central Secretariat:
3) Organisation and
office establishment to get things done. This had. . led to 'over Functions
bureaucratisation' of the Secretariat.
The tenure system, however, was never prevalent in all the departments of the
Government of India. Foreign Affairs, Indian Audit and Accounts, Post and
. Telegraphs, Customs and Income Tax Departments had been the Well-known
exceptions even during the British-peridd. The creation of the Central Secretariat
service has, thrown a new challenge to this piactice (even in depa&ents where
tenure system officially operates). The specialists whose numbers are increasing in
the Secretariat are also not subject to rotation t2areas away frcfrfi the Secretariat.
The creation in 1957 of the Central Administrative'Pool has also made a significant .
impact on the system. This 'Pool' was established by the selection of officers from
the Indian AdministrativeServices. There are two categories of posts in it - general
purpose and specialised. The 'Pool' system was meant to overcome the
uncertainties in the matters of quality and quantity inherent in the tenure system.
Finally, despite the tenure system, there are numerous officers in the Secretariat
who have never goneback to their parent State. Therefore, the original intention of
the tenure system does not necessarily hold good in the changed conditions today.
I) What are the functions of the Joint Secretary and the Under Secretary, in the
Government of India?
2) What are the"disadvantages of the tenure system?
- -
7.7 EXECUTIVE AGENCIES

All over the country, there are various types of administrative agencies which are
meant to carry out the policies of the government as decided upon in the
secretariat. Such agencies are called executive agencies and can be grouped into
various categories as discussed below..
7.7.1 Meaning
Under the Secretariat there are a network of agenkies which are responsible for the
execution of the government policies. With the steady expansion in, and increasing
complexity of, the governmental functions, the executive agencies have been
variously organised
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Central Administration 7.7.2 Classification

The executive agencies may be classified into the following types:
1) An attached office (e.g., The Indian Council of Agricultural Research, New
Delhi)
2) Subordinate office (e.g., Inspectorate of Explosives, Nagpur)
3) Departmental undertaking (e.g., Ordinance ~ a d o r i e s )
4) A company registered under the ~ompanie:~ Act (e.g., Hindustan Steel
Limited)
5) A Corporation or Board set up under a special statute (e.g., ONGC, Tea
Board, etc.)
6) A society registered under the Societies Registration Act (e.g., Institute of
Foreign Trade)
There are also instances of executive agencies hnctioning as an integral part of the
ministry itself (e.g., Directorate of Exhibition in the Ministry of Commerce). These
are, however, exceptlions.
7.7.3 Relation between Executive Agencies and the Secretariat
The existence of Secretariat as an entity separate from the executive agencies is
based on the belief that the task of policy-making needs to be separated from that
of its execution. Development administration must necessarily move towards
decentralisation which means that effective power and authority must be possessed
by the executive agencies. Though the number of executive agencies have steadily
risen over the years there has not been an increase in their power corresponding to
their responsibilities. It is common knowledge that the Secretariat performs a lot of
polic): execking tasks of an original nature which cgyld readily be passed on to the
executive agencies. However, what need to be noted is that the relations between
the Central Secretariat and the executive agencies have been quite strained and
tension-ridden instead of gradually becoming cooperative and amiable.
There are six principal patterns of relationship developed at the Central level,
between the secretariat and the executive agencies. These may briefly b e
discussed here:
1) There is complete merger between the ministry and heads of executive
departments. The examples are the Railway Board and the Ministry of
Railways, the Posts and Telegraphs Board and the Ministry of
Communications. This pattern is most suitable for organisation undertaking
work of an operational or commercial nature.
2) In the second pattern, a senior officer of the ministry concurrently operates
as head of the executing department. In this way he becomes responsible
both for formulation of policies and for its implementation with the
assistance of the common ofice located in the Ministry. The Additional
Secretary in the Department of Agriculture is the Director-General of Food.
But the main disadvantage of this pattern is that the system completely blurs
the functions of the Secretariat and the head of an executive department.
3) The ministry's Ofice is merged in the office of the executive department.
The common office serves both the Secretariat offices and the officers of the
executive office.
The advantages of this arrangement are that any administrative proposal is
examined only once, thus, expediting the disposal of cases, and, secondly it
results in sizeable economy - office maintenance becomes more economical.
4) The ministry and the executive department continues to have separate
officers but have common files and common file bureau, all located in the
Downloaded from:- organisation of the executive agency. https://t.me/Upsc_Zone_Official
https://t.me/Pdf4Exams This pattern has significant advantages
but it does not do away with the problems of separate offices with duplicate Central Secretariat:
Organisation and
staff and double scrutiny. A good example is the Ministry of Defence and Functions
the Air Force Headquarters.
5) The ministry and the executive depaiiments continue to have separate offices
and separate files but the head of the Executive Office is given an ex-officio
Secretariat status. Thus, the Textile Commissioner is the ex-officio Joint
Secretary in the Ministry of Commerce.
This pattern has the following advantages:
Under this arrangement, there is considerable saving of time as well as the
paper work, as every matter does not travel up to the Secretariat for
finalisation. Also, the accepted policy is implemented in a more efficient
manner, as the head of the office, because of his secretariat status is fully
aware of the background in which the policy was framed.
Its major drawback, however, is that it goes against the fundamentar
principle of secretariat system, namely, policy-making must remain
separated from policy implementation.
6) Both the Ministry and the executive agency have separate and distinct
offices and files of their own, and consultation between them occurs through
self-contained letters. This is the standard pattern both at the Centre and in
the States. This pattern is based on the dichotomy between staff and line.
The mqnistry is Staff:the executive office is Line.
An example is the DirectorateGeneral of All India Radio in relation to the
Ministry of Information and Broadcasting.
In other words, in this pattern, a wider perspective is brought to bear on the
examination of a proposal. Secondly, it is always desirable to have a specialist's
scheme scrutinised by a layman. Thirdly, this arrangement provides for a division
of work between the Secretariat and the executive agencies. The former
concentrates on policy-making and the latter on the execution of the policy. The
disadvantages of this arrangement is that, this scheme is processed twice in two
different offices. This involves duplication of work and cause delay.
Each pattern has thus advantages as well as disadvantage. No hard and fast rules
can be laid down regarding the pattern of relationship which could be appropriate
to a particular sphere of governmental activity. The pattern has to be so tailored
as to suit the nature of activities or the past experience of the organisation.
Nevertheless, neither absolute separation nor absolute merger ofboth is normally
desirable.
7.8 SUBORDINATE OFFICES

A Subordinate Office functions as the field establishment or as the agency
responsible for the detailed execution of the decisions taken by the Government. A
Subordinate Office normalIy functions under an Attached Office. But where there
is no Attached Office under a ministry, it operates directly under the ministry. The
criteria of classifying a certain organisation as the Attached Office and another one
as the Subordinate Office are neither well defined nor consistently followed.
Although it is the Subordinate Office, which is responsible for the execution of the
policy or decisions of the Government, it has.been accorded a distinctly inferior
status, as is indicated by the label, 'Subordinate'. The pay scales of personnel in
the Subordinate Offices are the lowest; and their future prospects are not bright.
The employees in these offices very often do the same type of work and possess
the same qualification as the Secretariat personnel. Despite that, the Subordinate
Offices continue to be accorded an unreasonably lower status.
Central ~dminisbation Check Your Progress 3

I) What are Subordinate Offices?
2) Explain the relationship between the executive agencies and the Secretariat.
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7.9 LET US SUM UP

In this Unit you have read about:
The evolution of the Central Secretariat.
Its meaning, role and functions:
The structure and functions of different grades of ofices at the Secretariat.
The tenure system.
The meaning and classification of executive agencies.
The relation between executive agencies and the Secretariat.
Amiable : Agreeable
Precedents : Standard
Sectoral Planning : Under sectoral planning, specific sectors are kept in
mind while planning, e.g., planning for agricultural
sector, industrial sector.
Subservience : Serving as a means to an end.
7.1 1 REFERENCES AND FURTmR READINGS

Avasthi, A., 1980, Central Administration; Tata McGraw. Hill, New Delhi
Chanda, AshoF, 1967, Indian Administration; Allen and Unwin, London
. Khera, S.S., 1975, The Central Executive; Orient Longmarl, New Delhi
'
Misra, B.B., 1986, Government and Bureaucracy in India 1947- 76; Oxford
University Press, Delhi https://t.me/Upsc_Zone_Official
Central Secretariat:
7.12 ANSWERS TO CHECK YOUR PROGRESS Organisation and
EXERCISES Functions

Meaning of Central Secretariat
Evolution of Central Secretariat
Role at the time of independence
Role after the independence
Assistance to Ministers
Framing Legislation
Control of expenditure with respect to departmental activities
Supervision and control over executive departments
Executive is a part of Legislature.
Executive is responsible to the Legislature.
Five grades of officers in the Central Secretariat
Role of the Joint Secretary
Role of the Under Secretary
2) Your answer must include the foltowing points:
Meaning of tenure system
Reasons for its continuance
Disadvantages of the tenure system
Meaning of subordinate offices
Types of ~ubordin~te'offices
Role of subordinate offices
2) Your answer must indlude the following points:
Six principal patterns of relationship
Advantages and disadvantages of each pattern.

UNIT B PRIME MINISTER'S OFFICE AND -
CABINET SECRETARIAT - --
Structure
Objectives
Introduction
Powers and Functions of Prime Minister
Institutional Support to Prime Minister
Evolution of Prime Minister's Office
8.4.1 Organisation
8.4.2 Functions
Changing Role of Prime Minister's Office
Cabinet Secretariat
8.6.1 Evolution of Cabinet Secretariat in India
8.6.2 Organlsation and Functions
Role of the Cabinet Secretary
C h n e t Committees
88 1 Slze
8.8 2 Functions and Role
Let Us Sum Up
Key Words
References and Further Readings
Answers to Check Your Progress Exercises
8.0 OBJECTIVES
Explain the structure, changing role, functions and significance of the Prime
Minister's Office in providing institutional support to the Prime Minister in
his public activities and governmental functions;
' Describe the evolution of the Cabinet Secretariat in India, its organisation
and functions; and
Describe the role and functions of the Cabinet Secretary and the Cabinet
Committees.
8.1 INTRODUCTION
The most distinctive feature of the Indian Constitution is the parliamentary
system of government. It provides the basic organisational setting in which
public policies are formulated. Essentially this system of government means that
there is (i) a Parliament directly elected by the people on party lines; (ii) and
there is also a Council of Ministers with the Prime Minister at the need to aid and
adivse the President who acts in accordance with such advice. The real executive
is the Prime Minister and his Council of Ministers. In this Unit, we shall describe
the various bodies, which provide institutional support to the Prime Minister in
his official and policy-making functions.
8.2 POWERS AND FUNCTIONS OF PRIME MINISTER

Being the head of the Council of Ministers, and therefore of the Cabinet, the
Constitution authorises the Prime Minister to advise the President about the
appointment of ministers and to act as a link between him and the administration.
As the leader of the political executive, the Prime Minister is expected to provide
direction in policy' formulation to ensure administrative efficiency, and to
establish liaison with the people and Parliament.
As the chief executive, his functions may briefly be described as determining the Prime Minister's Office
and Cabinet Secretariat
main lines of administrative policy, issuing necessary directions and orders,
coordinating organisational details, controlling the management of finance,
appointing and removing of personnel, supervising and controlling
administrative operations, and conducting public relations.
The Prime Minister's main role in regard to administrative management in
government consists in identifying capabilities of his colleagues and senior
officials, and stimulating action and teamwork in organisation and method.
8.3 INSTITUTIONAL SUPPORT TO THE PRIME

MINISTER
Institutional arrangements have evolved over the years in the form of secretarial
agencies or thinking cells to give direct assistance to the Prime Minister in his
oficial functions. The main institutions involved in helping the Prime Minister in
decision-making in the realm of politics and administration have, since
Independence, been the Cabinet Committees, the Cabinet Secretaries and the Prime
Minister's Ofice.
8.4 EVOLUTION OF PRIME MINISTER'S OFFICE

The Prime Minister's Ofice came into existence after India became independent.
The Prime Minister's Secretariat, as it was then known, provided the Secretarial
assistance needed by the Prime Minister in his public activities and functions as the
head of the government. In 1948-49, during the Premiership of Nehru, the ofiice
staff included a modest number of 117 members, which steadily increased over a
period of time. During La1 Bahadur Shasti era, the Prime Minister's Secretariat
emerged as a regular department under a full-fledged Secretary and its influence in
top-level policy making increased. It was, however, during Indira Gandhi's Prime
Ministership from 1966 to 1977 that the Prime Minister's Secretariat not only
swelled in size but in power and authority as well. The Prime Minister's Secretariat
had a personnel of about 200 in 1968-69 and during the internal emergency of
1975-77, emerged as a real centre of extra-constitutional power and authority.
During the Janata regime (1977-80) the Prime Minister's Secretariat was cut down
to size both in terms of number and authority. In June 1977, the Prime Minister's
Secretariat was renamed as the Prime Minister's Ofice. Though the number of its
personnel has again been growing steadily in the last ten years, the ofice now
maintains a low public profile, assisting the Prime Minister in his public activities
rather than always attempting to exercise extra-constitutional power and authority.
8.4.1 Organisation
The Prime Minister's Ofice is headed politically by Prime Minister and
administratively by the Principal Secretary. Additionally it consist of one or two
Additional Secretaries, three to five Joint Secretaries, a number of
DirectorsAIeputy Secretaries and Under Sec taries. There are also other oficers
T
like Oficet on Special Duty; Private Secretpries, and so on. These oficers are
supported by regular ofice establishment.
The background and experience of the key personnel in the Prime Minister's
Office is not stated in a formal manner and the incumbents are appointed in this
office to essentially provide 'secretarial help' to the Prime Minister. It has a
Secretary who may or may not come from the civil service. Other personnel are
generally drawn from the civil services and posted for varying periods. The work
is shared between the Secretary, the Additional Secretary, Joint Secretaries, the
Deputy Secretary and other personnel. Being a small office and because they
should interact freely among themselves, no fixed duties are laid down for the
. members of staff. The division of work is made according to the convenience and
ex~erienceof the staff in the office.
Cqntral Administration 8.4.2 Functions f

'
The main task of the secretariat is to help the Prime Minister in the performance of
his functions as the head of the government. It is responsible for assisting him in
maintaining, on the official side, liaison with union ministers, the president,
governors, chief ministers, representatives of foreign governments in India and
others, and,,on the public side, in handling various requests or complaints from
members of the public addressed to the Prime Minister. In general, the jurisdiction
of the Secretariat may be said to extend over all such subjects and activities which
are not specially allotted to any individual ministrytdepartment. It also prepares
answers for questions raised in parliament on some .general subjects which could
not, on strict classification, be allotted to any particular ministry. The Prime
Minister's Office performs several functions:
Assisting the prime minister in respect of his overall responsibilities as head of
the government like maintaining liaison with cenhl ministries/departments
and the state governments.
Helping the prime minister in respect of his responsibilities as chairman of the
Planning Commission, and the National Development Council.
Cooking after the public relations of 'the prime minister like contact with the
press and general public.
Dealing with all references, which under the Rules of Business have to come
to the prime minister.
Providing assistance to the prime minister 'in the examination of cases
submitted to him for orders under prescribed rules.
Maintaining liaison with the President, Governors, and Foreign
Representatives in the country.
Acting as the 'think-tank' of the prime minister. '
However, the Prime Minister's Office is not responsible for functions devolving on
the Prime Minister in his capacity as the head of the cabinet: except to the extent
to which matters gre handled in personal correspondence between him'and
individual ministers, or for 'handling correspondence either relating to party
policies or of a domestic nature.
8.5 THE CHANGING ROLE OF THE PRIME

MINISTER'S OFFICE
The role of the Plime Minister's Office has evolved and varied from Prime
Minister to Prime Minister. Under Nehru the size of the office was limited, so was
its role. Under his benure, a greater reliance bn the Ministries and their advisers
seems to have been a characteristic way of working and the Cabinet Secretary
provided a primary link. In subsequent periods the Prime Minister's Secretariat has
been performing same of these functioq, though all Cabinet mattes must go
through the Cabinet Secretariat. Demarcation between the two is not rigid and
indeed it cannot be so.
It was Nehru's sucaessor Shastri, who took the first step towards establishment
of a powerhl Secretariat. He appointed L.K.Jha as the Secretary to the Prime
Minister and he became the head of the Secretariat. Jha's powerful and dynamic
personality raised the status and stature of the Secretariat and also added to its
tasks. Under Jha's stewardship the Prime Minister's Office started commanding
a f6rmidable influehce in the making of decisions, a trend which got further
strengthened during Indira.~andhi'sPrime Ministership. At the time of assuming .
office she had a very limited experience of administration; hence, her
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whom the Prime Minister's Secretariat grew to such an extent that it became an prime' Minister's OMce
independent executive force. Much of the domestic and foreign policy took shape
at the secretariat and a lot of authority came to be concentrated in the Prime
Minister's Oftice. This became all the more marked during the period of the
Internal emergency (1975-1977) which ushered in an era of authoritarian Prime
Ministerial rule. As a consequence the Prime Minister's Secretariat became the
focus of all authority and its writs began to be obeyed by all central ministries,
departments and other executive agencies. During Indira Gandhi's reign the
Prime Minister's Secretariat virtually became a national policy formulation body
and the Cabinet Secretariat its enforcement arm.
During the Janata period, an effort was made to diffise the existing concentration
of power in the Prime Minster's Secretariat and reduce it to the status of a mere
'office' whose functions were merely secretarial in nature. As a result the
Secretariat was divested of its various policy making cells.
However, in the last eight years there is a noticeable trend towards concentration
of policy making power in the Secretariat, once again. There remains a feeling
often articulated by the opposition and newspapers from time to time that the
Prime Minister's Secretariat is in fact a 'micro-cabinet', since it often attempts to
supplant the Cabinet in all major policy making functions.
1) Enumerate briefly the powers and functions of the Prime Minister.
2) Name the various bodies which provide institutional support to the Prime
.. Minister in his official functions.
3) Describe the functions of the Prime Minister's Office

Central Administration
8.6, CABINET SECRETARIAT
On the attainment of Independence in 1947 a popular cabinet headed by the Prime
Minister replaced the Executive Council of Viceroy. The Executive Council
Secretariat formally became the Cabinet Secretariat. Consequently the Secretary
of the Executive Coun~ilof the Viceroy was renamed as the Cabinet Secretary.
The Cabinet Secretariat is a staff body, which has an important coordinating role in
the process of decision-making at the highest level and operates under the direction
of the Prime Minister. The Cabinet Secretary is the administrative head of the
Cabinet Secretariat.
8.6.1 Evolution of Cabinet Secretariat in India
In 1948, the cabinet decided to start the Economic and Statistical Coordination
Unit as a part of the Cabinet Secretariat. Its work was to secure all available
information from existing statistical cells of the various ministriesldepartments and
to present this information periodically to the cabinet. It was also required to
coordinate the activities of various ministers and to give them advice about future
work. The Unit also took over the work relating to development schemes from the
Secretariat of the Development Board pending the constitution of the Planning
Commission. In this capacity, its function was to examine various development
schemes of the Centre and the States and report to the cabinet about them. After
the setting up of the Planning Commission in March 1950, this work was
transferred to the Commission.
In 1949, the cabinet qpproved the Central Statistical Office to be attached to the
secretariat and to establish a Central Statistical Unit which was set up in 1950. This
Unit was to hnction in an advisory capacity. Later in February 1951, the work
relating to statistical coordination and statistical publication of a general nature,
which was previously being handled by the Economic Adviser to the government
of India in the then Ministry of Commerce was transferred to the Cabinet
Secretariat. In May 1961, a Central Statistical Organisation was set up which
together with the Statistical Unit was attached to the Cabinet Secretariat.
Following the report on the reorganisation of the machinery, of the Government
(1949) the Cabinet decided that the Economic Committee of the Secretariat which
was previously located in the Ministry of Finance should be treated as a part of the
Cabinet Secretariat and called it Economic Wing. The Economic Wing was
intended to develop eventually into a Central Economic Office. However, the
proposal did not materialise, and it was decided that the work done by the
Economic Wing should be transferred to the Finance Ministry which had already
set up a Central Economic Office. Early in the same year the work relating to the
Joint Communication - Electronics Committee, which was a sub-committee of the
Chiefs of Staff Committee was transferred from the Ministry of Defence to the
Cabinet Secretariat and attached to its Military Wing.
Organisation and Method Division (O&M) of the Government of India started
functioning in March 1954, continued to remain as a separate wing of the Cabinet
Secretariat till 25 March 1964, when a new department called Administrative
Reforms was set up in the Ministry of Home Affairs and the O&M Division was
transfeped to this new department. It was decided on 15 February, 1961 that the
Central Statistical Organisation, an attached office of the Cabinet Secretariat,
should be given the authority and status of a department of the government.
Accordingly, the Department of Statistics was created in April 1961 as a part of the
Cabinet Secretariat with adequate authority to consider statistical methods; to
advise on and issue general directions regarding the setting up of standards, norms
and methods of data collection to 811 central and state agencies; and to deal with
references from them on such questions. This department had under it two attached Prime Minister's OMce
offices, namely, the Central Statistical Organisation and the Computer Centre. In
addition, it had one subordinate office - the Directorate of National Sample
/
Survey. This department, however, was later taken out of the cabinet secretariat.
With the Chinese aggression in October 1962 and the consequent declaration of a
state of national emergency, the cabinet decided to set up an Emergency
Committee. To provide secretarial assistance to the Emergency Committee, an
Emergency Wing was created in the Cabinet Secretariat.
In July 1965 a new wing known as the Intelligence Wing, was added to the
Secretariat to provide secretariat assistance to the Joint Intelligence Committee.
Following the armed conflict with Pakistan in September 1965, the cabinet decided
on October 7 that a Unit called the Directorate-General of Resettlement, should be
set up in its Secretariat for the formulation and implementation of schemes of relief
and rehabilitation in the areas affected. This Unit functioned under the overall
guidance of the Committee of Secretaries headed by the Cabinet Secretary. This
Unit was later abolished and residuary work transferred to the Department of
Rehabilitation on 1 July 1966. In January 1966 the Bureau of Public Enterprises
was shifted form' the Ministry of Finance to the Cabinet Secretariat but was soon
re-transferred to the ministry.
Perhaps the most important change made, as a result of the recommendations of
the Administrative Reforms Commission, was the creation of a Central Personnel
Agency in the Cabinet Secretariat in August 1970 and the transfer of the
Department of Administrative Reforms from the Home Ministry to the Cabinet
Secretariat in February 1973.
The issue of the location of the Central Administrative Reforms Agency, however,
proved to be controversial. When the Government of India decided to set up an
Organisation and Method Agency, there was a controversy as to its location. Both
Home and Finance Ministries put forward their claims, but it was ultimately
decided to locate it in the Cabinet Secretariat. But the Home Ministry ultimately
succeeded after an interval of ten years to get the Organisation and Method Agency
shifted from the Cabinet Secretariat to the Home Ministry with the elevated status
of a department. However, again after nearly a decade the Department of
Administrative Reforms was once again located in the Cabinet Secretariat in 1973.
But, during the Janata Government period the Department of Personnel and
Administrative Reforms was again transferred back to the Ministry of Home
Affairs in 1977. But presently it is located in the Ministry of Personnel and Public
Grievances.
8.6.2 Organisation and Functions
The organisation of the Cabinet Secretariat and its role has been constantly shifting
with the reorganisation of the executive functions of the union government.
The Cabinet Secretariat is organised in three wings - the Civil Wing, the Military
Wing and the Intelligence Wing. The main Civil Wing provides secretarial
machinery for the cabinet. It prol/ides secretarial services for the various standing
committees and ad hoc committees of the cabinet and also to a number of
committees of secretaries which function under the Chairmanship of the Cabinet
Secretary. It also deals with the framing of the Rules of Business of the Union
government. The Military Wing is responsible for all secretarial work connected
with the meetings of the Defence Committee, National Defence Council, Military
Affairs Committee and a number of other committees concerned with defence
matters. The Intelligence Wing concerns itself with matters relating to the ~ o i n t
Intelligence Committee of the Cabinet. In addition to the three wings there is a
Joint Communication Electronics Committee located in the Cabinet Secretariat.
The head of the Cabinet Secretariat is the Cabinet Secretary.
Central Administration The efficiency of the Cabinet depends to a large extent on the Cabinet Secretariat
whose duty is to prep& in a meaningful way the agenda of the Cabinet meeting,
to provide information and material necessary for its deliberations, and of drawing
up records of the discussions and decisions both of the Cabinet and its committees.
It also oversees the implementation of the necessary decisions by the ministries
concerned. This last hnction involves the calling of information from various
ministries and deparbnents. It keeps the President, the Vice President and all the
ministries informed of the major activities of the Government conducted in several
ministries by circulating monthly summaries and brief notes on important matters.
It serves the Committees of Secretaries which meet periodically under the
Chairmanship of the Cabinet Secretary to consider and advise on problems
requiring inter-ministerial consultation and coordination. It finalises the Rules of
Business and allocates the business of the Government of India to the ministries
and departments under the direction of the Prime Minister and with the approval of
the President. In addition, the Cabinet Secretariat supplies secretarial assistance to
Cabinet Committees.
8.7 ROLE OF THE CABINET SECRETARY

The office of the Cabinet Secretary and its functions has evolved over a period of
time. The Administrative Reforms Commission 1969 recommended that Chief
Secretary should appointed for the period of three years. This term of three
"t,
years was recommen ed to enable the functionary to provide effective leadership
to the Civil Service. Recently, N.D.A. Government accepted the recommendations
of the Administrative Reforms Commission that Cabinet Secretary should be
appointed for the fix term of two years. The first two benefits was T.R. Prasad.
He is a member of the civil service and presides over the committees of secretaries.
These committees examine inter-ministry matters, and issues that concern the
Government as a whole. The Cabinet refers certain matters to them as well. The
committees, however, recommend a decision to the concerned Ministry; they do
not decide.
The Cabinet Secretary directly handles all senior appointments in the Government.
From the early 1950s, the practice followed is that the Cabinet Secretary usually
does not prepare papers for the Cabinet or its committees, nor does he take upon
himself the responsibility for a comprehensive scrutiny of the agenda papers for
the Cabinet. All that he does is to ensure that the notes are self-contained and that
appropriate details for discussion are provided, occasionally seeking clarification
or raising points for Modification with the ministry concerned.
The Cabinet Secretary is present in all meetings of the Cabinet and its committees.
He is responsible for preparing the agenda, priorities of items and allocation of
subjects to Cabinet committees. The Prime Minister approves these. In these
matters the Cabinet Secretary has to exercise his judgement taking into account the
national priorities arid what is considered important by the ministries. The Cabinet
minutes are prepared by the Cabinet Secretary,and decisions communicated to the
ministries by him.
The Cabinet Secretary has to play varied roles. He must keep track of urgent
problems in socio-economic and political aspects, on bottlenecks in the
implementation of Government programmes, on issues that the Prime Minister
should know urgently and matters requiring his decisions. The Cabinet Secretary
must use his discretion in all these matters and keep himself up-to-date with
relevant data. As there are no fixed sources for such data, and, indeed there could
not be, the interpersonal, skills of the incumbent and the confidence he evokes are
two important requirements of the job..
cheek Your progress 2
given at the end of the Unit.
ii) Check your answers withthose https://t.me/Upsc_Zone_Official
1) Describe the evolution of the Cabinet Secretariat in India. Prime Minister's Omce *
2) Describe the role and significance of the post of the Cabinet Secretary in
India.
8.8 CABINET COMNIITTEES

The Cabinet makes use of the committee system to facilitate decision-making in
specific areas. The Business Rules provide for t'he constitution of standing
committees of the Cabinet to ensure speedy decisions on vital questions of political
and economic significance and other matters of importance as also to ensure
coordination in well-defined fields of administration. These committees change
according to the requirements of the situation and occasionally ad hoc committees
are appointed.
8.8.1 Size
The number of such committees has been changing fiom time to time and no
outsider could tell exactly what the existing committees are at a given time.
However, the membership of the Cabinet Committees normally varies from three
to eight. The Chairmanship of them is shared between the Prime Minister and
Home Minister. The committees which function on a more or less permanent
basis are the Political Affairs Committee, Economic Affairs Committee,
Committee on Parliamentary Affairs, Appointments Committee, Committee on
Accommodation, Committee on Industry and Trade, and the Committee on Food
and Agriculture etc. Of these the most powerful is the Political Affairs
Committee. Consisting as it does of the seniormost ministers, it functions as a
super Cabinet in providing direction to the government.
8.8.2 Function and Role
The Cabinet Committees are instruments to organise coordination in clearly
defined fields of administration and relieve the Cabinet of their burdeh of work.
The flexibility in membership of these committees enable interested Ministers to
exchange views, and amve at agreed solutions without involving the Cabinet, thus,
reducing pressure of work upon the latter. Lastly, there is considerable sharing of
work, with the result that many matters which could otherwise travel upto the
Cabinet for decision-making are settled at the level of Cabinel Committees. This
ensures continuous coordination on vital economic and political issues, andhttps://t.me/Upsc_Zone_Official
speedy
rl~ricinn-makinowhen r ~ n i i i r ~ r l
Central Administration Any matter which calls for a Cabinet decision may come directly to the
appropriate committee before the Cabinet takes a decision. The Cabinet may
often mergly accept the decision already taken by the Cabinet Committees.
However, despite the fact that some Cabinet Committees have often exercised
real authority, these committees have not been uniformly or consistently
.effective. Firstly, they do not cover all important areas @I governmental
functioning. Secondly, they can take up a matter only when it is referred to by
the Minister concerned or by the Cabinet. Lastly, they do not meet regularly,
which is absolutely necessary if sustained attention is to be given to complex
problems and the progress in implementation of important policies and
programmes is to be kept under constant review.
I
.

1) What are Cabinet Committees?
2) Explain the functions and actual significance of cabinet committees in

influencing decision-making in the cabinet.
8.9 LET US SUM UP

In this Unit you have read about:
The powers and functions of the Prime Minister as the real executive,
a The bodies which provide institutional support to the Prime Minister in his
official functions,
a The evolution of the Prime Minister's Office, its organisation, functions and
changing role,
The evdution of the Cabinet Secretariat in India, its organisation and
functions,
The role of the Cabinet Secretary, and
a The size, functions and role of the Cabinet Committee.
8.10 KEY WORDS

Devolve : Entrust
Extra-constitutional : Not mentioned in the Constitution
Prime Minister's Office

Micro-cabinet : A small body which performs similar functions as
that of the Cabinet.
National Emergency : Emergency declared due to war, external aggression
or armed rebellion (Article 352). It is different from
emergency declared in states on account of
breakdown of Constitutional Machinery (Article
356) and Financial Emergency (Article 360) in
which ,%Presidentcan modify the provisions of
allocation of financial relations between the Union
and the States.
Real Executive : The real executive is the one to which the legal
powers of titular executive pass. Legally all powers
are vested with titular executive but he does not
exercise them in practice. Real executive legally
does not have any powers but in practice exercises
all the powers vested in the titular chief executive.
In England, the Queen and in India, the President are
titular executives while President of USA and PM of
India are examples of real executives.

Avasthi, A,, 1980, Central Administration; Tata McGraw Hill, New Delhi
Chanda, Ashok, 1967, Indian Administration; Allen and Unwin, London
Jain, H.M., 1969, The Union Executive; Chaitanya Publishing House, Allahabad
Khera, S.S., 1975, The Central Executive; Orient Longman, New Delhi
Sharma, L.N., 1976, The Indian Prime Minister; Macmillan, New Delhi

EXERCISES
PM as the head of Council of Ministers
Advisory role of Prime Minister
PM as a link between the President and the administration
Supervisory role of PM
Appointment and removal of personnel by the PM
Issuing directives and formulating policies.
2) See Section 8.3.
Briefly touch upon evolution of Prime Minister's Office
Organisation of Prime Minister's Office in brief
Functions with regard to assistance to the Prime Minister in maintaining
relations with Ministers and representatives of foreign governments
Prime Minister's Office handles complaints from public which are
addressed to the Prime Minister
Prepares answers for questions raised in the Parliament on general
subjects.
Central Administration 4) Your answer must include the following points:

Role of Prime Minister's Secretariat under different Prime Ministers
Prime Minister's Secretariat was very important in Congress period
a, During the Janata period, Prime Minister's Secretariat was reduced to the
status of a mere 'Office'
Prime Minister's Office is gaining importance once again.
Ch'eckYour Progress 2
13 Your answer must include the following points:
Meaning of Cabinet Secretariat
In 1948, Cabhet Secretariat had Economic and Statistical Coordination
Unit (ESCU) as its part
In 1950, Planning Commission took over the work of ESCU
In 1951, Central Statistical Unit was set up and work relating to
statistical coordination and publication was transferred to Cabinet
Secretariat
In 1961 itself, a Central Secretariat was created as a part of the Cabinet
Secretariat
In 1962, Emergency Wing was created in Cabinet Secretariat
In 1965, an Intelligence Wing was added in Secretariat
0 & M from 1954 to 1964 was a separate wing of Cabinet Secretariat.
. 2) See Section 8.7.
I ) See Section 8.8.
Cabinet Committees are instruments of bringing coordination in
administration
a Views are exchanged and agreed solutions are anived at in Cabinet
Committees
a Cabinet Committees settle matters which would otherwise overburden
the Cabinet
Facilitates speedy decision-making
Reasons behind the ineffectiveness of Cabinet Committees.

UNIT 9 UNION PUBLIC SERVICE

COMMISSION~SELECTION
COMMISSION
Structure
9.0 Objectives
9.1 Introduction
9.2 Evolution of UPSC
9.2.1 Development of Public Service Commissions in India
9.2.2 First Period 1926-37 (Government of India Act 1919 and Lee Commission)
9.2.3 Second Period (1937-50)
9.2.4 Third Period (I950 Till Date)
9.3 Constitution of UPSC
9.3.1 Composition, Appointment and Terms of Members
9.4 Functions of UPSC
9.5 Advisory Role of UPSC
9.6 Let Us Sum Up
9.7 Key Words
9.0 OBJECTIVES
Explain the evolution of UPSC over the years into its present form;
Discuss the constitution of UPSC with reference to its composition,
appointment, terms of members;
Describe the various types of functions of UPSC; and
Critically analyse its advisory role.
9.1 INTRODUCTION
The work of a modem government in any country is carried on by its
administrative agencies. There has been a phenomenal expansion in the fbnctions
of the state and reliance is laid heavily on the organisational and administrative
capacity of the government. Sound administrative .organisation, methods and
procedures, competent public servants devoted to public interest, are some of the
essential requirements for proper performance of the fbnctions of the present day
State. When civil servants occupy such an important role, especially in these
days of State assuming overwhelming responsibilities, the important aspects
relating to their recruitment, training, emoluments, conditions of service,
promotion policies, etc. assume importance. The impartial consideration of these
matters relating to civil-servants requires an independent and expert authority -
the institution of Public Service Commission.
In India, the Union Public Service Commission (UPSC) occupies an important
position in our constitutional scheme and its relation with the government are
complex. It is an independent constitutional body for impartial consideration of
* service matters of government employees. It has important constitutional
functions and duties but has only an advisory role, while the ultimate authority
rests with the government. In a democratic system, the selection commission has
to strive towards an efficient and economical management and creation of public
service maintaining the ideals of a democratic government. In a welfare state, the
objective of service to the people further complicates the task of personnel
Central Administration administration. The success or failure of a system is gauged by the ability of the
- -
organisation in personnel management to meet the above objectives.
I
9.2 EVOLUTION OF UPSC

9.2.1 Development of Public Service Commissions in India
Today, the recruitment of civil servants is done by the Union Public Sevkice
Commission. The name civil servants was first assigned to those servants of the
East India Company who were concerned with the administration of its
commercial affairs in India. The servants of East India Company were then
selected and recruited by its court of directors in England. For purposes of
recruitment, a rudimentary knowledge of eastern trade and commercial accounts
was considered to be a qualification for the candidates, but on the whole the
recruitment was made on the basis of patronage. Since appointments had been
exclusively reserved to the nominees of the directors, this led to more compt
practices in the recruitment of the services.
It was as early as in 1933, that Lord Granville, who was then an influential
member of the House of Lords advocated the practice of recruitment of
candidates through competition instead of nominations by the directors. Yet
nothing was accomplished in this direction till 1853. However, in 1833, a clause
was inserted in the Charter Act granted to the Company declaring that henceforth
fitness was to be the criterion of eligibility to the civil services irrespective of
caste, creed or colour.
The right of the directors to make nominations for appointments to civil services
in lndia was allowed to continue only till end of April 1854. A Committee under
the Chairmanship of Lord Macaulay was appointed in 1854 by Sir Charles
Wood, to advise on the measures to be adopted to give effect to the Act of 1833,
which at least in theory threw appointments in the Indian Civil Service open to
competition without any discrimination. The Committee recommended the
selection of candidates on the basis of a competitive examination, the
requirement of a period of probation before they were finally appointed and the
abolition of the College at Haileybury.
The system of competitive examination had its first trial on the Indian soil and
was then adopted gradually in England. But the process of Indianisation of the
service continued at a bery slow pace until 1909, when the Minto Morley reforms
were introduced. But the reforms failed to satisfy the Indians.
9.2.2 First Period 1926-37
(Government of India Act 1919 and Lee Commission)
The Government of India Act 1919, which was based on a joint report submitted
by Lord Montague, the then Secretary of State and Lord Chelmsford, the then
Viceroy and Governor General of India, was the first step towards the
establishment of a Public Service Commission (PSC) in India. The Act
recognised the importance of having a competent and independent civil service.
It felt that there is a need for recruitment of civil servants by an expert body,
without any political interference and establishment of a permanent office
entrusted with the regulation of service matters of civil servants. Selection 96(c)
of the Act provided for the setting up of a Public Service Commission which was
to 'discharge in regard to recruitment and control of public services in India such
functions as may be assigned thereto by rules made by the Secretary of State in
Council'. The farmers of the Act contemplated that the institution of a Public
Service Commission in India would help in increasing entry of Indians in thc
public services and would also provide protection to the civil servants from
~oliticalinterference.
According to the provisions of the Act, the Public Service Commission was to Union Public Service
CommissionlSelection
consist of not more than five members, including the Chairman. Each member Commission
was to hold the Office for five years and was eligible for reappointment.
The Lee Commission 1923
In 1923, the British Government in pursuance of their declared policy of
associating Indians with every branch of administration constituted a Commission
under the Chairmanship of Lord Lee to inquire into the organisation and general
conditions of services and also the methods of recruitment for Europeans as well as
Indians. As it was concerned only with the Superior Civil Services it came to be
known as Royal Commission on the Superior Civil Services in India.
The Commission was of the opinion that the establishment of a Public Service
Commission was necessary to assist the government in the discharge of its
responsibilities. It considered that its recommendation regarding the
establishment of the Public Service Commission 'as one of the cardinal features'
of its report 'and as forming integral and essential part of the whole structure' of
its proposals for the future of the services.
The Commission, therefore, suggested that the statutory Public Service
Commission as contemplated by the Government of India Act 1919 should be
established without delay. The Commission was to consist of five members.
About the members' qualification it was in favour of their being detached from
all political associations, and at least two of them to possess judicial or legal
qualifications. They were to be full time officers and their emoluments were not
to be any way less than those of High Court judges. Another important feature of
the Commission's recommendations was that they did not suggest similar
Commissions for the provinces and held that expertise of the Public Service
Commission at the Centre should be placed at the disposal of the provincial
governments. -. ,
Regarding the functions of the Public Service Commission, the Lee Commission
maintained that they might be of two kinds. The first was recruitment of
personnel for the public service and maintenanie of proper standards of
qualification for entry to public services. The second function was quasi-judicial8
connect with the disciplinary control and protection of the services.
The recommendations of the Lee Commission, however, remained in abeyance
for about two years and it was in February 1926 that the decision was arrived at
by the Secretary of State to constitute a Public Service Commission. It had a
Chairman and four other members. The Commission started functioning from
October 1, 1926. It was to advise the Governor-General-in-Council on any
question connected with recruitment to All India Services, Central Service Class
I or Class 11. The hnctions assigned to the Commission were no more than of an
advisory character. The Lee Commission wanted the Public Service Commission
to be the final authority as far as recruitment to services in India was concerned.
But the Government of India, then, did not pay any heed to its recommendations
and so the Public Service Commission was constituted only with advisory
powers.
In 1930, the first Round Table Conference was held in London to provide an
opportunity to the representatives of different interests in India and those of
Britain for evolving an agreed scheme regarding the services and the Public
Service Commissions. It adopted a resolution that 'in every province and in
connection with the Central Government a Statutory Public Service Commission
shall be appointed by the Governor or the Governor-General as the case may be'.
(Proceedings of the Indian Round Table Conference (12 November 1930 - 19
January 1931 ) Report of Sub-committee on Series No. 8 (London, 1931);https://t.me/Upsc_Zone_Official
P 67).
Central Administration The Constitutional proposals of the British Government published on 15 March
1933 also provided for the establishment of Public Service Commis$ion in
provinces besides the Fede-iixt Public Service CommissioPI.
The Joint Committee on Indian Constitutional Reforms (1933-34) also agreed to
the same proposals and recobised the need for setting up more than one Public
Service Commission for the whole of India.
9.2.3 Second Period (1937-50)
(Government of India Act 1935)
The working of the Indian Public Service Commission during 1930-36 indicates
that the Commission was farm from being a powerful personnel agency. It was not
independent of the executive. The Government of India Act, 1935 under which the
provinces became fully responsible, extended the statutory authority of the duties
of the Civil Service Commission. With this Act coming into effect in 1937, the '
Public Service Commission was renamed the Federal Public Service Commission.
It also required the provinces to set up Public Service Commission of their own.
The Chairman and other members of the Commission were to be appointed by
the Governor-General. The number of members of the Commission, their tenure
of office, conditions qf service, etc. were to be determined by the Governor-
General. One requirement was that at least one half of the members of the
Commission, were to be those, who held office for at least ten years under the
Crown in India.
The functions and responsibilities of the Federal Public Service Commission
were also laid down in Section 266 of the Government of India Act 1935, many
of which were later incorporated in the Constitution of India. It was for the first
time that these functions were given a statutory sanction. The Commission was I
required to conduct examinations for appointment to the services. It was also ,

required to advise the government:
a) on all matters relating to methods of recruitment of the civil services and for
the civil posts.
b) on the principles to be followed in making appointments to civil services and
posts and in making promotions and transfers from one service to another
and on the suitability of the candidates for such appointment, promotion or
transfers.
c) on all disciplinary matters affecting a person serving in a civil capacity.
d) matters relating to any claim for reimbursement of expenses incurred if any,
by a government.servant is defending legal proceedings levied against him
for acts done in performance of his duties, and
e) questions of award of pension for injuries sustained by a government servant
in a civil capacity; and ahy other matter referred to the Commission by the
Governor-General.
9.2.4 Third Peri~d(1950 Till Date)
The Federal Public Service Commission continued to function in its present form
between 1947 and 1950. This was finally replaced by the Union Public Service
Commission (UPSC) after the new Constitution of India came into force on 26
January 1950.
India's independence ushered in a new era in certain respects for the Union
Public Service Commission (UPSC). The authors of the Indian Constitution
regarded the UPSC along with the judiciary and the Comptroller and Auditor
General as a bulwark lof democracy. They, therefore, not only vested it with a
constitutional status, but also provided elaborate safeguards for its independence
to enable it to be the watchdog of the ment system of staffing.
Check Your Progress 1 Union Public Service

CommissionlSeleetion
Note: i) Use the space given below for your answers. Commission
1) What were the important recommendation of the Lee Commission?
---.--.-------------------------------------------------------------------------------v---------------------------------.
2) The First Public Service Commission in India was set up in

a) 1919
b) 1937
c) 1926
d) 1909
3) Describe the functions of the Federal Public Service Commission as laid
down by the Government of India Act 1935.
9.3 CONSTITUTION OF UPSC

The constitution of India envisages three categories of Public Service
Commissions. The Union Public Service Commission is to serve the needs of the
services of the Union, a Joint Public Service Commission for the services of two or
more States and a State Public Service Commission (SPSC) for the services of a
State. While UPSC and SPSCs are constitutional bodies, a Joint Public Service
Commission is to be created by an Act of Parliament.
Composition, Appointment and Terms of Members
The UPSC is composed of a Chairman and other members of the Public Service
Commission. The Chairman and other members of the Public Service Commission
(Union or Joint) shall be appointed by the President and in the case of a State
Commission by the Governor of the State. The constitution does not fix the
number of members of the Commission, which is left, for the President to
determine. One half of the members of the Commission should be persons who
have held Office under the Government of India or of a State at least for ten years.
The Chairman and members of the UPSC hold Office for a term of six years or
until they attain the age of 65 years whichever is earlier. But a member's office
may be terminated earlier if (i) he resigns his Office in writing to the President or
(ii) he is removed from Office by the President.
A member may be removed from Office by the President if he is an adjudged
insolvent, OF engages in any paid employment outside the duties of his Office or,
is in the opinion
Downloaded of the
from:- President infirm in mind or body. Me cannot be removed
Central Administration from Office on any other ground except if the Supreme Court finds him guilty of
proven misbehaviour on a reference made to it by the President. The word
'misbehaviour' has been explained in the Constitution. A member shall be
deemed to be guilty of misbdhaviour if (i) he is interested or concerned in any
contract or agreement made on behalf of the Government of India or of a State or
(ii) if hd participates in any way in the profit of such contract or agreement in
common with the other members of an incorporated company.
9.4 FUNCTIONS OF THE UPSC

The functions of the UPSC as specified under Article 320 of the Constitution bear
resemblance to those of the Federal Public Service Commission as specified in
Government of India Act 1935.
These functions may be broadly classified into three categories, viz., (1)
regulatory; (2) executive and (3) the quasi-judicial.
1) Regulatory: Among the regulatory functions the UPSC advises the
government in matters relating to (i) methods of recruitment and (ii) the
principles to be followed in making appointments, promotion and transfer
from one service to another. However, unlike the regulatory jurisdiction
vested in the United States Civil Service Commission (USCSC), the UPSC
in India has hardly any such powers. The UPSC's jurisdiction is purely
advisory. Article 320 (3) of the Constitution merely states that it is the duty
of the Commission to advise the government on all matters relating to the
methods of recruitment to civil services, promotions and transfers. Thus,
unlike the USCSC, the UPSC cannot make regulations on personnel matters
which will be binding on all government departments. Although certain
functions of the UPSC are often described as being regulatory ones but in
reality these are purely advisory functions.
2) Executive Functions: The Commission has a specific constitutional duty of
conducting examinations for appointments to the services of the Union.
Under this provision the UPSC conducts many written examinations for
different categories of post annually, besides the holding of interviews for
selection of candidates for specialised and other categories of positions. Here
too it may be noted that the Commission's jurisdiction is narrowly restricted
to gazetted officers who constitute an insignificant proportion of the total
number of government employees. This means that the executive jurisdiction
of the Commission extends to only 1.9% of the total employees of the
Central Government.
Another executive function of the UPSC is to present annually to the
President a report of the work done by the Commission during the preceding
year. The President is obliged to place the report before both houses of the
Parliament with a memorandum explaining the cases, if any, where the
advice of the Commission was not accepted and reasons for such non-
acceptance.
3) Quasi-judicial Functions: The quasi-judicial jurisdiction of the UPSC is
limited both in scope and extent. In fact it has no true appellate jurisdiction.
It can only advise on disciplinary actions taken against employees.
According to the Constitution, the government should consult the
Commission on the following matters: ,
i) All disciplinary actions affecting a government employee like censure,

withholding of increments or promotion, reduction to a lower grade,
compulsory retirement, removal or dismissal from service, etc.
ii) Claims far reimbursement for costs incurred by an employee in legal
proseedinks instituted against him in respect of acts done in the
execution of his duty.
iii) Claims for the award of pension in respect of injuries sustained by an Union Public Service
CommissionlSelection
employee and any question as to the amount of any 'Zuch reward Commission
(Constitution of India, Article 320(3)(C)).
.
The UPSC derives its functions, apart from the Constitution of India as discussed
above, from other sources too like (a) the laws made by the Parliament, (b) rules,
regulations and orders of the executive, (c) conventions.
Under Article 321 of the Constitution, the parliament through legislation, can
c~nferadditional functions on the UPSC pertaining to the services of the Union or
the States. If necessary, the Parliament can place the personnel system of any local
authority, corporate body or public institution within the jurisdiction of the
Commission.
According to Article 318 and 320 of the Constitution, the Central Government
through certain regulations and orders entrust certain fbnctions to the Commission.
Also the President may define fiom time to time through regulations, the matters in
which the Commission need not be consulted.
The Commission also discharges certain functions, which through conventions
have been entrusted to it, though these are not stipulated in the Constitution. Under
the Constitution, recruitment to the Defence forces is beyond the purview of the
Commission, as the defence service is not a part of the Civil Service. But since
1948 the Commission has been conducting written tests for the selection of
scientists and technicians for the pool of highly qualified scientists and
technologists, who are deputed to Central Government, scientific institutions,
national laboratories, universities etc. These fbnctions are being discharged by the
UPSC on the basis of conventions only.
Limitations of the Functions of the UPSC
There are certain matters which have been kept outside the scope of the functions
of the UPSC. These include:
a) The Constitution of India, under Article 335, requires the government to .take
into consideration the claims of the members of the Scheduled Castes and
Tribes in the matters of appointment to various posts. As per Article 320(4)
the UPSC need not be consulted as regards the extent to which the
reservations are to be made for the candidates belonging to the Scheduled
Castes and Tribes. But once these conditions are determined, the
Commission as a recruiting agency proceeds with the process of selection.
b) The President has been empowered to make regulations excluding matters
from the purview of consultation with UPSC. All such regulations must be
laid before each House of Parliament for approval for a period of not less
than fourteen days. The Parliament if necessary can modify or annul them.
The posts, the recruitment of which does not require the advice of UPSC include
membership or chairmanship of tribunals, commissions, high powered committees,
posts of a highly technical and administrative nature and filling up of temporary
positions where appointments are made for less than a year.
9.5 ADVISORY ROLE OF UPSC

Though the Commission has been entrusted with important constitutional duties
and functions, it has been assigned only an advisory and consultative role. Under
the Government of India Act 1935, the position of the Federal Public Service
Commission also was advisory in nature. It was then felt that vesting of excessive
authority with the Commission would lead to its interference with the powers of
the executive. The fbnction of the UPSC is just to advice the government and the
executive is under no legal obligation to accept its advice.,
Central AdmlnistraCion The basic issue that i s raised is whether the Commission can effectively
discharge its functions with an advisory role. Therefore, the problem is whether a
Corn1nission constituted on the limited advisory basis would command the
confidence of the public and of the services to the degree which is necessary, if it
is to function effectively. But there is a viewpoint that Public Service
Corn1nission's role should be advisory in nature. This question was debated in
the Constituent Assembly also and the Constitution makers gave an advisory role
to the: Commission.
It may be held that under the Constitution, there are certain matters regarding
which the government is bound to take the advice of the Commission. Any
violation of this provision would be considered unconstitutional. But the
government is under no obligation to accept the advice of the Commission. At
the same time, a constitutional restraint is imposed on the non-acceptance of the
Commission's advice by the introduction of a new Article 323 in the
Constitution. In cases where the advice of the Commission is not accepted, the
government is required by this article to lay before the parliament a
memorandum explaining the reasons for such non-acceptance. Further, in dealing
with the Commission's advice, the power of Ministry or Department has been
deliberately restricted under which the advice cannot be rejected unless it has the
approval of the Appointments Committee of the Cabinet. No action can be taken
by any administrative department against the advice of the Commission unless it
has the concurrence of the Committee. On account of these checks, internal and
external, the number of cases of non-acceptance of the Commission's advice has
been negligible.
1) The Chairman and other members of the UPSC are appointed by the:
a) Prime Minister
b) Chief Justice of India
c) President
d) Parliament
2) What qre the executive functions of the UPSC?
3) What are the constitutional restraints imposed on administrative departments

in cases of non-acceptance of Commission's advice?

Union Public Service

9.6 LET US SUM UP Commission/Selection
Commission
The UPSC is an independent institution which has an important role to play as an
impartial and expert advisor to the government in matters of administration of
personnel. It occupies a very important place in our system which assists the
Government to maintain an efficient and impartial public service. In India, the
/
Government of India Act 1919 for the first time made the provision for the creation
of a Public Service Commission which was later strongly advocated in 1923 by the
Lee Commission. Finally, in 1926 the Public Service Commission was constituted,
with mainly advisory powers.
The Government of India Act 1935 categorically specified the functions of the
FPSC, most of which were later incorporated in the Constitution of India. After
independence, the Federal Public Service Commission was replaced by the
UPSC in 1950, which was given a constitutional status. Article 320 of the
Constitution specifies the functwns of the UPSC which are broadly of three types
- regulatory, executive and quasi-judicial. Apart from the Constitution, it derives
its functions from the laws made by the Parliament, rules, regulations, orders of
the executive, conventions.
The Constitution has vested the Commission with only advisory powers. Though
the government is not bound by the advice tendered by the Commission, it is
mandatory to submit to the Parliament an explanatory memorandum about cases
of non-acceptance.
All possible steps have been taken by the Constitution makers to ensure smooth
and effective functioning of the Commission without being influenced by any
political pressures. In a democracy the impartiality of the public service is very
important, which can be ensured only if the Commission hnctions
independently.
9.7 KEY WORDS

Censure : Severe disapproval
Patronaqe :. Practice of making appoints to Office through favour
9.8 WFERENCES AND FURTHER READINGS .

Bhale RF, C.N., 1966, Public Service Commlssions of India: A Study; Sterling
Publishqrs, Delhi
Jain, d . ~ . ,1967, A Compurutive Study of the United States Civil Service
Commissioq und the UPSC in India; (Ph.D. Thesis Indian School of International
Studies)
Muttalib, M.A., 1967, The Union Public Service Commission;IIPA, New Delhi .
Pai Panandiker, V.A., 1966, Personnel System for Development Administration;

Bombay
Sinha, V.M., 1986, Personnel Administration, Concepts and Comparative
Perspective; R.B.S.A. Publishers, Jaipur
9.9 ANSWERS TO CHECKYOURPROGRESS

EXERCISES
1) Your answer must include the followingpoints:
Main objective of settin9 ua o f Lee Commission in 1921
Central Administration Recommendations of the Commission regarding

- Establishment of Public Service Commission
- Membership, qualification of members
- Functions of the Commission
2) 1926
1) President
2) See Section 9.4.
3) Your answer should cover the following points:
Provisions of Article 323 of the Constitution
Concurrence of the Appointment Committee in case of non-acceptance
of Commission's recommendations.

UNIT 10 PLANNING PROCESS

Structure
Objectives
Introduction
Meaning of Planning
Need for Planning
Types of Planning
Genesis of Planning in India
Planning Machinery at Central Level
10.6.1 Orgarhation and Role of the Planning Commission
10.6.2 Internal Organisation
10.6.3 Committees on Plan Projects
10.6.4 Programme Evaluation Organisation
Role of National Development Council (NDC)
Problems of Centralised Planning
Let Us Sum Up
Key Words
10.0 OBJECTIVES
After studying this Unit you should be able,to:
0. Analyse the importance and meaning of planning and discuss its evolution in
India;
Examine the planning machinery at the central level;
Discuss the role of National Development Council; and
Explain the problems of centralised planning.
Planning represents the ethos of the age. The debate as well as the faith in
planning moves almost like pendulum from one end to the other. Intellectual
origin of planning can be traced back to many sources and circumstances but the
primary impetus for planning came from the Soviet experience. The importance
of planning was felt during the worldwide economic depression in the 1930s. It
I also led to prolonged debate on the need and the nature of planning.
Many countries in Europe and elsewhere resorted to some kind of planning with
an eye on military preparedness. The widespread destruction during World War
I1 in many countries in Europe and elsewhere projected the importance of
planning as a tool for reconstruction and the rehabilitation of the devastated
economies.
After World War 11, where many countries in Asia and Africa attained
independence, planning was regarded as an important and effective tool for rapid
socio-economic development. It was recognised that planning in thp developing
countries attained a central positioh of importance because in the developing
societies, state has to play a much more activist role in the economy in order to
fulfil the expectations of the people.,
10.2 MEANING OF PLqNNING

Planning is preparation for action. Planning is a conscious effort to achieve desired
ends. It is a rational method of application of resources for the blfillment of
specific objectives.
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Central Administration the government controls and regulates production, distribution, prices, etc., through
deciding on acts, purposes and strategies for development beforehand. The term
planning has been widely defined and in most cases the definition camed the same
viewpoint. Dimock defines planning as 'the use of rational design as contrasted
with chance, the reaching of a decision before a linesf action is taken instead of
improving after the action has started'. Millett defines, "Planning is the process of
determining the objectives of administrative effort and of devising the means.
calculated to achieve them". According to Urwick, "Planning is hndamentally an
intellectual process, a mental pre-disposition, to do things in an orderly way, to
think before acting, and to act in the light of facts rather than guesses. It is the anti-
thesis of.speculative tendency." Seckler-Hudson defined it as "the process of
devising a basis for a course of hture action'" Thus, planning is 'thinking ahead'
or thinking before doing. It is an intellectual process of determination of course of
action undertaken in a conscious manner.
In short, planning is the conscious process of selecting and developing the best
course of action to accomplish defined objective. Planning is thus the exercise of
foresight and network of action for defined goals.
10.3 NEED FOR PLANNING

The growth of human knowledge and its extending control over the environment
made human beings realise the increasing importance of planning in a society.
Planning is no more restricted to communist methodology nor associated with'
totalitarianism and authoritarianism.'~heold prejudice that plannifig is unfit for
democratic way of living is fast vanishing. Today planning has become riopular,
the politicians at the highest level plan a policy manning the hture of a nation, or
seeking the survival of humanity. Every aspect of governmental action is relating
the hture of a nation, or seeking the survival of humanity. Every aspect of
governme'ntal action is to be planned - objectives, policies, organisation,
finances, work methods, incentive systems and public relations. Programmes
based on well-reasoned priorities are invaluable for such countries as they cannot
afford to waste time, people or materia1. Drawing up plans, usually in the form of
five year programme& for public expenditures, in particular relating to capital
formation, has in many developing countries become the accepted practice under
whicb the responsible government agencies must look ahead, determine their
long ran.ge objectives and agree upon certain priorities in the light of the probable
demands of the various sectors of the economy. The programmes of the
individual government agencies are usually coordinated by a central planning
office in the light of overall available financial resources.
10.4 TYPES OF PLANNING

As the planning is of continuous process it is impossible to suggest water-light
categories of planning, None of the t@es of planning are self-contained, they are
mere ideal types. Following may be stated as the types of planning:
a) Overall Planning
b) Limited Planning
c) Administrative Planning
a) Overall Planning: The overall planning commonly called socio-economic
planning is more comprehensive. It is more than laying down a few economic
targets here and a k w physical targets there. It is an overall effort to achieve an
all round development of the country. This type was first adopted by Stalin in
USSR and being used in Russia since then. Most of the third world countries
are adopting this type. Four years and seven year plans are manifestations of
this type.
b) Limited Plannin~: Limited planning does not centralise all. the socio-
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The state opting for this type of
~lanningselects the main obiectives which the .society as a whole considers
fundamental. Through proper planning and regulation of the activities of the Planning Process
individuals and group it directs the life and activity of the society in such a
way that those objectives are attained.
c) Administrative Planning: Government planning is nothing but administrative
planning. The administrative planning is mainly concerned with administrative
programmes. It seeks to provide a broad framework for action as it defines
major objectives, establishes inter-bureau policy and links departmental policy
and programmes with the related depaments. Its main purpose is to give a
detailed shape to the policy plan, to make objectives clearer and more
workable.
Administrative planning may be divided into four different phases, viz., policy
planning, administrative planning, programme planning and operational planning.
A brief explanation of these phases is given below:
i) Policy Planning: Policy planning is concerned with developing broad general
outlines of government in power.
ii) Administrative Planning: According to Pfiffner it seeks 'to provide a broad
framework for action by defining major objectives, establishing inter-bureau
policy and to a lesser extent, linking departmental policy and programmes with
those of related departments'. This policy is formulated by the chief executive
in consultations with the departmental heads to give effect to the policy
planning and to make objective clearer and more workable for the public
officials.
iii) Programme Planning: According to Millett, it is 'concerned with the
preparation of the specific purposes to be realised and the procedures to be
employed by administrative agencies within the framework of existing public
policy'. It is an overall review of the proposed programme to determine the
volume of services involved, the resources in man and money needed to
provide them, the general procedures required and the organisation structure
necessary to use these resources to the best advantage. It is a detailed plan for
implementing the programmes in a particular department.
iv) Operation Planning: According to Pfiffner, it is 'concerned with &c
systematic analysis of an authorised programme and determination of ke
detailed means of carrying it out. After the objectives have been determined
<
and the means and methods of achieving those objectives have been found,
then comes operational planning by the divisional and sectional heads who lay
down specific procedures and how those have to be used to save time,
accelerate production and increase net output. The different units are assigned
specific functions and their performance measured in terms of time, quantity
and quality of production and overall product. It is, in fact, a 'workshopstage'
of the programme planning.
Besides the above types of planning, several new types of planning have emerged
in the recent years known as perspective planning, rolling plan, short range or
long-range planning, and district planning or grass root planning.
1) Define the tefm Planning.

Central Administration 2) Discuss need of Planning.
3) Explain the types of Planning.
10.5 GENESISfOFPLANNING IN INDIA

india has attempted to bring ab6ut rapid economic and social development of the
country through a planned effort. Although an awareness of the importance of
planning was manifest in the pre-independence era, realistic and ambitious
planning on an all-India basis could not be started effectively until India became
free in 1947 and its major problems growing out of the partition of the country and
the task of unification of the native Indian States were resolved.
The first effort at introducing social planning in India was made by an individual
noted for his pioneering zeal and breadth of vision, the late Dr. M.
Visveswarayya. In 1936 he published an essay underlining the desirability and
feasibility of planning for industrialisation of the country. For the formulation,
implementation and administration of the plan he had suggested formation of a
60-member advisory body, with political leaders, economists, businessmen,
administrators, etc., and a Planning Commission of five to seven members for
discharging day-to-day functions. He also recommended the setting up of a
development department at the Centre and Economic Councils in the provinces.
Though interesting as an intellectual exercise, this could not directly influence
any social actton or ady governmental move.
In 1937, soon after the assumption of pomr in the provinces, the Working
Committee of the Indian National Congress initiated planning preliminaries by
adopting a resolution which recommended to the Congress Ministry the
appointment of a committee of experts to consider urgent and vital problems the
solution of which wad necessary to any scheme of national re-construction and
social planning. Following this resolution, a Planning Committee was constituted
by Subhash Chandra Bose, the then President of the Indian National Congress
under the Chairmanship of Jawaharlal Neh~u.Later in 1944, the -g@ernm&nt
.
established a Planning and Development Board and publishkd three private
development plans - the Bombay Plan, the Gandhi Plan and the People's Plan. A
Planning Advisory Board was also constituted in 1946 after the establishment of
the interim government headed by Jawaharlal Nehru. These pre-Independence
efforts at planning tend to bring out a certain unity of approach to the problems
of national reconstruction in as much as each of these plans mooted not only had
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.,leans. All the plan proposals explicitly accepted the rapid improvement of the Planning Process
living standards of the people as the central objective of development.
The central theme of public policy and philosophy of national planning in India
since Independence has been promotion of balanced economic development so as
to provide foundations for sustained economic growth; for increasing,
opportunities for gainful employment, for promoting greater equality in incomes
and wealth and raising living standards and working conditions for the masses.
Even the Directive Principles of State Policy carries the same spirit of balanced
economic development. The Constitution of India includes the subject of social
and economic planning in the concurrent list. The legal basis for national
planning for the country as a whole, therefore, has been provided through a
parliamentary statute on the subject. The discussions on the setting up of a
planning machinery in 1949 had envisaged the establishment of a Planning
Commission and the creation of National Economic Council which would work
as an organ of intergovernmental cooperation in the economic and social fields.
Following the recommendations of the Advisory Planning Board of 1946, the
Planning Commission was established by a Cabinet resolution of March 15,
1950. The National Development Council was later constituted in 1952.
10.6 PLANNING MACHINERY AT CENTRAL LEVEL

The Planning Commission is the machinery for planning at the central level. The
Planning Commission is essentially a non-political advisory body which makes
recommendations to the government. It has no sanction of its own. Care has been
taken to organise it neither as a pure research institute, out of touch with the
various political, economic or administrative problems nor as an administrative
ministry, which is too closely involved in day-to-day affairs and is prone to lack
the perspective and detachment required of a national planning agency. Now we
are in the Tenth Plan process.
10.6.1 Organisation and Role of the Planning Commission
The Planning Commission is a multi-member body and the number of members
has varied from time to time. In the 'initial year of its inception, the Commission
concentrated mainly on plan formulation. It was composed of only full-time
members. The Prime Minister as Chairman of the. Commission provided the
needed close relationship with the Central Government. But over the years the
Commission got invdlved in a number of administrative matters and also gathered
to itself certain functions of a purely executive nature. The composition of the
Commission underwent a substantial change and a number of Union Ministers
were appointed as a part time member of the Commission. The Planning
Commission was reconstituted in August 1967 on the lines suggested by the ARC
except that the Prime Minister continued to be the Chairman of the Commission
and the. Union Finance Minister, its part-time member. In addition 'to full-time
members, which varies from three to eight, other Ministers of Central Government
have also been appointed as Members for certain specific reasons connected with
the portfolios. The appointment of Ministerial Members and Full Members varies
according to the party, which comes to power at the center.
Members of the Planning Commission
The composition of the Planning Commission as in 2004 is as Eollows.
Prime Minister - Chairman;
Deputy Chairman;
Minister of State (Planning);
Seven Full time Members; and
Member-Secretary.
Central Administration '

The Planning Commission functions through several divisions and sections, each
headed by a Senior officer, usually designated as Advisor or Chief or Consultant or
Joint Secretary or Joint Advisor. The full time members of the Planning
Commission assume responsibility for the day-to-day work of particular divisions,
although the Commissioh functions as a composite body and tenders advice jointly
on all-important matters.
The Prime Minister of India being the Chairman of the Planning Commission
ever since its inception has added considerably to the prestige of the Comrfiission
and helped it a great deal in its coordinating functions at the political level.
Role of Planning Commission
The Planning Commission has been assigned a lot of functions.
1) The Commission makes an assessment of the material, capital and human
resources of the country, including technical personnel and investigate the
possibilities of augnlenting such of these resources as are found to be deficient
in relation to the nation's requirements;
2) It formulates a plan tor the most effective and balanced utilisation of the
country's resources;
3) On a determination of priorities, the Commission defines the stages in which
the plan should be camed out and propose the allocation of resources for the
due completion of each stage;
4) It indicates the factors which are tending to refund economic development
and to determine the condition for the successful execution of the plan;
5) It also determines the nature of machinery which would be necessary for
securing the successful implementation of each stage of the plan in all its .
aspects;
6) It appraises from time to time the progress achieved in the execution of each
stage of the plan and to recommend the adjustment of policy and measures
that such appraisal might show to be necessary; .
7) Moreover, it makes lsuch interim or ancillary recommendations as might be
appropriate on the prevailing economic conditions, and current policies.
In addition to the above, the Government of-India Allocation of Business Rules,
has assigned responsibility to the Planning Commission in respect of:
a) Public cooperation in national development
b) Hill Area Developmpt Programme .
c) Perspective planning
d) Directorate planning,and
e) National Informatics Centre (NIC)
fi is, thus, that the Planning Commission was established as a staff agency to
prepare national plan for economic development of the country.
10.6.2 Internal Organisation
The Office of the Planning Commission consists of three types of divisions (1)
General Division, (2) Subject Division and (3) Services Divisi0.n. The work of
the first two types of divisions is primarily technical, of the third administrative
or secretarial.
The General Divisions are concerned with certain special aspects of the entire
economy. These are:
I ) Economic Divisions: Financial Resource Divisiort, Development Policy
Division, International Economics Division and Socio-Economic ~esearch
Unit;
2) Perspective Planning Division;
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Planning Process
4) Statistics and Surveys Division;
5) State Plans Division, including multi-level planning. Border Area
Development Programme, Hill Area Development and North Eastern Region
(NER);
6) Project Appraisal and Management Division;
7) Monitoring and Information Division;
8) Plan Coordination Division; and
9) National Informatics, Yojana Bhawan Unit.
Among the General Divisions, the perspective Planning Division provides general
guidance for work on long-term development which is undertaken in detail in
different divisions. Coordination of work within the Planning is undertaken by the
Plan Coordination Division.
Subject divisions are concerned with certain specified fields of development.
Some Subject Divisions are:
1 ) Agriculture Division
2) Backward Classes Division
3) Communication & Information Division
4) Development Policy Division
5) Education Division
6) Environment & Forest Division
7) Financial Resources Division
8) Health, Nutrition & Family Welfare Division
9) Housing, Urban Development & Water Supply Division
10) Industry & Minerals Division
1 1 ) International Economic Division
12) Labour, Employment and Manpower Division
13) Multi-level Planning Division
14) Monitoring Division
15) Perspective Planning Division
16) Plan Coordination Division
17) Power & Energy Division
1 8) Programme Evaluation Organisation
19) Project Appraisal & Management Division
20) Rural Development Division
2 1 ) Science & Technology Division
22) Social Developmetn & Women's Programme Division
23) Social Welfare Division
24) State Plans Division
25) Transport Division
26) Village & Small Enterprises Division
27) Water Resources Division
28) Administration & Services Division
29) Other Units
Border Area Development Programmes
Socio-Economic Research Unit
Western Ghat Development
The Subject Divisions of the Planning Commission maintain close contact with
their counterparts in the various Ministries and the State Governments. They are
responsible for collecting, processing and analysing all relevant information
required for the formulation, processing and evaluation of the policies and
programmes included in the Plan.
Central Administration Advisory Board on Energy which was functioning as a Unit under the Cabinet
Secretariat was transferred to the Planning Commission with effect from Is'
September 1988. Consequently, a new technical division, viz., 'Energy Policy
Division', has been setup in the Planning Commission.
The National Informatics Centre, which was earlier under. the Department of
Electronics, was transferred to the Planning Commission with effect fiom ~ 1 4 ' ~
March 1988. Since then, it has become a part of the Planning Commission. The
Computer Services Division, which was earlier functioning under the Advisor
(Monitoring and Information) has now been merged with the National
Informatics Centre. Apart fiom research and plan formulating structural units
described above, the Planning Commission has Services Division which is
conceked with the administration, accounts and general services, required for
the commission. The general administration including accounts is under the
overall charge of the Secretary, Planning Commission. The Accounts Branch
functions with an Intcmal Finance Advisor and Controller of Accounts who
works under the ambit of General Administration.
Check Y ~ u rProgress 2
Note: i j Use the space given below for your answers.
ii) chick your answers with those given at the end of the Unit.
1) How did Planning evolve in India?
2) Write about the organisation of Planning Commission,
. ___________________-------------------------------------------------------------------------------y-----------------------------
3) Discuss the role of Planning Commission.
------- ------------------ - ---------

10.6.3 Committee on Plan Projects
An analysis of the Second Five Year Plan indicates the traditional view of
economy, namely reduction in the staff strength, which has become outmoded in
the context of the Plan. The real issue in the plan expenditure requires a great deal
of thought and effort in standardising the practices and procedures of execution in Planning Process
order to ensure realistic estimation of costs; to achieve basic economy based on
scientific development of the techniques from the inception of the projects; and to
set ur.dnorms and standards for evaluation. It was against such background that the
T'Pf P was established in 1956 for exploring the possibility of achieving economy
consistent with efficiency in the projeLts included in the second Plan. It had the
Home Minister as Chairman and Ministers for planning and finance and Deputy
Chairman, Planning Commission.as members. In addition, the Prime Minister, as
Chairman of the National Development Council nominated two Chief Ministers of
the States as members of the Committee for each 'class of Projects. The Union
Member concerned with a project under investigation was also a member of the
Committee.
Some of the important functions entrusted to the COPP were to:
a) organise investigation, including inspection in the field of important projbcts,
both at the Centre and in the States, through specially selected teams.
b) initiate studies with the objectives of evolving a suitable form, of
organisation, methods, standards and techniques for achieving economy,
avoiding waste and ensuring efficient execution of projects.
C) promote the development of suitable machinery for continuous efficiency
audit in individual projects and in agencies responsible for their execution.
d) secure the implementation of suggestions made in reports submitted to it and
to make the results of studies and investigations generally available and
e) undertake such other tasks as the National Development Council may
propose for the promotion of economy and efficiency in the execution of the
Second Five Year Plan. The COPP, as a separate entity was wound up in
1970. 1
. 10.6.4 Programme Evaluation Organisation

Evaluation has been an essential aspect of formulation and execution of
development plans and programme? since the beginning of the plan process. The
Programme Evaluation Organisation was set up in 1952 as an independent
organisation working under the general guidance and direction of the Planning
9
Commission. Initially, it was entrusted with the specific task of evaluating the
Community Development Programme and other intensive area development
schemes. But in recent years the organisational sphere of work and activities has
been extended. and diversified to cover evaluation studies of '
Plan/Programmes/Schemes in a variety of sectors, viz., kgriculture, Cooperation,

Rural Industries, Health, Family Welfare, Rural Development, Public Distribution,
Tribal Development, etc.
The Programme Evaluation Organisation evaluates projects and programmes
periodically and undertakes ex-post evaluation of a few selected major projects
in different sections.
The main function of the Prneramme Evaluation Organisation is to undertake
evaluation studies which encompass: (1) assessment of programme results
,against the stated objectives and targets; (2) the measurement of their impact on
beneficiaries; (3) the impact on the socio-economic structure of the community;
(4) the delivery of service to the target group. In addition to this Pr~gramme
Evaluation Organisation has also been discharging two more functions, viz., (a)
giving technical advice and guidance to the State Evaluation Organisations and
(b) imparting training to the State Evaluation Personnel.
10.7 ROLE OF NATIONAL DEVELOPMENT

COUNCIL (NDC)
The NDC is headed by the Prime Minister and consists of \he Central Ministers,
Chief Ministers of the States and Lt. Governors, Administrators of Union
Central Administration Territories and Members of the Planning Commission. It.is a nodal body, whicl
considers and approves policies and strategies of development planning. The
Secretary of the Planning Commission acts as the Secretary of the Council. From a
strictly legal point of view, NDC is essentially an advisory body. Since, it
comprises the highest political authority in the country it has assumed an important
position, The meetings of NDC are held at least twice a year. The role of the NDC
is discussed briefly:
i) It acts as a kind of bridge between the Union Government, the Planning
Commission and the State Governments.
ii) NDC prescribes guidelines for the formulation of National Plan including the
assessment of resources for the Plan.
iii) NDC considers the National Plan as formulated by the Planning
Commission.
iv) NDC considers important questions of social and economic policy affecting
national development.
v) It also reviews the work of the Plan from time to time and recommends such
measures as are necessary for achieving the aims and targets set out in the
national plan including measures to secure the active participation and
cooperation of the people, improve the efficiency of the administrative
services, ensure the fullest development of the less advanced regions and
sections of the community and, through sacrifice, borne equally by all the
citizens, build up resources for national development.
The NDC gives its advice at various stages of the formulation of the Plan and it is
only after its approval has been obtained that a Plan is presented to the Parliament
for its consideration. The Council has been largely responsible for giving Indian
plan a national character and for ensuring unanimity in approach and uniformity in
working.
10.8 PROBLEMS OF CENTRALISED PLANNING

Ever since 1951, when the First Five Year Plan went into operation, right through
the formulation of the Seventh Five Year Plan in recent years, India has been
following national policy of central planning for controlled and unified
development. This has given rise to a number of problems in administration:
1 ) Whether planning should come from above or below?
2) To what extent should the society be subject to planning and how the people
should be associated in the formulation and execution of plans?
3) What modification should be made in the relationship between the Centre
and the States which have distinct powers in a federal constitution so as to
make centralised plqnning effective?
4) Who should constitute the members of the planning body?
5) If the planning body is set up outside the normal executive organisation of
the government, as the Planning Commission in this country is, should its
advisory services be arranged in the existing organisation or should it have
an administration of its own for this purpose?
6) To what extent should the Planning Commission concern itself with the
details of the Plan?
7) What should be the Planmng Commission's responsibility in reviewing the
progress of the Plan and what reports is the Planning Commission entitled to
ask from the executive authorities?
8) What is the mechanism for dove-tailing the work of the planning machinery
in the states with thak of the centre, etc.?
Although some of these problems have been taken care of in the initial
establishment of the Planning Commission and its subsequent reorganisations, it
Downloaded from:- must be confessed that the administrative organisation
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haphazardly without any systematic examination of these problems. The result is Planning Process
that Planning Commission today is a mammoth organisation, almost 'a parallel
government' in the words of Pandit Nehru.
It is to be noted that the Planning Commission and the National Development
Council are not constitutional bodies. Now we have a constitutionally mandated
District Planning Committee in every District, for further reading vide-the
planning process.
I) Describe the functions of Programme Evaluation Organisqtion.
2) Discuss the importance of National Development Council.
3) Examine the problems of centralised planning in India.
10.9 LET US SUM UP

We have seen in the foregoing pages what is the importance and meaning of
planning and how it has evolved in India. We have analysed the organisation and
role of the Planning Commission. With NDC playing an imporllnt role, we have
also seen that since India has opted for a centralised planning, she is faced with
several administrabive problems. Though many of these problems have been
tackled with, a systematic examination of these is yet to be done.
10.10 KEY WORDS

Planned Economy : detailed scheme, method, etc. put together for
achievement of development goals. https://t.me/Upsc_Zone_Official
Central Adminlstration Rolling Plan : During the three years (1977-79) of Janata-Lok Dal
rule an attempt was made to change the planning
system by introducing the concept of rolling plan.
The Rolling Plan system had the following features:
i) year to year targets were to be se t fir sectoral
outlays and output for major sectors within the
five year plan, and
ii) the horizon of the five year plan was to be
extended by working out these selected sectoral
targets for one additional year at the end of each
year.
Totalitarinism : Characterises a dictatorial one party state that
regulates every realm of life.
i o . i i R E F ~ N C E AND
S FURTHER READINGS
Dubhashi, P.R., 1976, Economics, Planning and Public Administration; Somiya
Publications Private Limited, Bombay
Krishnamachari, V.T., 1962, Fundamentals of Planning in India; Orient
Longmans, Bombay
Paranjape, H.K. 1970, The Reorganised Planning Commission: A Study in the
Implementation of Administrative Reforms; Indian Institute of Public
Administration, New Delhi
Prakasha Rao, V.L.S., 1963, Regional Planning; Indian Statistical Institute,
Calcutta
EXERCISES
1) See Section 10.2.
Important features of the essay published by the late
.
Dr. M. Visveswarayya in 1936 emphasising on the desirability of
planning in India.
Establishment of planning and Development Board in 1944.
Constitution of Planning Advisory Board in 1946.
Setting up of planning Machinery af&r Independence.
Check Your Progress3
',2) See Section 10.7
Constitution of members of the planning body
Modifications in the relationship between the centre and the shtes to make Planning Process
centralised planning effective .
Association of people in the planning process
Nature of the Planning Commission's responsibility in review of progress

UNIT 11 ALL INDIA AND CENTRAL SERVICES

Structure
1 1.0 Objectives
1 1.1 Introduction
1 1.2 Historical Development
1 1.3 Constitution of All India Services
1 1.3.1 Indian Administrative Service
1 1.3.2 Indian Police Service
1 1.3.3 Indian Forest Service
1 1.4 Importance of Indian Administrative Service
1 1.5 Recruitment of All India Services
1 1.5.1 Training of All India Services Personnel
1 15.2 Cadre Management
1 1.6 Need for All India Services
1 1.7 Central Services
1 1.7.1 Recwihent
1 1.7.2 Tra~ningand Cadre Management
1 1.7.3 Indian Foreign Service
1 1.8 Let Us Sum Up
1 1.9 Key Words
1 1.10 References and Further Readings
1 1.1 1 Answers to Check Your Progregs Exercises
r 1.0 OBJECTIVES
'lfter studying this Unit you should be able to:
Explain the historical development, importance and need of the All India
Services;
Discuss the recruitment and training methods of the All India Seryice; and
Through light on the classification, recruitment and training of the Central
Civil Services.
11.1 INTRODUCTION
A unique feature of the Indian Administration system, is the creation of certain
services common to both - the Centre and the States, namely, the All India
Services. These are composed of officers who are in the exclusive employment of
neither Centre nor the States, and may at any time be at the disposal of either. The
officers of these Services are recruited on an all-India basis with common
qualifications and uniform scales of pay, and notwithstanding their division among
the States, each of them forms a single service with a common status and a
common standard of rights and remuneration.
Like other federal polities the Centre and the constituent states, under the Indian
Constitution, have their separate public services to administer their respective
affairs. Thus, there are Central or Union Services to administer Union subjects,
like defence, income tax, customs, posts and telegraphs, railways, etc. The
officers of these Services are exclusively in the employment of the Ur~ion
Government. Similarly, the states have their own separate and independent
services.
11.2 HISTORICAL DEVELOPMENT

Ever since the creation of the Indian Civil Service
in the days of the East India
Cnmnnnv thew hna alwnvs existed i n lndin nn All-Tndia cadre of service T h e All-
India cadres were introduced almos~in all departmehts of the Central Goveniment. All Irdla and-Central
These services were, however, not under the control of the Governor-&grid; Services
they were directly under the Secretary of State for India and his Council,,,No.All-
India service officer could be dismissed from his service by any tither' ailthoiity
than the Secretary of State-in-Council, An officer had a right of appeal to that body
.if he was adversely dealt with in important disciplinary matters. His salary,
pension, etc. were not subject to the vote of any Indian legislature. I
These elitist Services, unresponsive and unaccountable to public opinion, found

it difficult to adjust themselves to the reform-era introducing every limited
responsible government under the Government of India Act of 1919. The ~ e e
Commission in 1924 recommended the abolition of certain all India Services,
particularly those dealing with departments that had been 'transferred' to Indian
hands under the Act of 1919 namely the Indian Educational Service, Indian
Agricultural Service, Indian Veterinary Service and the Roads and Building
Branch of the Indian Service of Engineers. It, however, recommended the
retention of the Indian Civil Service, Indian Police, Indian Forest Service, Indian
Medical Service and the Irrigation Branch of the Indian Service of Engineers. It
also recommended the increasing Indianisation of these Services. The
Commission further recommended that any British officer should be free to retire
on a proportionate pension if at any time the department in which they were
employed should be transferred to the control of responsible Indian ministers.
These recommendations were implemented in practice.
Further changes were made in the position of these Services by the Government
of India Act of 1935. Indians had always been demanding the abolition of All
India Services. It was argued before the Joint Select Committee of the British
Parliament considering the draft of the Act of 1935, and emphasised by the
British India delegation in their Joint Memorandum. It stated that further
recruitment by the Secretary of State of Officers serving under the Provincial
Governments which were to be handed over to popular control was undesirable,
and that Services in future be recruited and controlled by the authorities in India.
The Joint Committee, however, only partly accepted such demands, and
recommended the continuance of ICS, IP and IMS (Civil). This recommendation
'was embodied in Section 224 of the Act of 1935. Thus, at the time of transfer of
power in 1947 recruitment was open only to two all India services, namely the
ICS and the IP, the recruitment to the IMS had been suspended. The most
important and the highest ranking of all such services was the Indian Civil
Service commonly known as the ICS which owing to its very high remuneration
and enormous authority and prestige, constituted the 'steel frame' of the British
Government of India. When the British were leaving India, there were ten all
lndia services and twenty-two Central Services. While guaranteeing the rights of
the old Services, the new Indian Government had foreseen the need for replacing
them with Services controlled and manned by Indians. In fact, as early as
October, 1946, Sardar Patel, the then Home Member in the Governor General's
Executive Council, had secured the agreement of the Provincial Governments to
the formation of the two new all India services, namely the Indian Administrative
Service (IAS) and the Indian Police Service (IPS), which were to replace the old
ICS and IP.
11.3 CONSTITUTION
-
OF ALL INDIA SERVICES
- - --
The Constitution also provides for the all India cadre of Civil Services. It adopts
specifically the IAS and the IPS cadres which had already been created earlier
(Article 312-2). It empowers the Union Parliament to create more of such all
India services whenever it is deemed necessary or expedient in the national
interest, provided the Council of States (the Upper House) passes a resolution to
the effect supported by not less than two-thirds of the members present and
voting (Article 312-1). Since the Council of States is composed of the
<
Central Administration representatives of different States, its support will ensure the consent of the
States to the creation of new Services. The Constitution also authorises the
Parliament to regulate by law the recruitment and the conditions of services of
persons appointed to these Services. Accordingly, the All India Service Act was
passed by the Parliament in October 1951. Since the inauguration of the
.
Constitution,
,.. only one, namely, the Indian Forest Service, has been setup.
111-1951 All India Services Act was passed. By virtue of powers conferred by
sub-section (1) of section (3) of this Act the Central Government framed new
sets of rules and regulations pertaining to the All India Services. It became
necessary because the old rules at certain places had become redundant. The
rules that were in force before commencement of the Act were also allowed to
continue. Thus, there came into existence two sets of rules regulating the
conditions of All India Services. The old rules made by the Secretary of State, or
the Governor General in Council, which regulated the conditions of service of
ICS and IP officers, and the new rules made under the 1951 Act were applicable
to the officers of the Indian Administrative and Police Services.
11.3.1 Indian Administrative Service
The Indian Administrative Service (IAS) is the direct descendant of the old Indian
Civil Service. As an all India service, it is under the ultimate control of the Union
Government, but is divided into State cadres, each under the immediate control of
a State Government. The salary and the pension of these officers are met by the
States. But the disciplinary control and imposition of penalties rest with the Central
Government which is guided, in this respect, by the advice of the Union Public
Service Commission. On appointment, the officers are posted to different State
cadres. The strength of each State cadre, however, is so fixed as to include a
reserve of officers who can be deputed for service under the Union Government
for one or more 'tenures' of three, four or five years before they return to the State
cadre. This ensures that the Union Government has at its disposal the services of
officers with first hand knowledge and experience of conditions in the States, while
the State Governments have the advantage of their officers being familiar with the
policies and programmes of the Union Government. Such an arrangement works
for the mutual benefit of both governments. The majority of individual officers
have an opportunity of serving at least one spell of duty under the Union
Government; many have more than one such spell. The practice of rotating senior
officers in and out of the Secretariat position is known in official parlance as the
tenure system.
Another distinctive feature of this Service is its multi-purpose character. It is
composed of 'generalist administrators' who are expected, from time to time, to
hold posts involving a wide variety of duties and functions; for example,
maintenance of law and grder, collection of revenue, regulation of trade, commerce
and industry, welfare activities development and extension work, etc. In brief, the
IAS is intended to serve all the purposes formerly served by the ICS except
providing officers for the judiciary. Thus, this Service is a kind of generalist
service, and its officers are liable for posting in almost any branch ,of the
administration.
11.3.2 Indian Polite Service
The Indian Police Service is an original all India Service (it had pre-independence
origins) which differs frbm its compeer - the IAS in two ways: (i) most of the
officers in this service work only in the state since there are only a few police posts
at the Centre and (ii) its pay scale apd status are lower than those of the IAS. The
officers of the IPS are recruited from the same unified All India Civil Service
examination which recruits all members of thehttps://t.me/Upsc_Zone_Official
Downloaded from:- https://t.me/Pdf4Exams IAS, IFS and other Central Civil
Services. Recruits to the IPS are first given a five months foundational training and All India and Central
Services
later special training at the Sardar Pate1 National Police Academy, Hyderabad. The
subjects of study and the training is drill, handling of weapons, etc., which have a
direct bearing on the normal work of a police officer. The syllabus of training
includes studies of crime psychology, scientific aids in detection of crime, methods
of combating corruption and emergency relief. After completing a year's training,
the probationer passes an examination conducted by the UPSC. He is, then
appointed as an Assistant Superintendent of Police. But, before this appointment he
has to undergo a year's programme of training; he is given practical training which
requires him to do the work of various subordinate officers. It is only after this that
he is appointed an Assistant Superintendent of Police.
As an all India Service it is under the ultimate control of the Union Government,
but is divided into state cadres, each under the immediate control of a state
government. The Indian Police Service is managed by the Ministry of Home
Affairs, though the general policies relating to its personnel are determined by
the Department of Personnel and Administrative Reforms.
1 1.3.3 Indian Forest Service
The Indian Forest Service is the only all India Service that has been set up after
independence. It became operational by an Act of Parliament in 1963. Its pay scale
and status is lower than that of the two original all India Services - the IAS and the
IPS. Its recruits are chosen from an exclusive examination conducted by the Union
Public Service Commission which consists of a written test and interview. Though
it is an All India Service, its nature is not that of a generalised civil service, but is
specialised and fbnctional. It is managed by the Department of Personnel and
Administrative Reforms which is in charge of making rules of recruitment,
discipline and conditions of service regarding all India Services.
After selection the appointees undergo a foundational course lasting three months
along with successfbl candidates of the other all India and Central Services. After
the foundation course, the probationers move to their own Academy (Indian Forest
Institute) at Dehradun for a rigorous two year training course, the end of which
they have to pass an examination before fonnal posting.
The Indian Forest Service is cadre-based as in the case of other All India Services.
Like all other All India Services, a member of this Service can comq to the Centre
on deputation but has to go back to his cadre after the period of deputation is over.
Immediately, after being posted in any Office within the cadre he is kept on
probation for one year whereafter he gets his regular posting at a different Office in
the same cadre. The outer parameter of the operational area is a state or union
temtory.
1) Trace the evolution of the All India Services after the Government of India
Act of 1919 till the advent of independence in 1947.

Central Adminbtrdon 2) What are the constitutbnal provisions regarding the All India Services?
*
- - -----------
.---.--------. ---.--
6 ------.------- ---- ---------
--------.-----------
3) Explain the 'tenure' and the system of 'dual control' with reference to the
Indian Adrninispative Service.
4) What are the major points of difference between the AS and IPS?
11.4 IMPORTANCE OF INDIAN ADMINISTRATIVE

SERVICE
We will now discuss the distinct role of the Indian Administrative Service. The
Indian arrangement cteating a common pool of officers, who are in the exclusive
employ of neither theicentre nor the states and fill the top posts in both Union and
State administrations, comes nearest to the ideal of joint action, co-operation and
co-ordination, between the two levels of government as envisaged in a federal
polity. On'the one hand, a single integrated federal service common to both the
Centre and the States would be a negation of State autonomy. On the other hand, if
the federal government is denied its own services, one of the two results may
follow - either the State services will be reduced to the status of being mere agents
of the Central Goveniment, or the Central Govemment may find itself helpless in
case of non-cooperative attitude on the part of the State services. The Indian
experiment avoids both by providing separate and independent Union and State
services and yet facilities coordination and cooperation, and, if necessary, joint
action between the two levels of government by creating a common cadre of
officers at the top level. It also avoids the possibility of the best brains preferring
Federal service to State service, leaving the latter to be manned by the second or
the third best. As it is, the all-India services, being recruited by the Union
Government on an all-1ndia basis, attracts the best persons who are then posted to
different states. Such service cadres, thus, arehttps://t.me/Upsc_Zone_Official
a means for carrying a wider stock of
talent to States. No better way of strengthening the State services can possibly be All India and Central
Services
suggested. Again, constant transfers of such officers from the States to the Centre
and back makes them aware of and conversant with the administrative p r o b l q at
both levels of the Government. Such officers, therefore, can be the best agents for
carrying out administrative coordination between the federal and State
administration.
115 RECRUITMENT OF ALL INDIA SERVICES

We shall now describe briefly the method of recruitment to the All India Services
in India. As mentioned earlier, the recruitment is made by the Central Government
on the basis of a competitive examination annually conducted by the Union hblic
Service Commission (UPSC). The examination is a combined one - for a numb&
of services like the IFS, IAS, IPS and the Central Services Class I and 11. To appear
at the examination, a candidate must be between the age of 21. and 30. Only a
University graduate (one holding B.A. or B.Sc. or an equivalent degree) can appear
at the examination. The examination combines a written test of a high standard
with a 'personality test' by the Union Public Service Commission in the form of a
personal interview. The former aims at judging the level of intelligence and
academic learning and the latter attempts to make a measure of the qualities of
personality and character. The examination system is .modelled on the British
'general' type rather than the American 'specialised' type.
There is a provisidn for relaxation of age upto a maximum.of five years for SCIST
candidates and three years for candidates belonging to OBC category. The number
of permissible attempts to appear in the examination has been restricted t~ four,
with relaxation for OBC candidates (seven attempts) and SCIST candidates (no
limit).
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 IFS only) out of another list of
subjects each carrying 200 marks were to be offered. The candidates who
qualifJed in the, written examination were called for interview, which carried 300
marks. The candidates who failed to secure a minimum of 33% of qualifying
marks in the interview were declared unsuccessful, and it wasabolished in 1958.
The interview marks were added to the marks obtained in the written papers. After
this, the Commission recommended the list of selected candidates in order of merit
to the government.
The above system ~f recruitment in the All India Services was criticized from a
number of view points, and the UPSC decided to_wview 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 UPS
Committee submitted its report in 1976 and made the following
1) To hold a Preliminary examination to screen the candidates for the Main
examination;
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
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Academy,from:- https://t.me/Pdf4Exams
taking into account the candidate's for the services;
Central Administration 5) To allow the catldidates to answer all papers, except the language paper, in any
language listed in the Eighth Schedule of the Constitution, or in English.
The Kothari Committee's recommendations regarding the examination scheme
(preliminary and main) was accepted by the government, and it was implemented
by the UPSC in 1979.
Satish Chandra Committee
The UPSC set up another Committee in 1988 under the Chairmanship of the
former UGC Chairman Satish Chandra to review and evaluate the system of
selection to the higher Civil Services and to make suggestions for further
improvement. The Committee submitted its Report in I993 and the government is
gradually implementing some of th recommendations with effect from the Civil
Service Examination of 1993. The main recommendations as accepted by the
government are:
1) The practice of holding a common examination should continue;
2) An essay paper should be introduced fiom 1993 examination, and the
candidates should be allowed to answer this paper in any one of the languages
included in the Eighth Schedule or in English;
3) The marks for the personality test should be raised from 250 marks to 300;
4) From the list of optional subjects certain languages like French, German,
Arabic, Pali should be excluded;
5) For both Preliminary and Main Examinations Medial Science should be
included as an optional subject;
6) Allotment of services should be on the basis of the candidate's rank and
preferences;
7) LBS Academy of Administration should be developed into a high level
professional institution;
8) Adequate infiastructural facilities and proper faculty support should be
provided to the training institutions;
9) The UGC may review the scheme of conducting coaching classes for students
belonging to the minority communities to enable them to compete in various
competitive examinations.
Present Pattern of Civil Services Examination
The competitive examination comprises three successive stages: (a) Civil Services
(Preliminary) ~xamination, (b) Civil Services (Main) Examination, and (c)
Interview.
a) The preliminary Examination consists of two papers of objective type
(multiple choide questions) and carry a maximum of 450 marks: on paper on
general studies having 150 marks, and another paper of 300 marks on one
subject to be selected from a list of optional subjects. The question papers
are set in English and Hindi. The Preliminary Examination is meant to serve
as a screening test only; the marks obtained in this examination by the
candidates who are declared qualified for admission to the Main
Examination are not counted for determining their final order of merit. The
number of candidates to be admitted to the Main Examination is twelve to
thirteen times the total number of vacancies in the year.
I I
b) The Main Examination consists of a written examination and an interview
test.
The written examination consists of 9 papers of conventional essay type.
The nine ~ a ~ e rm:
zt
All India and Central

Paper-I One of the Indian 300 marks Services
languates to. be
selected by the
candidate from the
languages included in
the Eighth Schedule
of the constitution
Paper-I1 English 300 marks
Paper-111 Essay 200 marks
Paper-1V General Studies 300 marks for each

Paper
Paper-V
Paper-VI Any two subjects to 300 marks for each

be Paper
Paper-VII & VIII Selected from the list
of optional subjects
Paper-IX Each subject will have

two papers.
It is to be noted that the papers on Indian languages and English are of

Matriculation or equivalent standard and are of a qualifying nature; the
marks obtained in the papers will not be counted for ranking. Moreover, the
papers on Essay, General Knowledge and optional subjects of only such
candidates will be evaluated as attain such minimum standard fixed by the
UPSC. The Paper-I on Indian Languages is not, however, compulsory for
the candidates hailing from certain North-Eastern States like Manipur,
Mizoram.
The question papers for the examination are of conventional (Essay). type,
and each paper is of three hours duration. The candidates may answer all the
question papers, except the language papers in any one of the languages
included in the Eighth Schedule. The question papers other than language
papers are, however, set both in Hindi and English.
\
c) The candidates securing minimum qualifyiwmarks in the civil Services
(Main Examination, as stipulated by the UPSC, are called for an interview
for personality test. The Candidates are interviewed by a Board and are
asked question of general interest. The o b j h of the interview is to assess
the personal suitability of the candidate. for a career in Public Service. The
test is intended to judge the mental caliber of a'caiklidate. The interview
carries 250 marks.
The rank-order list of candidates is prepared on the basis of total marks
secured in the -Main Examination and interview. The alIocation of
candidates to different services is made on the basis of their rank in the tests
and preferences. The rank order list is forwarded by the UPSC to the
government for hrther necessary action.
11.5.1 Training of All India Service Personnel
Recruits to .tKe- All India and Central Services are given a five months'
foundational course and then special training in the training institutio-ns for
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-
Central Admlnlstration
and social fitpxxv*

9
respectin acivicg$.- e idmi-un&lyinb fhe {f~und~tional) course is that officers of
the higher semi& s td acquire an understanding of the constitutional, economic
with& which they ,have to function, .as these largely
determine the &I@it$ and &ogrammes towards the fmming and execution df
which they w'ill,hiivel ta make their contribution. They should, further, acquaint
themselves witk'the &hi,ery of Government and the broad principles of Public
.
Administration.. The foundational course is also intended to cover such mattes as
. aims kid obligati&ns of the Civil Service, and thk ethics of the profession.
Foundational course ailsu'develops among recruits to different services a feeling of
'belongingness to c o b o n public service and a broad common outlook. After
completing this five months' foundational course the probationers of the services
other thatl the IAS, Mave for their respective training institutions for institutional
training, but the TAS hmbationers stay at the Academy to undergo a M h e r course
of institutional training.
From 1969, the Government has introduced a new pattern of training called the
. '~'sandwichbcourse,for the Indian Administrative Service. The new entrants to I ~ S
-undergo two spells of training at the Academy with an interval of about a year
- whbh is utilised for foundational course. After completion of the foundational
course and spell of institutional training at the Academy, the probationer, as he is
called, is sent to the State (to which he has been allotted) for practical training. At
the end of this training, he again comes to the Academy for a second spell of
training where emphasis is placed on the discussion of administrative probIems the
a
probationer has either encountered or observed in the course of practical training in

the State. This part of the training is, thus, more problem-oriented. At the end of
; the second spell of training at the Academy, the IAS probationer has to sit for a
UPSC examination bdore being given the charge of a sub-division in a district.
, 11S.2 Cadre Mlnagement
Management of public services in 'lndia was until 1970 shared between the
Ministry of Home AiTain and the Ministry of Finance. The responsibility of the
former pertained to general conditions of service other than 'those having a
financial bearing, while the latter was ultimately responsible for laying down
conditions of service involving financial implications. The function of the Ministry
of Finance is to consider the financial impli&s of these matters and that of the
Home Ministry to take into account -their effects on the efficient funhioning of the
services in general.
The Ministry of Home Affairs was the Central personnel agency in the
t India. Its respohsibility ran both vertically and horizontally. It
~ o k m m e n of
administered and controlled the all India services. It regulated all matters of
general applicability to the services in order to maintain a common standard of
recruitment, disciplinb and conditions of service as well. Besides, it looked after
the following matters:
i) implementation of reservations for scheduled castes and scheduled tribes in
various services,
ii) re-employment of displaced or retrenched employees and also persons who
join the army during the national emergency,
iii) setting up of Whitley machinery for joint consultation and compulsory
arbitration of unresolved diffhnces between the Government and its
employees. I
After 1970 the Department of Personnel and qdrninistrative Reforms (DEPAR)

under the Home Ministry has become the managing
Downloaded from:- https://t.me/Pdf4Exams authority in the case of the two
All India and Central
all India services, namely, (i) the Indian Administrative Service, and (ii) the Indian Services
Forest Service. The Indian Police Service, which is'- an all India service, is
managed by the Ministry of Home Affairs.
11.6 NEED FOR ALL INDIA SERVICES

Cornmenti@ on the need for the setting up of all India Services, in a speech before
the Constituent Assembly, B.R. Ambedkar, the Clyirman of the Constitution -
Drafting Committee, said: ". .. It is recognised that in every country there are
certain-posts in its administrativegetup which might be called strategic from the
point of view of maintaining the standard of admipistration ... There can be no
doubt that the standard of administration depends upon the calibre of thk civil
servants who are appointed to these posts ... The Constitution provides that, there
shall be All India Services, the members of which alone could be appointed to
these strategic posts throughout the Union." Ambedkar, thus, emphasised the
contributian such a Service could make in bringing about greater efficiency in the
administration of the Union as well as the States. Secondly, there are others wbo
emphasised the cohesive aspect of such Services, which, it is claimed, will ensure
the uniformity of the administrative system throughout the country, We, in India,
are fortunate enough to be able to carry out, if we will, that experiment in large
measure, thus, providing afi effective check to fissiparous tendencies and secure for
its recruits attractions which no other Services can have. In the fifth place, since the
responsibility for the administration of a Stare, in the event of the breakdown of the
normal constitutional machinery, is vested in the President, the existence in the
State of a certain number of officers of All 1ndia Services occupying key posts in
the administration will certainly be helphl to him, He can count more on the
cooperation of officers, who, in the last analysis, are Union Government's
employees, than on the officers of the State Government proper.
1) What are the unique and distinctive features of the Indian Administrative
Services?
2) Briefly describe the method of recruitment of the All India Services.

Central Administration What is the major content thrust of the common training of recruits to the All
3)
India Services in the first five months of training period?
4) Who manages the service conditions of the IAS and the IPS?
1 1.7 CENTRAL SERVICES

Unlike the all India services, the Central Civil Services are under the exclusive
control of the Central Government, its member positions only in the Central
Government. The Civil Services of the Central Government comprise established
services known as central civil service as well as civil posts created outside the
established services, which constitute the general central service. Both the
established central civil services and the civil posts are classified in the
descending order of importance into Class I, Class 11, Class 111 and Class IV.
It has often been poinied out that since the appointing authority is the same, there
is ho justification for classifying the services into the all India and central
services. Though the appointing authority is the same, yet there is a significant
difference between the two. Officers of all India services are employed to serve
under the central as well as the state governments. Further, the members of IAS
can be appointed to any office calling fqr duties of a general supervisory nature,
while th9 officers of the central services are employed in jobs of specialised
nature. Therefore, the distinction can be said to be justified.
11.7.1 Recruitment
Recruitment to the Central Services Class I and I1 are made by the Union Public
Service Commission on the basis of the unified all India Civil Service
Examination.
11.7.2 Training and Cadre Management
Recruits to the Central Services Class I have to attend a five months foundational
course at the Lal Bahadur Shastri National Academy of Administration,
Mussoorie and other Central Training Institute before they go to the caining
institutions for their respective services. As the central services are unifunctional
and specialised in nature, the syllabus of training differs from that of the all India
services is as much as the courses of study have a direct bearing on the work
which a mekber of the particular cihl service https://t.me/Upsc_Zone_Official
has to perform. A recruit to the
Central Service is also given practical training or training on the job during his All India and Central
Services
training period. At the end of his training, the probationer passes a departmental
examination 'in subjects directly related to his work before he or she is sent for
her or his first posting. The basic pattern of training is the same for all recruits to
the central services.
The day-to-day administration of these services rests with the individual Ministry
under which the posts exist. Also, involved in the management of these services
are the Department of Personnel which determines the conditions of service (of
administrative nature) and the Ministry of Finance which is concerned with the
pay scales and other financial aspects of conditions of service like fixation of
pay, grant of increments, pension and gratuity, contribution to provident fund,
etc.
11.7.3 The Indian Foreign Service
The Indian Foreign Service (IFS) comes under Central Civil Service - Class I and
was created after Independence. It is under the exclusive control of the Central
Government and its members are recruited from the top few positions of the All
India Civil Services examination. Among the Central Civil Services it is the
topmost in prestige, status, pay and emoluments and its recruits are asked ,to serve
in Indian mission and embassies abroad. It is managed by the Ministry of External
Affairs. Also, involved in the management of the IFS are the Department of
Personnel which deteimines the conditions of service and the Ministry of Finance
which is concerned with the pay scales and other financial aspects of conditions of
service. In matters of allowances the members of the 1Gian Foreign Service are
more fortunate compared to other services. They are entitled to foreign allowance
which are fixed with reference to: (a) local cost of living, (b) other expenditure
which an officer serving abroad necessarily incurs either at home or abroad, over
and above that an officer of corresponding grade serving in India, (c)
representational expenditure, i.e., expenditure which while optional for a private
individual is obligatory for a member of the service resident, by virtue of his
officialposition.
The recruit of the IFS undergoes a training programme which covers a period of
three years. He is attached to a district for some time to enable him to pick up
contact with practical work, he also undergoes a period of secretariat training.
Training programme for IFS, however, puts emphasis upon the study of language
(Hindi and a foreign language) and of subjects, the knowledge of which is
considered essential to a member of the IFS,
1) What are Central Civil Services? How are they different fiom All India
Services?

Central ~dslihistr~tion 2) Why is the Indian Foreign Service considered to be in a more privileged
position than the other Central Services?
3) Which agencied are responsible for managing the Central Civil Services?
11.8 LET US SUM UP

In this Unit we read about:
The evolution of the All India Services.
The constitutional provisions regarding All India Services and their need.
The distinctive features of the Indian Police Service and the Indian Forest
Service.
The impqrtant features and uniqueness of the Indian Administrative Service.
The methods of recruitment and training of All India Services personnel, and
the agencies responsible for their management.
The Central Services, the difference between Central and All India Services,
their classificatioq, recruitment, training and cadre management.
11.9 KEY WORDS

Lee Commission : The Royal Commission on the Superior Civil
Services in India set up in 1923, under the
chairmanship of Lord Lee. It was appointed to
inquire into the 'organisation of civil services in
India and also the methods of recruitment for
Europeans s well as Indians, to the Services.
Parlance : Specialised manner of speaking.
Whitley Machinery : Whitley councils had their origin in England during
the first world war. In Whitley Councils the
representatives of the government and employees
association sit together to resolve various personnel
problems.
: The he'aring and determination of a 'dispute by an
impartial refree selected or agreed upon by the
parties concerned.
Probationers : A new recruit undergding a test period. All India and Central
I I Services
Sandwich Course : Course consisting of alternate period of study and
practical (field) work.
11.10 REFERENCES AND FURTHER READINGS -

Bhambhri, C.P., 1976, Public Administration in India, Vikas Publishing House,
New Delhi.
Jain, R.B., 1976, Contemporary Issues in Indian Administration,Visual
Publications, Delhi.
Maheshwari, S.R., 1986, Indian Administration, Orient Longman, ,New Delhi.
Mehta, S.M., 1988, Civil Servants and Administration, Deep and Deep
Publication, ~ e Delhi.
w
Misra, B.B., 1986, Government and Bureaucracy in India, 1947-1976: Oxford
Publishing House, New Delhi.
Sinha, V.M., 1985, The Superior Civil Services in India, The Institute for
Research and Advanced Studies, Jaipur.
Bhattacharya, Mohit, 2000, Indian Administration, World Press, Kolkata.

EXERCISES
1 ) Your answer should cover the following points:
Lee Commission in 1924 recommended the abolition of certain All India
Services.
Lee Commission recommended the retention and Indianisation of ICS, IP,
IMS, Indian Forest Service and the Imgation Branch of the Indian Service
of Engineers.
Government of lndia Act brought further changes in the position of the
Services.
The Joint Select Committee of the British Parliament considered the draft
of the Act of 1935 and recommended the continuance of ICS, IP and IMS
(Civil).
In October 1946, Sardar Patel secured the agreement of the Provincial
Government to the formation of the two new All India Service, IAS and
IPS to replace the old ICS and IP cover.
Article 3 12-2 empowers the Union Parliament to create more of An India
Services whenever it is deemed necessary in the national interest.
All India Service Act was passed by the Parliament in October 1951.
Two sets of rules regulate the conditions of All India Services, old rules
made by the Secretary of State, or the Governor General in Council and
the new rules under the 1951 Act.
All India Services are under the ultimate control of the Union
Government
All lndia Services are divided into state cadres, each under the
immediate
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Central Administration The salary and the pension of these officers are met by the states.
The strength of each state cadre is fixed as to include a reserve of
officers who can be deputed for service under the Union Government for
one or more 'tenures' before they return to the state cadre.
4) See Sub-sections 11.4.1 and 11.4.2.
Creation of common pool of officers, who are in the exclusive
employment of neither of the Centre nor the states, but who occupy top
posts in both the Union and State administration facilitating cooperation
and coordination between the Centre and States.
Enables the Officers of the Indian Administrative Services, to become
conversant with the administrative problems at both levels of the
government.
Since the Indian Administrative Services attracts the best persons, it is a
means for carrying a wider stock of talent to states.
Recruitment on the basis of a competitive examination conducted by the
UPSC.
Combined examination f o All
~ India Services and Central Services class I
and 11.
Nature of examination and interview.
3) [See Sub-section 11.6.1.
Role of Ministry of Home affairs and Finance in the management of
All India Services till 1970.
Role of Department of Personnel and Administrative Reforms as the
managing authority since 1970.
Unlike All lndia Services, the Central Civil Services are under the
exclusive control of the Central Government.
Its members man positions only in the Central Government.
Officers of All India Services are employed to serve under the Central as
well as the State governments.
Members of IAS can be appointed to any oftice calling for duties of a
general nature while the ofticers of the Ceritral Services are employed in
jobs of specialised nature.
Its members are recruited from the top few positions of the All lndia
Civil Services examination.
It is the top most in prestige, status, pay and emoluments and its recruits
are asked to serve in Indian Missions and embassies abroad.
In matters of allowances the members of the Indian Foreign Service are
most fortunate compared to other services.
The day-to-day administration of these services rests with the individual
ministry under which the posts exists.https://t.me/Upsc_Zone_Official
Also involved in the management of these services is the Department of All India and Central
Services
Personnel which determines the conditions of service for administrative
nature. \
Ministry of finance which is coricerned with the pay-scale and other

financial aspects of conditions of service like fixation of,pay grant of
increments, pension and gratuity, contribution to Provident Fund etc.

UNIT 12 CONSTITUTIONAL PROFILE OF

STATE ADMINISTRATION
Structure
12.0 Objectives
12.1 Introduction
42.2 Powers of the State Governments
12.3 Role of the Governor
12.4 Statc Legislature
12.4.1 Legislative Procedure in a Bicameral Legislature
12.4.2 Legdative Control over Administration
12.5 State Council of Ministers
12.6 Role of the Chief Miqister
12.7 Emerging Trends
12.8 Let Us Sum Up
12.9 Key Words
12.0 OBJECTIVES
After reading this Unit you should be able to:
a Understand the Constitutional provisions regarding the functioning of the state
government;
a Explain the role of the Governor in state administration;
a Describe the powers and the functions of the Chief Minister in relation with
bureaucracy and Council of Ministers; and
a Explain the working of the State ~ e ~ i s l a t u r and e its control over
administration.
- - -
12.1 INTRODUCTION
The very first Article of our Constitution says, "India, that is 'Bharat', shall be a
Union of states." The word 'Union' has been used to mean 'Federation' in the US
Constitution. In our Constitution, however, the Union is not a Federation of the
type set up by the US Constitution. The Indian Constitution has several features of
a Federation like the dual government; distribution of powers between federal and
state governments, supremacy of the Constitution and final authority of courts to
interpret the Constitution. On the other hand, there are several unitary features like
a unified judicial system; integrated machinery for election, accounts and audit;
power of superintendence of union government over state government in
emergencies and to some extent even in normal times; single citizenship, etc. Due
to these features, our Constitution lays down a quasi-federal polity. Granville
Austin has on the other hand called our Federation a 'Cooperative Federalism' due
to the need for close cooperation between the Union government, and the state
governments. The purpose here is not to discuss in detail the nature of Indian
Federation, but to put the study of state administration in proper context. It is,
therefore, enough for us to know that our Constitution envisages a two-tier
structure of governance - one at the Union or Central level and the other at the
state level. The powers and functions of the Central or Union government and the
state governments are specified in the Constitution. The Union and the state
governments function independently in their own spheres. Of course, there is an
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and there are certain powers of superintendence
State Administration In this Unit, we propose to study the functions assigned to the state governments in
the Constitution ahd the way in which the state administration is organised to
perform these functions.
12.2 POWERS OF THE STATE GOVERNMENTS

As already mentioned, the Union government and state governments derive their
powers ,directly fim the Constitution. The Constitution has adopted a three-fold
distribution of legidlative powers between the Union and the states (Article 246).
Schedule VII of the Constitution enumerates the subjects into three lists. List I or the
Union List consists of the subjects over which the Union has exclusive poweks of
legislation. Similarly, List I1 or the State List comprises subjects over which the state
has exclusive powers of legislation. There is yet another List (List III) known as the
Concurrent List that comprises subjects over which both the Union and states have
powers to legislate. The residual powers are vested in the Union. We would now
briefly discuss List I1 and List 111, which enumerate the subjects over which the states
have jurisdiction either exclusively or concurrently with the Union.
State List
The State List comprises 61 items over which states have exclusive jurisdiction.
Some of the important ones are - Public Order and Police, Agriculture, Forests,
Fisheries, Public Health, Local Government, etc. These are subjects of maximum
concern to the people which can be better dealt with at the state level. Thesf subjects
are generally under the exclusive jurisdiction of the states, but under the following
circumstances, the Parliament can legislate on these matters.
i) In national interest, Council of States by a resolution of 2/3rdof its members
present and voting may authorise the Parliament to legislate on a state
subject. Such authorisation may be for one year at a time, but can be renewed
by a fresh resolution;
ii) Under a proclamation of emergency, the Parliament may legislate on a state
subject;
iii) With the consent of two or,more states, the Parliament may legislate on a
state subject with respect to the consenting states;
iv) Parliament has powers to legislate with reference to any subject (including a
state subject) for the purpose of implementing treaties or international
agreements and conventions; and
v) When a proclamation is issued by the President on the failure of
Constitutional machinery in any state, he may declare that the powers of the
state legislature shall be exercised by or under the authority of Parliament.
Concurrent List
The Concurrent List comprises 47 items over which the Union and state legislatures
have concurrent jurisdiction. The important ones are: Criminal Law and Procedure,
Marriage, Trusts, Civil Procedure, Insurance, Social and Economic Planning, etc.
While the Union and states can legislate on any of the subjects in the Concurrent
List, predominance is given to the Union Legislature. It means that in case of
repugnancy between the Union and a state law relating to the same subject, the
former prevails. If, however, the state law was reserved for the assent of the
President and has received such assent, the state law may prevail notwithstanding
such repugnancy, but it would still be competent for the Parliament to override
such state law by subsequent legislation.
Any dispute about the interpretation of the entries in the three lists is to be decided
by the Courts. Following principles have been followed in such interpretation:
i) In case of overlapping of a subject between the three lists, predominance is to
,be given to the Union Legislature; .
ii) Each entry is given the widest importance that its words are capable of,
iii) In order to determine whether a particular enactment falls under one entry or Constitutional Profile of
State Administration
another, its 'pith and substance' is considered.
Distribution of Executive Power
In general, the distribution of executive powers follows the distribution of the
legislative powers. It means that the state government has executive powers in
respect of subjects in the State List.
klowever, the executive power in respect o f subjects in the Concurrent List
ordinarily remains with the state governments except in the following cases:
i) Where a law of Parliament relating to such subjects vests some executive
hnctions in the Uni6n, e.g., in Industrial Disputes Act, 1947.
ii) Where provisions of Constitution itself vest some executive functions upon
the Union, e.g., implementation of an international treaty or obligation.
Moreover, the Union has the power to give directions to the state governments in the
exercise of their executive powers in the following cases:
i) In Normal Times, the State Governments have to ensure:
Compliance with Union laws
Exercise of executive power of the state does not interfere with the
exercise of the executive power of the Union
Construction and maintenance of the means of communication of
national or military importance by the state
Protection of railways in the' state
Implementation of schemes for the welfare of Scheduled Castes and
Scheduled Tribes
The administration of a state is camed on in accordance with the
provisions of the Constitution.
ii) In Emergencies
The state government functions under the complete control of the Union
Government
The President may assume to himself all or any executive powers of the
state on proclamation of failure of Constitutional machinery in a state. .
iii) During a Financial Emergency
The President can give directions to the state government to observe
canons of financial propriety
The President may reduce salaries and allowances of employees
Money bills and other financial bills could to be reserved for
consideration of the President.
12.3 ROLE OF THE GOVERNOR

- - - - -- - - - -
Our Constitution provides for the Parliamentary form of government at the Union
as well as the state levels. The Governor is the Constitutional head of the state and
acts on the advice of the Council of Ministers headed by the Chief Minister. He is
appointed by the President for a term of five years and holds office during his
pleasure. He can be reappointed after his tenure as Governor of the same state or of
another state.
According to the Constitution, the Governor has many executive, legislative,
judicial and emergency powers. For example, the Governor appoints the Chief
Minister and on his advice the Council of Ministers. He makes many other
appointments like those of members of the State Public Service Commission,
Advocate General, ~ e d i o rCivil Servant, etc. In fact, the entire executive work of
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State Administration The Governor is a part of the State Legislature. He has a right of addressing and
sending messages to and of summoning, proroguing the State Legislature and
dissolving the Lower House. All the bills passed by the Legislature have to be
assented to by him before becoming the law. He can withhold his assent to the Bill
passed by the Legislature and send it back for reconsideration. If it is again passed
with or without modification, the Governor has to give his assent. He may also
reserve any Bill passed by the State Legislature for the assent of the President. The
Governor may also issue an Ordinance when the legislature is not in session.
The Governor even has the poyer to grant pardon, reprieve, respite, remission of
punishment or to suspend, remit or commute the sentence of any person convicted
of any offence against any law related to a matter to which the executive power of
the state extends.
As far as the emergency powers of the Governor are concerned, whenever the
Governor is satisfied that a situation has arisen in his state whereby the
administration of the state cannot be camed on in accordance with the provisions of
the Constitution, he can report the fact to the President. On receipt of such a report,
the President may assume to himself the powers of the state government and may
reserve for the Parliament the powers of the State Legislature (Article 356).
Exercise of Discretion by the Governor
It has already been pointed out that the Governor has to exercise his powers on the
advice of the Council of Ministers. He does not, therefore, have much discretion in
the exercise of his powers as long as a stable Ministry enjoying the confidence of the
Assembly is in office. However, this is not always the case. The Governor may then
be called upon to exercise his discretion. It is this exercise of discretion that has made
the Governor's office the most controversial Constitutional office of the country.
Major controversies have arisen in the following types of cases in the past:
i) Appointment of Chief Ministers
The Governor appoints the Chief Minister and on his adv~cethe Council of
Ministers. When a party with absolute majority elects a leader. the Governor
has no choice but to appoint him the Chief Minister and invite him to form the
government. Problems arise when no political party has an absolute majority in
the legislature. Here the discretion of the Governor comes into play. For
' example, in 1952 the Congress Party was the largest single party in Madras
legislature, but did not have an absolute majority. Still the Governor Mr. Sri
Prakash invited Mr. C. Rajgopalachari to form the government as the leader of
the largest single party. This principle was, however, not followed in West
Bengal in 1970. The CPM led by Mr. Jyoti Basu was the largest single party in
the West Bengal Assembly. The Governor Mr. S.S. Dhavan asked Mr. Basu to
prove his majority. Mr. Basu insisted on calling the Legislative Assembly and
proving his majority on the floor of the House. The Governor ultimately did
not invite him to form the government. The opponents of Congress criticised
this on the ground that this was done at the behest of the Congress government
which was in Office at the Centre at that time.'~hus, different criteria have
been followed by different Governors even in similar circumstances.
ii) Dismissal of a Ministry
A Chief Minister and his Ministry hold office during the pleasure of the
Governor, which is not subject to any scrutiny. However, the Governor has to
exercise his discretion judiciously. There is a general feeling that the
Governors have not done so. For example, the Governor of West Bengal, Mr.
Dharma Veera dismissed the Ajoy Mukherjee Ministry in 1967 on the grounds
that-he did not call, a meeting of the Assembly within the time specified by the
Governor for proving the majority. The action was severely criticised by many
jurists who felt that it was a wrong convention to establish. It w o ; ~have been
much better to establish the convention that a Governor can call a meeting of
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rehses to do so. The opposition interpreted it as a deliberate attempt on the Constitutional Profile of
part of the Governor for helping the ruling party at the Centre. According to
them, Governor's pleasure is subject to the Ministry enjoying the confidence
of the Assembly, which alone should decide the fate of a Ministry.
iii) Dissolution of the Assembly
In British Parliamentary Democracy, the king is guided by the advice of the
Prime Minister in the matter of dissolution of the House of Commons.
Likewise, the Governor should be guided by the advice of the Chief Minister
in the matter of dissolution of the Assembly. Unfortunately, such a
convention has not been established in India. For example, in 1967 the Chief
Minister of Punjab, Mr. Gurnam Singh advised the Governor to dissolve the
Assembly. His advice was not accepted by the Governor on the grounds that
as long as it is possible to form a government, the Assembly should not be
dissolved. Same thing happened to the advice of Mr. Charan Singh when he
advised the Governor of U.P. in 1968 to dissolve the Assembly. In 2003, the
Chief Minister of U.P. Ms. Mayawati advised the Governor to dissolve the
Assembly but the Governor did not accept the advice on the ground that
party in power had lost the majority. The opposition parties have alleged
that here again the Governors have tended to act according to the wishes of
the Central Government.
iv) Use of Emergency Powers
It has also been alleged that the Governors have not used their discretion
judiciously in advising the President for using his emergency powers under
Article 356 of the Constitution. In 1959 itself, the Governor of Kerala reported
to the President that due to failure of law and order, the government of the state
could not be carried on according to the provisions of the Constitution. The
first non-Congress state government cff the country was thrown out by the
President on the basis of this report, which was severely criticised by all
sections of the Opposition. In 1984, the Governors of J&K and Andhra
Pradesh verified the numerical support of the ruling (non-Congress) parties in
the Assembly and hurriedly advised the dismissal of the state governments on
the ground that in the absence of stable majorities, the governments of these
states could not be carried on according to the Constitution. In either case, the
majority of the government was not tested on the floor of the Assembly.
Moreover, in case of Andhra Pradesh even the arithmetic of numbers proved to
be incorrect. In these cases, there were open allegations also that the
Governors had tried to reduce the state governments to a minority.
General Remarks
Thus, it appears that our Constitution envisages a dual role for the Governor. He is a
Constitutional head of the state government as well as a representative of the
President. The mode of appointment of the Governor and his holding office during
the pleasure of the President have tended to emphasise the second role of the
Governor, i.e., his role as a representative of the President. Since the President has to
act on the advice of the Council of Ministers headed by the Prime Minister, the
Governor has to indirectly act according to the wishes of the leader of the ruling
party at the Centre. This has been resented by the opposition parties and has also
been criticised by eminent jurists. It has been argued that provisions regarding the
appointment and termination of the Governor have made him a tool of the ruling
party at the Centre and not an impartial head of the state.
On the other side, it has been argued that the mode of appointment and termination
of the Governor was deliberately adopted by the framers of Constitution, after a
good deal of debate, with a view to guard against the fissiparous tendencies present
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State Administratiqn There have been instances where Governors have been removed due to a change of
guard at the Centre. The political parties do ndt find it difficult to remove the
Governors that belong to opposition parties in the states.
12.4 STATE LEGISLATURE

Legislation provides the framework for policy formulation and arms the government
with powers to implement the policies. At the state level, the function of providing
the necessary legislative framework is performed by State Legislature. Our
Constitution provides that every state shall have at least one house, viz., the
Legislative Assembly comprising 60 to 500 members chosen by direct election on
the basis of adult suffrage from territorial constituencies. In addition, any state can
create a second house, viz., Legislative Council if it so desires. This can be done by a
resolution of the Assembly passed by a special majority (i.e., a majority of total
membership of the Assembly not being less than two-thirds of the members actually
present and voting) followed by an Act of Parliament. By the same process, an
existing Legislative Council can be abolished also. Andhra Pradesh, West Bengal
and Punjab have followed this procedure to abolish their Legislative Council. At
present, only Bihar, Maharqhtra, Karnataka, U.P.and J&K have two houses.
Whenever constituted, the membership of the Council cannot be more than 1/3 of the
membership of the Assembly, but not less than 40. The composition of Council
membership is as follows:
113 elected by members of local bodies
1/12 elected by Ele~torateof graduates of 3 years' standing
1112 elected by teachers of 3 years' experience in secondary school or above
1/3 elected by MLAs from non-members of the Assembly
116 nominated by the Governor
Election is to be in accordance with the principle of proportional representation by
means of the single transferable vote. Duration of the Assembly is fiveyears unless
dissolved earlier by the Governor. Its term may be extended by Parliament during
Emergency upto a period of six months beyond the expiry of the proclamation of
Emergency by the President. The Legislative Council is a continuing or permanent
body with 113 of its members retiring every second year.
12.4.1 Legislative Procedure in a Bicameral Legislature
Regarding a Money Bill
i) A Money Bill can originate only in the Legislative Assembly and not in the
Council
ii) The Council cannot reject or modify this Bill passed by the Assembly. It can
only make recommendations, which.may or may not be accepted by the
Assembly. The Bill as passed by the Assembly with or without modification, is
presented to the Governor for assent. If the Council does not return the Bill
within 14 days, it can straightaway be presented to the Governor for his assent
Thus, the will of the Assembly ultimately prevails. The Council can at best delay its
passage.
Regarding any Bill other than a Money Bill
i) Such a Bill can originate in either House
ii) If a Bill is passed by the Assembly, the Council may reject the Bill, modify it;
or may not pass it for three months. If the Bill is again passed by the Assembly
with or without modification, the Council, on its second journey, may only
delay it by one month
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iii) If a Bill originates in the Council and is rejected
by the Assembly, the matter
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Thus, in every. way, the sypremacy of the Assembly is established; more so, in case Constitutional Profile of
of Money Bills. The dispute between two houses is always resolved according to the
will of the Assembly. This is in contrast to the Union Legislature where a dispute
between the two Houses is resolved by a joint sitting. This is probably in recognition
of the fact that the Upper House in Union Legislature is representative of the states.
Governor's Veto
When a Bill, passed by State Legislature, is presented to the Governor for his assent:
i) The Governor may assent to the Bill, in which case it would become law
! ii)
iii)
iv)
He may withhold assent, in which case it does not become law
He may, in case of a Bill other than a Money Bill, return the Bill with a
message
The Governor may reserve a Bill for the consideration of the President.
Options (i) and (ii) do not involve use of discretion by the Governor. He may not
I withhold assent without the advice of the Council of Ministers. However, in case of
options (iii) and (iv), the Governor may act as per his discretion. When a Bill is
returned with a message, the legislature may again pass the Bill with or without
modifications. The Governor then has no option but to signify his assent.
Option (iv), however, gives the Governor and the President a real veto on a Bill
passed by the State Legislature. When a Bill is reserved for the assent of the
President, he may either declare his assent; withhold his assent or return the Bill to
the State Legislature with a message. The State Legislature has to reconsider the Bill
within six months. Even if the Bill is passed again with or without modifications, it is
not obligatory on the part of the President to signify his assent.
I
The opposition parties have criticised that this provision of veto substantially detracts
from the autonomy of the state governments. The Governor, as an agent of the
President may interfere with the legislative powers of the state.
Governor's Power to Issue Ordinances
When the Legislature is not in session, the Governor can issue Ordinances, which
have the force of law. Any Ordinance so issued by the Governor has to be placed
before the Legislature whenever it is convened and ceases to have an effect at the
expiration of six weeks from the date of reassembly unless disapproved earlier. The
Governor's Ordinance - making power is co-extensive with the legislative powers of
the State Legislature and is subject to the same limitations pertaining to obtaining
previous sanction from the President.
12.4.2 Legislative Control Over Administration
Apart from providing necessary legislative support to the executive, the Legislature
also acts as an instrument of popular control over administration. In a Parliamentary
democracy like ours, this control is exercised in following forms:
Assembly Questions I ,
The members of the Assembly have a right ctw ask questions from the government.
They can also ask supplementary questions. THis device keeps the government on its
toes. Whenever weaknesses are noticed, the government is compelled to promise and
take corrective action. \
Discussions
Apart from asking questions, the members may ask for discussions over important
matters. They may also bring forward Call Attention Motions and Adjournment
Motions on important public matters. Even if such motions are not allowed, a lot of
information has to be supplied by the government and some discussion does take
place. Here again the government is kept on a tight leash and has to answer the
representatives of the people.
State Administration Financial Control by Budget

No money can be raised and no expenditure can be incurred without a vote by the
Legislature. By controlling the purse strings, the Legislature controls the programmes
and activities of the government. It is true that by virtue of its majority in the
Legislature, the government may ultimately get the money it wants voted, but during
the process, a lot of discussion takes place. This keeps the government in touch with
the needs of the people. The discussion also highlights the weaknesses of the
administration in the implementation of the voted programmes.
Post-expendi ture Control
The State Legislature also scrutinises the expenditure incurred by the government
through the device of audt. Our Constitution provides for an integrated accounts and
audit system. The Comptroller and Auditor General of India (CAG) gets the accounts
of the state government audited and sends his report to the Assembly through the
Governor. The Public Accounts Committee of the State Legislature goes through this
report, examines and finally reports to the Legislature. Any instances of
unauthorised, improper, or imprudent expenditure are thus discussed in detail and
brought to the notice of the Legislature, which can then keep a vigilant eye on the
government.
Control through Legislative Committees
Apart from the Public Accounts Committee mentioned earlier, there are several other
committees, viz., Estimates Committee, Committee on Public Undertakings,
Committee on Assurances, etc. These committees examine the various aspects of the
working of the governmqnt and make useful suggestions. They also criticise the
government for its failures and bring these failures to the notice of the Legislature
and the people. This is a good device of exercising control over the government, as
the Assembly is too unwieldy a body to examine the working of the government in
detail.
Ministerial Responsibility
The most potent hnction of the Legislature is, to enforce the ministerial
responsibility. In a Parliamentary form of government, the political executive is a
part of the Legislature and is responsible to it all the time. The government can be
thrown out at any time by a vote of no-confidence or even on being rejected on its
budget or any of the substantive legislative measures. As the political executive is
always responsible to the legislature, the administrators become indirectly
responsible to it through the ministers.
In spite of these controls, it is often felt that the administration is not responsive
enough. On the other hand, it is argued that the legislative control, especially the one
through audit is too tight and takes away the initiative of the administrators.
I) Explain the three-fold distribution of powers/between the Union and the
states.

Discuss the emergency powers of the Governor. Constitutional Profile of

2)
3) Throw light on the legislative procedure regarding the passing of a Money

Bill.
4) What are the various ways through which the Legislature exercises its
control over the administration?
12.5 STATE COUNCIL OF MINISTERS

As already mentioned, the executive power of the state is exercised in the name of
the Governor, who is the Constitutional head of the state. But, the Governor has to
have a Council of Ministers with the Chief Minister as its head to aid and advise him.
But for a few discretionary functions, the Governor has to act on the advice of the
Council of Ministers. It means that the real executive power is exercised by the
Council of Ministers.
The Council of Ministers are appointed by the Governor on the advice of the Chief
Minister and hold Oflice during his pleasure. It means that a minister can also be
dismissed by the Governor on the advice of the chief ~inister.
On the pattern of the Union government, ministers in the state governments are of the
following categories:
i) Cabinet Ministers
ii) Ministers of State
iii) Deputy Ministers
iv) Parliamentary Secretaries
In Government of India, only Cabinet Ministers attend the meetings of the Cabinet.
In the state government,
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State Administration transaction of business, some states have adopted the device of forming Cabinet
Committees. Some of these committees are Standing Committees, while some are
ad-hoc committees that are constituted to deal with some specific problems. The
system of Cabinet Committees is not so popular in the state governments as in the
Central government. Most of the important matters in the states are placed before the
Cabinet, which meets quite frequently.
As per the recent Ninety First Constitutional Amendment Act 2003, the total number
.of Ministers including the Chief Minister, in the Council of Ministers in a State shall
not exceed fifteen per cent of the total number of members of the Legislative
Assembly of the State, provided that number of Ministers, including the Chief
Minister in a State shall not be less than twelve. This is the first time that such an
Amendment providing for the total strength of Ministers has been enacted.
Powers and Functions of the Council of Ministers
The Council of Ministers is the highest policy-making body of the state government.
It lays down policy in respect to all matters within the legislative and administrative
competence of the state government. The Council also reviews the implementation of
the policy laid down by it and can revise any policy in view of the feedback received
during implementation. Since the Governor has to exercise his executive powers on
the advice of the Council of Ministers and all the executive power is exercised in the
name of the Governor, there is no limitation on the powers of the Council except the
following:
i) The limits imposed by the Constitution and the laws passed by the Union and
State Legislature.
ii) Self-imposed limits to exclude consideration of less important matters.
Division of Work into Departments at the State Level
According to the doctrine of Ministerial Responsibility, the Council of Ministers is
collectively responsible to ,the State Assembly. It is, however, impossible for the
Council to take all the decisions collectively. During the early British period, the
administration of the state was carried on by the Governor-in-Council. At that time,
most of the decisions were taken collectively, because the number of decisions to be
taken was not very large. With the passage of time, the scope of governmental
activity increased and the matters that came up for the decision of the Council also
proliferated. This led to the development of 'portfolio system' in which the
Co~cillorswere placed in charge of certain specified subjects leaving only a few
important matters to be placed before the whole Council. The same system has
continued after Independence. Under our Constitution, the Governor has to make
rules for the efficient conduct of business [Article 166(3)]. The state governments
have framed 'Allocation of Business Rules', according to which the work is divided
among different ministers. This division of work can be done on the basis of
functions, or on the basis of clientele, or on geographical basis or on the basis of the
combination of these factors. Very often, the division of work is decided on personal
considerations rather than rational criteria. Most of the work in respect of subjects
allotted to a minister is disposed of by the minister. However, according to the rules
of business, some matters have to be reserved by the minister for:
Consideration of the Chief Minister
These are called coordination cases. in these cases, the minister in charge of ,a
portfolio, records his recommendations and submits the file to the Chief Minister for
his orders. Rules of business give a list of such cases. The Chief Minister may also
reserve some cases or classes of cases for his orders.
Presentation before the Cabinet
These are important policy matters, which ktve wide repercussions. Important cases
of disaereement between two or mbre minlste~sare also broueht before the Cabinet
for its decision. A list of such cases is given in the rules of business. In addition, the Constitutional Profile of
Chief Minister may require any particular case of any department to be placed before
the Cabinet. A few of the typical Cabinet cases are given below:
i) Annual Financial Statement to be laid before the Legislature and demands for
supplementary grants
ii) Proposals affecting state finance not approved by the Finance Minister
iii) Exemption of important matters from the purview of State Public Service
Commission
I iv) Proposals for imposition of new taxes, etc.
i 12.6 ROLE OF THE CHIEF MINISTER
I The Chief Minister perfoms the same functions in respect of the state government as
the Prime Minister does in respect of the Union Government. Although the real
i
executive power of the state government vests in the Council of Ministers, the Chief
Minister has acquired a very special role in the exercise of this executive power. He
is not the first among equals, but is the prime mover of the executive government of
the state.
The Chief Minister is appointed by the Governor and holds Office during his
pleasure. However, when a single political party has an absolute majority in the
Assembly, the Governor has only a ceremonial role in these matters. He has to
invite the leader of the majority party to form the government and cannot dismiss
him so long as he enjoys the confidence of the Assembly. The only exception
probably may occur when the majority party changes its leader in the Assembly. Of
course, the Governor does have some discretion in these matters during periods of
instability when no single party can claim an absolute majority in the Assembly.
Powers of the Chief Minister in Relation to the Council of Ministers
The Chief Minister is the leader of the Council of Ministers. With the passage of
time, the position of Chief Minister has strengthened v i s - h i s his Council of
Ministers. He has to assign portfolios among his ministers and can change such
portfolios when he likes. He plays a coordinating role in the functioning of his
Council of Ministers. He has to see that the decisions of the various departments
are coherent. He has to lead and defend his Council of Ministers in the Assembly.
In short, he has to ensure the collective responsibility of the Council of Ministers to
the State Assembly. The Chief Minister sets the agenda for the Cabinet and greatly
influences its decisions. He takes decisions on important matters of coordination
even though these are allotted to individual ministers. Moreover, the Governor
appoints the Council of Ministers on the advice of the Chief Minister and the
ministers hold Office during the pleasure of the Governor. As a result of these
provisions, the Minister, in fact, holds Office during the pleasure of the Chief
Minister. This power of dismissing the ministers at will and the power to change
their portfolios has greatly strengthened the power of the Chief Minister in relation
to his ministers and ultimately the Council of Ministers.
It must also be realised that the power of the Chief Minister in relation to his
Council of Ministers also depends on political conditions prevailing in the state. If
a cohesive party has an absolute majority in the Assembly, the Chief Minister
becomes very powerful and the ministers are afraid of him. His power is further
enhanced in case of a statewide regional party for, in that case he is not subject to
the discipline of the national leadership. The position of a Chief Minister gets
weakened if he heads a coalition government or a faction-ridden party. In either
case, he or she has to effect compromises to keep a balance among the coalition
partners orfrom:-
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Governor
The powers of Chief Minister in relation to the Governor have not been mentioned
anywhere in the Constitution. A convention was sought to be established whereby
the Chief Minister could be consulted regarding the appointment of the Governor in
his state. Even this has not been followed by the Union government in many cases.
The only other power, which can be indirectly inferred from the Constitution is the
power to exercise executive power of the state in the lnarne of the Governor. All the
public appearances of the Governor and the speeches delivered by him on such
occasions have to be in accordance with policy laid down by the Council of Ministers
headed by the Chief Minister. ~ i m f l a r lthe
~ , speeches of the Governor on ceremonial
occasions and the annual speech before the Assembly have to be approved by the
Cabinet.
Powers ofthe Chief Minister in Relation to the Legislature
The Chief Minister is also the leader of the House. Apart from this formal position,
the Chief Minister provides real legislative leadership to the House in the sense that
-he sets the legislative {agenda. The legislative measures are brought before the
Assembly after the approval of the Council of Ministers headed by the Chief
Minister. It is true that private members may also bring a Bill before the Assembly.
But, that has a limited chance of success. Apart from the fact that it has a o backing of
the majority party, the private members do not have the wealth of information that is
available to the government. Apart from setting up the legislative agenda, the Chief
Minister has to keep the Assembly informed about the various activities of the
government by answering questions, making statements, intervening in the debates,
etc.
Powers of the Chief Minister in Relation to the Executive
By virtue of being the head of the political executive, the Chief Minister controls the
entire bureaucracy of the state. In this function, he is assisted by the Secretariat
headed by the Chief Seeretaxy. He approves all senior appointments like those of
Secretaries, AdditionaVJoint/Deputy Secretaries. Heads of the Departments,
Chairpersons and Managing Directors of Public Sector Undertakings, etc. Through
his Cabinet, he controls their service conditions and disciplinary matters. He provides
them leadership to ensure good performance and good morale. At the same time, he
has to keep a watch on their performance through administrative channels as well as
through his own sources like party workers, complaints fiom aggrieved persons and
actual observation during tours etc.
12.7 EMERGING TRENDS
We have so far discussed the Constitutional provisions regarding the functioning of
the state administration. We would now study as to how these provisions have
actually worked in the context of political developments in the country. As already
mentioned earlier, one of the basic features of our Constitution is division of
functions between the Union (Centre) and the states. The scheme of division itself is
biased towards the Union and gives greater financial and administrative powers to it.
Over time, the Union has emerged stronger. In this connection, following features
deserve notice:
i) The Union government has more lucrative sources of revenue. Moreover, it
can generate money and also indulge in external borrowing. The states, on the
other hand, have meagre revenues and are unable to finance their development
programmes without assistance from the Centre. In a way, it has helped'
weaker states to get more resources, but has also given a handle to the Union
to discipline the states, which do not fall in line with its thinking. This has, to a
great extent, undermined the autonomy of the states. Such a trend is visible
even in Federations like the USA.
The establishment and functioning of a'non-statutory body like Planning 'Constitutional Protile of
ii) State Administration
Commission has tended to strengthen the Union vis-a-vis the states. The
discretionary grants of the Government of India are given on the
recommendations of the Planning Commission. Many schkmes of the state
government require clearance from the Planning Commission. The Five Year
Plans and Annual Plans of the states are decided according to the priorities
laid down by the Planning Commission and with their consultation and
concurrence. This has severely undermined the autonomy of the states.
iii) For a long time, the Congress governments remained in power at the Union
and also in the states. In addition to the Constitutional discipline, there was
the party discipline, which kept states almost in subordination. With the
emergence of the non-Congress governments, e.g., the Bhartiya Janata Party
at the Centre as well as in many states, this trend is now changing. The state
governments are now asserting their autonomy.
iv) Article 356 of the Constitution has been used too often to dismiss the state
governments belonging to opposition parties. In this connection, one may
recall a large-scale supersession of\tate governments by Janata Government
in 1977 and by the Congress government in 1980. Even otherwise, this
emergency provision has been used far too frequently. This has also
undermined the autonomy of the state governments. In the recent Inter-State
Council Meeting held in Srinagar in August 2003, it has been resolved that
the Centre may impose President's rule under Article 356, but should invoke
it "sparingly" and only as a "last resort". It is expected that the Centre will
move the Parliament to introduce a Constitutional Amendment in this regard.
v) Most of the matters connected with development concern the states as well as
the Union. For example, subjects like agriculture, rural development, forest,
although falling in state sector, concern the Union also. We, therefore, find
big departments of agriculture, rural development, etc. at the Union level too.
Apart from providing finance to the states, they also provide expertise, which
can be better hired at the Union level rather than at the state level. This has
'
also increased the dependence of the states on the Union.
C-heckYour Progress 2
1) What are the powers and functions of the Council of Ministers?
2) Explain the powers of the Chief Minister in relation to the Council of

Ministers.

State Administration 3) Discuss the factors that were responsible for the emergence of a strong Union
in the pre- 1990s phase.
12.8 LET US SUM UP

Our Constitution has been variously described as federal; federal with a unitary bias;
or unitary with a federal bias. Without going into these descriptions, it can be stated
that our Constitution provides for a division of functions between the Union
government and the state governments with a substantial area where their functions
overlap. The State Legislature has exclusive jurisdiction over items given in the
State List (Schedule VII of the Constitution) while Union government has exclusive
jurisdiction over items given in the Union List. Both can legislate on items in the
Concurrent List with predominance for Union Law in case of repugnancy. In general,
the distribution of executive powers between the Union and state governments
follows the distribution of legislative powers as given in the Union and State Lists.
However, with some exdeptions, the executive power in respect of Concurrent List
vests in the state govern'ments.
In the Parliamentary form of government adopted by us at the Union as well as
state levels, the Governor is the Constitutional head of the state while the real
executive power is exercised in his name by the Council of Ministers headed by
Chief Minister. However, during periods of instability, when no party can claim
absolute majority in the Assembly, the Governor has to act in his discretion with
regard to important matters such as appointment of Chief Ministers; dismissal of
Ministry; dissolution of Assembly, recommendation of President's rule, etc.
Exercise of such discretion has been a subject of controversy many a time. The
Governors have been criticised for using their discretion in favour of ruling party at
the Union.
The real executive power of the state is exercised by the Council of Ministers with
a pivotal role played by the Chief Minister. In practice, different portfolios are
allotted to the individual ministers who take final decisions in respect of subjects
included in their respective portfolios. Certain important matters are, however,
reserved for the decision of _the Chief Minister and the Council of Ministers. In
spite of this arrangement for facilitating the conduct of business, the Council of
Ministers continues to be collectively responsible to the State Legislature.
The Chief Minister is the kingpin of the state administration. He appoints the
ministers and can dismiss them or change their portfolios at will. He sets the
legislative agenda and functions as the leader of the House. He makes most of the
senior bureaucratic appointments. He has the difficult task of maintaining the
political balance between different interests and keeping the bureaucracy under
control. At the same time, he is also responsive to the people's needs.
The State Legislature provides the necessary legislative support for policy
formulation and policy implementation. It exercises control over the executive by
various devices like Assembly questions; discussions; Call Atteption and
Adjournment Motions; control over budget; audit; examination by committees like
Parliamentary Accounts Committee (PAC), Committee on Public Undertakings
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(CPU), Estimates Committee etc. Ultimately,
the Legislature can enforce
ministerial resnnncihilitv
The working of the Constitution over time has tended to strengthen the Union or Constitutional Profile of
Central government vis-a-vis the state governments. The main reasons have been
the dependence of the state governments on the Union government for financial
resources; centralising role of planning, frequent use of Article 356 of the
Constitution, etc.
Thus, in this Unit, we have discussed the Constitutional framework of the state
administration. Powers of the state governments with respect to the State List and
Concurrent List have been made clear. We have also discussed the role of the
Governor and State Council of Ministers. Powers of the Chief Minister, who is the
real executive at the state level, have been clearly dealt with. The Unit has also
.thrown light on the role of the State Legislature and has brought out the emerging
trends in the relationship between Union and the states.
12.9 KEY WORDS

Convention : An accepted rule.
Remission : Reduction of the amount of sentence without changing its
character, e.g., a sentence of imprisonment for one year may
be remitted to six months.
Reprieve : Pardon or postponement of the punishment.
Repugnancy : Contradiction.
Respite : A temporary stay of execution.

Basu, D.D., 1993, Introduction to the Constitution of India; Prentice-Hall, New
Del hi
Maheshwari, Shriram, 1979, State Governments in India; The Macmillian
Company of India Limited, Delhi
Pandey, Lallan Behari, 1984, The State Executives; Amar Prakashan, Delhi
Pylee, M.V., 1997, India S Constitution;Asia Publishing House, Bombay
12.1 1 ANSWERS TO CHECK YOUR PROGRESS

EXERCISES
1) Your answer should include the following points:
The distribution of powers between the Union and the states under the Union
List, State List and Concurrent List.
Governor is satisfied that a situation has arisen in his state whereby 'the
administration of the state cannot be carried on according to the Constitution.
He can report the state of affairs to the President.
On receipt of such a Report, the President may assume to himself the powers
of the state government.
He may reserve to the Parliament the powers of the State Legislature.
Money Bill can originate only in the Legislative Assembly and not in the
Council.
The Council cannot reject or modify a Bill passed by the Assembly. .
It canfrom:-
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thn A ccnmhl~r
State Administration - The Bill as passed by the Assembly, with or without modification, is
presented to the Governor for assent.
The will of the Assembly ultimately prevails.
The Council can at best delay its passage.
Assembly questions
Discussions
~ i n h c i acontrol
l by budget,
. Post-expenditure control
Control through legislative committees
Ministerial responsibility
1) Your answer should includethe following points:
The Council of Ministers is the highest policy making body of the state
government.
It lays down policy in respect to all matters within the legislative and
administrative competence of the state government.
It reviews the implementation of the policy laid down by it and can revise
any policy in view of the feedback received during implementation.
There are no limitations on the powers of the Council except the follawing:
i) The limit imposed by the Constitution and the laws passed by the
Union and State Legislatures.
ii) Self-imposed limits to exclude consideration of less important mafters
The Chief Minister is the leader of the Council of Ministers.
He has to assign portfolios among his ministers and can change- such
portfolios when he likes.
He plays a cobrdinating role in the functioning of his Council of Ministers.
He has to see that the decisions of the various departments are coherent.
He has to lead and defena his Council of Ministers in the Assembly.
He sets the agenda f o the
~ Cabinet Ministers in the Assembly.
He sets the agenda for the Cabinet and greatly influences its decisions.
He takes decisions on important matters related to cobrdinatjon.even though
these are allotted to individual ministers.
Scheme of division of functions between the Union and states itself is biased
towards the Union and gives great& financial and administrative powen tp
it.
. Over time, the Union has emerged stronger. The following features deserve
notice:
i) Central or Union government has more lucrative sourdes of revenue.
ii) The functioning of non-statutory body like the Planning Commission
has tended to strengthen the Union.
I
iii) Article 356 of the Constitution has been used too often to dismiss the
state government.
iv) It also provides expertise, which can be better hired at the national
level than at the state level. This has also increased the dependence of
the states on the Union.
UNIT 13 STATE SECRETARIAT:

ORGANISATION AND FUNCTIONS
'Structure
13.0 Objectives
4 3.1 Introduction
13.2 Meaning of Secretariat
13.3 Position and Role of State Secretariat
13.4 .Structure of a Typical Secretariat Pepartment
13.5 Pattern of Departmentalisation in State Secretariat
13.6 Distinction between Secretariat Department and Executive Department :
Discrete Processes or a Continuum
13.7 - Chief Secretary
13.7.1 Poslt~onof Ch~efSecretary
13.7.2 Chief Secretary's Functions
13.8 Let Us Sum Up
13.9 Key Words
r1 3.1 1 Answers to Check Your Progress Exercises
13.0. OBJECTIVES
After studying this Unit you should be'able to:
Understand the meaning, significance and'role of the State Secretariat;
I! Explain the yertical structure of a typical secretariat department and the

pattern of departmentalisation in the State Secretariat;
Bring- out the distinction between the secretariat department and the head of
I the executive department as well as their mutual relationship;
I
Define the terms 'policy' and administration and explain if they are discrete
processes or a continuum; and
Discuss the significance and role of the Chief Secretary in the State
Secretariat system.
13.1 INTRODUCTION
The functioning of the government is made effective with the help of task-
oriented Ministries. No Ministry can run smoothly without the support'of a
Secretariat at the Unioh as well as state levels. The Secretariat helps the
government in policy making and execution of legislative functions. This Unit
discusses the organisation and functions ,of the State secretariat. It explains the
pattern of departmentalisation in the Secretariat and brings out the distinction
between the secretariat department and executive department. In addition,
position and fpnctions of the Chief Secretary in the state administration are also
I
discussed.
13.2 MEANING OF SECRETARIAT

The three components of government at the state level are: (i) the minister; (ii)
the secretary, and (iii) the executive head. (The last one in most cases is called
the director, although other nomenclatires are also used to refer to the executive
head). The minister and the secretary together constitute the Secretariat, whereas
the office of the executive head is designated as the Directorate.
Literally, the term 'Secretariat' means the secretary's office. It originated at a
time when what
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from:- in India was really a government run by the secretari'es.
Aftor Tnrlononrlonro tho nn\x,or nf nn.remonro noccorl intn the honllc nf thn
State Administration popularly elected ministers and thus the Ministry became the seat of authority. In
the changed political situation, the term Secretariat has become a synonym for
the minister's office. But because the secretary is the principal adviser to the
minister, he needs to be in the physical vicinity of the minister. In effect,
therefore, Secretariat refers to the complex of buildings that houses the office of
ministers and secretaries. The expression Secretariat, it has been observed, is
used to refer to the complex of departments whose heads politically are ministers
and administratively are the secretaries.
13.3 POSITION AND ROLE OF STATE

SECRETARIAT
--
-
- - - -
The following extract from the Administrative Reforms Commission's Report on

State Administration gives a succinct expression to the position and role of the
State Secretariat:
The State Secretariat, as the top layer of the state administration, is primarily meant
to assist the state government in policy making and in discharging its legislative
functions. It also acts "as a memory and a clearing house, preparatory to certain
types of decisions and as a general supervisor of executive action". The main
functions of the State Secretariat are broadly as follows:
i) Assisting the ministers in policy making, in modiQing policies from time to
time and in discharging their legislative responsibilities
ii) Framing draft legislation, and rules and regulations
iii) Coordinating policies and programmes, supervising and controlling their
execution, and reviewing of the results
iv) Budgetingand control of expenditure
v) Maintaining contact with the Government of India and other state
governments; and
vi) Overseeing the sinooth and efficient running of the administrative machinery
and-initiating measures to develop greater personnel and organisational
competence.
The administrative philosophy to which the secretariat system owes its existence is
that policy making must be kept separate from policy execution. Several
advantages are claimed in favour of such an arrangement:
i) Freedom from operational involvement makes the policy making apparatus
forward looking and allows it to think in terms of overall goals of
government rather than narrow, sectional interests of individual departments.
ii) Policy making receives the time and attention it deserves, if different set of
persons are charged with the functions of policy making as well as its
execution. This is because, policy making, is a serious exercise in drawing
up what would be a future course of action. It should not be treated as less
urgent than policy execution, which involves routine, day-to-day
administration.
iii) Secretariat serves as a disinterested adviser to the minister. It is important to
remember that the secretary is the secretary to the government and not to the
minister concerned, which ensures objective examination of the proposals
coming from the executive departments. It enables a more balanced scrutiny
of proposals.
iv) Policy making must be separated from current administration and day-to-day
implementation should be left to a different agency with executive freedom,
which ensures delegation of authority.
It should be in order at this stage to portray the broad dimensions of the
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Secretariat's role in some detail. The foremost
of these is the Secretariat's role in
nnlirv mnlrino I t nccictc the minicterc in the fnrmiilntinn n f onvernmentnl nnliriec
State Secretariat:
This has many aspects. First, the secretary supplies to the minister all the data and Organisation and
information needed for policy formulation. Second, the secretaries sometimes Functions
provide the programmes, with content by working out their details, on whose
strength ministers are voted to power. Third, the Secretariat assists ministers in
their legislative work. Drafts of legislations to be introduced in the legislature by
ministers are prepared by the secretaries. Besides, to answer questions in the
Legislature, the minister needs relevant information; the secretary supplies this
information to the minister. Secretary also collects information required with
respect to the legislative committees.
Fourth, the Secretariat functions as an institutionalised memory. This means that
the emerging problems require an examination in the light of precedents. Records
and files maintained in the Secretariat serve as an institutional memory and ensure
continuity and consistency in the disposal of cases. Fifth, the Secretariat is a
channel of communication between one government and another, and between the
government and such agencies as the Planning Commission and Finance
Commission. Finally, the Secretariat evaluates and keeps track of execution of
policies by the field agencies.
13.4 STRUCTURE OF A TYPICAL SECRETARIAT

DEPARTMENT
Vertically, a typical Secretariat Department has two hierarchical formations; that of
the officers and, what is described as the office.
Officers
Conventionally, the officers' hierarchy has had three levels. Under this, a typical
administrative department is headed by a secretary who will have a complement of
deputy secretaries and underlassistant secretaries. But with growth in the functions
of various secretariat departments, the number of levels in the officers' hierarchy
has been on the increase. As a result, between the secretary and the deputy
secretary, in some states, positions of additional apd/or joint secretaries have also
been created.
Office
A unique feature of the Secretariat System in India has been the distinction
between its two component parts - "the transitory cadre of a few superior
officers" and "the permanent office". The officers in each department, because
they hold tenure posts, come and go. It is the office, which is manned by
permanent functionaries, which provides the much needed element of continuity
to the secretariat department. Unlike officers, the office constitutes the permanent
element in the secretariat system. The office component is comprised of
superintendents (or section officers), assistants, upper and lower division clerks,
steno-typists and typists. Office performs the spadework on the basis of which
the officers consider cases and make decisions. Office supplies officers with
materials, which constitute the basis for decision-making.
The structure of a typical department comprises:
Department - Secretary
Wing - AdditionalIJoint Secretary
Division - Deputy SecretaryIDirector
Branch - Under Secretary
Section - Section Officer
The section is the lowest organisational unit and it is under the charge of a section
officer. Other functionaries in a section are assistants, upper and lower division
clerks, steno-typists,
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from:- https://t.me/Pdf4Exams Two
State Administration sections constitute the branch, which is under the charge of an under secretary.
Two branches ordinarily form a division, which is headed by a deputy secretary.
When the volume of work of a department is more than a secretary can manage,
one or more wings are established with a joint secretary in charge of each wing. At
the top of the organisational hierarchy is the secretary who is in charge of the
department.
13.5 PATTERNOF DEPARTMENTALISATION IN

STATE SECRETARIAT
Each secretary is normally in charge of more than one department. The number of
secretariat departments would therefore be larger than the number of secretaries.
The number of secretariat departments, quite naturally, varies from state to state.
Their number broadly ranges between 10 and 40 in different states. The number of
departments in a particular state is not necessarily related to its size in terms of
population. For instance, a small state like Mizoram had as many as 36 secretariat
departments in 1987, the corresponding figure for Andhra Pradesh (which is a
mudh larger state), was 19 in 1982. Following is a typical example of the pattern
of departmentalisation at the Secretariat Level:
General Administration Department
Home Department
Revenue Department
Food and Agriculture Department
Finance and Planning Department (Planning Wing)
Finance and Planning Department (Finance Wing)
Law Department
krigation and Power Department
Medical and Health Department
Education Department
Industries Department
~ e ~ i s l a t uDepartment
re
Panchayati Raj Department
Command Area Development Department
Transport, Roads and Buildings Department
Housing and Municipal Administration and Urban Development Department
Labour, Employment and Technical Education Dtpartment
Social Welfare Department
Rural Development Department
Forest Department
Environment Department
Women and Child Welfare Department
Larger number of departments, in particular states, would result from restricting
the scope of the functions and charges of those which may be created. Partly, such
- increase in the number of departments may arise from the peculiar'problems a
particular state may face. There is a lot of criticism about the work allocation
existing in the secretariat departments, which is: First, work allocation is lop-sided
in that some departments are burdened with more work than others. Second,
allocation is far from rational even in terms of homogeneity of work. Not only are
the subjects handled by a particular department too numerous and therefore
unmanageable but these are also too heterogeneous, causing problems of
coordination. These are arther aggravated when charges of particular departments
are incomplete in scope.
$heck Your Progress 1 State Secretariat:

Organisation and
Note: i) Use the space given below for your answers. Functions
1) In what way has the significance of the word 'Secretariat' changed in the
post-Independence period from that in the pre-Independence period?
2) What is the legislative role of a ~ecretariai?
3) Discuss the significance of the 'Office'
4) What is the typical pattern of departmentalisation in the State Secretariat?
13.6 DISTINCTION BETWEEN SECRETARIAT~-

DEPARTMENT AND EXECUTIVE
DEPARTMENT: DISCRETE PROCESSES OR A
CONTINUUM
The Secretariat Department must be distinguished from the executive department.
The Secretariat has the function of aiding, assisting and advising the political
executive in arriving at nolicv choices. The heads of executive denartments - who
State Administration are in the main known as director (although other nomenclature are also used to
refer to them) - have theresponsibility of implementing policies formulated by the
political executive. Therefore, the secretaries assist in policy formulation whereas
the directors' role lies in executing policy. Long ago, the Simon Commission had
observed, that executive department is an administrative unit separate from the
Secretariat, which reaches its apex, usually, in a single officer like the Inspector
General of Police, or the Chief Conservator of Forests, outside the Secretariat
altogether. Such a head of a department will usually be concerned principally with
a single secretary to Government and a single ... minister of his orders and the
funds which he has to spend.'
Each secretariat department is in charge of a number of executive departments.
This number varies over a wide range with some departments taking charge of a .
much larger number of executive heads than others. There is an average of 6 to 7
executive departments in relation to one secretariat department. However, it must
be carefully noted that not all secretariat departments have executive departments
attached to thek. Some of the secretariat departments are engaged in advisory
and controlling functions and therefore do not have executive departments
reporting to them. Examples are Departments of Law, Finance, etc.
The Secretariat and executive departments organisationally express the policy
formulation and policy execution processes involved in the functioning of the
government; the two may be looked upon as extensions of the personality of the
Council of Ministers. The former is a policy-making organ, the latter a policy
executing organ. --
The secretariat department is normally headed by a generalist civil servant

(drawn from the IAS), the executive department by a specialist. The specialist
(the head of the executive department) functiop under the supervision of the
generalist (the secretary or the head of the secretariat department). This can be
illustrated with some examples, Director of Agriculture, who is a specialist, in
that he is trained in and holds a formal degree in agricultural sciences, would
function under the supervision of the Secretary, Agriculture (a generalist, an
IAS). The latter represents agriculture department at the secretariat level,
whereas the Director of Agriculture represents agriculture department at the
executive level. The director is the executive head of the agriculture department
- the Directorate of Agriculture. Likewise, the home department in the
Secretariat has the Director-general of Police as its executive head of the
department. . Similar correlation obtains between education secretary and
education director, industries secretary and industries director, social welfare
secretary and social welfare director, and so on.
We have emphasised the distinctness of the roles of the Secretariat and the
Directorate by saying that, while the former is concerned with pb~icy
formulation, the latter is concerned with policy execution (or with administering
policy or to put it yet more simply, the administration). The question which may,
heref fore, be asked is whether policy and administration are discrete processes.
The answer is that at a conceptual level, the two are distinct; it is possible to
identify and define them as two clearly distinguishable phenomena. But at a
' practical plane, the two are inextricably interlinked, .even tend to become
indistinguishable anq, therefore, it is difficult to say where the policy ends and
administration begins.
Policy is concerned with political choices and involves questions of broader
values, whereas ad~inistrationis concerned with implementing programmes
emanating from particular policy decisions. Administration, therefore, involves
such details of execution as framing organisational structures, staffing of
organisations, coordinating activities, directing, controlling, motivating the
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That the two are dichotomous is the traditional view, which owes its origin to State Secretariat:
Organisation and
Woodrow Wilson's essay of 1887, 'The Study of Administration'. Politics, he Functions
said, is the proper activity of Legislature and other policy-making groups (e.g.,
political parties, cabinet, etc.). Administration is the sphere of administrators who
cany out the policies stated in the laws. The context of the dichotomy was the
civil service reform movement of the 1880s in the United States, which aimed to
eliminate political interferen in civil service. It was argued that civil service
I
recruitment should, in the I terest of administrative efficiency, be based on
considerations of merit and fitness rather than partisan politics. In other words,
politics should be kept out of administration. Max Weber further justified
separation of policy from administration by arguing that the attributes of
pbliticians are exactly the opposite of those of the civil servants. The essence of
politics s! to take a stand, to take personal responsibility for the policies decided
on, and to admit the transitory nature of the political role. The essence of
administration is to execute conscientiously the order of the political authority,
even if it appears wrong to the administrator. The administrator is politically
neutral. He simply does what he is asked to do and assumes no personal
responsibility.
However, the complexities of governmental operations have increasingly
required administrators to become involved in policy making or political
decisions. As a result of this, it is in practice found to be difficult to draw a clear
boundary separating policy and administration, or to say where policy ends and
administration begins. This would be clear from the following:
Sources of Administrative Expertise
There are several sources from which the modem day administrators have
obtained a kind of 'expertise', which the politicians need to use when
formulating policies as: (i) The administrators stay in office longer 8hey are
career civil servants) than the politicians, who come and go with elections, the
former have opportunities of giving sustained attention to problems. From this,
they gain an invaluable kind of practical knowledge that comes from the
experience of handling these very problems day in and day out. This knowledge
is conserved in records and transmitted to new generations of civil servants
through training programmes. This monopoly of experience and practical
knowledge coupled with continuity in office gives them a decisive edge over
politicians in framing policies. (ii) The administrators are in possession of facts,
figures, information and intelligence regarding the specific areas in which
policies are to be framed. Politicians would need these data and statistics in
formulating policies. (iii) Administrative expertise also comes pre-eminently
from the fact that the governments of today employ a large variety of
professionals (doctors, engineers, scientists, economists, etc.). The) possess
technical knowledge, which forms a vital ,input in policy making. (iv) The advent
of merit system has also helped to build up administrative expertise by attracting
better talent in civil service and loosening the grip of politicians on civil service.
Administrators' Role in Policy Making
The increase in civil service expertise, together with growth in the functions of
government and growing complexity of administration, has resulted in an
increasing dependence of politicians on administrators in the task of policy
making. This is reflected in the following:
i) Policy makipg exercise is done on the basis of facts, figures, information and
data, which are supplied by the bureaucracy. In other words, politicians, in
order to enhance the credibility of the policies they h e , depend on the
administrators' data support to their policies.
ii) Civil servants based on their long administrative experience, tender advice to
the lay politicians on the administrative, technical and financial feasibility of
the various policy options under consideration.
iii) Civil servants prepare the draft legislations (bills), which after ministerial
approval, are placed before the legislature for its consideration. In other
State Administration words, administrators initiate the process of public policy formulation,
which in its final form assumes the shape of an Act passed by the
Legislature.
iv) Administrators formulate' policy through the exercise of administrative
discretion. When an administrator is required to choose between alternative
courses of action within a policy frame, he is said to exercise discretion. In
this sense, administrators are described 8 supplementaty lawmakers.
Because here, the actual content of policy becomes entirely a matter for
bureaucratic determination. Here administrators actually decide how the
power of the State shall be used in specific cases. In modern times, there has
come about a tremendous increase in administrative discretion by virtue of
an incessant increase in the volume of legislation to be enacted. Legislature
is under the circumstances, compelled to confine itself to indicating broad
framework of law, leaving details to be filled up by the administrative
agencies.
The growing variety and complexity of laws to be enacted has further
circumscribed the Legislature's competence. The legislators do not have the
technical know-how and training to venture into the details of particular
legislations. This further necessitates exercise of administrative discretion. And, at
any rate, if the Legislature delves into the details of each law, this would be at the
cost of other important duties and functions of the legislators and therefore an
undesirable thing to happen. This, coupled with the assurance that it has the
necessary means available to hold administration accountable to itself has, in fact,
encouraged the Legislature in its attitude of not delving too deeply into the details
of the enactments it hrmulates. And, it is not possible to work out the details of the
enactments for another reason too. Ultimately, the policy is to be executed in the
field where an administrator must necessarily face a bewildering variety of
situations as he sets himself to the task of policy execution. For the law making
agency, it is clearly not possible to visualise, at the point of legislation, the
different variety of situations that may arise in the field. For this reason, once
again, the policy makers must do no more than provide only broad guidelines in
the legislations they frame.
1) Explain the major differences between the Secretariat and executive
departments
2) Why has the separation between policy and administration been advocated?

State Secretariat:
Organisation and
3) Identify the sources of administrative expertise. Functions
4). DiScuss the policy-making role of the administrators.
__F________________---------------------------------------------------------------------------------------------------------
13.7 CHIEF SECRETARY

-
13.7.1 Position of Chief Secretary
Every state has a Chief Secretary. This functionary is the kingpin of the State
Secretariat, his control extending to all secretariat departments. He is not simply
first among equals, he is, in fact, the chief of the secretaries. The Chief
Secretary's pre-eminent position is clearly reflected in the varied roles he or she
assumes in the state administrative set-up.
The Chief Secretary is the chief advisor to the Chief Minister and Secretary to
the State Cabinet. He is the head of the General Administration Department
whose political head is the Chisf Minister himself. Chief Secretary is also the
head of the civil services in the state. He is the main channel of communication
between the state government and the Central and other state governments. Chief
Secretary is the chief spokesman and public relations officer of the state
government and is looked upon to provide leadership to the state's administrative
system.
The office of the Chief Secretary is an institution unique to the states; it is
without a parallel in the administrative landscape of the entire country. The Chief
Secretary's office has, for instance, no parallel in the Central government. The
work he performs in relation to the state government is, at the Union level,
shared by three high-ranking functionaries of more or less an equal status, i.e.,
Cabinet Secretary, Home Secretary, and Finance Secretary, This is a vivid
reflection on the wide scope of the duties and powers of the Chief Secretary.
Yet another significant reflection on the position of the Chief Secretary's ofice
is the fact that it has been excluded from the operation of the tenure system.
Chief Secretary would normally retire as the Chief Secretary or else he would,
from this position, move to the Union government to take up a more important
position.
In considering the position of the Chief Secretary, another fact needs to be taken
note of. The incumbent of this office is not necessarily the seniormost civil
servant of the state. This was at any rate the situation till 1973 when, for instance,
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in U.P., the Chief https://t.me/Pdf4Exams
Secretary was junior in rank and seniority to the members https://t.me/Upsc_Zone_Official
of
State Administration the Board of Revenue. Same was the case in Punjab, where he was junior to the
Financial Commissioner. Since 1973, however, the office of the Chief Secretary
has been standardised; its incumbent since then has begun to hold the rank of the
Secretary to ~overnmentof India and receives emoluments admissible to the
latter.
How does the clamping. of the Presidents' rule on a state affect the Chief
Secretary's Office? Where the Centre does not appoint advkers during the
President's rule, the Chief Secretary becomes clothed with the 6Ger.s belonging
to the Chief Minister. When, however, central advisers are appointed, it tends to
inhibit the Chief Secretary in his administrative capacity because the former are
drawn from the ranks of senior civil servants (senior to the state's Chief
Secretary) as a result of which a hierarchical relationship becomes operative.
13.7.2 Chief Secretary's Functions
The principal functions of the Chief Secretary are listed below:
He is the principal adviser to the Chief Minister in which capacity he, inter
"alia, works out the detailed administrative implications of the proposals
made by ministers and coordiriates them into a cohesive plan of action.
The Chief Secretary is the secretary to the Cabinet. He prepares the
agenda for Cabinet meetings, arranges them, maintains records of these
meetings, ensures follow-up action on Cabinet decisions, and provides
assistance to Cabinet committees.
The Chief Secretary is the head of the civil services of the state. In that
capacity, he decides on the postings and transfers of civil sewants.
By virtue of the unique position he holds as the head of the official
machinery and adviser to the Council of Ministers, the Chief Secretary is
the coordinator-in-chief of the Secretariat departments. He takes steps to
secure inter-departmental cooperation and coordination. For this purpose,
he convenes and attends a large number of meetings at the Secretariat and
other levels. Meetings serve as a powerful tool of effecting coordination
and securing cooperation of different agencies.
As the chief of the secretaries, the Chief Secretary also presides over a
large number of committeks and holds membership of many others.
Besides, he looks after all matters not falling within the jurisdiction of
other secretaries. In this sense, the Chief Secretary is a residual legatee.
The Chief Secretary is the secretary, by rotation, of the Zonal Council of
which the particular state is a member.
He exercises 'administrative control over the secretarial buildings,
including matters connected with space allocation. He also controls the
Central Record Branch, the secretariat library, and the conservancy and
watch and ward staff. The Chief Secretary also controls the staff attached
to the ministers.
In situations of crisis, Chief Secretary acts as the nerve centre of the state,
providing lead and guidance to the concerned agencies in order to expedite
relief operations. It would be no exaggeration to say that in times of
drought, flood, communal disturbances, etc., he virtually represents the
government for all the functionaries and agencies concerned to provide
relief.
In conclusion, it may be noted that a host of personnel matters and many other
minute and unimportant administrative details consume a sizeable chunk of the
Chief Secretary's time~,TheAdministrative Reforms Commission is constrained
to agree with the following observations of the Maharashtra ~eorganisation
Commission (1962-68) on the manner in which the Chief Secretary has become
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burdened with trivial details: ". . . it seems unfortunate
that the highest official in
the state has to sign gazette notifications of a~~ointments. ~romotions.transfers
reave;etc., that he has to spend time on minutiae of protocol, passports, etc." To State Secretariat:
Organisation and
rectify this situation, the ARC has recommended that this functionary be relieved Functions
of the work of routine natbre as well as be provided with appropriate staff
assistance. That alone will ensure speedy implementation of decisions and
effective coordination of policies and programmes of the state government.
ii) Check your answers with those given at the end of the Unit,
1) Bring out the salient aspects of the position of the Chief Secretary.
2) What are the main functions of the Chief Secretary?
13.8 LET US SUM UP

The term Secretariat refers to the complex of departments, which at political level,
are headed by ministers and, at an administrative level, by secretaries. Secretaries
assist ministers in the task of policy formulation and in their legislative duties.
Organisationally and functionally, the heads of the executive departments
constitute separate and distinct administrative units, which are hierarchically
subordinate to the secretariat departments. In most cases, executive departments
are designated as Directorates because their heads are, in most cases known as
directors. Directorates execute policy. Each secretariat department is usually in
charge of a number of Directorates.
Policy and administration, though conceptually distinct categories, are at a
practical plane, inextricably interlinked. They form a continuum; it is difficult to
say where the policy ends and administration begins. This is because the
administrators work as supplementary policy makers, and have, besides, a large
policy making role to perform.
The Chief Secretary, as the head of the administrative set-up of the state, performs
important leadership and coordination functions. This functionary is the nerve
centre of the State Secretariat. This Unit has thrown light on all these aspects of
state administration.
13.9 KEY WORDS

Chief Secretaryas a : The matters which do not fall within the jurisdiction
Residual Legatee
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Ph;nC C P ~ - P + P . I I
State Administration Inter alia : Among other things.

Line and Staff : This refers to the division between those agencies
and individuals engaged mainly in implemknting
policy, and those concerned primarily .with
providing advice and assistance to the Chi f
Executive. Whereas, the staff agencies are cpar ed
with aiding the Chief Executive, line officials are
2
engaged in developing and implementing policies.
Broadly speaking, the Directorate is a line agency
and Secretariat is a staff agency.
Spadework : Routine preparatory work.
The Department : Literally, the word department means a part or
portion of a larger whole. Sometimes, it is used to
denote parts of things other than the administrative
structure. However, in the present context, the term
department refers to the biggest blocks or
compartments, immediately below the Chief
Executive, into which the entire work of government
is divided. It is thus the highest and the biggest
organisational formation below the Chief Executive.
Avasthi, A., 1980, Central Administration; McGraw Hill, New Delhi

Maheshwari, S.R., 1995, Indian Administration; Orient Longman, Delhi
Maheshwari, S.R., 1979, State Governments in India; Macmillan, Delhi

EXERCISES
Origin of the term Secretariat in India during pre-Independence era, when
it was referred to as Secretary's Office.
Ministry becoming the seat of authority after Independence and
importance given to the popularly elected ministers.
In the changed political situation, the Secretary is the principal advisor to
the minister and both work together, and the Secretariat is referred to as
conglomeration of departments whose political heads are ministers and
administrative heads are the secretaries.
The Secretariat assists the ministers in preparing drafts of legislations to be
introduced in the Legislature.
Providing necessary information for answering questions in the
Legislature.
Collecting information required with respect to the Legislative
Committees.
An important element of continuity provided by the office, which has
permanent functionaries.
Downloaded from:- It constitutes the permanent elementhttps://t.me/Upsc_Zone_Official
https://t.me/Pdf4Exams in the Secretariat System.
State Secretariat:
Performance of spadework by the office, which enables the officers to Organisation and
consider cases and make decisions. Functions
a Provides sufficient materials to the officers, which forms the basis for
decision making.
a Policy formulation function of the Secretariat Department, while the
function of the executive department is that of policy execution.
The Secretariat Department headed by a generalist and the executive
department by a specialist.
a Functioning of the specialist or the head of the executive department
under the supervision of the head of the Secretariat Department.
a Views expressed by Woodrow Wilson in 1887 regarding the separation of
policy from administration.
Justification ofgeparation of policy from administration by Max Weber.
a Administrators draft legislation
a They provide the data support.
They tender advice to politicians.
a They formulate policy through exercise of administrative discretion.
I) See Sub-section 13.7.1.

UNIT 14 PATTERNS OF RELATIONSHIP

BETWEEN THE SECRETARIAT AND
DIRECTORATES
Structure
Objectives
Introduction
Directorates: Meaning and Organisation
Types of Executive Agencies
The Board of Revenue
14.4.1 The Pattern of Revenue Administration at the Supra-district Level
14.4.2 Composition and Functions of the Board of Revenue
Factors Shaping the Secretariat-Directorate Relationship
The Bases of Advocacy of the Two
Emerging Patterns of Relationship Between the Secretariat and
Directorates
14.7.1 The Status-quo Approach
14.7.2 The Bridging-the-gulfApproach
14.7.3 The De-amalgamation Approach
Let Us Sum Up
Key Words
~eferencesand Further Readings
14.0 OBJECTIVES
After you have read this Unit, you should be able to:
Discuss the meaning, significance and role of Directorates;
Explain why Directorates should hnction both at the state as well as
sub-statal levels;
Throw light on the position and significant-e of the Board of Revenue as a
state level revenue agency, which is distinct and separate from rhe rest of the
governmental machinery at the state level;
Understand the factors which create tensions in the Secretariat-Directorate
relationship;
Explain the existing framework of this relationship (as obtaining under the
traditional split system) and identify its strong and weak points;
Highlight the possible approaches which might he invoked to generate
alternative modelk of the Secretariat-Directorate relationship; and
Bring out the shades of differences, which distinguish one alternative from
another.
14.1 INTRODUCTION
This Unit discusses a diverse range of agencies at the state level. Two state level
agencies (i.e., Directorates and the Board of'Revenue) are discussed here, and
Directorate-Secretariat relationship is also brought out.
The Unit essentially highlights the following terms/concepts/institutions/factors
at the regional level:
Directorates
Directorates are the executive arm of the state government; they translate into
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https://t.me/Pdf4Exams Secretariat. Even though the terms
'Directorates' and 'Executive Agencies' are often used interchangeably, Patterns of Relationship
between the Secretariat
Directorates are but one type of executive agency. This point is pursued later in the and Directorates
Unit. Directorates, as we shall see, are classified into two categories - Attached
Offices and Subordinate Offices. This classification facilitates academic
comprehension of the roles, which the two types perform in policy execution.
Regional Administration
Bycause the Directorates are concerned with policy execution, and the execution
of policy must necessarily take place in the field (i.e., at the district, block and
village levels), the need arises for them (Directorates) to create intermediate level
administrative agencies to coordinate and supervise the field operations. This
intermediate level administrative setup between the ,tate headquarters
(Directorate) and the district is referred to as 'regional administration'. A generic
term, which is used to refer to regional level agencies (and those at district and
lower levels). They could be called sub-statal agencies because they exist at
levels below the state headquarters. Each region comprises a certain number of
districts. Thus, a region is a real unit below the state level and above the district
level. As a rule, though not always, all executive departments at the state
headGarters have regional organisations; names which these regional agencies
carry, vary froms department to department.
Divisional Commissioners
Divisional Commissioners, referred to above, are regional agencies in respect of
the states' revenue function. Work of revenue administration at the state
headquarters is entrusted not to a government department, but to an autonomous
agency called the Board of Revenue. Therefore, Divisional Commissioners are but
the regional level representatives of the ~ o & of
d Revenue.
Board of Revenue
Board of Revenue is an administrative innovation of a great significance. This
institution was created way back in 1786 to relieve state governments of the
detailed work in the field of revenue administration. Since then, a large number of
states in India have created Boards of Revenue. The equivalents of the Board of
Revehue in states, which have not created the boards, are Finance Commissioners
or Revenue Tribunals.
As you have already read, the Secretariat, as the policy-making body and
Directorate, as the policy-implementing agency, constitute the two wheels of the
governmental machinery; unless they achieve a certain measure of coordination
and cooperation, the ability of the machinery to deliver goods will be hampered.
At a theoretical plqne, the two have well-defined powers, jurisdiction and roles but,
in practice, various factors blur the. demarcations leading to estrangement and
mutual acrimony between the two wings, ultimately affecting the performance of
the government.
The question of relationship between the Secretariat and Directorate is important
per se. It, however, assumes added significance in a situation where this
"?'
relationship has deflected from its onginal course, as has hit~penedin India, and as
would, in fact, happen in any dynamic situation. Why has the relationship between
the two tended towards some kind of estrangement? Can some alternative models
be suggested to reformulate the relationship between Secretariat and Non-
secretariat organisations? In this Unit, these questions are being explained.
The existing set up in the country, under which the two function with complete
independence from each other, under the discipline of a well-defined framework of
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has attracted criticism; mainly that the Secretariat
State Administration tends to transgress its defined jurisdiction; does not adequately delegate to the
Attached Offices; delays scrutiny of proposals submitted by the Non-secretariat
organisations; and so on. On these grounds, it is suggested that the present split
system be abandoned. An attractive model, under which these two wings are
merged, has been recommended and practically tried out. The merger or
amalgamation model seeks to bridge-the gulf between Secretariat and Attached
Offices by integrating them into a single entity. This ('Bridging-the-gulf)
approach proposes other models also. It may be pointed out that wheie
amalgamation has been tried out, it has run into difficulties of various kinds, and,
therefore, ,efforts have, in fact, been underway to de-amalgamate the two offices.
Clearly, this (De-amalgamation) signifies a return to the traditional split system or,
in other words, a return to the status-quo model. Thus, the question of relationship
between the Secretariat and Directorate is a vexed one. Readymade solutions tb
remodel this relationship are difficult to come up.
14.2 DIRECTORATES: MEANING AND

ORGANISATION
Meaning and Nomenclature
As has been explained in the last Unit, the Secretariat is concerned with the setting
of the broader policies and goals of the state government while the responsibility
for achieving those goals and executing those policies rests with the heads of the
executive departments. The executive agencies are as a rule located outside the
Secretariat and constitute distinct organisational entities. A popular label to identifjr
an executive agency is 'Directorate'. In a large number of cases, the heads of the
executive agencies are known as directors. Many examples of this could be cited;
director of agriculture, director of animal husbandry, director of education, director
of social welfare, director of transport, director of public health, director of town
planning, and so on.
However, other nomenclatures are also used to refer to the heads of the executive
departments. Thus, the executive head of the department of police is known as the
InspectorIDirector General of Police; that of the jail department, the Inspector-
General of jails; that of the forest department, the chief conservator of forests; that
of the cooperative department, the registrar of cooperative societies; that of the
sales tax department, the commissioner of sales tax; that of the irrigation
department, the chief engineer (irrigation); that of the printing and stationery
department, the controller and so'forth. In other words, although in a !age number
of cases, the heads of the executive departments are'called Directors, they are also
known by other names.
Organisation of Dikectorates at the State and Sub-statal Levels
*
Apart from the state level, the executive agencies a!so function at the sub-statal
levels. This is quite natural. Because, while the policy must be formulated at one
centre (the state headquarters: presently, the state headquarters is signified by
Secretariat and Directorates), its execution must necesstuily take place in the
field. Therefore, the Directorates must make a conscious effort at achieving a
vertical penetration 'down to the grassroots level. When this is done, lesser
Directorates emerge at the regional level: the state level executive department
establishes offices in the regions; a region is simply a territorial unit below the
state but above the district level. When this process progresses further down the
line, the district, block and village level field agencies of a Directorate emerge.
To illustrate the organisational structure of the Directorate at the state and sub-
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statal levels, we present below the Organisation
chact of the Directorate of Food
and A ~ ~ i c l l l t l l rnf
e the Gnvernment at the state level.
Patterns of Relationship
The Organisation of Directorate of Food and Agriculture at the State
Headquarters Level: The Head of the Department and Directorates
Director of Agriculture
I
Additional Directors (2)
I
Senior Joint Directors (2)
I
Joint Directors (4)
I
Depoty Directors (6).
I
Statisticians (1) Assistant Directors (1 3)

Assistant Statisticians (3) Administrative Officers (3)
Sections (79)
Clerical Staff
At the state level, as is shown in the Organisation Chart, the headship would
normally be with a 'full' director who would be assisted by a group of lesser
directors: additional directors, senior joint directors, joint directors, deputy
directors, assistant directors, and other functionaries. Of course, as would be
understood, depending upon the workload of a department, the number of levels
of hierarchy at the headquarters could be larger or smaller. The regional level set
up of an executive department, would usually be headed by an officer of a lower
rank, a senior joint director in this case. It could indeed even be a person of
simply a joint director or even lowef level; that would again depend on the
workload and other factors. The district level organisation of the Food and
Agriculture Department has as its head a joint director. This is, again, not a
typical situation. Many district level offices of the executive departments are
headed by deputy or even assistant directors. Again, many factors will combine
to determine the rank of the officer who may head the district level set up.
At the level immediately below the district (block level), each development
department is represented by an extension officer who is a part of the extension
team functioning under the block development officer. Thus, to take an example,
there would be an agriculture extension officer in each block, representing the
state level directorate of agriculture. At the village level, as is well-known, there
exist the multi-purpose extension functionaries known as the village level
workers (VLWs).
14.3 TYPES OF EXECUTIVE AGENCIES

With a steady increase in the functions of government, the executive agencies have
grown in number as well as variety. The two most familiarly known executive
agencies are the attached offices and the subordinate offices. But with the
emergence of a large public sector in the country, other types of executive agencies
have also developed. \Of these, the public corporation (e.g., Life Insurance
Corporation of India) an&the government company (e.g., Steel Authority of India
Ltd.) remain the most outstanding examples. There are other types of executive
agencies too, but those details need not hold us up here. What needs to be
remembered is that with the growing governmental functions,. a variety of
organisational patterns have been evolved to suit the requirements of the varied
range of functions, which the government is increasingly taking on.
Role of Attached and Subordinate Offices
'Let us now briefly see what are Attached and Subordinate Offices, which, as we
have above stated, are the two most important forms of executive agencies. The
Manual of Office Procedure describe these as:
State Administration "Where the execution of policies of government requires

decentralisation of executive direction and the establishment of
field agencies, a Ministry has under its domain, the subsidiary
offices, which are Attached and Subordinate Offices. The
Attached Offices are responsible for providing executive
direction required for the implementation of the policies laid down
by the Ministry to which they are attached. They also serve as
repository of technical information and advice to the Ministry on
technical aspects of the questions dealt with by them. The
Subordinate Offices hnction as field establishments or as the
agencies responsible for the detailed execution of the decisions of
government. They generally function under the direction of an
Attached Office.. ." (Emphasis added).
Thus, the Attached Offices have in essence a two-fold hnction. First, they hrnish
technical data and advice to the Ministry to which they are attached. (Ministry is
the policy making body, but this policy making exercise must be based on
technical information and advice. It is the Attached Office, which supplies this
assistance to the ministry). The second hnction of the Attached Office is to
provide executive directions to the agencies, which are responsible for
implementing the policies of government.
As contrasted with the ~ t t a c h e dOffice, a Subordinate Office functions as the field
establishment or as the agency responsible for the detailed execution of the policies
and programmes of the government. As a rule, it functions under an Attached
Office.
As oft-quoted analogy with human body clarifies the distinction between Attached
and Subordinate Offices further:
"The Secretariat is the brain, the Attached Office is the trunk, and
the Subordinatb ohices under them are the limbs of the body."
1) Discuss the d i f f e ~ ntypes
t of executive agencies.
2). Why should the Directorates have sub-statal formations?

14.4 THE BOARD OF REVENUE between the Secretariat
and Directorates
Status and Position -_
The Board of Revenue, as the name itself suggests, is an agency, at the state level,
concerned with revenue administration in the state. Although, it exists at the state
level, it is not a part and parcel of the state government machinery. The preceding
statement is intended to underline and emphasise the fact that unlike the
government departments - which are definitionally a part and parcel of the
governmental machinery - the Board of Revenue is an autonomous agency created
under a statute. By virtue of this fact, the Board has an existence, distinct and
separate from the government.
The Board as a Supra-district Level Agency
The principal justification for the creation of Board of Revenue lies in that it
relieves the state government of the detailed work in the field of revenue
administration. It also has a large supervisory and coordination role vis-a-vis the
district level revenue functionaries (Collectors/ Deputy Commissioners). The fact
that it exists at the state headquarters level should not be allowed to blur the'truth
that the Board of Revenue is an agency, separate from the Central or state
government as such. (Since it is a statutory body, it is endowed with a distinct
legal identity of its own). This, coupled with the fact that it discharges
supervisory functions in relation to the District Collector's lends justification to
its classification as a supra-district level agency.
14.4.1 The Pattern of Revenue Administ,ration at the
Suprq-district Level
There is no uniformity in the pattern of revenue administration at the supra-district
level in the country. In this connection, two points need to be particularly
remembered. First, there are some states in which there are two administrative
agencies (one at the state headquarters level and another at the regional level)
between the district and the state government and there are others in which there is
only one administrative agency. Second, all states do noi have a Board of Revenue;
some have, in place of the Board, a Financial Commissioner or Revenue Tribunal.
In these terms, five distinct patterns of revenue pdministration at the supra-district
level can be identified. These are:
Pattern One
Under this, there is only one intermediate level, i.e., the Board of Revenue, with no
regionavdivisional level revenue set up (known as the Divisional Commissioner).
Under this pattern fall the states of Tamil Nadu, Kerala and Rajasthan.
Pattern Two
Under this pattern, there are two intermediate agencies, viz., Board of Revenue and
Divisional Commissioners. This Pattern is prevailing in the states of U.P, M.P,
Bihar, West Bengal, Orissa and Assam.
Pattern Three
Under this pattern also, there are two intermediate agencies. But here there is no
Board of Revenue; the Board's equivalent under this pattern is Financial
Commissioner. So, under this pattern, there is a Financial Commissioner at the
headquarters level and Divisional Commissioner at the regional level. This
situation prevails in Punjab and Jammu and Kashmir.
Pattern Four
Under this pattern, again, there are two intermediate agencies. But, as is the case
with the Pattern Three, here also there is no Board of Revenue. The Board's
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pattern, is the Revenue Tribunal. The two intermediate links
State Administration here, therefore, consist of (i) Revenue Tribunal, and (ii) Divisional Commissioner.
This pattern is prevailing in Maharashtra and Gujarat. The difference between the
two states is that whereas Commissioners in Maharashtra are regionally located, in
Gujarat they are located at the state headquarters and their duties are functionally
.distributed.
Pattern Five
This pattern is prevalent in Andhra Pradesh, where the Board of Revenue was
abolished in 1977 and since then its functions are being discharged by independent
Heads of Departments called Commissioners. There are no Divisional
Commissioners at the regional level. At present, there are five Commissioners each
looking after (i) Land Revenue; (ii) Survey, Settlement and Land Records; (iii)
Commercial Taxes; (iv) Excise, and (v) Civil Supplies, respectively.
14.4.2 Composition and Functions of the Board of Revenue
Composition
The number of the members of the Board varies from state to state. The U.P.
Board, for instance, has six members, whereas the Bihar and Orissa Boards have
one full-time member each. The practice everywhere is to appoint only the senior
officers as members of the Board. The work among members is fimctionally
divided. Decisions on important policy matters are taken by the full Board. The
Board has a Secretariat of its own.
Functions
The functions of Boards of Revenue vary a little from state to state. Generally
speaking, the Boards perform the following functions:
The Board advises the government on all matters of revenue policy.
It is the highest body in the revenue hierarchy of the state. Being the highest
revenue court, it hears appeals and is empowered to revise decisions in
revenue cases.
iii) It exercises general superintendence over the revenue of the state, from
whichever source they may arise.
iv) Board is thL final authority under the Sales Tax Act, Excise Act, Prohibition
Act and Agricultural Income Tax Act.
The Board undertakes the settlement operation in the state under its
jurisdiction. This is a function,.which holds the key to peace and stability in
the rural India.
vi) The Board exercises large inspectorial duties. It inspects revenue department
in Collectorates and Divisional Commissioners' offices.
vii) In some states, the Chairman, Board of Revenue, writes annual confidential
reports of the Divisional Commissioners and District Collectors.
viii) In states, which do not have Divisional ~ommiskoners,the Board comes in
direct contact with district administration. This, inter alia, means that it
assumes a more pervasive supervisory role in respect of them.
ix) In general, the Board relieves the state government of a great deal of detailed
work in the sphere of revenue administration and functions as an
institutional adviser to government on a wide variety of matters.
14.5 FACTORS SHAPING THE SECRETARIAT -

DIRECTORATE RELATIONSHIP
The Secretariat and the Directorate constitute two wheels of the governmental
machinery. Unless they achieve a certain measure of coordination and
cooperation, the ability of the machinery to deliver goods is hampered. Two sets
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relationship at the state level. Of these, one concerns the functioning of the Patterns of Relationship
Secretariat at a practical plane. The second is concerned with the expansion that and Directorates
has lately come about in the Secretariat -its role, personnel, number of
administrative units of which it is comprised, and so on. Of course, the two factors
are closely inter-related; it is to facilitate academic understanding of the matter that
these are being dealt with separately here. It may be noted, it is these very factors
which - as they work themselves out - generate situations, which tend to build up
tension in the Secretariat-Directorate relationship.
Different Aspects of the Functioning of Secretariat
The institution of Secretariat has attracted considerable criticism. One cannot
perhaps find fault with the Secretariat as a concept, for at a Conceptual plane, it is
meant to encourage division of labour (between policy making and policy
executing agencies) and specialisation, which results from such
. compartmentalisation of work. Again, at a conceptual level, the idea.of Secretariat
is meant to promote delegation of authority from policy making to policy
execution level. By implication, it discourages centralisation and concentration.
However, in practice, these advantages of the Secretariat system have failed to
fully materialise. There is a large divergence between what is held to be valid in
theory and what is achieved in practice. The manner of functioning of the
Secretariat and its overbearing attitude have generated tensions in the Secretariat-
Directorate relationship and adversely affected the advantages commonly
ascribed to the Secretariat System.
The substantive points of criticism against the Secretariat, which have a bearing
on its relationship with the executive departments, are placed below:
i) The Secretariat has an expansionist attitude, meaning it has arrogated to
itself functions, which do not belong to it. It does not confine itself to
policy making; instead the Secretariat freely engages in matters of
executive nature. This encroachment has materially weakened the
authority of the executive agencies.
ii) The Secretariat hesitates to delegate adequately to the Executive Agencies.
As a result of this, the execution of policies is delayed. Besides, the
initiatives of the Executive Agencies is cramped through the need for
repeated consultations with, and approvals from, the Secretariat.
iii) Scrutiny, in the Secretariat, of proposals submitted by the heads of the
Executive Departments begins at the clerical level. This procedure is
dilatory. Besides, it undermines the authority of the heads. As is well-
known, the proposals of the heads of the departments are based on
proposals .received from the district and regional level officers and are
submitted to the Secretariat after a detailed scrutiny in the Attached
Offices. If, therefore, these proposals are to be subjected to further
scrutiny, it leads to unnecessary duplication and delay.
iv) More substantively, the very idea of the generalist administrators (who
staff the Secretariat) overseeing, superintending and evaluating the work of
specialists and technocrats (who staff the Executive Agencies) is out of
place in the modem technological age. And, it is all the more untenable
that the Secretariat should scrutinise the proposals and schemes emanating
from the attached offices, the argument being that the lay generalists have
possibly nothing to contribute in such an exercise.
The above-noted situations, coupled with the fact that Secretariat has come to be
identified with the real power structure in the governmental system (it is, in fact,
considered 'the government') have unduly inflated thginfluence and authority of
the Secretariat and aggravated tensions between the Secretariat and Executive
nenartments T h e imnnrtance o f Secretariat has not further enhanced since a s
State Administration previously noted, it delves into the questions not only of policy (which constitute
its legitimate sphere) ,but also those of execution. It has thus expanded its
functional area through large, unauthorised encroachments in the executive
sphere. This is, quite obviously, at the expense of the executive offices and only
further adds to tension between the Secretariat and Executive Agencies. Another
situation, which must be noted in this regard, is the easy access, which
Secretariat officers enjoy with the political executive. There is no gain saying the
fact that this, in its own way, contributes to the existing tensions between the
Secretariat and Attached Offices. We shall be discussing the factors that have
been responsible for bringing about expansion in the role of the Secretariat and
an increase in its personnel and the number of administrative units of which it is
comprised. After all, it is partly this expansion, which is at the root of the
Secretariat-Directorate tensions. These factors are set out below:
Factors Responsible for Expansion in the Secretariat
The foremost of these is the parliamentary system of government. The principle of
legislative accountability - under which the minister is, inter alia, supposed to
answer questions, concerning his department, on the floor of the house - has
brought about centralisation of functions in the Secretariat. Also, easy access of
ministers to their constituents generates pressures on ministers in regard to matters
such as appointments, promotions, transfers, and so forth. Now, clearly, these are
matters of executive nature. The ministerial desire to nurture his constituency (and
therefore, respond to demands for appointments, etc.) results in the minister's
involvement in executive matters. This is how the Secretariat, a policy making
body, becomes involved ,in the matters of policy execution.
The second factor, which has been responsible for a steady and substantial
increase in the volume of work in the Secretariat is the governmental policy to
develop the economy through planning and state intervention and a whole host of
welfare functions with the government in recent years has assumed. Every effort
at directing and administering the economy leads to increased volume of work in .
the government. Secretariat, in particular, has gained in stature and influence
from this situation. The reason for this is that more important work as'well as
decisions commanding wide impact have devolved on the Secretariat.
Two factors account for this. First, the generalist secretaries are thought to
possess a breadth of vision and a well-rounded experience, which comes from
the varied job placements that an IAS officer is typically exposed to in the course
of his career. In contrast, the head of the department is considered narrow in
vision and too theoretical in approach. Secondly, the ministerial staff in the
Secretariat is considered to be of a higher calibre as compared to that in the
Attached Offices. The result is that the Secretariat attracts more business.
Thirdly, as noted above, not ap insignificant portion of growth in the Secretariat
is due to its taking over numerous executive functions and multifarious
unimportant tasks, which do not properly belong to it. Finally, some expansion
is also due to the tendency of the bureaucracy to proliferate in any situation. The
Secretariat is, thus, today encumbered with non-essential work and has become
unwieldy and overstaffed.
14.6 THE BASES OF ADVOCACY OF THE TWO

The foregoing discussion provided us the perspective in which the question of
relationship betweedthe Secretariat and Directorates may be considered. The
issues in this relationship will emerge more clearly if the arguments in favour of
Secretariat and those in favour of Directorates are summed up:
Arguments in Favour of Seoretariat
The Secretariat is an essential administrative institution. The Secretariat
System of work, with all its deficiencies, has lent balance, consistency and
continuity to the administration and has served as a nucleus of the total Patterns of ltelatio&hip
machinej of a Ministry. It has facilitated inter-ministry coordination and and Directorates
accountability to the Parliament at the ministerial level.
The Secretariat System helps to separate policy making from policy execution.
This is a welcome thing to happen with the Secretariat concentrating on the
long-term policy issues and the executive agencies being given the freedom to
implement policies. It has encouraged division of work, specialisation, and
above all, delegation of authority.
Since the Secretariat is required to concentrate on policy-making alone, it is
able to achieve freedom from involvement in matters of detailed, day-to-day
administration. This helps the Secretariat to remain forward-looking and plan
in terms of the overall, aggregative national objectives.
The generalist secretary, who is the kingpin of the system, is uniquely suited to
advise the minister, who is a layperson. The secretary is, on the one hand, able
to keep the exhalted fervo.ur of the specialist head of the department in check,
and on the other, tender objective advice to the minister, examining proposals
submitted by the head from a larger viewpoint of the government as a whole.
The existence of Secretariat ensures objective evaluation of programme
implementation in the field. This task cannot be left to the executive agencies,
which actually implement policies, for they should not be asked to judge their
own performance. The Secretariat is best suited to do this job.
Overall, the Secretariat is an institution of proven merit. It has stood the test of
time and successfully delivered goods; the combination of 'tenure system' and
a permanent 'office', which has been evolved as a part of the system has given
it strength, vitality and dynamism. There isno viable substitute in sight for the
Secretariat System.
*gumentsin Favour of Directorates
Unlike the Secretariat, the Directorates are staffed by specialists who have
achieved excellence in their respective specialisations. These specialists have,
moreover, over the years, been able to gather an intimate knowledge of the
field conditiong. By virtue of-these facts, the director or the head of the
department, it is argued, is comfortably placed to discharge the role of
tendering policy advice to the Minister. This will permit fuller projection of the
Director's experience in the policy-making process.
As the specialists rise in the functional hierarchy, they are able to acquire a
valuable administrative experience. This coupled with the fact that they are, by
virtue of their training, well-versed in the technical aspects of the policy issues
and could provide the head of the departments a superior equipment as -
compared with the generalist secretaries - to tender advice on policy matters.
The argument, in other words, is that the heads combine with administrative
experience the valuable technical know how, which the secretaries lack.
As science and technology makes rapid advances, the volume and complexity
of governmental activity of a technical and scientific character has been on the
increase. And, with this, specialised areas of administrative activity have
emerged in the government. The specialist heads of departments are uniquely
suited to respond to this situation.
The specialist heads of departments alone, rather than the generalist
secretaries, are in tune with the modem trend of specialisation and
professionalism in the government. There is virtually no professional area, it is
argued, which is not represented in the government today. Pure sciences,
medicine, veterinary science, engineering, agricultural science, architecture,
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14.7 EMERGING PATTERNS OF RELATIONSHIP
BETWEEN THE SECRETARIAT AND .
. DIRECTORATES
What might be a suitable pattern of relationship between the Secretariat and non-
Secretariat organisation? On the question of evolving a suitable pattern, broadly
three schools of thought are discernible. Each adopts a different approach. Neither
yields a conclusive answer for, as we shall see in the ensuing discussion, it is
possible to list ar&rn$nts for as well as against the arrangement each proposes.
B a e d on their ddminant ihrust, the three schools of thought or approaches may be
referred to as:
i) The Status-quo 4pproach,
ii) The Bridging-the-gulf Approach, and
iii) The De-amalgamation Approach.
14.7.1 The statuequo sta roach
The Statusquo Approach favours the traditional split system and holds that the
Secretariat andthe Directorates have welldefined roles in our administrative setup
to which they should continue to stick. The approach is based on the traditional
concepts of staff-Iine dichotomy where the secretariat performs the role of a Staff
Agency and the Attached Office that of the Line Agency. The Status-quo
Approach also accepts the traditional policy-administration dichotomy. The
advocates of this approach belie3e that the relationship between the Secretariat and
Directorates should be based on the following principles:
i) Policy-making should be the responsibility of the Secretariat and Policy
implementation that of the Directorates.
ii) Subject to the rules governing the conditions of service, the Head of
Department should have fullest control over the personnel under him.
iii) The Secretariat Department should provide common services and undertake
domestic housekeeping in respect of the Directorate(s) attached to it (for
instance, the allocation of office accommodation).
Arguments For
The advocates of Status-quo Apptoach justify the existence of separate agencies
for policy formulation and policy implementation on the following grounds:
i) Persons responsible for the execution of policy mustinot be entrusted with
the responsibility for the assessment of its achievements and failures.
ii) Agency concerned with execution of policy remains so much engrossed in
details that it may ,lack a broad outlook necessary for the framing of a policy.
iii) When schemes b e d by specialists are scrutinised by the generalists, it
gives these schemes a broader orientation and greater objectivity.
iv) Separation encour@gesdelegation and decentralisation. It also provides for
division of work &tween the Secretariat and Directorate.
v) Split system has the important merit of being a familiar arrangement.
Besides, it is a system of proven effectiveness; it has, till now, delivered the
goods. It has stood the test of time. Its scrapping will break continuity with
the past.
Arguments Against
Arguments against the traditional split system are too well-known to need any
detailed catabguing. Briefly, these are as follows:
i) Schemes are processed twice in two
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ii) between the Secretariat
hardly qualified to scrutinise the schemes framed by heads. The assistant's and Directorates
notings tend to conhse the issues and lead to unnecessary queries. In the
process, the original intentions underlying the schemes get distorted and
obscured.
iii) More fundamentally, the critics of the split system point out, it is doubtful if
generalist secretaries have the . necessary h o w -how to undert*
examination of the schemes prepared by qualified specialists; whether they
may, in fact, be expected to make a worthwhile contribution to this exercise. -
iv) Split system is also criticised on the ground that it is inegalitarian. in outlook.
That'it makes the Attached Office feel like an inferior entity far removed
from the charmed circle. One result of this could be a low sense of .
participation among the personnel of Attached Offices.
1) Enumerate important arguments in favour of Status-quo Approach.
2) Why is Status-quo Approach not favoured these days?
14.7.2 The Bridging-the-gulf Approach

As against the School advocating Status-quo Approach there is another, which
advocates measures for bridging-the-gulf between the Secretariat and Non-
secretariat organisations. Its protagonists suggest various devices for bridging-the-
gulf. These include (i) the conferment of ex-officio secretariat status on theheads
of ~xecutiveDepartments; (ii) the system under which a Secretary concurrently
holds the oflice of the head of the Executive Department; (iii) the merger or
amalgamation device under which an Executive Department is placed in a
corresponding Secretariat Department; and (iv) a device which is a variant of
(point iii), involving, once again, merger or amalgamation, but under this de;ice,
the Secretariat ~ e ~ a r t m i nist placed with the corresponding Head of the
Department, rather than the other way around. Each of these methods is'in turn
discussed below:
Ex-Officio Secretariat Status
Meaning
This device consists the conferment of a suitable ex-oflicio secretariat status on the
heads of Executive Departments. The result is that by virtue of holding office
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State Administration head, the incumbent of the (head's) position holds a suitable rank in the Secretariat.
The clear advantage is that the two offices (those of the Director and Secretary) are
now combined in a single individual. The Director, by virtue of being an ex-officio
secretary, can sign on behalf of the government. The need for scrutiny of schemes
in two offices is done away with. The same individual, in his capacity as Director,
proposes the scheme and, in his capacity as Secretary, scrutinises it. This is, of
course, an over-simplified description of the ex-officio system, but this is how, in
essence, it functions. Thus, to take an example, in some states, the Chief
Conservator of Forests is an ex-officio Secretary to the state government in the
Department of Forest and Environment. To take an example from the Central
Government, the Director General of the Indian Council of Agricultural Research
is an ex-officio Additional Secretary to the Government of India.
Advocacy by State Level Administrative Reforms Committees
The Administrative Reforms Committees appointed by certain state governments
have from time to time recommended conferment of ex-officio secretariat status on
the heads of the Executive Departments. It would be helpful to pause at this stage
to take a brief look at their recommendations; the exercise will inter alia assist us
in analysing the advantages or the merits, which particular state governments
ascribe to the ex-officio system.
The Andhra Pradesh Administrative Reforms Committee (ARC) (1964-65)
recommended conferment of the ex-officio status as a method of achieving
psychological closeness between the Secretariat and Directorates. The device, the
Committee felt, would make the head of department feel a part and parcel of the
broad-based (governmental) team - comprising its two major organisational
components; the Sectetariat and the Directorate - which is entrusted with a
common task. It would remove the feeling of 'separateness' on the part of the
head and ensure his fuller association in the Secretariat's policy formulation
work. The Committee recommended conferment of the secretariat status on 23
heads but opined that, to start with, the secretariat status be given "only to those
who are doing important work and spending large amounts' particularly on work
connected with development activities."
The Punjab ARC (1964-66) recommended conferment of secretariat status as a
method of ensuring adequate financial and administrative powers to the heads of
the executive departments. The Kerala Administrative Reorganisation and
Economy Committee (1965-67) recommended conferment of appropriate
secretariat status on the heads of departments to achieve "better quality of work
and the esprit de corps that follow from the psychological satisfaction that such
status would give to the Heads of Departments." The Committee recommended
the grant of the ex-off~ciosecretariat status to 55 officials of the Executive
Departments.
The Rajasthan ARC (1 962-63) had recommended the adoption of the ex-officio
system on an experimental basis. It proposed that the government may, to begin
with, make the Chief Engineer, Public Works Department (Buildings and
Roads), and the Director of Industries and Supplies, ex-off~cio Additional
Secretaries to the government. And that it may, later, extend the system to other
departments.
Arguments For
i) When the Head of Department has an ex-officio secretariat status, he can
make decisions, and sign, on behalf of the government. This permits much
economy of time since the matter does not have to move up the secretariat
for finalisation. The twin roles of Secretariat and Directorate are now
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Department function) and its scrutiny consideration, and sanction (a
Secretariat Function), both the roles are performed by the same functionary. and Directorates
ii) The Head of Department is more closely involved in the policy making
process. This means that his experience is more adequately projected in
policy formulation. Also, more desirable policy implementation is possible
since the Head of Department, under this arrangement, develops fuller
awareness of the considerations, which underly a policy.
iii) Overall, the Head of Department gains in status and weight. He achieves a
particular facility and speed in handling matters and making decisions. The
overall efficacy of the governmental system to deliver goods is enhanced.
Bureaucratic procedures become de-emphasised; a programmatic bias and a
performance orientation is achieved.
Arguments Against
i) Integration is apt to blur the line of demarcation between the functions of
policy-making and policy-implementation. As a result, the task of long-term
, policy making is liable to be neglected because the day-to-day operational
problems are likely to induce a sense of urgency about them.
ii) Not only the policy formulation work per se will suffer, but also the short-
term considerations may overwhelm the strategic ones and deprive policy
making of the long-term content.
iii) Integration may also affect the programme implementation adversely. This is
because the executive officers have, as such, plenty to do in the fields; their
involvement in the secretariat work will overburden them.
iv) Government will be deprived of the advantage of a broad and balanced
scrutiny of the policy proposals when a technocrat takes over the Secretariat
functions.
v) Integration violates the fundamental principle of the Secretariat System,
namely policy-making that must remain separated from policy
implementation.
vi) Indiscriminate conferment of the secretariat status will debase the value of
the secretariat designations and, at the same time, undermine the authority of
such functionaries of the Executive Agencies that do not have the secretariat
status.
Concurrent Appointment of Secretary as the Head of the Executive Agency
We have referred to the ex-officio Secretariat System earlier. Under this, an
appropriate secretariat status is conferred upon the head of the' Executive
Department. The reverse is also done; namely a Secretary is concurrently
appointed as head of the Attached Office. In this way, a single functionary is made
responsible for both, policy formulation as well as policy implementation with the
assistance of a common office located in the Secretariat. Some examples of this
could be cited from the Central government; Joint Secretary in the Department of
Labour and Employment (Ministry of Labour, Employment and Rehabilitation) is
concurrently the Director-General of Employment and Training. Similarly,
Additional Secretary in the Department of Food (Ministry of Food and
Agriculture) is also the Director-General of Food.
The advantage of this system is clear enough; namely, it helps to eliminate the
distance between the Secretariat and the Attached Office. But, at the same time, the
system blurs the distinction between the Secretariat and the Head of the
Department. A comprehensive projection of the system throughout the country
could only take place if the view is held that the Secretariat as such has no longer a
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State Administration Amalgamation of Directorate with Secretariat
Terms like integration, merger and amalgamation have been interchangeably used
to suggest an arrangement under which the distinction between the Secretariat and:
the Non-secretafiat Organisations is completely dissolved. Under this system, the
office of4p heads of the Executive Agencies is merged with the corresponding
departments i s the Secretariat.
<
The a d v o c a c p f amalgamation is based on the argument that the encroachment
of the Secretariat into the Execut' Functions, is in any case, an established fact
of the Indian administrative,la heape. This is so because the political executive
in India is unable to devote a e g a t e attention to- policy functions. Instead, it
preoccupies itself rather quite excessively with matters of day-to-day nature (like
appointments, promotion, and transfers, for instance). As a result, the Se~retariat
itself becomes involved in what are patently executive matters and which,
therefore, should, in fact, fall in the domain of the Directorate, as ultimately the
role of the Secretariat is governed by the role perceptions of the political
executive. It is thus, argued that since the role of the two agencies anyhow
overlap, amalgamation would be both logical as well as desirable.
Among the advocates of amalgamation, the ARC'S team on "The Machinery of
the Government of India and its Procedure of Work" has been most outstanding.
It recommends abolition of the distinction between the Seiretariat as the policy-
making body and the Non-secretariqt Organisations as the Executive Agencies
based on an elaborate scheme of mkrger, which it'has proposed. The idea is to
provide for adequate interaction between the policy-makin4 and the policy
'
implementing agencies of the government and remove the undesirable distinction
between the Secretariat and Non-secretariat parts of administrqtion.
The ARC itself has, however, expressed itself agairpst a general abolition of the
distinction between the Secretariat and the Executive Agencies. *It favours
integration on a more restricted scale. It recommends integration with Secretariat
of only those Executive Departments, which are concerned with development
programmes. It suggests that policy-execution dichotomy should continue to be
maintained in case of Executive Organisations concerned with regulatory,
training, survey and research activities.
Amalgamation or integration involves placement of Non-secretariat
organisations with executive duties functionally in the Seqretariat without giving
them any secretariat status. The heads of the Non-secretariat Organisations,
which are amalgamated with thi Secretariat retain their present designations,
' which indicate the nature of their functions. Under the integration arrangement,
coordination between the "Non-secretariat Organisations part" and the
"traditional part of the Secretariat" would be the responsibility of the Secretary.
. Arguments For
Two state level ARCS have also favoured the idea of merger of the offices of the
Heads of Departments with the State Secretariat.
The ARC of Andhra Pradesh, in, the year 1960, recommend merger in view of
"The increased workload in the context of larger and larger Five Year Plans and
the urgency with which the plans had to be executed year by year."
This could be one advantage of effecting merger of the two offices, namely, it
' promised speedier execution of the development projects. Other advantages of
merging the two offices, according to the ARC, could be as under:
i) It permits continuous contact between the Secretariat and the Directorate.
ii) It expedites sanction of schemes and staff.
iii) It speeds up implementation of schemeshttps://t.me/Upsc_Zone_Official
and facilitates their periodic review.
The other state level committee to recommend the substitution of the two parallel Patterns of Relationship
hierarchies (Secretariat and Directorate) by an integrated composite ofice was the and Directorates
Madhya Pradesh ARC (1970-72). It ascribed following advantages to such an
arrangement:
i) This would encourage specialisation in the various aspects of administration.
ii) It could be away with duplication (in scrutiny of schemes, for instance), cuts
. and delays.
iii) The arrangement would help to improve the quality of performance and
avoid dispersal of manpower and financial resources.
Arguments Against
THe disadvantages 06amalgamation would be similar to tHose of the preceding two
methods discussed in this Section.
Amalgamation - The Second Model
In the merger device, which we have discussed earlier, the office of the head of
the Executive Department is integrated with the corresponding Secretariat
Department. The opposite also happens so that the Ministry's office is merged
into the headquarters' organisation of the head of the Executive Department.
Such a system was in operation in the Directorate-General of Posts and
Telegraphs before the P&T Board was constituted. Here, the Ministry and the
Executive Department have a common office and common files - all under the
control of the Executive Department. This common office serves both, the
officers of the Secretariat as well as those of the Executive Department. Same
clerical staff puts up papers before both the levels of officers. A distinguishing
feature of this arrangement is that, at the Secretariat level, all noting is done by
officers of and above the rank of Under Secretary. This arrangement permits
speedy disposal of cases and helps to effect sizeable economy in expenditure.
Its disadvantages are similar to those of the previously discussed three methods.
1) Bring out the arguments in favour of the ex-officio device.
2) What are the advantages of the amalgamation device?

State Administration 3) Enumerate the features of the second model of amalgamation device.
14.7.3 The De-amalgamation Approach

Why De-amalgamation? The Bihar Experience
How has merger or amalgamation worked in practice? Has it produced the desired
results? Bihar is one state in the country where amalgamation was effected as far
back as 1951. Empirical results are available from the Bihar experiment on
amalgamation. There is a sharp division of opinion among the functionaries who
have had the opportunity to work under amalgamated setup. A number of officials
report that the scheme has been successful and has yielded good results. At the
same time, a large number of officials have criticised the scheme and opined that it
should be done away with. In other words, they feel that amalgamation has failed
and the process of de-amalgamation should now be started.
Arguments for Continued Amalgamation
Those who report favourably on the experience of amalgamation argue as follows:
i) Amalgamation has obviated the need for examination of proposals
independently by the Directorate and Secretariat.
ii) It has cut down delays and ensured expeditious disposal of cases.
iii) It has effected economy in establishment expenditure.
Arguments for De-amalgamation
The officials who recommend de-amalgamation give the following arguments:
i) Although amalgamation permits much economy of time in that it does away
with two parallel scrutinies of proposals, the experience has shown that,
under the amalgamated set up, the quality of final proposals/schemes has
declined, which frequently. involves reconsideration. This, they point out,
was not so when Directorate and Secretariat functioned separately.
ii) Amalgamation has resulted in gradual removal of distinction between the
functions of the Heads of Departments and those of the Secretariat.
iii) Amalgamation has rendered objective examination of proposals and
schemes at the Secretariat level difficult. The secretaries have to write their
notes on files in a guarded manner so as to avoid causing offence to the head
of department. This extra caution often prevents a frank examination of the
cases by the secretariat officers.
iv) Under the amalgamation schemes, the Head of D e p G e n t remains stuck up
in the Secretariat. He is not able to go on tours and inspections, which are his
main obligations.
What is Involved in Effecting De-amalgamation?
In 1979, Bihar decided to scrap the amalgamation or, in other words, to return to
the traditional split system. However, Bihar has experienced difficulties in
implementing the de-amalgamation plan. Difficulties have been mainly two-fold.
First, during the three decades of amalgamation, there has been a unified cadre of
the subordinate staff, i.e., for the Secretariat and the Heads of Departments. De-
amalgamation involves separation of this unified cadre. Second, because of the
amalgamation of the Secretariat and Executive Department, no separate files had Patterns of Relationship
been maintained for the two sets of departments. De-amalgamation necessitated and Directorates
duplicating many files and documents.
In view of these difficulties, it was decided to enforce de-amalgamation in two
stages. In the first stage, the heads were to confine themselves to field work
alone, meaning they would curtail their involvement in the Secretariat duties.
And, in the second stage, separation of cadres and files were planned. For these
reasons, the process of de-amalgamation in Bihar could not be completed until
1982 although the decision to de-amalgamate was reached in the year 1979.
14.8 LET US SUM UP

Directorate is an executive agency charged with the role of translating the
policies framed at the Secretariat level into concrete action. Directorates
establish intermediate level administrative set up - between the headquarters and
the districts - which coordinate and supervise field operations. This intermediate
set up is called the regional administration. The Board of Revenue is an
organisation at the headquarters to deal with the issues concerning the revenue
administration of the state. It is an autonomous body with an existence distinct
and separate from most of the state government machinery.
In the possible patterns of relationship between Secretariat and Directorate, we
have, in this Unit, highlighted only the more prominent ones. The two agencies
remain locked in a process of constant interaction. And, therefore, the relational
patterns, which are generated, would be legion. As a quest for greater efficiency
in government forges ahead, administrative experiments ensue in its wake. This
leads to modifications and alterations in particular patterns and abandonment of
others. And the old gives place to the new; the process is ongoing.
14.9 KEY WORDS

Board : A Board is a multi-headed extra-
departmental organisation. It typically
consists of a group of individuals, mainly
specialists, who are collectively assigned the
responsibility for carrying out a certain
governmental function. A Board is
preferred to a single head when quasi-
legislative and quasi-judicial functions have
to be performed. Under a Board type of
organisation, it is possible to pool together
the knowledge and experience of several
individuals.
Amalgamation : This is one of the organisational devices to
reduce the distance between Secretariat and
DirectoratC. Under this arrangement, the
distinction is completely dissolved by
merging the office of the head\ with that of
the Secretary.
Bridging-the-gulfApproach :This is a name given to a particular
methodology, which is employed in
remodelling the Secretariat-Directorate
relationship. It seeks to reduce the distance
between the two agencies through a number
of organisational devices.
State Administration De-amalgamation : This is the negation of the amalgamation

device. It seeks to do away with the
integrated or amalgamated set up. Thereby,
it aims to restore the traditional split system.
Esprit de Corps : Spirit of loyalty and devotion, which unitis
the members of a group or society.
l4.10 REFERENCES AND FURTHER READINGS

Administrative Reforms Commission (ARC) Study Team, 1967, Report on
Personnel Administr&tion;The Manager of Publications, Delhi
ARC, 1969, Report on State Administration; The Manager of Publications, Delhi
ARC, 1968, Report on the Machinery ofGovernment of India and its Procedure
of Work;The Manager of Publications, Delhi
Avasthi, A., 1980, Central Administration; McGraw Hill, New Delhi
,
Maheshwari, S.R., 1979, State Governments in India; Macmillian, Delhi
Maheshwari, S.R., 1986, Indian Administration; Orient Longman, Delhi

EXERCISES
Check Your Progress 1 *

rn ' Attached Offices
Subordinate Offices
rn Principle of hislative accountability that has led to centralisation .of
functions in the Secretariat.
rn The ministerial desire to nurture hisher constituency results in Minister's
involvement in executive matters.
rn Increase in welfare fbnctions of the government.
rn h e ministerial staff in the Secretariat is considered to be of higher calibre.
rn Secretariat has become unweildy and overstaffed.
Separation of policy forkulation and policy implementation.
rn Generalist scrutiny gives broader orientation to specialist's schemes.
rn The Approach encourages delegation, decentralisation and division of
work.
rn It leads to delays.
Scrutiny_ of schemes at the' Assistant's level distorts the aims of the
schemes.
rn According to technocrats, generalists do not have necessary know how to
scmtinise the schemes made by them.
rn These schemes make Attached Offices feel inferior.
Check Your Prpgress 3
rn The Head of Department has an ex-officio Secretariat status.
He can take a decision and organise on behalf of the government. Patterns of Relationship
He is more closely involved with policy-making process. and Directorates
He gains in status and weight.
It leads to speedier execution of the development projects.
,
It permits continuous contact between the Secretariat and the Directorate.
Speeds up implementation of schemes.
Encourages specialisation in various aspects of administration.
Reducis duplication in scrutiny of schemes.
Ministry and Executive Departments have a common office and common
file.
The Ministry and Executive Departments have common clerical staff.
Noting is done by officers of and above the rank of Under Secretary.
The model helps in speedy disposal of cases.
It helps to effect sizeable economy in expenditure.

UNIT 15 STATE SERVICESAND PUBLIC

SERVICE COMMISSION
Structure
15.0 Objectives
15.1 Introduction
15.2 Meaning of Civil Service
15.3 The Significance of an Independent Recruitment Agency
15.4 Components of Civil Service at the State Level
15.5 Classification of State Civil Services
15.6 Features of Recruitment to State Civil Services
15.7 Constitutional Provisions with Respect to the Commission
15.8 Composition and Functions of the Commission
15.9 Advisory Role of the Commission
15.10 Independence of the Commission
15.11 Commission's Working
15.12 Let Us Sum Up
15.13 Keywords
15.14 References And Further Readings
15.0 OBJECTIVES
After you have read this Unit, you should be able to:
Understand the constituents of civil service at the state level and the criteria
and system of classification of state services;
Throw light on the system of recruitment to state services;
Explain the significance and role of State Public Service Commission; and
' Identify factors that hinder its working.
15.1 INTRODUCTION
This Unit aims to describe the nature of civil services at the state level. It discusses
the aspects related to classification and recruitment to state services. It throws light
on the significance of an Independent Recruiting Agency, components of civil
service at the state level, and its advisory role. The composition and working of
State Public Service Commission are also discussed.
15.2 MEANING OF CIVIL SERVICE

The phrase 'State Services' refers to the civil service at state level. Civil service
refers to the civilians employed by a government and distinguishes civilian
pursuits in government from military. Civil service is a career service. Elective
officials and employees of semi-government bodies do not form part of the civil
service. An essential ingredient of the civil service concept is merit system. Merit
system means selection based on ability as adjudged by an open competitive
examination for civil service jobs. An independent recruiting agency is the
hallmark of a merit system. The state level recruiting agencies are designated as
State Public Service Commission.
15.3 THE SIGNIFICANCE OF AN INDEPENDENT

RECRUITMENT AGENCY
It is of basic importance that recruitment to any civil service is free from any
suggestion of bias. This alone would inspirehttps://t.me/Upsc_Zone_Official
confidence. To ensure objectivity and
State Services and Public

impartiality in recruitment, several measures have been evolved since the advent of Service Commission
the merit system. One, the executive branch has been divested of the powers of
making recruitment to the civil services and a separate agency created for the
purpose. Two, the agency thus created is an extra-departmental body (i.e., a
Corhmission), which functions outside the normal machinery of government.
Three, a Constitutional status has been conferred on this agency. It must be
remembered that the Commission is only a recruiting agency; it is not an
appointing authority. The authority of making appointments vests in the
government. The Commission is an advisory body. Its decisions are not
mandatory.
Need for a Commission Type of Organisation
A commission type of organisation as distinct from the customary departmental
type - may be employed for undertaking the work of recruitment of civil servants.
The commission form is invoked for the performance of a function requiring
expert, specialist knowledge. It is a form of organisation designed to facilitate
collective deliberation by a group of experts who are able to pool their knowledge
and eyperience to arrive at informed and objective decisions. When decisions are
collectively made, such a method of arriving at decisions is described as corporate
mode of functioning or decision making. 'The body thus acting corporately is
described as a board. Public Service Commission is nothing but a board, which is
bu$ styled as a commission. (Incidentally, it should be remembered that boards
may also bear such designations as councils, corporations, companies, authorities,
and so on; and, of course, a board may also be styled simply as a board).
When a commission consisting of experts meets to deliberate on issues,
professional and technical criteria receive necessary weightage in the resulting
decisions. When several heads combine for deliberation, biases are cancelled out
and objectivity is ensured. Because a commission functions outside the mould of
normal governmental machinery, greater flexibility and innovativeness of
approach is possible. Bureaucratic rigidities and delays, which characterise
government departments, are kept at bay.
Significance of a Constitutional Status for the Commission
This is intended to ensure that it functions without fear or favour. This would be
facilitated when its composition, role and delegations, privileges of its members,
method of appointment and removal of members, qualifications for appointment
and grounds for removal, etc. are Constitutionally provided. For, under such a
situation, the executive branch of government can no longer exercise any
discretion in these matters and as such the commission can function without being
influenced by it. Conferment of the Constitutional status is thus in the nature of a
safeguard against any possible encroachment on its authority and independence.
The State Public Service Commission is thus an advisory body of experts, which
exists under the authority of the Constitution to recruit personnel for the state
services.
15.4 COMPONENTS OF CIVIL SERVICE AT THE

STATE LEVEL
Let it first be clearly understood that at the state level in India, not one but two
distinct sets of civil services operate. One of these is the civil services recruited by
the respective state governments to handle a diverse range of governmental activity
at the state level. These are known as the state civil services or simply state
services. The second set of civil services serving the states is the All India
Services. All India Services officers are recruited to perform a varied range of jobs,
. both at the state level as well as at the Centre. It is this feature of the All India
Services, which renders them clearly distinguishable from the state services.
Among the best known examples of the All India Services are the Indian
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Services (L4S) and the Indian Polibe Service (IPS). Thus, https://t.me/Upsc_Zone_Official
the civil
$1
State Administration service at the state level is composed of two distinct components. One, state
services and two, All India Services.
All India Services
All India Services were constituted with the crucial purpose of creating an elite
corps of officers who would man top positions both in the states as well as the
Centre. Officers of the All India Services are recruited by the Union Government
through the Union Public Service Commission. Upon recruitment, each oficer is
allotted to a specific state cadre. It is from the particular state, to which he is
allotted, that the concerned off~cer moves to the Central government. The
arrangement under which such movement takes place is known as the Tenure
System. The officer is moved back and forth between the state (of his allotment)
and the Centre during the first twenty years of his career (after which he finally
lands up at the Centre). Officers of the All India Services operate under the joint
control of the Centre and the state to which they are allotted. The fact that the All
India Services officers are centrally recruited (and then allotted to various states)
guarantees that all states have a certain minimum and uniform level of talent in
their administrative services and that the states' administrative machinery is
adequately equipped. The existence of the Tenure System, under which officers of
the All India Services move to the Centre periodically, ensures that the incumbents
of the policy making posts at the Centre are backed by rich field experience.
The All India Services have to supply personnel for all superior administrative
posts in the states, at the district level and above. Thus, the posts of District
Collectors, Divisional Commissioners, members of the Board of Revenue,
Secretaries to the government, Chief Secretary, etc. are filled up by IAS officers:
Similarly, the posts of Shperintendents of Police (SPs) and above in the Police
Department at the state level are reserved for the IPS officers.
State Services
These are recruited by the respective state governments through their public
service commissions or other agencies. Members of these services are primarily
meant for service in the states; only occasionally may a few members of some of
the state services be borrowed by the Centre or some other organisations. States
have well-organised services to cater to the needs of different sectors of
governmental activity in non-technical and technical spheres. Typically, a state
may have the following services: (1) Administrative Services; (2) Police Service;
(3) Judicial Service; (4) Forest Service; (5) Agriculture Service; (6) Educational
Service; (7) Medical Service; (8) Fisheries Service; (9) Engineering Service; (10)
Accounts Service; (1 1) Sales Tax Service; (12) Prohibition and Excise Service and
(13) Cooperative Service.
lnter-relationship and Inter-linkages
The personnei of the state services operate in subordination to the members of the
All India Services. State services occupy lower positions in the administrative
hierarchy than those held by the personnel of the All India Services. They
constitute the middle level of the state administrative system.
An attempt has been made to evolve - from out of those two sources of supply -
a common stream. This has been achieved in two ways. One, by providing
opportunities to the State Services' personnel to rise to higher posts, which are
normally reserved for the All India Services officers. Two,by inducting a certain
percentage of the State SeAices' personnel into the All India Services.
A two-fold system of classification of the State Services is in vogue:

Under the first system, the Services are classified into Class I, Class 11, Class I11
and Class IV. The criteria df this classificationhttps://t.me/Upsc_Zone_Official
are: (i) admissible pay scales; (ii)
the degree of responsibility of the work performed; and (iii) the corresponding State Services and Public
Service Commission
qualifications required. All State Services are constituted department-wise.
Under the second system, the posts in the services are classified into the gazetted
and non-gazetted categories.
i) Classification Based on Pay Scales, etc.
Class 1 and Class I1 services constitute the officers' class of the state level services,
whereas Class 111 and Class IV consists of the clerical employees and manual
workers, respectively.
Class I Services
Class 1 Services include a number of posts on a common time-scale of pay and
some posts carrying salaries above the ordinary time-scale. Each departmental
I
service ordinarily has a Class I cadre.
Recruitment to Class I posts is made on the basis of promotions from Class I1
services as well as by direct recruitment by State Public Service Commission.
Direct recruitment takes place on the basis of an open competitive examination.
Generally, this would include written examination and personality test; sometimes,
however, direct recruitment may also take place on the basis of an interview.
It may be noted that there is no uniform practice as to the number of posts, which
may be filled up by promotion or direct recruitment. In fact, there are wide
variations on this account from state to state.
Class I1 Services
Class I1 services are generally of a specialised nature, although there are some
generalists services as well in this category. These are subordinate civil service,
subordinate police service, and the like. Class I1 services are lower in status and
responsibility than those in Class I. These are, however, considered important
enough to require that the authority for making appointments to them be vested in
the state government itself.
The most important among the Class I1 services is the subordinate civil service
(also classed the subordinate executive/administrative service). Some states have
even instituted a higher salary scale for this service v i s - h i s other Class I1
services; this signifies the special place, which this servlce enjoys in the overall
range of Class 11 services.
It may be noted that, as in Class I service, there is no common pay-scale for Class -
I1 services among different states.
Recruitment to Class I1 posts is made partly by promotion and partly by open
competition (direct recruitment). In case of specialised services, direct recruitment
is done on the basis of interviews held by the state PSCs. For civil, police, and
judicial services (Class 11), however, a more comprehensive selection procedure is
employed. This includes the written examination and interview.
Unlike in the case of Class I services, no uniform practice prevails with regard to
the Class I1 services also as to the number of posts to be filled by promotion or by
open competition. The practices vary over a wide range from state to state.
Class I11 and Class IV Services
Class I11 services are divided into two categories: (i) subordinate executive services
(including, for instance, naib tehsildars, sub-inspectors of police, deputy inspectors
of education, and so on), and (ii) clerical services. Recruitment to these posts is
made partly at the level of their Public Service Commissions and partly at the
departmental or district heads' level.
Class IV services include persons performing manual work, skilled or unskilled.
State Administration carpenters, fitters, cooks, laboratory servants, and the like. Until recently, these
posts were classified as inferior services with their holders enjoying less favourable
terms of service with regard to leave, pension, etc. Lately, however, their
conditions of service have improved.
ii) Gazetted-Non-gazetted Classification
As stated above, the second system of classification employed for the state services
places them under the familia_r_csegoriesof gazetted and non-gazetted.
A gazetted government servant is one whose appointment, transfer, promotion,
retirement, etc., are announced in the Official Gazette in a notification issued by
order of the Governor. A gazetted officer holds charge of an ofice and his duties
are of a supervisory or directorial nature. Gazetted posts include All India Services
and Class I and Class I1 State Services. Non-gazetted posts are those in Class I11
and Class IV Services.
Recently, there has been a little change in the classification grading system. The
gazetted post at the Centre and at the state levels are now categorised as Group A
and Group B. The non-gazetted posts are categorised as Group C and Group D.
15.6 FEATURES OF WCRUITMENT TO STATE

CIVIL SERVICES
Recruitment involves three separate but inter-connected steps. ( I ) Attracting
eligible candidates to apply for jobs. (Vacancies are brought to the notice of
interested individuals through advertisements). (2) Selecting candidates for jobs
through an open competitive examination. (3) Placing selected candidates in
appropriate jobs, which also involves issuance of appointment letters to those
concerned by a competent authority. The first two steps are carried out by an
independent recruiting agency. In the states, it is the Public Service Commissions,
which perform these functions. The third step constitutes the responsibility of the
government. It is, therefore, to be remembered that PSCs are only recruiting and
recommendatory agencies; the power of appointment vests in the government.
Recruitment is of two types: internal and external. Internal recruit'ment is made
by promotion from within, whereas external recruitment is undertaken through
an open competitive examination. We sball be dealing with external recruitment
alone over here. Also, we shall be concentrating on the recruitment practices only
in respect of the Class I and Class I1 Services. An outline of the chief features of
the recruitment of State Civil Services is provided below:
Features
Recruitment to State Civil Services is made at the age level of 2 1-25.
Age relaxation is available for the members of scheduled castes, scheduled
tribes and backward communities.
Recruitment is made through an open competitive examination administered
by the PSC; higher level posts are filled up by promotion.
Vacancies to be filled up are advertised by the PSC every year and applications
invited fiom candidates all over the country.
Minimum qualification required is a Bachelor's Degree fiom a recognised
university.
The competitive examination through which selections are made has two
components. First, a written, essay-type examination. Second, a personality
test. Candidates obtaining certain minimum marks in the written examination
are invited for a personality test, which is but an interview of about half an
hour's duration.
Marks secured by each candidate in written examination and personality test
are totalled up. Depending upon the number of vacancies, a list of successful
candidates is prmared. This list is in order of merit.
This list is then communicated to the government for necessary action, i.e., State Services and Public
Service Commission
issuance of appintment letters. The Commission, because it is an advisory
body, can only recommend candidates for appointment. The authority to make
appointments vests with the government alone. The Commission recruits
candidates, the government appoints them.
1) What are the constituents of civil service at the state level?
2) Discuss the significance of All India Services with reference to the states.
3) How are the services classified at the state level?
15.7 CONSTITUTIONAL PROVISIONS WITH

RESPECT TO THE COMMISSION
Constitutional provisions governing the Public Service Commissions (PSCs) at the
state level are given below:
Article 315 of the Constitution provides for the establishment of PSCs. It
stipulates that there shall be a PSC for the Union as well as a PSC for each
state.
Article 316 prescribes the composition of such Commissions. It also
deliberates on the method of appointment of the Chairperson and members as
well as their terms of office. While Article 316 stipulates what the normal
tenure of a Chairperson or member shall be, Article 3 17 prescribes grounds
and procedure
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from:- termination of such tenure.
State Administration We have already explained that with a view to ensurrng objectivity and
impartiality in recruitment, this task has been entrusted to a Commission and it
has been accorded a Constitutional status. In the context, the question of
ensuring independence of the Commission assumes particular significance.
Articles 3 18, 3 19 and 322 provide measures for safeguarding and fostering the
independence of the Commission.
What will be the scope of duties and functions of the PSCs? What will be the
overall sweep of their role as recruiting agencies? These matters are dealt with
under Articles 320, 321 and 323 of the Constitution.
Commissions, as previously stated, are advisory bodies. How to ensure that
this situation does not work to their disadvantage and render them ineffective?
Under Article 323, there is a provision for submission by Commission of
annual reports in which inter alia the cases where government rejects its
advice are recorded and reasons for non-acceptance stated. There is a further
requirement that these reports shall be placed before the appropriate
legislature.
15.8 COMPOSITION AND FUNCTIONS OF THE

. COMMI~SION
The number of members, which a state PSC may have is not fixed. The
Constitution stipulates that this shall be determined by the Governor of the
concerned state. At least, half of the members of a Commission are persons with a
minimum of ten years of experience under the Central or a state government.
Members are appointed for a term of six years or until the age of sixty years.
Governor is the appointing authority, but it must be carefully noted that members
are removable only by the President and not by the Governor. Conditions of
service of the members are determined by the Governor but very importantly, the
Constitution stipulates that these shall not be revised to their disadvantage. Implicit
in the foregoing are certain safe$ards to ensure the Commission's independence.
Later we shall dwell on this aspect.
Functions of the Commission
As recruiting agencies, the principal function of the state PSCs is to conduct
examination for appointment to civil services. However, certain other duties arise
from this and Commission is enjoined to discharge them. These include: (i) To
tender advice to the state government on a matter so referred to it by the
Governor. (ii) To exercise such additional functions as may be provided for by an
act of the Legislature. These may be with respect to the State Civil Service, or
the services of a local authority or other corporate bodies. (iii) To present
annually to the Governor, a report with regard to the work done by it.
Besides, the Constitution stipulates that a PSC shall be consulted on the
following matters:
i) On all matters relating to the methods of recruitment to civil services and
civil posts.
ii) On the principles to be followed in making appointments to civil services
and posts and making promotions and transfers from one service to another,
and on the suitability of candidates for such appointments, promotions o;
transfers.
iii) On all disciplinq matters affecting a person serving under the government
of a state in a civil capacity.
15.9 ADVISORY ROLE OF THE COMMISSION

The importance of the Commission's role lies in that its decisions are in the
nature of advice to the government and the latter has no obligation to act upon
State Services and Public

i he reason for according an advisory status to the Commission is clear enough. Service Commission
t i ~ l d e rthe Parliamentary
- system
- of government,
- the responsibility for the proper
administration of the country is vested in the Cabinet and for this it is
accountable to the Legislature. Therefore, the Cabinet cannot abjure this ultimate
responsibility by binding itself to the opinion of any other agency. If the
Commission's decisions were made mandatory, it would amount to setting up of
two governments. But, at the same time, there is scarcely any doubt that in
matters relating to recruitment to civil services, and the like, it would be
profitable for the ministers to take the advice of a body of experts.
This underlines the need for necessary safeguards against a flagrant disregard of
the advice of the Commission by the government. The Constitution does provide
for one. Namely, the Commission's annual report, which records cases where its
advice has been rejected - must be placed before the State Legislature through
the Governor. And the government is under obligation, when such report is
presented, to give reason as to why in any particular case the recommendation of
the Commission has been overridden by it. But the number of such cases have
tended to remain very low, almost negligible.
15.10 INDEPENDENCE OF THE COMMISSION

In the introduction, we have explained the significance of maintaining the
independence of the recruiting agency vis-a-vis the executive government. The
Constitution also incorporates well-designed safeguards to foster the
C'ommission's independence. These are:
i As a check against a possible abuse of power, the appointing and removing
authority is vested in different functionaries. The power to appoint the
Chairperson and members of a Commission vests with the Governor, but the
power of removal is vested in the President.
ii) Removal can be effected only in the manner and on the grounds prescribed
in the Constitution. ,
iii) Salaries and other conditions of service of a member cannot be revised to his
disadvantage after his appointment.
iv) The expenses of the Commission are charged on the Consolidated Fund of
the State.
1) Certain disabilities have been imposed on the Chairperson and members of
the Commission with respect to future employment under the government.
On ceasing to hold office they are not eligible to hold office under
government outside the Union andlor state PSCs.
The purpose of the above provisions is to place the Commission and its members
well beyond any possibility of being influenced either by a lure of office or by a
threat of insecurity or for any other reason.
15.11 COMMISSION'S WORKING

We have so far considered the formal framework within which a state PSC
functions. We shall now discuss the actual working. Our comments on the actual
working centre around two aspects. One, exercise of patronage in civil
appointments by the government in spite of the Commission's existence. Two,the
question of the Commission's membership.
Notwithstanding the Constitutional safeguard against the non-acceptance of the
Commission's advice, there is criticism that the government is able to have its
way in making appointments:
i) Making ad hoc appointments without prior consultation with the
Commission: Commission is not consulted for making ad hoc
appointments.
Downloaded Through
from:- repeated renewals, such persons pick up necessary
State Administration experience of the job, which puts them at an advantage vis-Scvis the fresh
applicants. In such cases, the Commission is faced with a fait accompli.
ii) Exclusion of certain categories of posts from the purview of PSC: In
theory, recruitment to all civil posts in a state is done by the PSC.
However, the Constitution provides that the executive may exclude certain
categories -of posts from the purview of the PSC. Under this dispensation,
Class 111 and Class IV appointments are made without the PSC's
intervention. This is understandable in view of the large volume of work,
which these matters would devolve on the Central recruitment agency.
However, there are some higher appointments, which have also been
excluded. This, the critics point out, is an encroachment on the
Commission's jurisdiction. Moreover, it is alleged that such exclusions are
made by state governments without consulting the state PSCs.
iii) Drafting of advertisements by the concerned department:
Advertisements for filling up vacancies are drafted by the concerned
departments. And these are sometimes drafted to suit particular candidates,
which the departments may have in view. The Commission cannot vary the
terms of advertisements.
iv) Revision of terms of appointment and merit lists: Occasional cases have
been reported where the terms offered to the selected candidate were
revised to his disadvantage without consulting the Commission. There are
also occasional instances where the order in the merit list prepared by the
Commission is changed by the government for reasons which are
unknown.
v) Delay in issuing appointment letters: Occasionally, there are inordinate
delays on the part of the government in issuing appointment letters to the
selected candidates. This results in the best qualified candidates being lost
to other professions. Besides, it gives rise to a suspicion that such delays
may be motivated.
The above situations affect the operation of the merit system and undermine the
Commission's role. The Commission's membership has also drawn flak due to
many other reasons:
i) Membership to persons with insufficient credentials: The matter of
membership of the state PSCs has attracted adverse notice. The criticism
has been that membership in some states have gone to persons with
insufficient credentials; that, in fact, some appointments have been made
on grounds of party and political affiliations and not on consideration of
merit. Such persons naturally feel beholden to their political masters and
could not be expected to stand up to their patrons to uphold merit and
professionalism in civil services. This creates apprehensions on the ability
of the PSCs to work with objectivity and independence.
ii) Predominance of the members of the official category: The narrow base
of the Commission's membership has also attracted adverse attention. The
point at issue has been the predominance of the members of the official
category. In terms of Article 316, the expectation was that the official and
the non-official components of the Commissions' membership would be
roughly equal to each other. This has in practice not been realised. Non-
officials have far out-numbered the officials in some PSCs, while in others,
there are no non-officials at all. Professions like teaching, law,
.engineering, science, technology and medicine have remained
unrepresented or inadequately represented on the Commissions. It is
necessary that professionals receive adequate representation on the PSCs.
This would not only help in meeting the Constitutional requirement by
evenly balancing the official and non-official components of the
Commission's membership, but one would also expect from this a
qualitative improvement in theirhttps://t.me/Upsc_Zone_Official
deliberations.
Check Your Progress 2 State Services and Public

Service Commission
fVote: i) Use the space given below for your answers. .
1) What is the significance of according a Constitutional status to the PSC?
2) Why has the Public Service Commission been made an advisory body?
3) Discuss the role the government plays in the Commission's actual

working.
15.12 LETUSSUMUP
The performance of multifarious tasks of regulatory and developmental m@re at
the state level has necessitated that large and well-organised civil sewices be
maintained by them. These are civil services based on the merit system. These civil
services are a career service whose recruitment is done through an open
competitive examination.
4
The concepts of merit system, career service and open competition emerged
during the 191hcentury to rid civil service administration of political interference.
The idea was that recruitment to civil service as well as matters concerned with
the salaries, promotions and transfers of civil servants should be based on the
technical and professional considerations rather than political. When politicians-
do not interfere in these matters, civil servants appointed under the merit system
provide continuity to the governmental system in that the civil service
component stays and works undisturbed even when the ministers come and go
depending upon the fortunes of the political parties.
To rid civil service administration of politics, it is essential that the task is
entrusted to an impartial agency whose integrity is above board and which can be
trusted to withstand any pressure from the political executive. Such desiderata
State Administration underline the need to establish a commission type of organisation to perform the
task. To ensure that it may function without fear or favour and without being
influenced by the political executive, a Constitutional status has been conferred
on this agency. It is a Hody consisting of experts and has an advisory role.
-
15.13 KEY WORDS

Career Service : It refers to a personnel system based on merit and
professional standards. A typical career service
contains civil service requirements that include
recruitment based on an- open competitive
examination, classification, performance, evaluation,
promotion, land protection against arbitrary
dismissal.
Fait Accompli : It is a French phrase, which means something that
has already taken place and is beyond alteration.
Incumbent : A person w-ho holds an office.
Open Competition : This has certain elements like (i) Adequate publicity
so that job openings and requirements are known to
citizens seeking jobs, (ii) Opportunity to apply, (iii)
Realistic standards: Qualification standards must be
related to the job and must be impartially applied to
all those who make their interest known through
applications, (iv) Absence of discrimination: the
standards used must contain factors, which relate
only to ability and fitness for er&loyment, (v)
Ranking on the basis of ability and a selection
process, which gives effect to this ranking, (vi)
Knowledge of results and opportunity for review.

Basu, D.D., 1985, Introduction to the Constitution of India; Prentice-Hall, New
Delhi
Hazarika, Niru, 1979, Public Service Commissions; Leeladevi Publications,
Delhi
Maheshwari, S.R., 1979, State Governments in India; Macmillian, Delhi
Stahl 0. Glenn, 1975, Public Personnel Administration; Oxford and IBH, New
Delhi

EXERCISES
Operation of two distinct sets of civil services at the state level.
State services, whose personnel are recruited by the respective state
governments to handle governmental activity at the state level.
All India Services, whose oficers serve both at the Union as well as the
state governments.
Constitution and meaning of All India Services.
Allotment of specific state cadre to the oficers of All India Services after
recruitment. https://t.me/Upsc_Zone_Official
Tenure system. State Services and Public

Service Commission
All India Services ensure availability of uniform level of talent and
administrative expertise to the state administration.
Supply of personnel to all senior administrative posts in the states, at the
district level and above.
Two-fold classification of the state services.
Classification of services into Classes I, 11, I11 and IV based on criteria like
pay scales, qualifications, etc.
Classification of services into gazetted and non-gazetted.
Ensuring objectivity and impartiality in the functioning of the
Commission.
Functioning of the Commission without any influence of the executive.
Conferment of Constitutional status, a nature of safeguard against any
encroachment on authority and independence of the Commission.
-3) Your answer should include the following points:
Membership of the persons with insufficient credentials.
Predominance of the members of the official category in the Commission.
Exclusion of certain posts from the purview of Public Service
Commission.
Delay in issuing appointment letters to the candidates.

UNIT 16 FIELD ADMINISTRATION

Structure
Objectives
Introduction
Regional Administration
Divisional Administration
Evolution of District Administration
Territorial Sub-divisions
Collector and District Administration
Component Parts of District Administration
Administrative Organisation
Problem Areas in Field Administration
Let Us Sum Up
Key Words
After studying this Unit, you sho~~ld

be able to:
Describe importance of field administration in India;
' Understand meaning and rationale behind the Field Administration and Regional
Administration;
Explain nature of Divisional Administration in India and the 'role o f Divisional
Commissioner;
Trace the evolution o f District Administration in India;
Describe the coniponent parts of District Administration and Administrative
Organisation at the District level; and
Analyse the problem areas in Field Administration.
16.1 INTRODUCTION
Field administration is a decentralised State administration. The purpose of field
(r
administration is basically to bring the regulatory and service functioqs of the State
'nearer to the people. There is also a demand for greater citizen participation in
Policy formulation and execution. For this purpose, a vast politico-administrative
apparatus has been established. The State Government officers cannot transact their
business from the Headquarters due to the long distance, magnitude af the work,
administrative cost, and time taken to communicate. Therefore, the field offices are
the necessity for the efficient functioning of administration. The policiff are
translated into reality and programmes are implemented at the field level. I n India,
the State level Departmepts Bnd Ministries. establishing a large number o f field
offices and delegating their power and functions to the field officers to implement
the development programmes. The Divisional offices, wherever they exist, District
Offices, and Local Self-Government institutions broadly constitute the component
parts o f the Field Administration. The offices of Field Administration are organised
on the basis of historical traditions, political considerations, administrative
convenience, technical requirements, development imperatives and the need for
greater interaction between the administration and the community. At the field level,
majority o f people come into closer contact with the Government. .It i s also here that
the people judge the quality and efficiency o f the Government. The Field
administration undertakes a wide range of activities associated with the life of
community. Technol.ogical advances specially in the field o f transport and
communication have played an important role in the expansionhttps://t.me/Upsc_Zone_Official
of field
Field and Local administration. Most of the State Deparfments such as Public Works, Irrigation.
Administration
Health, Education, ~ a n c h a ~ a etc.
t s are having their offices in the District, Sub-
Divisions, and Blocks. In this Unit, we will study different aspects of Regional
Administration, Divisional Administration, and District Administration. In addition,
we will analyse the problem areas in the Field Administration. Other important
aspects of Field Administration like office of the Collector, Police Administration,
Municipal Administration and Panchayati Raj will be discussed in the following
Units.
16.2 REGIONAL ADMINISTRATION

As the Directorates are concerned with policy execution, and execution of policy
takes place in the field Mistrict, block and village level), therefore the need arises for
them (Directorates) to create intermediate level administrative agencies to coordinate
and supervise the field operations. This intermediate level administrative set-up
between the State Headquarters (the Directorate) and the District is referred as
'Regional Administration'. Each region is comprised of a number of districts; thus a
region is a real unit below the State and above the District level.
Significance
The Regional Administration permits more delegation and speedier disposal of
business. It lightens the workload of the Head of Department; permits him to
concentrate on general policy issues affecting the State, and allows a detailed
examination of the problems, which are of particular relevance to specific region. It
also facilitates better coordination and supervision of the programmes being
executed at the district level.
ARC Study Team Report on District Administration (1 967) explains the significance
of the regional administrative set-up for a State. "Most States in India are
comparatively large, both in area and population. The six largest States together
cover approximately 61 per cent of the area of the country. In such large States,
there are wide variations in the socio-economic and geographical charismatic of each
region. This underlines the need for a regional level in the administrative set-up. On
the one hand, polFy formulation and coordination call be better achieved at a level
intermediate beqden the District and the State Government; on the other, the State
Government being comparatively remote form the locale of policy implementation,
cannot assess local problems in their proper perspective. It is in these circumstances
that the services of senidr and experienced administrators are needed at an
intermediate level, between the policy formulation level at the State Headquarters
and the implementing level in the district".
Meaning and Patterns
The phrase 'Regional Adminjstration' thus refers to the network of organisations that
function below the State level but above the district. Most Departments in a State
maintain Regional Headquarters in these intermediate geographical territories.
These territorie; do not bear a common name, and are not geographically
coterminous in respect of the various Departments at the State level. They often
crisscross each other for different purposes (revenue collection, law and order
maintenance, forest management and so on). Each Department creates its sub-state
- formations to suit its particular requirement.
Majority of States are divided, (for purposes of revenue and general administration)
into real units called 'divisions'. A Divisional Commissioner who coordinates and
supervises the work of the District Collectors under his jurisdiction Heads each
division. Similarly, the Police Department at the State Headquarters has Deputy
Inspector General at the intermediate level. These territorial divisions in respect of
the Police Departnlent are called 'ranges'. This 'range' may be coterminous with the
Commissioner'\ Division. Where the workload of a Department does not warrant
this; the intermediate territorial unit may not be coterminous with the
Commissioner's Division. Thus, the Forest Department divides the State into Field Administration
intermediate geographical territories (also) called 'ranges' in deciding th6:
geographical area of range. To take one more example, the State level Irrigation
Department has Superintending Engineer at the regional level, who is in charge of
the Executive Engineers of his region.
Briefly, whether a particular Department will have a Regional Administrative set-up
or not will depend on (i) size of the State, and (ii) volume and nature of work
handled by it. Obviously, the particular historical circumstances in which a
Department was created and grew, and the personalities involved in its evolution will
also affect-such a decision.
Role
The foremost function of the regional level officer is supervision and coordination of
the work of district level functionaries of his Department. The important functions
of the Regional Officer are mentioned below:
The Regional Officer also pdrforms the important function of setting norms and
standards for the comparatively young district level officers and he ensures that
these norms and standards are kept through an elaborate system of inspections,
reports and returns, directives and periodic meetings with the district level
functionaries.
The Regional Officer keeps himself and the State Headquarters informed about
difficulties or problems, which the functionaries at the lower geo&aphical
formation may face through on the spot inspection. He also initiates measure for
their rectification. Also, he is responsible to ensure that the targets are achieved.
He maintains an active touch with the Panchayati Raj Institutions under his
jurisdiction.
Assessment
The existence of the intermediate administrative set-up between the State
Headquarters (policy formulation level) and the districts (policy implementation
level) has been criticised on the basis that it has no substantive role to perform. In
fact, it is redundant level of administration, which only contributes delay in the
administrative process.
16.3 DIVISIONAL ADMINISTRATION

Administrative organisation at the sub-state level in the country is not uniform.
Broadly, there are two different systems. Firstly, the State is divided into a few
divisions, each division consisting of a few districts. In this system, the Divisional
Co~nmissioneris the Head of the Division and acts as a link between the District
Administration and the State Government. In the second system, where there are no
divisions, the District Administration directly deals with the State Government
without any intermediary in between. The Field Administration in the country falls
in between these two systems.
An important feature of the State administration is that several executive
departments have regional offices in the State. The 'range' offices of the Police
Department are established for two or more districts. The Deputy Inspector General
of the range acts as a link between the Director General of Police at the State level
and the Superintendent of Police at the district level. An important feature to be
noted is that the jurisdiction of the& regional level offices is not uniform. The
number of districts is the 'range' or 'region' of the Police or Education Department
is not one and the same. The regional offices are established irrespective of the
existence or divisional set-up. History, tradition and usefulness are basically
responsible for
Downloaded the evolution
from:- of divisions in the pi~blicadministrative structure.
https://t.me/Pdf4Exams The
Field and Local division may consist of three or four or even more districts depending upon the size
Administration
of the district. The size of the division,,both in terms of area and population, varies
from division to divisioi within the Stab.
The Divi'sional Commissioner is the highest executive authority in the division. He
supervises the administration and implements the policies of the State. Mostly,
revenue and development departments, the public distribution system and welfare
departments are under the control of the Divisional Commissioner. He acts as the
Revenue Commissioner of the division exercising delegated power from the relevant
Acts. He reviews the working of the revenue administration like collection of
revenue and takkavi loans and inspects revenue offices periodically. As a Head of
rural development administration, he is considered as Divisional Development
Commissioner. All rural development departments, including Panchayati Raj
Institutions, work under his control. He reviews the programmes and activities
connected with agricultural development, cooperation etc. relating to rural
. development. He supervises and controls all the municipal institutions as well. He
is expected to review the entire gamut of development activity in the division. He
presides over the divisional coordination committee meetings and reviews the
progress of different departments. Like the Deputy Commissioner, he is in constant
touch with the people and tries to redress their grievances. This clearly indicates that
the Divisional Commissioner is an important functionary and the most important
tasks at divisiopal level are entrusted to him.
Based upon the experience, two different viewpoints exist about the usefulness or
otherwise of Divisions and the Divisional Commissioners. The first view is that the
division has proved as a useful tier of administration and that it should be
strengthened. The protagonists of this view argue that there is a need for
decentralising more power to him so that he can provide effective leadership to the
District Administration. The district is too large for the State Government to
exercise effective control. It is also argued that the District Collectors or Deputy
Commissioners are relatively young and therefore the presence of Divisional
Commissioner is necessary with whom they can interact regularly for guidance and
advice. For these reasons they emphasise the need for continuing and strengthening
the divisional administration.
Divisional administration is considered t~ be extremely useful territorial
administration. This can be done in three ways viz., ij through greater delegation
and decentralisation, ii) entrusting the coordination functions to the Divisional
Commissioner; and iii) using the Divisional Commissioner as an advisor in policy-
formulation. The Administrative Reforms Commission's Study Team on District
Administration recommended that the institution of Divisional Commissioner should
be introduced in all the States except the small States like Kerala, Punjab and
Haryana.
The other view is that .the Office of the Divisional Commissioner should be
abdished. Many reasons are put forward for this. Since the Commissioner happens
toae all alone, he will not be able topevote time and attention to the supervision of
all departments and local bodies. secondiy, presence of the Commissioner close to
the Collector may dampen the later's initiative. There are also doubts, whether the
Commissioner can interfere with the statutory functions of the Collector? It is
argued that this system has not proved useful, wherever it existed. As N. Umapathy
has noted that lack of confidence in the Commissioners, inadequacy of their power,
,interference in the exercise of the disretionary power, heavy paper work, large area,
short term of office, etc. cumulatively seem to have contributed to their declining
positions, role, utility and success. The Administrative Reforms Commission after
examining all .the arguments recommended fbr the abolition of the Divisional
Coqmissioners. The sydtem of regional offices also has come for a serious scrutiny.
The Rajasthan Administrative Enquiry Committee (1962-63) felt that the regional
offices should combine in themselves the twin functions of the executive and
evaluation agencies. The Andhra Pradeshhttps://t.me/Upsc_Zone_Official
Administrative Reforms Committee
( 1964-65) thought that the regional offices sliould have substantial power to take Field Administration
Iinal. decisions as it is nearer to the people of the region. On the other hand, the
Puiijab Administrative ~eformk&ommission (1964-66) thought that it is better t s
dispense with regional offices and strengthen tlie status and the rank of district level
offices. Tlie need for regional offices needs to be examined in the context of the
nature of work. For efficiency regional off~cesmay be necessary, if technical
supervision of the activities at the district level is necessary.
The Administrative Reforms Commission felt that each State should make a detailed
review of the regional offices before taking decisions about them. It laid down the
following criteria for establishing the regional offices in the States:
, I) Tlie work of supervision and control thrown up by the local offices is so

voluminous that it would not be possible for the Head of the Department to do it
effectively.
2 ) The size of tlie set-up required for the office of the Head of the Department is
such that the work could be devolved on regional offices at an appreciably
higher cost.
3) The operations are far-flung geographically, so .that central control would

involve higher costs of administration on account of touring, etc.
4) Supervision and control at an intermediate.level is warranted by administrative

needs and the nature of work devolving o,n the organisation.
Divisional Commissioner
The niost important of the regional level functionaries is the Divisional
Commissioner.
i) Position and Scope of the Office
The Divisional Commissioner supervises the work of the District Collectors under
his charge. He is the coordinator at the divisional level of a wide range of activities
such as law aiid order administration, development administration, rural
development as well as revenue administration. Therefore, the Divisional
Co~ninissioneroccupies a place of special significancd in the intermediate (regional)
level administrative set-up.
Chequered Career of the Institution
The office of Divisional Coinmissioner in the country has had a chequered career. It
has seen a succession of abolitions and revivals in various States since
independence. Madhya Pradesh and (old) Mumbai States had abolished it in 1948
and 1950 respectively. However, both revived the commissionership - Madhya
Pradesh in 1956 aiid Mumbai in 1958. Rajasthan abolished the institution in 1961.
Uttar Pradesh went halfway, it reduced the number of Commissioners and enlarged
their geographic jurisdiction. Soon thereafter, however, it restored the status quo.
Likewise, tlie commissionership was abolished in Maharashtra, but was
subsequently revived.
ii) Functions of Divisional Commissioner
The Divisional commissioner is the overall regional officer giving guidance to
district level officers and providing feedback
. ,
and advice to the State
Headquarters.
Mainly, he remains involved in coordination, supervision, inspection, and
appellate work.
In tlie sphere of revenue administration, the Coymissioner's duties are many

folds. He has well defined power in land revenue matters and hears appeals
against the
Downloaded revenue
from:- decisions of the District ColJectors. He inspects https://t.me/Upsc_Zone_Official
https://t.me/Pdf4Exams revenue
Field and Local offices within his division. All correspondence to State Government, in regard to
Administration revenue matters, is channeled through him. He has responsibilities in regard to
land reforms also.
The Commissioner has also responsibilities in the sphere of rural development.
In the sphere of Local Self-Governme~~t,

both rural and urban, the Commissioner
has been given certain power.
The Commissioner shoulders direct responsibility in regard to law and order in
his division. He is the Head of the law and order administration in the territory
under his command.
iii) Divisional Comnlissionership: A Controversial Office - Substantive Points
of the Controversy
The office of the Commissioner has aroused much controversy. Two distinct
schools of thought appear to have emerged, one in its defence and the other against
it. Those who support its cause argue that creation of a strong intermediate tier of
administration would encourage decentralisation and bring State administration
physically and psychologically closer to people at the grassroots level. Besides,
improved coordination and supervision of the field establishment would be achieved.
Those who argue against it and recommended its abolition maintain that the creation
of an intermediate level of administration curbs the initiative and respondibility of
the district functionaries. The States where the institution of Divisional
Commissioners exists has not achieved any marked improvement in efficiency, or
speed in disposal. Even 'coordination' does not appear to have achieved any
worthwhile results. Besides, as the Ministers nowadays tour the districts frequently,
as a result the problems of coordination are easily noticed. The Collector can easily
get in touch with the Headquarters, in case of need, due to facilities for speedy
communication. Thus, there is no need for referring matters to an intermediate
authority.
We may now summarise' arguments for and against the institution of Divisional
Commissioners.
Arguments For
The ARC Study Team in its Report on District Administration argues in favour of
the office of the Divisional Commissioner on following grounds:
1) The Divisional Commissioner's presence will facilitate coordination of the

regional level officers of the various development departments. Such
coordination cannot be achieved at the State Headquarters because it is too
distant for the purpose. Only an officer who has an intimate awareness of the
problems of the region can do this effectively.
2) In large States like Uttar Pradesh and Madhya Pradesh, it is not possible to
exercise effective supervision over Collectors unless a regionally based officer
undertakes it.
3) The Commissioner's presence at the intermediate level will encourage
elegation from the State level. This will make speedy disposal of cases
ossible as -11 as make administration more accessible to the public.
4) The Commissioner's presence can be used to provide more adequate guidance

to the Panchayati Raj Institutions. He can also be utilised to facilitate
coordination between the Panchayati Raj bodies, Regional and State Level
Agencies.
5) A regionally based officer of an adequate administrative experience will act as

a catalyst for regional planning and implementation.
Field Administration
6) An administrator of the Commissioner's seniority and experience could
perform a useful training role in respect of the young IAS and State civil
service officers of this division.
Arguments Against
Arguments against the post of Divisional Commissioner as mentioned in the Bengal
Administration Enquiry Committee pre:
i
The activities of Government h\ ve grown too large and complex at the district
1)
Y
level. As a result of which a division is no longer a suitable area unit for
purpose of supervision. It is too large an area to be an effective unit of
administration.
2) As authorities of supervision over districts and as an appellate revenue bodies,

commissioners are disproportionately expensive.
3) It is doubtful if, as an intermediate level of administration, the Commissioners

have much useful role to perform or any specific contribution to make in the
disposal of work. The post has been reduced to the position of a mere post
office and contributes only delay in the dispatch of public business.
4) Commissioners are officers of wide and mature experience and as such their
availability at the State Headquarters would mean a fuller use of the valuable
experience. Divisional administration fails to create a much useful
preoccupation for officers of the Commissioner's seniority and experience. .
1) Discuss the meaning of Regional Administration.
2) Explain the role of Divisional Commissioner.

.................................................................................................
................................................................................................
3) Give arguments in favour of Divisional Commissionership.
16.4 EVOLUTION OF DISTRICT ADMINISTRATION

District as a basic unit of field administration has been in existence through the ages.
Below the divisional level, district is an important territorial unit. Throughout
history district has been considered as the most convenient unit where the
administrative operations could be concentrated for the purposes of gavernance.
The
Field and Local nature of power no doubt, varied from time to time depending upon administrative
Administration needs. Invasions, conquests, political and administrative changes did not affect this
basic unit of administration. Many districts, over decades, have been bifurcated and
reorganised to meet political and administrative requirements. It however, did not
affect the continuation of the district as a unit of administration. It has not changed
substantially from the times of Manu. Manusmrithi describes village as a basic unit.
About 1000 villages were grouped together as a district and were placed in the'
charge of an off~cer. Significantly even today many districts in India approximately
consist of about the same number of villages. The territorial structure of
administration of the country can be traced to the Mauryan era. About 2500 years
ago the Mauryans created an administrative structure for better administration. The
system consisted of revenue villages called 'gramas', a group pf revenue villages
. called 'stana' (visaya or taluk), several stanas called 'aharas' or the district, a group
of aharas called 'pradesh' or the region and several pradeshas called 'janapada' or a
province. During Gupta period also similar administrative units existed wherein the
, empire was divided into desas, desas into bhuktis and bhuktis into visayas. The
desas, bhuktis and visayas can broadly be compared to the present States, divisions
and the districts respectively. The Visayapathi, the Head of the District
Administration had both revenue as well as police functions and is comparable to
the present day world District Collector. During Mughal period also there was a
similar pattern of District Administration based on delegation of authority to the man
on the spot. Mughal empire was divided into subas, subas into circars and circars
into paraganas. The British inherited the Mughal administration. During the period
of East India Company several experiments were made in the field of administration.
By 1781, the district again became the unit of administration under the District
Collector as Head of the district. Broadly, the concept was of an areal specialisation,
which became the cardinal feature of the Indian administrative system. Thus, the
present d6y District Administration has historical roots. The Simon Commission in
1930 made the follo ing observation on the subject: "The system has some roots in
d"
the past. Akbar,,f r i~nstance,sub-divided all Bengal into circars. A strong and
settled administration appeared during the British rule.
Independence and adoption of welfare State necessitated a complete reorientation of
the concept of district administration. The main stress has been on development
administration. Community Development Programme created institutional set-up for
rural development. Balwantrai Mehta Committee recommended a three-tier
structure of a local Government at village, Block and district level. The introduction
of the Panchayati Raj, thus was a radical change in the district administration.
Different Sbtes have adopted different patterns. In some States like Maharashtra and
Gujarat district level bodies that is Zilla Parishads were made strong. Elsewhere in
Andhra Pradesh and Rajasthan it was constituted as a supervisory and coordinating
body.
16.g TERRITORIAL SUB-DIVISIONS

There are wide variations in the size and population of the district from State to
State, and also from District to District in a State. On the basis of data (census of
India, 2001) West Bengal has the highest average size of district in terms of
population at 4.46 million followed by Andhra Pradesh (3.29 millipn). However,
Arunachal Pradesh has the lowest average size of district (84 thousand) followed by
Mizoram (1 1 1 thousgnd). The highest increase in average size of the district is
observed in West Bengal where 452 thousand persons have been added (between
1991 and 2001) followed by Andhra Pradesh with 401 thousand. The most
significapt decrease of about 50 per cent in the average size of the district has been
observed in Orissa and Chhattisgarh.
Depending upon the needs and requirements, different States have evolved different
types of administrative set-up in each district. In a district, we find several tiers each
with specific function. The first level is the district itself. The jurisdiction of the
Collector, Superintendent of Police and other district level officers extend their
services to the entire district. For the purpose of administrative convenience, the Field Administratior
district is split up into a number of sub-divisions called talukas. The size and
population of the talukas also varies. As the distance between taluka and the district
Headquarters is too long for speedy administration, one more intermediary level i.e
division was established. Each Division consists of a few talukas which are Headed
by Tahsildars. Sub-Divisional Officers or Revenue Divisional Officers. Every State
'department generally posts their officers at the sub-divisional level. Divisional level
administration mostly concerns itself with supervisory role over the taluka level
administration. Division is a contribution of the British. T.A. Varghese Commission
constituted by the Government of Tamil Nadu recommended the abolition 01
divisions as they have outlived their utility.
At the lowest level, we have village, which is a basic Unit of administration. There
are several concepts of village like revenue village, development village, etc. with its
own jurisdiction and set of functions. With the establishment of Panchayati Raj, a
three-tier structure was introduced in the country on the recommendations of the '
Balwantrai Mehta Committee. Broadly the village, Block and district is the pattern.
Zilla Parishad at,the district level, Panchayat Samiti at the Block level, Gram
Panchayat at the village level are the democratic bodies administering developmenl
programmes.
16.6 COLLECTOR AND DISTRICT ADMINISTRATION ,
District Collector, who is also called as the Deputy Commissioner in States like
Haryana and Punjab, Heads district administration. Ever since the creation of the
post in 1772, the District Collector continues to be the administrative Head of districl
administration. Though created as an agent of the then British Government tc
establish its hegemony throughout the length and breadth of the country, he plays a
significant role both in development and regulatory areas. Basically, he has three
major functions namely revenue, magisterial and developmental. Apart from these
major functions, the State and Central Government also entrusted a large number 01 .
~niscellaneousfunctions to him.
Collector has been the Head of the revenue administration. Though there has been
considerable change in the nature of the State from police to development and
welfare, revenue functions continue to claim considerable time and attention. The
Collector is also in charge of law and order administration in the district. He has
control and supervisory role over the Police Administration. He advises the
Government on various aspects of law and order. However, several controversies
have arisen with regard to his role in the maintenance of law and order and his
relations with Superintendent of Police, even then law and order continues to be one
of his important functions.
After Independence and with the adoption of planning strategy, the Collector has
become a pivotal figure in implementing the development programmes. He
continues to play a significant role in the development administration. There are
several other areas like conduct of elections, dealing with calamities, supervising
local Government institutions, etc. wherein the Collector has an important role tc
play. Details of his role in the District Administration would be discussed in the nexr
unit on the District Collector. Suffice it to say that in District Administration there is
no area where he is not associated.
16.7 COMPONENT PARTS OF DISTRICT

ADMINISTRATION
The district is an important geographical unit where the people come into direcl
contact with the apparatus of public administration. The actual pattern ol
administration varies from state to state, even than there is a large measure 01
uniformity in the broad pattern of district administration. Because of proximity
ol
the comm~lnitvto the District Administration one finds a large number hf State level
Field and Local agencies functioning in the district undertaking a variety of functions. These
Administration functions can be categorised as law and order, revenue, agriculture and animal
husbandary, welfare, public distribution, elections, administration of local bodies,
functions relating to emergencies and natural calamities and residuary functions.
A major concern of District Administration is maintenance of public safety, law and
order, crime control and adniinistration of justice. District Collector and the
Superintendent of Police undertake these functions. They are responsible for
maintenance of peace and tranquility in the district. Administration ofjails, though a
separate department, is closely related function in this category. As a District
Magistrate, Collector has supervisory role in the administration ofjails.
The second group of functions is related to revenue administration. Assessment and
collection of land revenue, collection of other public dues and taxes like sales tax,
maintenance of land records, adjudication of land disputes between private
individuals and Government, implementation of land reforms, consolidation of
agricultural holdings, etc. constitute revenue functions at the district level. District
Collector is basically responsible for all these functions and to support him there is
an elaborate network of revenue and other departmental officials.
After Independence, development administration has become all pervading and
Government has begun to deal with wide area of development functions. Because of
the rural nature of the society agricultural development is an important function of
district administration. This includes Irrigation, Cooperativ.es, Animal Husbandry,
Fisheries, etc. A different subject matter specialist working under the supervision
and control of the District Collector looks after each of these functions. In some
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States, most of th se functions are undertakerrby the Panchayati Baj Institutions.
Y
Welface is another component of development functions in the district. Public

health, Welfare of Weaker Sec#ionsand Backward Classes, Education etc, come in
this category, Each of these functions is entrusted to separate officers at the district
level.
Public distribution is an important function particularly in the context of scarcity and
black-marketing. This is a delegated function assigned to the Collector.. Separate
organisation, however, exist under his control. Articles of daily consumption like
foodgrains, kerosene, sugar, etc. come under this category.
In a democratic system, elections to various bodies at the National, Stite and Local
levels are conducted periodically. The process of election beginning from the
registration of voters to the conduct of elections and the declaration of results is a
vital function to be carried out at the district level under the supervision of the
District Collector.
Local administration is 'a vital link between District ~dhinistrationand the local
community. Rural and Urban Local Bodies play a pivotal role in district
administration. The State Governments have entrusted the supervisory and
controlling role to the Gollector in the district.
Natural calamities and emergencies is another vital area, which needs to be taken
care of whenever required. The entire administration has to be geared to meet the
threat of emergencies during natural calamities. As Head of District Administration
the Collector plays a significant role in managing the crisis.
Apart from the important functions listed above there may be many areaslfunctions
of the Government,, which can neither be precisely defined nor explained. These
residuary functions like small savings, contribution to public loans etc. are equally
important in the district administration.
The primary objective of the District Administration is to ensure orderly and speedy
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development of the district. To achieve this objective,
the administration deals with
the maintenance of law and order, collection of land revenue and other taxes, public Field Administration
distribution system, calamities and emergencies, and administration ofjustice.
16.8 ADMINISTRATIVE ORGANISATION

The wide variety of functions undertaken at the district level result in a complex
administrative system. Apart froin tlie office of the District Collector, there are
several departments namely, Agriculture, Animal Husbandry, Irrigation,
Cooperatives, Social Welfare, Education, Civil Supplies, Medical and Public Health,
Industries etc. in tlie district. Collectively all these departments constitute the district
administration. Every State level department has corresponding functional
department at the district level.
Various departments in the districts are structured separately. The revenue
department comprises various officials - The Collector at the district level, Deputy
Collector at the sub-division, Tahsildar at the Taluk, R'evenue Inspector at the circle
and Village Officers like Patwari at the village level. The Superintendent of Police,
Deputy Superintendent of Police, Inspector, Sub-lnspector, and the Constable work
at various leve Is as field functionaries. Similarly, there are the department officers
of Health, Education, Agriculture, Co-operation, etc. In many cases their jurisdiction
is coterminous with a district, but increasingly there is more than one district level
officer for each district. The Panchayati Raj Institutions have a hierarchy of
officials, some of whom have been integrated with development departments at
Block and Village level.
While working in the same district each department maintains a distinct identity of
its own like their State counterparts. Despite task differentiation and maintaining
distinct identity there is a certain degree of task sharing between the departments.
16.9 PROBLEM AREAS IN FIELD ADMINISTRATION

The broad framework of field administration remained more or less the same except
a few reorganisations and addition of developmental functions. This has resulted in
several problems for the administration as well as for the community.
Firstly, there are wide variations in the size of the districts both in terms of area and
population. The reorganisation that has taken place after Independence is mostly on
political considerations than on administrative requirements and efficiency. These
variations are creating serious problems for the administration. This is mainly in
terms of access of District Administration to the people.
With the increase in the number of functions and role of development departments
there has been a considerable decline in the importance of the revenue officials. But
their stranglehold over land records and their linkages with local power groups has
become a disturbing factor. Inspite of the commitment of the Central and State
Governments, there have been several difficulties in implementing land reforms in
the country. 'This is another problem area.
Rural and Urban local institutions are an important part of field administration.
These local institutions have considerable role to play both in civic and
developmental areas. There has been a tendency to entrust more developmental
functions to the Panchayati Raj bodies. But there are several complaints of partisan
outlook of the elected functionaries leading to favouritism and nepotism. As a result,
there is political disharmony, intensified factionalism and increased crime rate.
Similarly, the Municipal local institutions also face several problems. Shrinking
resource base, inadequate technical capacity, increasing pressure due to growing
population coupled with high expectations of the community for more and better
services are creating several problelns not only to the Municipal institutions but even
to the districtfrom:-
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Field and Local One of the well-known featyes of bureaucracy is its emphasis on' rules and
Administration regulatiolis. Increase in workload over the decades is leading to delays, red tapism,
and consequently corruption. Status-quo conscious officials, in some cases are
becoming insensitive to development demands, there-by creating atrophy in
administration.
The reforms that have been effected over the years could not tackle the major
problems like deteriomtion in law and order and problems of inter-agency
caprdination of field administration in the country. Structural reorganisation by
itself may not, and probably will not help to improve the efficiency of the district
administration. There is a need for attitudinal change among the officials.
Unfortunately, the reform committees and commissions have not dealt with this
important aspect of field administration. What is needed, therefore, is a total
restructuring of field administration keeping in view both structural as well as
behavioral aspects of the officials as well as the expectations of the community in
tune with the democratic traditions.
Note: i) Use the space given be~dwfor your answers.

ii) Check your answers with those given at the end of the Unit.'
1) Describe role of the Collector in District Administration.
................................................................................................
................................................................................................
................................................................................................
................................................................................................
2) How is District Administration organised?
................................................................................................
3) Discuss the problem areas in District Administration.
16.10 LET US SUM UP

The field administration in.India presents a picture of continuity and change.
Introduction of Panchayati Raj, establishment of agencies to implement welfare
.programmes, and increasing focus on people's participation necessitated new
relations in the administrative apparatus at the district level. It also neces3itated new
modes of communic'ation as well as new concepts in methods of accountability. In
this Unit, we have described Regional Administration, Divisional Administration,
District Administration, Administrative Organisation and major problems in the area
of Field Administration. In addition, role of the Divisional Commissioner and
District Collector have also b d n highlighted. In the next Unit, role of District
Collector will be dealt at length.
Field Administration
16.11 KEY WORDS
Administrative Verticalism: A system in which the Heads of various departments
like Executive Engineer and Superintendent of Police report to higher authorities of
their own Public Service Departments.
Atrophy: Waste
Nepotism: Favoritism shown to relatives or close friends by those with power.
Nomenclature: A formal system of naming
Variegated Picture of Field Administration: Field administration is not uniform

throughout the country. There are wide variations in the size as well as population of
the district from State to State and district to district within the State.

Administrative Reforms Commission, 1967, Report of the S t u 4 Team on District
Administration, New Delhi.
Administrative Reforms Commission, 1969, Report on State Administration, New
Delhi.
Mishra, S.N., Ani'l D. Mishra, and Sweta Mishra (eds.) 2003, Public Governance and
Decentralisation , Mittal Publications, New Delhi.
Maheshwari, S.R. (200 I), Indian Administration, Orient Longman Pvt. Ltd, New
Delhi.

EXERCISES
Check Your Progress 1' .
1) Your apswer should include the following points:
Regional Administration refers to the network of organisations that
function below the State and above the District level.
Administration is divided into area units called 'Divisions' at the regional
level.
Different patterns of Regional Administration exist in the States.

The Divisional Commissioner in the capacity of the highest executive
authority in the division is responsible for implementation of policies and
supervision of the administration.
Functions of the Divisional Commissioner as the Revenue Commissioner
of the Division.
Role of the Commissioner in the capacity of Divisional ~evelobment
Commissioner.
Coordination and Public Relations.

Divisional Commissioner brings about coordination.
He is aware of.the problems of region.
Field and Local Effectively exercises supervision over the Collectors.

Administration
Encourages delegation fiom the State level.
1) Your answer should include the foilowing points:

Role of the Collector as the Head of the revenue administration.
Role of the iDistrict Collector in the maintenance of law and order.
2)
-
Role of the District CoHector in the development administration.
Your answer s h o u l d ~ l u d ethe following points:
Presence of several Departments namely Agriculture, Animal Husbandry,
Education, etc. at the District level apart from the Office of the Collector.
Various Departments like Revenue, Police, Panchayati Raj Institutions
are structured separately in the Districts.
Emergence of two patterns of District Administration in the country.
Separation of regulatory from development functions under the first
pattern as in Gujarat and Maharashtra. The second pattern where the
Collector continues to be in-charge of both regulatory and development
functions, as prevalent in States like Rajasthan, Andhra Pradesh.

Wide variations in the size of the districts both in terms of area and
population.
Inability of the rural and urban local institutions to discharge
developmental functions properly. .
Problems faced by the Municipal local institutions like shrinking

resource base, inadequate technical capacity, increasing pressure due to
growing population.
Strict adherence to rules and regulations by bureaucracy causes delay,
red-tapism and corruption.
Deterioration in law and order and problems of inter-agency
coordination.

UNIT 17 DISTRICT COLLECTOR
Structure
17.0 Objectives
17.1 Introductio~i
17.2 Evolution of the Office
1 7.3 Functions of the CoI lector
17.4 Collector and Panchayati Raj Institutions
17.5 Administrative Support
17.6 Colleebr 's Work: Some Constraints
17.7 Let Us Sum Up
17.8 Key Words
17.0 OBJECTIVES
Explain importance of the office of Collector ,in District Administration;
I Trace evolution of the office;

Describe traditional and developmental hnctions of the Collector ;and
Discuss constraints within which the Collector lias to function in the District
Administration.
1 17.1 INTRODUCTION
The institution of Collector, created more than 200 years ago, is one of the most
significant institutions transmitted by the colonial rulers to independent India's
public administration system. He is the highest functionary s f the District
Administration in the country. Several epithets are used to describe this institution.
"Annadata", "Maabaap", 'captain of the team', "eyes and ears of Government", are
some of the common descriptions. He is also described as "the kingpin of
administration", "the key-stone of the arch of district administration", "the area
specialist", and more recently in more benevolent terms, as 'friend, philosopher and
guide", "adviser, educator and helper", "the fulcrum of grassroots democracy", "the
mainspring of development" and so on. Even after independence he continues to
occupy a preeminent position at the district level and is the key functionary of the
State Government. Keeping in view the importance of District Collector, this unit
liighlights the evolution of the institution of the Collector; his role in district
administration; and the constraints, which inhibit the performance of his functions.
17.2 EVOLUTION OF THE OFFICE

'The office of the District Collector in India has a long history. Its origin is related to
the concept of a territorial unit of administration. During the Mauryan period the
kingdom was divided into convenient territorial units and each unit was placed under
the charge of an imperial authority. The authority who was important to the District
Collector during that period was known as 'Raja'. Though they were essentially
revenue officers, they exercised judicial functions also. Rajukas. collected land
revenue, maintained roads, promoted trade and industry and carried out public works
like irrigation. During the Gupta period they were called 'visayapathis', who were
Heads of 'visayas', which were equivalent to the modern districts. The visayapathi
was responsible for the general administration including collectio~iof taxes and other
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Field and Local visaya. The Mughal rulers followed the system of administration of Hindu Kings.
Administration Under the Mughal system the 'circar', which is comparable to the modern district
had three officers viz. Amalguzar, Amir Zuazi and Faujdar. The Amalguzar was a
principal revenue functionary of the circar and was responsible for the collection of
revenue and proper utilisation of land. He also exercised certain administrative
functions like punishing the robbers and some quasi-judicial functions like
settlement of disputed claims on land. However, he was basically responsible of the
collection and management of land revenue. Though, during, Mughal period Faujdar
enjoyed a dominant position in the district administration, Amalguzar performed all
revenue functions. Thus, before the advent of the British, there were territorial
divisions and officers of these divisions were responsible for realisation of land
revenue. These revenue officials were generally invested with several power and
functions. It was, no doubt, considered a feudal form of territorial organisation. The
territorial gradation of administrative areas more br less remained the same
notwithstanding the changes that were brought about in the system by the British.
The British built on the oriental system and established the present system of field
administration. The creation of a district as unit of administration and the
appointment of the District Collector as Head of District Administration laid the
foundation for stable administration in India. Granting of 'diwani' (civil
administration) in Bengal, Bihar and Orissa to the East India Company in 1765
marks the beginning of British revenue administration in India. In 1769 the
Company launched a scheme of English supervision over the local revenue
collecting institutions. East India Coppqny appo&ed covenanted servants as
supervisors during 1769-70 in the districts of the diwani provinces. The supervisors
were expected to report on the production and capacity of the lands; amount of
revenues and other taxes levied; and manner of collection etc. They were expected
not only to be concerned with revenue collection but also to have an overall
knowledge of all the factors that affected the district. But the system failed and the
company decided in 1772 to take over the entire executive management of public
revenues. Accordingly, Warren Hastigns issued a proclamation. On May 14'~,1772
the supervisors were appointed as Collectors. Thus, the institution of Collector was
created for the first time in 1772 during the period of Warren Hastings. From then
onwards collection of revenue became the most important duty of the company's
civil servants. The office of the District Collector became an important institution of
the British local administration. They were entrusted with the executive power of
management and collection of revenue and other duties of enquiry and investigation.
From then onwards the Collector's role has gone through several changes that is
period of strength, neglect etc. By the time India gained independence the District
Collector had become ah important hnctionary Heading the District Administration.
17.3 FUNCTIONS OF THE COLLECTOR

The office of the Collector is an important institution transmitted by the British
rulers to the Indian administrative system. y e performs traditional revenue function
as well as development functions. Throughout the country, the power and hnctions
of the Collector, more or less, remain the same. Broadly, the Collector performs the
following functions:
Head of Revenue Administration;
Head of Police Administration,
Head of District Administration, and
An agent of the Government
Revenue
The Collector started as a revenue functionary and he continues to be the principal
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independence, the importance of revenue administration has become secondary. The District CoIIector
I emphasis has shifted to Development Administration, though the revenue functions
still remain with the District Collector. Besides collection of revenue, the Collectors
,' are responsible for the collection of all other duties like takkavi loans and dues
belonging to other Departments. Maintenance of land records and collection of
statistics at the village level are some other functions of the Collector. He exercises
appellate jurisdiction in revenue cases. The recovery of arrears of land revenue in
respect of all Departments is the responsibility of the Collector. In the discharge of
his revenue functions, many officers like the Revenue Divisional Officers,
Tahsildars, Revenue Inspectors and Village Officers assist the Collector.
As the Head of the Revenue Administration, he is the kingpin of relief operations in
i
the district. In emergency situation like floods and famines the Collector plays a
very crucial role in relief operations. The Government takes decision regarding the
quantum of relief and the manner of distribution mostly on the basis of assessment
made by the Collector.
Law and Order
District Collector also functions as District Magistrate and is responsible for the
maintenance of law and order in the district. After the separation of judiciary from
the executive, the Collector is concerned with the preventive sections of the criminal
procedure code. As District Magistrate, he is Head of the Police Administration of
the district. In this function, Superintendent of Police who is the Head of police
force in the district helps the Collector in discharge of his police functions. In all
important matters, the Superintendent of Police takes orders from the Collector.
There have been many instances of strained relations'between the Collector and the
Superintendent of Police. In certai situations, lack of understanding between the
P
two affect the entire District Admin stration.
Head of District Administration
The Collector continues to be the Head of the District Administration. As District
Magistrate, he is responsible for the maintenance of law and order. As chief revenue
officer, he is responsible for the collection of revenues. He is also closely associated
with several other Departments like Education, Industries, Cooperatives, Public
Works, etc. In respect of Panchayati Raj, in several States, he has a very important
relationship with the Panchayati Raj bodies. As a Head of the district administration,
he plays a coordinating role between different Departments like Revenue, Police and
other Departments. The Collector supervises the working of municipalities. He has
power to suspend the resolutions of local bodies, if they constitute a threat to public
peace. He also Heads a number of official and non-official bodies in-fhe district like
the Road Transport Authority, District Employment Comm~ttee, Welfare
Committees, Red Cross Society, etc. The amount of time he spends on these
activities depends on his personal interest.
An Agent of the Government
He is looked upon as an agent of the Government at the district level. He hoists the
national flag on Independence and Republic days. He has several protocol functions
like meeting the Ministers and other important dignitaries. In emergencies like
floods and famines, he can call upon any branch of the District Administration to
undertake any specific work to provide assistanc6~Censusoperations and conduct of
elections to various democratic bodies from the Parliament to the Gram Panchayat is
another important function. The Collector is also an agent of the Governor in respect
of scheduled tribes' areas in some of the districts. There are other functions also with
which the Collector is intimately associated like social security, pensions, excise,
grant of licenses for arms, etc. The scarcity and rising prices due to public
distribution system has become an important part of district administration. He is
directly responsible for the distribution and control of all essential commodities and
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Field and Locgl of the distribution system, he is expected to ensure timely and equitable distribution
Administration
of scarce commodities.
The collector presides over a large number of meetings like meetings of
Coordination Committee, Development Committee, Irrigation Committee etc. These
are excellent forums for the Collector to know the way policies are translated into
action and to come into contact with the local people and understand their problems.
1) Explain the importance of ~ollectorin District Administration.
..................................................................................................
2) Trace evolution of the institution 6fCollector.
.................................................................................................
3) Explain revenue functions of the District Collector.
17.4 COLLECTOR AND PANCHAYATI RAJ INSTITUTIONS

*
After independence, the Collector has become responsible for the implementation of
the development programmes in the district. As an administrator, he is expected to
coordinate all the development programmes being implemented in the district. The
Collector's role in development administration is more visible in case of Panchayati
Raj Institutions. He is closely associated with these institutions either from within or
outside. The advent of Panchayati Raj Institutions in India has brought about several
changes in the set up of the district administration. This is particularly so in case of
the role and functions of the District Collector. Balwantrai Mehta Committee
recommended that the Collector should be the Chairman of Zilla Parishad. At the
time of establishment of Panchayati Raj, critics argued that Collectors should not
Head the democratic bodies, this would not be in consonance with the spirit of
decentralisation. It would curb the democratic spirit. In practice, different types of
linkages were established between the Collector and the Panchayati Raj Institutions
in different States. In Rajasthan, for example, the Collector was made an associate
member of Zilla Parishad without the right to vote. In Andhra Pradesh, he was made
a full mkmber of Zilla Parishad and chairman of all the standing committees. Later,
however in Andhra Pradesh, the Collector was disassociated from Zilla Parishad. In
Maharashtra, the Collector was kept out of Zilla Parishad. But, generally it is felt
that the Collectors shduld have'a large share of responsibility in facilitating the
success of Panchayati Raj Institutions. Over the years, four patterns of the role of
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Secondly, the Collector has been kept out of Zilla Parishad completely because of a District Collector
feeling that it would burden the Collector, who is already over burdened. In some
States, the Collector is made Chairman of the standing committees vested with
power and decision-making. Finally, in some States, the Collector is a member of
Zilla Parishad without right to vote.
The relationship between Collector and Panchayati Raj Institutions can be studied
under different heads namely control over staff, power to suspend ~esolutions,power
to remove officers, and power to suspend and dissolve Panchayati Raj Institutions.
In these areas, the role of Collector varies from state and state. Some aspects of this.
would be discussed later in the Unit on Panchayati Raj. The Collector has power to
write confidential report and has authority to inflict various punishments, such power
vary from state to state. Similarly, the Collector can suspend the resolutions of
Panchayats. An association with these bodies will bring the Collector in intimate
relationship with the people's representatives. This provicies him an opportunity to
understand the dynamics of Development Administration at the district level.
I n practice, the role assigned to him varies from state to state as mentioned below:
In Tamil Nadu he is the Chairman of District Development Council.
In the States of Uttar Pradesh and Bihar he is entitled to attend the meetings of
the Panchayat Samiti and its standing committees but without a right to vote.
In Maharashtra and West Bengal he is kept out of the Zilla Parishad.
!n Andhra Pradesh, he is not only the member of the Zilla Parishad but also the
Chairman of all the standing committees in whom executive authority is vested.
In the States of Assam, Punjab and Rajasthan, the Collector is a non-voting
member of the Zilla Parishad and he is associated in a purely advisory capacity.
It shows that there is an unconcealed reluctance to have his involvement in the
decision-making processes of rural democracy.
After 73rd Constitutional Amendment, the relationship of District Collector with
Panchayati Raj Institutions (PRIb) has changed immensely. The Constitutional
amendment and the enactment of Panchayati Raj laws by various States in 1993 has
reduced the burden of the District Collector on development activities. This Act has
given scope to the State Government to set forth the yardstick of the relationship of
the PRIs and the Collector. In this context, some States have created the post of
Chief Executive Officer and some States have opted for District Development
Officer or Deputy District Commissioner. In the States like Rajasthan, the Collector
is a nominated member of the District Planning Committee (DPC). Whereas, in
some other States like Madhya Pradesh the Cdlector is the Member and Secretary
of the DPC. Before these changes, District Collector in Madhya Pradesh had access
to Rs.10 lakh for development works, which has now been hiked to Rs. 1 crore,
making him more powerful.
However, in Andhra Pradesh the Collector as the Head of the District
Administration. continues to co-ordinate the development activities. In the capacity
of an ex-off~ciomember, he attends the meetings of Zilla Paridshad and its standing
committees, and participate in their discussions. He participates and attends the
meetings but without the right to vote on the resolutions. The District Collector has
the authority to suspend or cancel any resolution passed by these bodies; initiate
action in the event of default; suspend the Chairman (ZP), the President (MP) and
the Sarpanch (GP) and dissolve the Zila Parishad / Mandal Parishad 1 Gram
Panchayat and any of the Standing Committees. It has been observed from the study
on Maharashtra that District Collector has limited role to play in the PFUs. He has an
important role in elections or reporting regarding resolutions, such as no confidence
against office bearers.
The unique feature about the controlling authority assigned to the Collector in Tamil
Nadu is that the District Collector has the overall controlling authority
Downloaded from:- https://t.me/Pdf4Exams as the
Field and Local Inspectors of Panchayruts in the district. The Project Officer 1 Additional Collector
Administration (Development) of the District Rural Development Agency. (DRDA) assists him in
implementing developrhent programmes. The study conducted by the Task Force on
Panchayat Raj reveals that except a few States like Karnataka, Kerala and West
Bengal, bureaucracy is a dominwt partner in decentralised governance.
The Administrative Reforms Commission recommended that all the development
functions should be entrusted to the Zilla Parishad. The Collector should only be
responsible for regulatory functions. In the context of transfer of development
functions, the Committee felt, it would enable the Collector to devote more time and
attention to his regulatory functions. This will help to improve the general
administrative climate in the district. The Committee on Panchayati Raj Headed by
Asoka Mehta also reaommended the separation of development functions and
entrusting them to the Chief Executive Officer. Thus, even after implementation of
73rd Constitutional Amendment Act, there is no uniform pattern with regard to the
position of the District Collector in relation to the Panchayati Raj Institutions.
I
17.5 ADMINISTRATIVE SUPPORT
The Collector is assisted in his duties by a number of officers at variGus levels.
Generally, there are two or three senior officers of Joint or Additional collector.'^
rank. These officers look after the revenue, law and order, and developmental
functions. The Collector in the Collectorate is assisted by Deputy Collectors. These
officers look after different functions like revenue, law, relief, establishment and
other duties. District tlechnical officers like District Agricultural Officer, District
Educational Officer, District Cooperative Off~cer etc. function directly under
supervision of the Collector except in a few States where they work with the Zilla
Parishad. The District is divided into Sub-Divisions. The Sub-Divisional Officers
Head each Sub-Division. In some States they are called the Revenue Divisional
Officers. The Collector provides guidance and leadership to the Joint Collectors and
Sub-Divisional Officers. At the taluka and block level, there are Tahsildars and
Block Development Officers undertaking revenue and development functions
respectively. They have regular contacts with the people and are real executors of all
Government Programmes. A large number of subject matter specialists function at
the block leyel initiating and implementing specific programmes.
The Collector exercises control over the field officers through visits, inspections and
review meetings. Through these techniques, he monitors the programme
entation and provides guidance to the field officers. His inspection and
ot only give a bird's eye view to the Collector, but algo enable the field
officers to clarify their doubts about policies and priorities from the Collector.
During his visits to the villages, he hears people's complaints about the problem of
drinking water, water for irrigation, bad roads, poor housing, shortage of essential
commodities, and inputs for agricultural operations, corruption and insensitivity of
officers, etc. Based on these inspections and visits the Collector can assess the
problems affecting the district and take the initiative to overcome them. This gives
the Collector a clear understanding about the p a l problems apart from providing a
pefsonal touch to the administrative system.
An important role of the Collector is to bring about coordination between different
Departments ih the district. He acts as a catalyst for development. In some States,
all the district level officers are brought under the control of the Collector and in
some they are outside. As highest functionary in the district, the Government looks
towards him for providing the needed guidance and direction to the officers.
17.6 COLLECT~R'SWORK: SOME CONSTRAINTS

The Collector has become an increasingly important functionary in district
administration. Both in, the ,regulatory and development functions, he has a very
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https://t.me/Pdf4Exams his functions, he faces a number of
problems and constraints, which inhibit his work. Problems like frequent transfers, District Collector
increasing workload, political pressures, crisis situations, and individual orientation
of Collectors are a few which need to be examined in this context.
The Civil Servants need to have a tenure, which is long enough to understand the
environment, establish constructive relationships, and to implement the development
programmes. A well-accepted policy is to retain an officer in a particular place for a
period of three to five years. Unfortunately, this policy does not seem to be the
practice in case of the Collectors. A few studies, conducted on this issue indicate
that there are too frequent transfers inhibiting the proper performance of the
Collector's functions. For example, in Rajasthan, the average tenure of Collectors
was 14.2 months, which is not conducive to attain development objectives. This
indicates that they are dislocated before they acquaint themselves with the problems
of the district. Some of the Collectors have tenure of less than four months, and
there are very few Collectors who enjoy three years of tenure. This type of frequent
transfers apart from having a negative influence on the Collector would adversely
affect district development administration.
Political interference and pressure is another area affecting work of the Collectors.
Such pressures are generally brought to restrain the District Administration in cases
of land acquisition by the Government or use of judicial support for their followers
or issue of gun licenses or permits for scarce commodities like sugar etc. If the
District Collectors concede the request, they are accused of partisanship; and if they
resist the pressure, they are accused of being insensitive to the requests of the
people's representatives. Quite often, resistance to pressures leads to politicisation
of issues. This may even lead to transfer of the Collectors. This has an adverse
effect on performance of the Collector as an agent of change. It also adversely
affects their job performance.
I
The visiting dignitaries like the Minister frequently interrupt the Collector's work.
Protocol requires that the Collector must receive and be available to have discussions
with the visiting dignitaries. Thus, protocol duty is another area, which affects the
Collector's work to some extent.
One complaint often made is that the Collector is over-worked. Though studies are
few in this area. These studies revealed the varied nature of the workload of the
District Collectors. An analysis of the work of Collectors in the former Bombay
State indicates that the Collector spends 54 per cent of his time on correspondence,
26 per cent on tours, and the remaining 20 per cent on meeting the visitors, attending
to protocol duties, attending meetings and hearing cases. In another study conducted
by Jack Gillespie, it was shown that the Collectors spend 36 per cent of time on
correspondence, 18 per cent on tours, 11 per cent on receiving visitors and the
remaining time to other functions like attending meetings, protocol duties, job
related social activities etc. It was also revealed that the Collectors spend on an
average 70 hours a week for official functions. This means, about 10 hours everyday
including sundays and holidays. This indicates the amount of pressure on his time
and the increasing workload on the Collectors. These activities leave them with
hardly any time for reflection or concentration on development activities.
, In the district, the Collector is responsible for the maintenance of law and order. In
practice Superintendent of Police, who is the Head of the Police force, in the district
looks after this function under the overall supervision of the Collector. Quite often,
the people come to the Collector with the complaints about the partisan attitude of
I the police and their failures. The Collector's association is indirect and minimal after
the separation of functions, that is judicial and executive. The relations with the
police have always been very delicate and sensitive to the Collector. In recent years,
! police began to resent the control of the Collector in the maintenance of law and
order. There have been cases of strained relations between the two. With increasini
unrest in the rural areas, the role of Collector is becoming increasingly important in
I
I
the maintenance
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from:- and tranquility.
Field and Locrl Crisis administration is another important and a necessary function of the Collector.
Administration The crises may include communal disturbances, floods and famines, dacoity,
terrorism, accidents and campus disturbances. These type of crises demand the
Collector's immediate intervention. This affects their normal functions and the
immediate casualty ig neglect of development functions.
Finally the Collector who is committed to change in development process, chooses
his own area and preference for work. Some officers focus their attention on
welfare of weaker sectiotis; others on health activities, and few concentrate on
agriculture, Some of the Collectors concentrate on special programmes and
activities of their choice. Thereby, giving secondary i~nportanceto the remaining
functions. This also aonstricts their role and performance ih general.
The District Collectors should try to overcome these pressures through better
relations with the politicians; propet time management; and delegation of work to
their subordinates. Some officers make use of the political executives at the district
and State levels to iron out the problems in deveiopment administration and make
positive use of their interactions with the politicians. There are others, who view the
intervention as an unwelcome interference in their work and feel disgusted. The
performance of the Collector, therefore depends upon his own inclination and
orientation towards tlle develop~nentgoals. It also depend on his capacity to make
use of the environtneht iti the district positively and constructively to undertake his
fvnctions. No textbook propositions can be made to overcome some of these
constraints.
Lakhina Experiment
Need for administ~atlteefficiency and also responsiveness to the community led
Mr. Anil Kumar Lakhina, a District Collector, to undertake an exercise to reform
disttlct administration, The exercise was done in the Collectorate of Ahmednagar in
Satara district of Maharashtra. Some of the changes brought about in the District
Administration includes regulation of visitors to the Collectorate; designing the
office as per task sequence, making documents available to those who handle them;
preparation of desk manbals, weeding out documents which had outlived their
usefulne~s,provision of dust proof and fire fighting equipment; motivation and
training etc. This experiment revolved around the assumption that attitudinal
changes in the administrator can result in effective administration. It sought to link
attitudinal changes vbith physical work environment. The experiment was
undertaken in only one district and possibility of its adoption elsewhere is yet to be
proved. But the Lakhina experiment is a pointer that structural changes coupled with
attitudinal changes and the 'will' to adopt reforms can bring efficiency in district
administration, What is true of the Collectorate is equally true of other
administrative organs At the district level.
%beckYour Pragress 2
Note; I) Use the spake given below for your answers.
1) Explain role of the Collector in Panchayati Raj Institutions.
.................................................................................................
2) DescrClbe significance of the Lakhina experiment.

District Collector
.................................................................................................
3) Discuss the problems that Collectors face in the performance of their duties.
17.7 LET US SUM UP

Earlier, the Collector was in charge of land revenue, maintenance of law and order
and other regulatory functions. In independent India, with the adoption of socialistic
pattern of society and focus on development, the Collectors in most of the States
became developmel~tfunctionaries and change agents. In this Unit, we have
discussed the evolution of the Office of District Collector. The role and functions of
District Collector as the Head of Revenue Administration, Police Administration,
District Administration and as an Agent of the Government have been described.
His associations with development institutions like Panchayati Raj are very close and
intimate. However, after 73cd and 74Ih Constitutional Amendments, the role of
Collector in development administration has changed. Even than the District
Collector appears to be the kingpin of District Administration. Lastly, the problems
and constraints, which impinge on the performance of the Collector like workload,
frequent transfers, political interference etc. have been described. The Collectors
should try to overcome these problems by improving their relations with various
functionaries, political leaders and citizens. In the next Unit, we will discuss on the
Police Administration.
17.8 KEY WORDS

Appellate Jurisdiction: Authority to hear and decide appeals from the decision of
lower court.
Catalyst: A person responsible for hastening necessary changes in the system.
Epithet: A descriptive word or phrase expressing some ideal or implied quality of a
person or thing. It is often used to designate the person or thing in place of the name.
Protocol: Certain code of behaviour, etiquette to be observed or as practiced in
diplomatic missions.
Government of India, 1967, Administrative Reforms Commission, Report of the

Study Team on District Administration, Delhi, Manager of Publications.
Arora, Ramesh K, 1999, Indian Administration: Perceptions and Perspectives,
Aaalekh Publishers, Jaipur.
Bava, Noorjahan (ed .), 2000, Development Policies and Administration in India,
Uppal Publishing House, New Delhi.
Jain, R.B. (ed), 1980, District Administration, Indian Institute of Public
Administration, New Delhi
Lakhina, Anil Kumar, 1984, "Reforms in the Collectorate of Ahmadnagar
(Maharashtra - A Report )", The Indian Journal of Public Administration, Vol.
XXX, No. 2, April-June, 1984.
Field nnd Local Maheshwari, S.R, 2003, Indian Administration, Orinet Longmans Pvt. Ltd, New
Administration Delhi.

EXERCISES
The Collector is the highest functionary in the district administration.
The Collector is the Head df the revenue administration at the State level.
The maintenance of law and order in the district is the responsibility of the
Collector.
As the Head of district administration, the Collector plays a coordinating
role between different departments like revenue, police, health etc.
8 The Collector is responsible for the implementation of the Government
policies at the district level.

The origin of the afioe of the District Collector in India is related to the
concept of a tefritorial unit of administration.
6 During the Mauryan, Gupta and Mughal$eriods, there were some
territorial divisions and offie62t.s df these divisidds were responsible for the
realisation of I d ~ drevenue.
The creation of district as a unit of administration and the appointment of
District Collector as the Head of district administration.
"The beginning of British Revenue Administration in India in 1765 through
granting 'diwani' in 1765.
8 Appointment of covenanted servants as supervisors in several districts of
the iwani provinces during 1769-70.
l'
In 1772, during the Pbricsd of warren Hastings, supervisors were appointed
as Collectors. ?rhus,the institution of Collector came into existence.

Coilection of revenue, and othe'r dues like takkavi loans and dues
belongirig to other Departments.
Maintenance of records, and collection of statistics at the village level.
Recovery of arrears of land revenue.
Responsible for relief operations in the district during crises like floods and
famines.
8 The District Collector is associated with the Panchayati Raj Institutions in
most of the States.
In Tamil Nadu the Collector has overall authority as the Inspector of
Panchayats.
In some States, the Collector has power 'to suspend and dissolve the
Panchayati Raj Institutions.
.-
r The Collector as an ex-officio member attends the meetings of Zilla District Collectol
Parishad and its standing committees.
2) Your answer should include the following points:'

Efforts made by the District Collector of Satara district of Maharashtra to
bring about both structural reforms at the district level and attitudinal
changes in dealing with organisation.
Need was felt for bringing about administrative efficiency as well as
responsiveness to the public.
Certain reforms were brought about in the district administration. Also
improvements in physical work environment were made.
This experiment established that structural reforms coupled with attitudinal ,
changes and the necessary will to adopt reforms can bring efficiency in
district administration. -

~ l e ~ u etransfers
nt of the Collectors, which inhibit the proper performanc;
of their functions.
Political interference and pressures have an adverse effect on the
performance of their duties.
Protocol duties of the Collector, which interrupt their work.
Increasing workload.
Strained relations between the Police and t b Collector
Crisis administration deman/ds Collector's immediate intervention that
affects their normal functions specially development functions.

UNIT 18 POLICE ADMINISTRATION

Structure
Objectives
Introduction
Background of Police Administration in India
Role and Functions of the Police
Organisation at the Central and State Level
Organisation at Range Level
Organisation at District and Sub-district Level
Rural Police
Urban Police
Issues Confronting Police Administration
Let Us Sum Up
Key Words
18.0 OBJECTIVES
After studying this Unit, you should be able to: .
Discuss the role and functions of police;

Describe its organisational structure at various levels; and
Explain the critical issues in Police Administration.
18.1 INTRODUCTION
In the field of administration, police have an important role to play. In India, Police
is the coercive arm of the State, which is entrusted to perform the basic duty of the
State that is maintenance of law and order. Therefore, law and order administration
has acquired signif cance at the Central, State, Range, District and Sub-District level
in rural and urban areas. Rapid growth of population, industrialisation, urbanisation,
qowing political consciousness. led to law and order problems. Agrarian and tribal .
revolts, political caste and communal violence, labour and student unrest and
terrorism are indications of law and order problems. In all societies, particularly in
developing societies, these conflicts and tensions are inevitable and many manifest in
different forms. Freedom and independence will not have meaning unless these
basic issues are properly attended. In this Unit, an attempt will be made to study the
organisation of police at various levels; and critical issues that confront the Police
Administration.
18.2 BACKGROUND OF P a I C E ADMINISTRATION IN

INDIA
In all societies, organisations were established to protect the life and liberties of
people since the dawn of civilisation. With the passage of time, complexities in the
nature of societies have led to the creation of modem police. In the European
context the term 'police' refers to a 'force for the city' and the police officer was
known as Nagarpal, which means protector of the city and governance based on
Dharma and Danda. Dandaneeti was an important ingredient of Statecraft. Manu
talked about the preventioi and detection 'of crime and also a system of collecting
intelligence during the vedic period. Vedas refer to different kinds of crimes and
punishments for the criminals. During the Mauryan and Gupta periods, policing was
undertaken systematically. Kautilya's Arthashastra gives a vivid picture of the
nature of police organisation and their functions. During Mughal period, law and
order administration was under the charge of https://t.me/Upsc_Zone_Official
Fauzdars. They were assisted by
Thanedars who were in charge of Police Stations. He was also responsible for Police Administration
revenue functions. The office of the Kotwal was fairly important, as he was the
chief of city police. His functions included patrolling the city at night, collection of
intelligence, prevention of crime and social abuses and regulation of jails. During
the British period, the police system that existed under the Mughals was allowed to
continue with certain reforms to meet the changing needs.
The present Indian police system is based on the Police Act of 1861. Under this act
the pojice was made subordinate to the Executive Government. Later, several
changes were brought about in the structure as well as functioning of the police
system. But the basic structure and characteristics as enshrined in the police act of
186 1 continued to dominate over the police system in the country. By the time India
attained lndependence in 1947, the Police Administration had developed into one of
the best systems. After independence, the Government of India felt that the system
was capable of facing new challenges and was also well developed to help the new
Government to maintain stability.
18.3 ROLE AND FUNCTIONS OF THE POLICE

Prevention of crime and maintenance of public order are the major functions of the
police. According to 1861 Act, Police functions are to prevent commission of
offences and public nuisances; bring offenders to justice; collect information
affecting public peace; and keep order in all public places, keeping in view the
changing political and social scenario. U.N. Congress prevention of crime, held in
1970 identified urbanisation, industrialisation, population growth, internal migration,
social mobility, technological changes etc. as the crimogenetic factors. Communal
tension and other social tensions are also the causes of crime due to which public
order gets disturbed and violence breaks out.
The main task of police is to enforce law and order, protect the citizens and
safeguard their property. The police have to play a positive role in the scheme of
social defence. It can no longer take a restrictive view of their role. In a democratic
society the role of police is linked to social service. It is an important area where
police has been assigned a positive role in relation of social. legislation. These
legislations touch upon the lives of the people at countless number of places. This .
provides various opportunities to serve the people and proves to be a challenge as
well. In the changing political context, the police have to function as officers of law
rather than as officers of the Government or Party in power.
According to the National Police Commission set up by the Government of India in

1977, the duties and responsibilities of the police are to:
i) Promote and preserve public order;
ii) Investigate crime;
iii) Identify problems and situations that are likely to resuIt i ; ~commission of
crimes;
iv) Reduce the opportunities for the commission of crimes through preventive
patrol and other appropriate police measures;
v) Aid and co-operate with other relevant agencies in implementing; appropriate
measures for prevention of crimes;
vi) Aid individuals who are in danger of physical harm;
vii) Create and maintain a feeling of security in the community;
viii) Facilitate orderly movement of people and vehicles;
ix) Counsel and resolve conflicts and promote amity;
x) Provide other appropriate services and afford relief to people in distress
situations; and
Field and Local xi) Collect intelligence relating to matters affecting public peace and crime.
Administration including social and economic offences, and national integrity and security.
As civilisation advances, and democracy takes roots, the laws of the land also
change. Instead of individual fancies, the people or their chosen representatives base
law making on participation. Personalised laws are replaced by public laws. It's
inter-dependence with other wings of criminal justice system such as judiciary and
prosecution, and its interface with various sections and groups in the society have far
reaching implication for its functionary.
18.4 ORGANISATION AT THE CENTRAL AND STATE

LEVEL
Article 246 (entry 2, List 11, Seventh Schedule) of the Indian Constitution
enumerates police as a State subject. Police Administration, therefore, is a State
responsibility. This does not, however, minimise the role of Central Government in
.Police Administration. The Constitution itself enumerates a long list of subjects like
All India Services, preventive detention, hrms, ammunition, passports etc. in the
union list. The Central Government's role in Police Administration is related to
making laws on subjects included in Union and Concurrent lists and making
amendments to the basic police laws like Indian Penal Code, the Code of Criminal
Procedure, Evidence Act, etc. Administration of the States, policing the Union
Territories, management of Indian Police Service, matters relating to arms and
ammunition are also thelresponsibility of the Central Government. The Ministry of
Home Affairs and the Department of Personnel plays the administrative and
coordinating role. In maintenance of law and order, whenever required, the Central
Government provides aid and assistance to the States. To discharge this function,
the Central Government maintains a network of line and staff units all over the
country. The Central Reserve Police Force, Border Security Force, Railway
Protection Force, Central Industrial Security Force are some of the reserve units.
Similarly Central Forensic Institutes, Police Wireless and Sa'rdar Vallabhbhai Patel
Police Academy are the staff units at the Central level. These apart, there are
Central Bureau of Investigation (CBI) and Central Intelligence Bureau (CIB) also to
aid the Central Government. These agencies, under the control of the Central
Government provide assistance to the State Police Organisation in the fields of law -
and order, security and administration of justice in the country. Rules and
regulations have been formulated for the operation of these agencies in the States.
There are occasions when these rules are violated leading to tensions between the
Central and State Governments.
At the State level, the Police Administration is more or less uniform throughout the
country. The Chief Minister or Home Minister is largely responsible for policy and
supervisory functions. The Home Department coordinates and supervises the Police
Administration in the State. It acts as a link between Central and State Governments.
But the Inspector General of Police (IGP) or the Director General of Police (DGP)
who is the Head of the State Police undertakes the real work. His office is called the
Office of the IGPIDGP popularly called Chief Office. This office collects
information and feeds it to the Government; advises political decision-makers like
the cabinet and'the ministers; supervises and controls line agencies. It organises
training and acts as a clearinghouse of special police services. The IGP/DGP aids
and advises the Government and exercises general supervision and control over the
police department. He exercises administrative, personnel, and financial power. He
provides leadership to the Police Administration in the State. He is assisted in his
duties of IGP by the Deputy Inspector General of Police (DIGS) and Superintendents
of Police (SPs) and other staff. They Head the specialised branches like intelligence
department, crime branch, transport department, training, armed forces, general
administration, law and order etc. The organisation of police will become more
evident by the following chart.
Police Administration
CHART 18.1: RANK STRUCTURE IN
A STATE POLICE FORCE
Home Minister / Home ~ e c r e t a r =

4
Director General of Police
1
Or the Inspector General of Police (in a union territory)

(Head of the State/officeor the Chief (office)
+
Deputy Inspector ~ e n e r a l bPolice
f
(Head of the range office)
.(
Superintendent of Police .
(Head of the district police office)
4
Deputy Superintendent of Police
(Generally called the Sub-Divisional Police Officer (SDO)
(Head of the sub-divisional office)
!
Inspector of Police
( ~ e a d othe
f circle ofice)
4
Sub-Inspector
(Head of the Police Station, generally called the Station House Officer)
+I
Asst. Su b-Inspectors
+
Head Constable
1
Police Constables
The real police work takes place in the districts and below. Before we discuss the
field organisation, let us have a cursory view of police organisation at the range level
into which the State police organisation is divided.
18.5 ORGANISATION AT R A ~ LEVEL

E
Many States are too big to be administered effectively and 'efficiently from a central
point. It is not possible for the Head of the police that is the police chief or the
DGPIIGP to keep in touch with the functioning of the entire organisation. Therefore,
the police organisation in a State is divided into ranges for operational convenience.
This is above the district and below the State level. This broadly corresponds to the
divisional set up about which we have studied in Unit 17. Deputy Inspector
General of Police Heads each range. Each police range comprises a few districts.
The number of districts in each range varies from 2 to 8 depending upon the size of
the district, population, and importance of the district.
'The DIG functions as a staff officer to the State police chief and as a line officer to
the district police. His functions include periodic inspections, receiving and
processing reports and returns from districts, and issuing instructions to the district
police functionaries. A major function of the range DIG is to coordinate the
activities of district police and also take measures for inter-district co-operation. He
is personally responsible for the enforcement of discipline among the police
personnel under his charge. He exercises power of transfer and discipline over
certain categories of personnel. He keeps a watch on the crime situation in the
district particularly over grave offences like dacoity, mltrder etc. He also exercises
control ,over police funds. The range of DIG'S functions, thus, includes personnel
management, budgetary control and coordination. He is responsible for the
maintenance of efficiency and discipline of his staff. He ensures uniformity
of
procedure and securing co-o~erationbetween the oolice functionine in the districts
Field and Local within his range. He has to ensure harmonious relations between the police and the
Administration executive magistracy.
There are some criticisms about a range becoming a mere post office. It is criticised
to be functionally superfluous. Some feel that inspite of range offices the workload
of the State level offices has not been reduced and in fact it has been on the increase.
The National Police Commission recommended that DIG of the range should play a
positive role in functioning of the districts under his control. He should act as
coordinating authority between districts in his range and with those of the adjacent
ranges. It also recommended that hetshe should be a sensitive judge of public
opinion and play an important role in planning and modernisation of the force. The
commission felt that to be effective, the range of DIG should not have more than five
districts under his control. It also recommended that for adequate supervision,
territorial Inspector General of Police should be appointed in large States. They
should not have more than 15 to 20 districts or 4-5 ranges under his charge. The
Armed Battalions of the range should also be placed under the operational charge of
the territorial IGP. They should be delegated administrative, financial, disciplinary
and other power. This will reduce the workload on the DGP and enable him to
cohcentrate on higher matters of policy and administration.
18.6 ORGANISATION AT DISTRICT AND

SUB- DISTRICT LEVEL
As we have discussed in Unit-17, district is an important unit of the public
administrative structut-e in the country. Almost all the State Government offices are
located in the district. In Police Administration also district plays a pivotal role. All
the laws and rules passed by the police are transformed into action at this level.
District Police Organisation is responsible for the effective maintenance of law and
order and control of crime. Police Administration at the district level is carried out
by the chief of the district police, called Superintendent of Police, who is responsible
for the maintenance of law and order, and other law enforcement activities.
Technically, Superintendent of Police functions under the overall control of the
Collector. He and his subordinate officers, in practice, enjoy operational autonomy
in the discharge of their functions. The Collector as a District Magistrate is broadly
responsible for preventive aspects; and the police is responsible for the control of
crime, maintenance of law and order, etc. Police Administration below the district
level is organised into divisions; divisions into circles; and circle into Police
Stations. The organisation and working of Police Stations, marginally, varies
between urban and rural areas.
District Police work under the Superintendent of Police. He is always a member of
the Indian Police Service and wields a great amount of power and prestige in the
districf. He is accountable to the Head of the range police that is Deputy Inspector
General of Police for the maintenance of law and order in his district. He is also
responsible to the Director General of Police at the State Headquarters. The
Superintendent of Police (S.P) is responsible for the efficiency, morale and discipline
of the police force in the district. He collects information about various aspects from
the entire district and communicates the same to the State Government along with
his own assessment.
The Superintenden't of Police is primarily responsible for the maintenance of law and
order, and prevention of crime. He is empowered to take preventive measures to
ensure peace in the district. He has to make adequate police arrangements during
fairs and festivals as well as elections and agitations. If he apprehends untoward
situations, he can advise the Collector to promulgate prohibitory orders and even to
clamp curfew. He cohtrols crime by patrolling, investigating and taking preventive
measures. He also supervises the operations of crime and special branches working
under him. He has many personnel and organisational responsibilities like adequate
SUDDIY of arms. vehicles. uniform etc. He also has res~onsibilitiesregarding matters
of training, promotion and discipline of the staff, maintaining financial property etc. Police Administration
He is the link between police organisation and people's representatives at the district
level. He maintains coordial and friendly relations with people. In the district where
important urban centers are located, he has responsibilities of regulating traffic and
receiving VIPs. Thus, the SP occupies a pivotal and a powerful position not only in
the district police organisation but also in the District Administration itself. The
Additional Superintendent of Police assists him. The later helps him in his day-to-
day general administration. Deputy superintendents of Police, Circle Inspectors of
Police, Sub-Inspectors of Police, Head Constablesand Police Constables assist him
in the entjrcement of law and order at various levels. To assist him in undertaking .
his functions. professionals and technical units are also placed at his disposal.
The organisation at the district level broadly consists of two wings namely the
District Police Office (DPO) and the Field Organisation. The general administration
of the entire police in the district is carried by the DPO. It works under the SP or
ASP, who is in-charge of the office administration and also exercises general control
and supervision. The office administration is carried out by several sections like
crime and statistics, crime bureau, audit and accounts, equipments and stores, etc.
The DPO can be considered as the secretariat of the police and the nerve centre of
the Police Administration in the district. Generally, the accommodation and
facilities at the DPO are not adequate. One find ill-equipped and overstaffed office;
insufficient accommodation; and inadequate lighting and ventilation in these offices.
To provide special assistance to the police, a number of field units function at the
district level. The district armed reserve, the home guards, the women police, crime
bureau, special branch finger print unit, dog squad, transport unit are some of the
field units supporting the district Police Administration.
Sub-division
For operational convenience, the district police organisation is divided into a number
of sub-divisions. Police sub-division is a unit where police work is coordinated and
controlled. It is an intermediary link between police circles, Police Stations and the
district police office. The police sub-division is under the charge of a Deputy
Superintendent of Police or Additional Superintendent of Police. They are generally
called Sub-Divisional Police Officers. The main work of the subrdivision is to look
into law and order matters, and discipline among the police force and other related
matters at the sub-divisional level. A number of reports and registers relating to
crime, security and other administrative aspects are maintained in the Sub-divisional
office. The Sub-Divisional Officers are responsible primarily for the maintenance of
law and order and crime control; collection and communication of intelligence;
submission of periodic reports to the Superintendent of Police, Inspection of Police
Stations and Circle Offices. They also have an important p~rblicrelations role to
perform. They act as a link between the Superintendent of Police and the Sub-
Inspectors and Inspectors.
Circles
Sub-Divisions are further divided into police circles, which is a link between Police
Stations and sub-division. This is the third tier in the district police organisation.
Sometimes, the police circles are coterminous with taluka; sometimes with blocks;
and sometimes they may not be in conformity with either of them. As there are no
rules governing the formation of police circles, they vary iri size from State to State
and even in the State from circle to circle. The number of Police Stations in each
police circle is determined on the basis of crime, population, area, topography, etc.
- Each circle may have 3 to 10 Police Stations. The Circle office facilitates smooth
administration at the tield level.

Inspector of Police is the Head of police circle. He is responsible for the
maintenance of law and order, and control of crime. He has to promote discipline
among the policemen. He guides, advises, and supervises the work of Police
~ i e t dand Local Stations and the men working there. He also investigates grave crimes with the
Administration assistance of supporting staff. As is the case with the divisional office, several
registers and records are maintained at the circle level. They include communication
register, case diary, circle information book, annual review of crime, crime charts,
criminal intelligence file, etc.
The Police Station is the lowest tier in the police organisation. It is here that the
actual work of the police is undertaken. It is the basic and primary unit, which is
responsible for the maintenance of Law and order, prevention and control of crime
and protection of life and property of the community.
1) Discuss the functions of police.
.................................................................................................
2) Describe the organisation and functions of a 'Range'.
.................................................................................................
3) Discuss the role and funcfionsof Superintendent of Police at the District level.
18.7' RURAL POLICE

It is necessary, to discuss organisation of rural Police Stations as well as the system
of policing in the villages because major portion of India's population lives in rural
areas.
Rural Police Station
Police Stations are established for a group of villages. There are wide variations
from state $0 state, and station to station within the State regarding area and
population required to set up a Police Station. A Police Station to be more effective
should be a compaat unit. The area should not be too large, as it would defeat the
very purpose of policing. It should not be too small also as it would cause heavy
expenditure. The second Indian Police Commission (1902-03) recommended that
the Poliv Station must be established for every 150 sq. km. area. This was endorsed
by the Nbtional Police Commission also. It also recommended that once in every 10
years a review of the area and jurisdiction of the Police Station must be undertaken.
.
This would enable proper deployment of police personnel.
Normally, the Police Stations are located in taluka or block Headquarters or in
important villages in the area of its jurisdiction. The Police Station is Headed by a
Downloaded from:- Station House Officer (S.H.0). To assist him,
https://t.me/Pdf4Exams there are Assistant Sub-Inspectors,
Head Constable and Police Constables. The number of these officers varies from Police Administration
station to station depending upon the population size and the volume of crime. The
S.H.O. seeks the assistance of the village officers in the discharge of his work. He
works under the overall supervision of the Circle Inspector.
Maintenance of law and order, prevention, investigation and control of crime,
collection of intelligence, police prosecution, and traffic control are some of the
functions of the Police Stations. Unlike the urban areas, traffic crime and law and
order functions are also entrusted to the rural Police Stations.
There are a number of problems in the working of the Police Stations viz. lack of
proper buildings, absence of essential minimum needs and facilities for the staff,
absence of proper equipment, inadequate residential accommodation of the staff,
absence of quicker modes of transportation and compunication. The.National Police
Co~nmission as well as several State Police Commissions have made
recommendations to strengthen the Police Stations to make them effective in rural
and urban areas.
Village Policing
Maintenance of peace and tranquility is essential not only'for the development of
villages but also for national development. Village policing has been in existence for
over centuries. In some form or other it consisted of Village Patel, Village Headman
and the Village Chowkidar. In most of the states, they are hereditary functionaries.
The responsibility for drawing the attention of police to any matter of importance in
the villages vests in these functionaries. They are also responsible for preventing
crime in the village. The 1902 Police Commission emphasised that they should
function as servants of the village community rather than as subordinates to the
regular police. The British Government recognized the need and importance of these
hereditary village police officials. The same system, therefore, was allowed to
continue. The same system continued even in independent India because of its
historical roots, acceptability of the system to the community and its role in policing
the village. Thus the system of Village Headman and Watchman prevailed in Ihdia
before, during and after the British rule. These hereditary functionaries were given
land as remuneration. They were also given some proportion of land revenue,
collected at the village level. The village Headman was responsible to keep a watch
on crime and criminals and report to the Police Station regularly. After
independence, due to the emergence of democratic institutions at the grassroots
level, the village functionaries moved increasingly towards development work. In
some of the States, they are either wholly or partially brought under the Panchayats.
But the system in actual working was found to be deficient in several respects. The
National Police Commission identified some of these deficiencies as lack of
attention, absence of perception of their responsibilities for collecting information or
for reporting, low pay, and excessive control of police.
To overcome some of these problems and deficiencies alternatives to the hereditaj
system were introduced in some States. In Orissa, for example, the hereditary
offices were abolished in 1963-64. They were replaced by a system of Beat-
Constable who had to frequently visit the villages and maintain a regular liaison. As
this system failed, it was abolished soon after and a Gram Rakhi System was
introduced. They discharge more or less similar functions as that of a traditional
village chowkidar. In Karnataka under the Karnataka Village Defence Parties Act of
1964, a system of village Dalpathis and Village Defence Parties was introduced.
Dalpathi who Heads the Village Defence Party is expected to be in regular touch
with the nearest Magistrate or Police Station. But the performance of the system
does not seem to be to the desired level in all the villages. In some districts they are
very active and i n others they do not seem to have a proper perception of the scheme.
The National Police Commission recommended that the existing Chowkidari system
in the country should be retained with some changes to make it more effective. The
suggested reforms
Downloaded from:-include prescription of age limits and educational qualifications,
Field and Local proper pay, etc. The Commission also recommended constitution of village defence
Administration parties with one of the members being designated as Dalapathi. Thus, the National
Police Commission envisaged that the Dalapathi, village defence party and the
former chowkidar should constitute the village police set-up. The commission also
suggested that there was a need for provision of a telephone and a cycle to enable
them to have regular contact with the police.
18.8 URBAN POLICE

In recent years India's urban population is on the increase and also the number of
towns. It creates numerous and complicated problems to the Police Administration.
Heterogeneous population, sensitive public, slums, frequent breakdown of law and
order, high incidence of crime etc. compound the problems of police in these cities
and towns. Linguistic groups, labour population, student community etc. also add up
to the complicated urban situation. Therefore, the urban areas need a different type
of policing than the rural areas. In India, two different patterns of urban policing
have emerged over the years. Firstly, all metropolitan towns with more than a
million population have Commissionerate system. In this system the responsibility
and accountability for performance for all aspects of policing vests with the
Commissioner. He is vested with power of regulation, control, licensing etc. in
addition to usual police power. The system is commended by all as it leads to a
prompt and coordinated police action in dealing with matters of crime and disorders.
The National Police Commission, therefore, recommended the introduction of this
system @ all cities with 5 lakhs population or in places, which are experiencing
urbanisation, industrialisation etc. A major question that is often raised is, should the
Commissioner of Police be under the State Police Chief or directly accountable to
State Government? In Kolkata, the Com~nissionerof Police is independent of the
State Police Chief. While in other cities like Mumbai and Chennai they are under
the State chief. Several commissions and committees including [he National Police
Commission suggested that the Commissioner of Police must be 1 ought under the
Chief of State Police with operational autonomy and independence.
Secondly, major urban centers work under the Superintendent of Police. However,
in some States like Andhra Pradesh major urban centres, which do not merit
Commissionarate system are cawed as urban districts for purposes of policing and
Superintendents of Police are appointed exclusively for the urban police districts. In
the later case, they enjoy more power in comparison to the Superintendent of Police
of a district. Several Police Commissions at the State level, which examined this
problem recommended commissionarate system for all major cities and towns
conferring executive magisterial power on the Head of police of such towns and
cities. The National Police Commission and the Andhra Pradesh. Police
Commission suggested a separate City Police Organisation with senior police
officers Heading the city to deal with multifarious and difficult problems. The urban
police require control rooms, staff for investigation to deal with difficulties. In fact,
they should be provided with more facilities to deal with different urban problems.
In urban areas, the Police Station is also the primary unit for police work. There are
variations from State to State about the area and population of urban Police Stations.
The average area of Police Stations in urban area in Assam is 7.9 sq. kms, in Gujarat
38.1 sq. kms. and in Tamil Nadu 22.2 sq. kms. The Police Stations in the rural and
urban areas have different organisational structure, as the volume and character of
work are different. In impodant urban areas like Headquarters of the district, town is
divided into a number of Police Stations like Law and Order Police Stations, traffic
Police Stations, Central Crime Stations and Police Control Room. The Police Station
is responsible for the maintenance of peace and protection to life and property in the
town. They investigate all cases relating to property offences, riots, faction fights
etc. The persons in the police Station are allotted to different detachments called
general detachment, beat detachment and standby detachment, each undertaking
specific function. The Traffic Police Station is responsible for the regulation of the
Downloaded from:- traffic in the town. Central crime stations are https://t.me/Upsc_Zone_Official
https://t.me/Pdf4Exams established in big urban areas tc
review the law and order position. They are responsible for effective control of Police Administration
crime. They investigate property offences like robbery, thefts, house breaking etc.
They keep a constant check over criminals and bad characters. Police control rooms
have been established to assist the Police Station. They are equipped with high
frequency wireless sets. Their function is to dispatch striking forces to place where
there is trouble as a primary measure as soon as they receive messages. Later, they
pass on the information to Police Stations for further actions.
18.9 ISSUES CONFRONTING POLICE

ADMINISTRATION
The Police Administration in its present form was established long back. Through
the decades the system has not undergone any significant change. The Indian Police
Act of 1861 continues to be the basis for police system in India. There are several
suggestions for its replacement by new legislation. But they have remained only
suggestions. There are several issues, which affect the organisation and working of
the police in the country.
In recent years one finds a proliferation of the posts of Inspector General of Police,
and Deputy Inspector General of Police. Though expansion of any organisation
including police is inevitable, Critics argue that the expansion cannot be to the extent
as it has taken to. The Police Administration is accused of being a top-heavy
administration. Si~nilarlyfrequent changes of the DGPs or IGPs whenever there is a
change of political leadership has created a serious credibility gap in this police
leadership. This problem has been aggravated with emergence of regional parties
in some States. The police coming in for criticism and praise by different political
parties has led to the politicisation of the police.
Constitutionally, law and order is a State subject. But over the years the central
police organisations like Central Reserve Police Force and Border Security Force
have increased. Deployment of the police force in the States on occasions without
informing them has created tensions in Centre-State relations. Similar is the case
with the use of Central Bureau of Investigation. A few States even barred
investigations by the CBI in their States leading to acrimony between the Centre and
the States.
Several studies on the image of police have revealed that the public has greater
dissatisfaction and disenchantment with the working of the police. Apathy of the
police, inefficiency and incapacity of the police has given a poor image to it. As
long as police image does not improve, it is difficult for the police to create
confidence among the public. In such situation, it is not possible for the public to
approach the Police Stations confidently and expect justice from them.
Another issue is the accountability of police. The National Police Commission has
suggested constitution of State Security Boards to make them more accountable and
responsible. These institutions unfortunately have not been constituted and wherever
they exist, their working is not upto the mark.
Facilities at the Police Station level are important to make them effective.
Accommodation, facilities and modernisation are important areas, which need
critical evaluation as well as reform. In all these areas the facilities are inadequate.
As a result some Police Stations are not in a position to establish regular contacts
with the community. Similarly they are not in a position to take'prompt action.
The relation between Superintendent of Police and Collector is an important area of
concern. There appears to be a tendency on the part of Superintendents of Police to
ignore or undermine the Collector and his authority. This has its implications not
only on the police but also on the entire district administration.
In recent years terrorism and violence in different parts of the country are on the
increase. The community expects the police to take steps to controi thehttps://t.me/Upsc_Zone_Official
problem.
Field and Local Their failure to do this is not only leading to worsening law and order situation but i
Administration also giving a bad name to the police. This has also shattered the confidence o f t
people in the police.
Recruitment and training are important in any organisation; police organisation is no
exception to this. Unfortunately several criticisms are levelled against the practices
and methods of recruitment of police personnel. People feel that the best and
meritorious are not recruited in the police. There are allegations of partisanship in
selections. The recruiting authorities are alleged to be corrupt. Training, that is
imparted, is also considered to be inadequate. Training is not able to motivate the
police. The committee on Police Training, which was set up by the Government of
India in 1973 made several recommendations to improve the training of police
officials. Though efforts are being made to rationalise the recruitment and training
practices of the personnel.
.Police Commissions at the National and State levels have made several suggestions
' to make the police efficient, responsive and responsible. But unfortunately on one
consideration or the other they have not been seriously considered. This indicates
that police reform is a low priority area in the country. Whatever reforms were
implemented they were done half-heartedly without understanding the socio-political
milieu within which the police has to operate. Because of the adhoc and piecemeal
nature of the reforms they did not have the intended effect. The reforms are required
not only in organisation, personnel. procedures but also in the attitudes of the people
and the police officials. Still colonial attitude pervades the minds of the police
personnel. Reform should be continuous because no adhoc approach will give the
intended results.
The police behaviour like rudeness, non-registration of FIR, maltreatment in lock-
ups and so on, are forbidden in the Police Regulations. Mohit Bhattacharya
explained the problem areas in the field of human rights. In his words "(a) General
feeling that the ground realities - how crime and criminals have actually to be dealt
with - are not appreciated by "human rights" protagonists, (b) the balance seems to
be tilting towards criminals, leading to police discomfiture; (c) human rights are, no
doubt, of great value; at the same time, police discretion is necessary to deal with the
ground situation". The major problems faced by police functionaries and Police
Stations are intra-organisational issues related to human resource like insufficient
manpower, low motivation, lack of promotion opportunities, lack of proper training
etc. Infrastructure related problems such as shortage of vehicles and fuel, poor
maintenance and limited space to work and lack of communication facilities affect
the efficiency. In addition, ill lighted unhealthy place; difficulties in supply of food
for lock-up inmates, short supply of stationary items; lack of elementary
investigation kit, inordinately long time in post mortem reports; pending cases and
low priority to investigation also affect the services. In the context of finance, Police
Station has no system of keeping fund, travelling allowance bills are hard to get and
remain pending for months. Strict discipline becomes an artificial barrier to genuine
inter-personal understanding of work, which affect inter-personal relations as well as
dealing with public. In certain cases, police extorts money, nothing moves without
greasing palms. In rural areas, payments are generally made in kind.
Human Rights are promised on two important aspects, that is dignity and equality for
a human being. The incorporation of the rights on the paper or in the Constitution
does not ensure their fulfillment. Constitutional guarantees and legal stipulations are
of no use unless these are put into practice by the enforcement agencies. Since
police is the first step on the ladder of the criminal justice system as an agency that
investigates and detects crime. Human rights can be imperative and effective if the
functional level is fair, just and reasonable in its dealings with suspects and others. It
largely depends upon the law enforcement officers. Hence, the contribution of police
is crucial for the successful implementation of law and order; and in building-up of
an institution for justice. For this, senior leader must internalise the concept of
human rights. He has to undergo a change in his https://t.me/Upsc_Zone_Official
style of thinking and functioning
with the conviction that human rights are inevitable and a technique for better Police Administration
governance.
The above mentioned issues need to be examined critically. There is no dearth of
suggestions but what is important is the political will. One has to examine the police
reforms in the total context of social change, and political dynamics. Reform in the
police cannot be viewed in isolation. Structural and institutional changes can only
bring marginal improvements in the working of the police system. What is important
is attitudinal change, both on the part of the police personnel and also the
community. Neither police can take law into its hand and curtail the liberties of the
people nor people can expect peace and order unless they themselves co-operate with
the police in discharge of its functions.
1) Discuss the problems faced by a rural Police Station.
..............................................................................................
2) Comment upon the urban policing system.
..................................................................................... b........
3) Analyse any three critical issues in Police Administration.
18.10 LET US SUM UP

In India police system has a long history, though in its present form it came into
existence during the British rule. In a developing society, police has an important
and a positive role. Its functions are many and varied ranging from maintenance of
law and order to social defence. It is considered as an instrument of change in a
modern society. Policing in India is a State subject. However, the Central
Gover~~ment has some role to play in the areas of legislation and also in the provision
of police force in the States. In this Unit, we have discussed the background and
structure of Police Administration at the Central, State, Range, District and Sub-
District level. This disci~ssionwas followed by an analysis of the role of police and
,conditions of Police Stations in rural and urban areas. Finally, we have discussed a
few important and critical issues confronting the Police Administration. This
,organisation has been a highly centralised one and it has not been able to imbibe the
spirit of democracy as a way of institutional life. The organisational accountability
via higher-level supervision is no substitute for public accountability. There is a
need to reorganise the police organisation. In the next Unit, we will concentrate on
Field and Local
Administration
the Municipal Administration in India.
18.11 KEY WORDS

Central Forensic Institdtes: These are specialised institutes, which provide various
kinds of scientific aids to the police force in detecting crime. These aidd help the
police to examine, compare and evaluate physical evidence with a view to link a
suspect to the victim or scene of crime.
Danda Neeti: It is the law of regulating human conduct of punishment
Morale: It is an attitude of satisfaction in a person, with a desire to continue and
sense of willingness to strive for the goals of organisation.
Unity of Command: It is an important principle of organisation, which implies that
employees should receive orders only from one superior.
18-12 REFERENCES AND FURTHER READINGS

Government of India, 1979, Reports ofthe National Police Commission I to VIII.
National Human Rights Commission, 1995-96 - Annunl Report.
Arora, Ramesh K. (ed.), 1999, Indian Administration Perceptions and Perspectives,
Aalekh Publishers, Jaipur.
Gupta, K.N, 2002, Indian Police and Vigilance in the 21" Century, Anmol, New
Delhi.
Roy, JGtilak Guha (ed.), 1999, Policing in Twenty First Century, Indian Institute of
Public Administration, New Delhi
., Raghavan, R.K, 1999, Policing a Democracy - A Comparative Study of India and

. C*
the U S . , Manohar, New Delhi.
Singh, Joginder, 2002, Inside Indian Police, Gyan Publishing House, New Delhi.
Subramanian, K.S. 1995, Police Orgunisation in India - A Historical and
Contemporary Assessment, Nehru Memorial Museum Library, New Delhi.

EXERCISES
Prevention of ctime and maintenance of public order.
Protection of citizens and safeguarding their property.
Social defence.
Social legislation.
Redressing people's problems.
Division of Police Organisation in a State into Range for operational
convenience.
Range is above the district and below the State level.

Deputy Inspector General of Police (DIG) Heads each range and the range Police Administration
consists of few districts.
There is no uniformity in the number of districts under the range, as it
depends on size of the district, population etc.
The functions of DIG of the range include:
- Co-ordinate the activities of district police and to ensure inter-district
co-operation;
- Personnel management; and
- Periodic inspection and budgetary control over police funds.

The Superintendent of Police is responsible primarily for the maintenance of
law and order and prevention of Crime.
Supervision of the operations of Crime and Special branches working at the
district level.
Discharging personlie1 and organisational responsibilities and public
relations.
The superintendent of Police acts as a link between police organisation and
'
representatives of people at the district level.
He is responsible for the efficiency, morale and discipline of the police force
- in the district
1 ) Your answer should include the following points:
Lack of proper buildings
Absence of essential minimum needs, equipment and facilities for the staff.
Inadequate residential accommodation for the staff.
Lack of quicker modes af transportation and communication.
Urban Police Stations are equipped to tackle the minor and major law and
order problems in urban areas.
The persons in the Police Station are given different detachments.
Different types of Police Stations exist in urban areas like law and order
Police Stations, traffic Police Stations etc.
Many urban areas in the States have the Commissionerate system of
policing. .
Some urban centers work under Superintendent of Police in the district.

3) Yoursnswer should include the following points:
Politicisation o&e police.
i
Accountability of police.
Improving the infrastructural facilities of the Police Station.
Building confidence amongst the people regarding the police.
Attitudinal change on the part of both public and police.
Rationalising the personnel policies of Police Administration specially 'in
recruitment and training.
UNIT 19 MUNICIPAL ADMINISTRATION

Structure
Objectives
Introduction
Meaning and Nature of Local Self-Government
Urbanisation in India
Seventy-Fourth Constitutional Amendment
Urban Local Self-Government
Urban Development Authorities
Administrative Structure
Finance
State and Local Self-Government
Let Us Sum Up
Key Words
19.0 OBJECTIVES

Describe tlie trends in urbanisation in India;
Discuss the composition of councils, committee systems in Municipal
Corporation and Municipalities in India;
Explain the role of Political Executives and Commissioners;
Examine the status of municipal personnel and finances; and :
Highlight.-
the State-Urban local body relations.
19.1 INTRODUCTION
In the developing countries, the Colonial Governments during the period of their
domination established several statutory institutions. Among them Urban Local Self-
Government institutions are most prominent. Ever since the establishment of
Madras (Chennai) Municipal Corporation four centuries ago, there has been a
, proliferation of municipal bodies to manage the town and city. Lord Rippon's
resolution in 1882 sought to place these Urban Local Government institutions on a
sound organisational footing. They have been working with different degrees of
success in administering the city. In this Unit, we shall examine the nature of
urbanisation in India, different types of urban local bodies, administrative structure,
role of bureaucracy, municipal finance, control over local bodies and their problem
areas.
19.2 MEANING AND NATURE OF LOCAL
SELF-GOVERNMENT
Local Government or Local Self-Government is the Government of a locality. It is
not the area of the State Government. It ik,an autonomous unit like the State or
Central Government. It is the local will, not tlie will of the Centre or State, which is
reflected through the Local Government. National Government is for the whole
nation; hence it is big Government. By contrast, Local Government looks after the
'local' functions like water supply, local streets, garbage collection and disposal and
similar other local heeds. It is small but important Government for a local area,
which can be a town or a group of villages.
The adjective 'local' stands for a small geographical area. Also, it means intimate Municipal Administration
social relations of the people in a limited geographical space. The other word,
'Government' stands for a public authority. In a democracy, Government may be at
national level, state level and the Regional Government at the regional level. Below
the regional level, there is the 'local' level where 'Government' can be legally
constituted. This means, there are many Local Government units below the National
and Regional Governments, which exercise authority and discharge a number of
important local functions on the basis of statutory decentralisation.
Local Self-Government lias three important features:
a) it is elected by the people of tlie local area;
b) it has the power to levy taxes and other fees, like any other Government; and
c) its functions and activities are clearly laid down in law so that within the scheme
of legislation Local Self-Government enjoys a degree of autonomy.
Thus, the Local Self-Government is a statutorily constituted democratic Government
with a degree of autonomy exercising jurisdiction over a limited geographical area.
The Local Self-Government in a liberal democracy marks for decentralisation of
power. So, it is considered as a means of enriching and deepening democracy by
extending freedom of action to many localities. It was the view of John Stuart Mill
that Local Government creates conditions for popular participation in governance,
and in this process the system has great educative value for good citizenship in a
country.
Forms of Local Self-Government
There are two common forms of Local Self-Government, that is Urban Local Self-
Government and Rural Local Self-Government. We have Panchayati Raj Institution
in the rural areas. In the urban areas - in the cities and towns -there are Municipal
Corporations and Municipalities. According to the 74th Constitutional Amendment
tlie Urban- Local Self-Government has been classified into three types, that is,
Municipal Corporation, Municipal Council and Municipal Committee.
19.3 URBANISATION IN INDIA

An urban area is one, which is formally so declared through the statutory
establishment in that area of a municipal body, a notified area or a cantonment by a
definite legislation. Thus, there are Municipal Acts in different States under which
municipal bodies are set-up by tlie State Governments in specific areas. Cantonment
areas are governed by the Central legislation. There can be other areas also that can
be declared as 'urban' by the census authorities.
Tlie urban population, which was around 3 per cent at the beginning of the 19~"
century rose to about 10 per cent by the beginning of the 20"' century. Between 1901
and 1921 urban population grew very slowly that is, it rose from 25.6 million to 27.6
million and between 1921 and 1941 population rose to 43.5 million. But after 1941,
the growth rate gained greater momentum adding to its urban population. From
1961 onwards there has been a dramatic increase in the urban population of the
country. In 1961 the urban population stood at 77.5 millions and by 1981 it had
more than doubled to make it 109.6 million constituting about 23.7 per cent of
India's total population. On the basis of census calculation it can be said that India's
urban population has been rising steadily. In 1971 total urban population in India
stood at 109.11 million, which rose to 159.46 million in 1981, and 218 million in
1991. During 1971-81 decade India's urban population increased approximately 5
inillion per annum, or at an average annual growth rate of 3.87 per cent compared to
the growth rate of 1.78 per cent for the rural population. In 1991 census, country's
total urban population stood at 217.18 inillion and the average annual growth rate
between 1981-9.1 was 3.09 per cent. Between 1988 and 2001 the projections
Field and Local estimate India's urban population to become almost double and from 2001 to 2021 it
Administration
is expected to double again taking the urban population to more than 600 millions.
India recorded a population of 1,027,O 15,247 on 1" March 200 1. ?he data indicates
that 72.2 per cent persons were recorded in rural areas and remaining 27.8 per cent in
urban areas. Urban population growth is supposed to be an indicator of general
economic development. Delhi is the most Urbanized State in India with over 93per
cent of its population being Urban. Amongst the other major States, the 'most
urbanized is Tamil Nadu with 43.86 per cent urban population. Maharashtra has the
maximum urban population but is the second most urbanized State with 42.40 per
cent Urban Population. Uttar Pradesh contributing nearly 2lper cent to the State's
total population, but in terms of urbanisation it ranks twenty fifth in the list. Gujarat
is third most urbanized State having 37.35 per cent urban population. The Himachal
Pradesh is least urbanized (most Rural) State having 9.79 per cent followed by Bihar
10.47 per cent and Sikkim 11.1 per cent.
In India, lack of employment opportunities in the rural areas has led to city-ward
migration of large rural population, which is commonly known as the 'push' factor
of urbanisation. The migrants generally choose to settle in large cities where, as a
consequence, population increase is not matched by planned infrastructure
development. Roads, water supply, housing, drainage and sewerage, transportation
facilities - all suffer from short supply in the face of mounting population pressure.
Our large cities like Kolkata, Mumbai, Chennai, Delhi etc. are all having large slum
population and there is chronic shortage of essential civic services and facilities in
these cities.
There has been a notion that India is an over-urbanized State, because of their
substantial increase in population over the years. This thesis is advanced on the
ground that there is a mismatch between the levelsi of industrialization and
urbanisation. The process of urbanisation is costly and impinges upon the economic
growth. The State of infrastructure is poor and is not in a position to take the
growing urban pressure.
19.4 SEVENTYrFOURTHCONSTITUTIONAL
AMENDMENT
Far reaching changes have been brought about for both Municipal Government and
Panchayati Raj Institutions through the two Constitutional Amendments: the
Seventy-third (73rd)Constitutional Amendment Act, 1992 for Panchayati Raj, and
the Seventy-fourth ( ~ 4 ' ~Constitutional
) Amendment Act, 1992 for Municipal
Bodies.
The Constitution of India now provides for the constitution of three. types of
institutions of Urban Local Self-Government. These are Municipal Corporations in
larger urban areas, Municipal Councils in urban settlements, and Nagar Panchayats
in 'transitional' areas, which are neither fully urban nor fully rural. In addition, it
provides for decentralisation of municipal administration by constituting Ward
Committees in territorial areas of such municipalities, which have more than three-
lakh population.
Composition
The Municipal authorities are to be constituted of:
the elected representatives who are to be elected from the different electoral
wards;
, the Members of the House of the People and the Legislative Assembly of the
State representing constituencies, which are wholly or partly under the
municipal area; .
the members of the Council of States and the Sate Legislative Council who are Municipal Administration
registered as electors within the municipal area;
i chairpersons of the Committees of the municipal authorities; and
persons having special knowledge or experience in municipal administration
(without right to vote).
The Ward Committees are to be composed of members of the Municipal Council
representing the wards within the jurisdiction and one of the elected representatives
from within the wards is to be appointed as its Chairperson. But the constitution
gives discretion to the State Government to decide the composition.
Another important provision of the Constitution Amendment pertains to the
municipal authorities, right to exist. It gives a term of five years, to the
municipalities and if at all they have to be dissolved, they must be given an
opportunity of being heard. Even if they have to be dissolved because of any
irregularity, fresh elections are to be held within six months. This prevents the
phenomenon of prolonged supersession or years together.
Empowerment of weaker sections of society and women is one of the substantive
provisions of the Constitution Amendment. With a view to empowering the
scheduled castes and tribes as well as women, it provides for the reservation of seats
in the Council. Besides such reservations, the most important provision of the
Constitution Amendment is empowerment of women for which one-third of the total
seats are to be reserved. @
To keep the municipal elections out of the direct control of the State Government,
and to ensure free and fair elections to the municipal bodies, the Consti,tution
Amendment has provided for an independent State Election Commission (also for
Panchayat elections), consisting of an Election Commissioner to be appointed by the
Governor.
The most important feature of the Seventy-Fourth Constitutional Amendment, in
financial sphere, in the mandatory constitution of Finance Commission by the State
Government is once in every five years. The State Finance Commission is to make
recommendations regarding the principles to govern sharing of the State taxes, fees
etc. between the State Government and the Municipalities; and also its distribution
among the Municipalities. The commission has also to suggest the principles for the
determination of taxes and fees to be assigned to them and the grants-in-aid to be
given to the municipal authorities out of the consolidated fund of the State. It also
has the mandate to suggest ways and means of improving the financial position of
the municipal authorities.
Moreover, the need for non-plan funds of the Municipalities is now to be looked by
the Union Finance Commission as well. Federal transfers will now be available also
for the municipal authorities. This is an amendment of far reaching importance.
The Constitution Amendment provides for setting up of the District Planning
Committees to consolidate the plans prepared by the Municipalifies and the
Panchayats within the district; and to prepare a draft development plan for the
district as a whole. The Municipalities are to be represented on it. Plans so prepared
are to be forwarded by the Chairperson of the Planning Committee to the State
Government. Similarly, Metropolitan Planning Committees are to be set up in the
metropolitan areas on which the municipal authorities are to be represented.
The 74"' Constitution Amendment is a landmark legislation that, for the first time,
accords constitutional status to Municipal Government and provides for broader
social participation in local councils, people's involvement in civic development,
enlargement of functional domain by inserting the Twelfth Schedule, continuity
through regular elections and regular funds flow from the higher level Governments.
The other important
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Field and Local coordinated by the District Planning Committee. These are the brighter aspects of
Administration
the Amendment.
There are, however, the grayer areas as well. It has missed a valuable opportunity to
specify the functions and also the sources of local revenues. This wouldhave
prevented the State encroachment into these spheres.
19.5 URBAN LOCAL SELF-GOVERNMENT

Following the 74"' Constitutional Amendment Act, 1992 Urban Local Self-
Government in India has been classified into three types - Municipal Corporations,
Municipalities and Nagar Panchayats. We are familiar with the names of the
Kolkata Municipal Corporation, Delhi Municipal Corporation and similar other
Corporations in our big cities. In the small and medium towns, there are
Municipalities that are sometimes called Municipal Boards or Municipal
Committees. Where a place is neither fully rural or fully urban, and it is going
through a process of urbanisation because of industrialisation or location of big
development projects, a notified area committee or a town committee used to be set
up as an interim measure. Under the 741h Constitutional Amendment a Nagar
Panchayat shall be set up in such 'transitional areas'. Indeed, an urban area,
irrespective of its size, needs a local Government for the provision of civic services
and facilities such as water supply, garbage clearance, construction and maintenance
of roads. These are some of the important services that an Urban Government has to
provide to sustain civic life in an area. The Municipal Corporation, Municipal
Council and Municipal Committee as per the size of the atea provides these services.
.i) Municipal Corporation
The administration of civic affair? in a city is a challenge. The distinct characteristic
of a city is the huge concentration of population within a limited area. The
management of civil services therefore, requires an effective organisational structure,
adequate finance and efficient personnel. The Municipal Corporation as a form of
city Government occupies the top position among the local authorities in India.
Normally, the Corporation form of urban Government is found in major cities like
Mumbai, Delhi, Kolkata, Chennai, Hyderabad, Bangalore, etc.
Municipal Corporation is established through a special statue, which is passed by the
State legislature. In case of Union Territories, they are established through Acts
passed by the Parliament. Such legislation may be enacted specially for a particular
corporation or for all Corporations in a State, for example the Mumbai and Kolkata
Corporations were established through separate legislation. Whereas in Uttar
Pradesh and Madhya Pradesh, the State level legislation governs the constitution and
working of the Corporation. The Municipal Corporation generally enjoy a greater
measure of autonomy than other forms of local Government. In almost all the States,
the Municipal Corporations have been assigned numerous functions such as supply
of drinking water, electricity, road transport services, public health, education,
registration of births and deaths, drainage, construction of public parks, gardens,
libraries, etc. These functions are normally divided as obligatory and discretionary.
In Haryana, there is only one Municipal Corporation (MC) that is in Faridabad with
more than 5 lakhs population. MC is constituted for governing the area. It has both
elected and nominated (ex-officio) members. MC, Faridabad has at present 24
elected Councilors. Under the amended municipal law of the State, election to the
municipal bodies must take place every five years, unless a municipal body is
dissolved earlier. The Mayor elected by the members of the Corporation from
amongst themselves is the first citizen of the city and presides over the meetings of
the city Corporation.

























UNIT 21 SOCIO-CULTURAL FACTORS AND

ADMINISTRATION
Structure
2 1.0 Objectives
2 1.1 Introduction
2 1.2 Main features of Social Structures and Impact on Administration
21.2.1 Rural Habitation
21.2.2 Religion
21.2.3 Caste
2 1.2.4 Family
2 1.3 Culture and Administration
2 1.4 Let Us Sum Up
2 1.5 Key Words
2 1.6 References and Further Readings
2 1.7 Answers to Check Your Progress ~xercis/es
21.0 OBJECTIVES
After studying this Unit, you should be able to: ,
Understand the interrelationshipbetween the society and administration.
Explain the broad features of social structure and their impact on administration; and
Discuss the cultural context of Indian administration.
21.1 INTRODUCTION
Society consists of many interdependent and interacting parts. Administration is one
such interdependent and interacting part of the society. Administration, which is
expected to administer the affairs of the society through government and semi-
government agencies, has meaning only in the context of the social setting. The
administrators are drawn from the society. They bring with them the social values they
acquire through the socialization process in the social institutions like school, family,
association, religion etc. The socio-cultural factors greatly influence the nature of
administration. The administrative behaviour is influenced by the vaues cherished by
that society. Fred W. Riggs and many others analysed the interactions and the
interrelation between society and administration through the ecological approach to the
study of administration. The ecological approach emphasises the importance of dynamic '
interaction between social environment and administration. In this unit we shall be
discussing the main features of the Indian social structure and culture and their impact on
Indian administration.
21.2 MAIN FEATURES OF SOCIAL STRUCTURES AND

IMPACT ON ADMINISTRATION
/
A society is a collection of people who are sufficiently organised to create conditions

necessary to live together with a common identification. It is an organised network of
social interactions and patterned behaviour. Every society has its own identity based on
the nature of its sociak institutions. India has a rich cultural heritage and is a land of
diversities. The diversity in social life is reflected in multi-social, multi-lingual, multi-
religious and multi-caste nature of the society. The important features of the Indian
social structure are: predominant rural habitation in small villages; multi-religious and
multi-caste social
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Citizen and a detailed discussion on these institutions and their impact on administration in the
Administration
following sections.
21.2.1 Rural habitation
India is a land of villages. A great majority of villages are small with only around five
hundred population each. Mahatma Gandhi's view that India lives in villages still holds
good, at least from the demographic point of view.
The village social life has its own peculiar characteristics. Stanley J. Heginbotham, in his
book, Cultures in Conflict, (1975) discusses in detail the nature of village life and its
influence on the nature of bureaucracy. The village social life norms strengthen the
authoritarian and hierarchical norms in administration. The village social life, which is
based on the hierarchical exchange relations greatly influence the behaviour of civil
servants in public organisations. The differences in the social background of majority of
citizens who are poor, illiterate, rural based, and tradition bound and that of majority of
civil servants, who are urban, middle class and well educated results in conflicts and
contradiction in the interests and values of citizens and civil servants.
The rural base of Indian society has many implications for the development
administration. Many studies have indicated urban bias in the behaviour of
administrators. This results in a cultural gap between the administration and rural people.
For administration to be effective, it must appreciate and respond to the socio-cultural
ethos of the rural population.
21.2.2 Religion
Historically, India has been hospitable to numerous groups of immigrants from different
parts of Asia and Europe, People of all religions have been living in India for many
centuries. The Constitutien declares India to be a secular state. The State is expected to
treat all the religions equally. The Constitution also gives protection to minorities. The
Constitution recognizes religion as a fundamental right and a citizen can pursue the
religion of his choice.
However, in reality, communalism is one of the major threats to the unity and the
integrity of the country. In recent years, the communal organisations have become very
active in social life resulting in communal clashes in different parts of the country. Some
vested interests are using religion for their selfish purposes and are fanning hatred among
the communities. The comrslunal disharmony tests the strength of the administration in
maintaining law and order and social harmony among the religious groups.
Administration has to check disruptive communal activities and maintain social and
political stability. Unfortunately, in recent years we also hear the allegations of divisions
in the civil services based on communal factors. The role played by some state police
forces during the communal disturbances in some parts of the country brings no credit for
the state police administration. The political necessity of appeasing each religious
section may result in sacrificing rationality in administration.
21.2.3 Caste
The Hindu society is knpwn for its varna and caste system. The society is broadly
divided into four orders or varnas on 'functional' basis, namely, Brahmana (traditional
priest and scholar), Kshatriya (ruler and soldier), Vaisya (merchant) and Shudra (peasant,
labourer and servant). The scheduled castes are outside the varna scheme. Each varna
may be divided into different horizontal strata, and eacJ strata is known as caste. The
caste system creates:- (a) segmental division ofsociety (b) hierarchy (c) restrictions on
social interactions, (d) civic and religious disparities and privileges of different sections
(e) restriction on choice of occupation, and (f) reitiction on marriage. Though caste is
essentially a Hindi institution, some elements of caste are found in every religious group
in India. The caste system based on birth created divisions in the society and contributed
to the social and economic inequalities. A section of people were treated as untouchables Socio-Cultural Factors
and they were exploited by upper castes in the society. and Administration
In recent years, we find some change in the nature and the role of the caste system. The
role of the caste is changing. We find that the influence of caste in interpersonal and
social relationships is decreasing but paradoxically its role in political process is
increasing. The caste is being increasingly used for political mobilisation. This has an
adverse effect on the working of political and administrative institutions. Formation of
informal groups on caste lines among the public services is anober developing
phenomena. This affects the homogeneity of the public services.
Realising the existence of inegalitarian social system, the Constitution has provided for
preferential treatment to scheduled castes, scheduled tribes and other backward classes in
public services. In recent years, we find many agitations for and against the reservations
in public services. Paradoxically, it is found that the preferential treatment system
designed to bring equality is a cause of the internal tensions in the public organisations.
In a social situation of primordial loyalties, the administrative institutions based on
universalistic principles are subjected to a lot of stress and strain. The administrator must
understand the dynamics of caste loyalties and caste sensibilities to play the role of an
effective change agent.
21.2.4 Family
The joint family was considered as one of the three pillars of Indian social structure, the
other two being the caste and the village community. Family is an important social unit
and in country like India, the family loyalties are very strong. Traditionally, in India the
joint family system played an important role as a social and economic institution. The
social norms expect the subordination of individual interests to that of family. However,
in recent years the joint family system is giving way to the nuclear family system. Still
the emotional ties of extended family continue to play an important role in the social life.
Patriarchy dominates the family life. The head of the family is usually the father or the
eldest male member. Women generally occupy a subordinate position.
The structure and operation of family has many implications on administrative system.
The paternalistic and authoritarian structure of the family life is partly responsible for the
paternalistic and authoritarian behavioural orientations of the administrators. The
socialization process in the family influences the attitude formation'of the administrators.
The family loyalties may also result in sacrifice of values like impartiality, integrity and
universality in administration. Many administrators may feel it natural to help their
family members by using their administrative positions. Many studies have pointed out
the presence of family orientation of helping ones relatives in administration.
Check Your.Progress 1

1) How does rural habitation and religion affect administratidn?
.......................................................................................................
2) How does the caste influence administration?

Citizen and
Administration
3) What is meant by familial orientation in administration?

.....................................................................................................
21.3 CULTURE AND ADMINISTRATION

Culture refers to a way of life. It includes the entire gamut of modes of expression and
communication as well as the system of values and beliefs governing the society. Values
refer to preferences i.e. ideas of good or bad, desirable or undesirable. Culture
determines what is desirable conduct and behaviour for the members of the society.
The culture of a society is a result of a long process of evolution anais reflected in its
social, economic and political institutions. The administrative behaviour in the society is
influenced to a greater extent by the values cherished by the society.
Riggs states that every culture offers both support and obstacles to change or
development. There are values that support change and development. Likewise, there are
values, which obstruct the change and development. These values are termed by David
Apter as 'instrumental' and 'consummatoj', respectively. A society having instrumental
values becomes modernized. If the civil servants have instrumental values, they will
definitely work towards the development of the society.
V. Subramanyam writing on 'Hindu Values and Administrative Behaviour' emphasised

the importance of study of values developed by the administrative structures vis-a-vis the
values of surrounding society. He talks about Hindu values since majority of the IAS
recruits are Hindus. Subramanyam identified three elements in the Hindu tradition,
which work against the rational decision-making. To put in his own words: In the first
place, a decision .is basically choosing between a number of mutually exclusive
alternatives and the basic Hindu approach is to deny the existence of such alternatives.
Secondly, a decision means a choice of a course of action with a view to taking that
course of action immediately. It is also implied in the western meaning of decision that
the difficulties in that particular course of action have all been taken into account in
making a decision in favour of it. The average Hindu idea of a decision is, however,
more akin to the English phrase 'pious resolution'. The continuous and undignified
waiting we hear in India from planners, politicians and administrators alike about policies
being good and their execution being bad is essentially a product of a particular India#
meaning attached to the tern decision. Indeed, the average Hindu mind is so thoroughly
reconciled to an impossible distance between precept and practice and between ideal and
reality that it naturally imports this distance to separate decision and execution, a distance
which does not exist in western interpretations of the term. Thirdly, a decision or choice
means listing the various alternatives in a particular order of preference and if possible
covering this ordinal list of preferences into a cardinal list of quantified values for each.
The Hindu mind always indulges in talking of very large numbers, such as yugas. By
using such' large numbers casually the small differences that are most important in day-
to-day decisions are made to look meaningless.
Many studies were undertaken to identify the cultural moorings of Indians, which result
in a particular way of behaviour of administrators. Administrators perceive reality on the
basis of their experience. Much of what they see depends upon how they see, which in
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common man and have a sense of superiority, which emanate from their upper class Socio-Cultural Factors
background. and Administration
Richard Taub found in his study as how the typical tendencies like 'the tendency for any
group of people to divide into smaller groups on the basis of particularistic ties, the lack
of trust and reluctance to delegate authority, the ideology of the caste system to think of
human relations in hierarchical terms and traditions of reference towards authority" etc.
have caused a particular pattern of behaviour among the bureaucrats.
The cultural factors have various implications for the administrative processes like
motivation, communication at%dauthority.
1) Motivation: many studies on human motivation identified culture as one of the

determining factors in motivation. Mc Lelland has convincingly argued that due to
culture, religious beliefs and class structure, .the general population, in many countries
tend to have a fairly low achievement drive, whereas in other countries it may be the
other way round. In India the 'karma' philosophy with its emphasis on other world may
be considered as one of the inhibiting factors in the achievement orientation of
bureaucracy. In the words of G.P. Chatopadhyaya, 'The Indian personality, by and
large, is incapable of behaving in a mature and mutually dependent way. He fantasises
omnipotence if he is in a position of perceived power, which reduces others to dependent
positions, or he feels impotent when he faces people who have greater power and
believes that he is utterly dependent on them. Fatalism blunts achievement orientation
among Indian managers, makes them feel helpless in shaping their environment gnd
makes them highly dependent on authority figures'.
2) Communication: Communication may be described as the process of transferring .

concepts, ideas, thoughts and feelings among people. Communication process is culture.
The one-way process of communication, mostly from top to bottom in our organisations
is also a reflection of social culture. h universalistic cultures, people low in status may
have no inhibition in speaking against or mentioning unpleasant things to their superiors
whereas in particularistic cultures it may be treated impolite and silence may be
preferred.
3) Authority: Attitude to authority is also a reflection of cultural variables. In a feudal

society, authority attains the status of divinity. Authority figures are treated as sacred
objects. Their conduct and beh'avioir are above scrutiny. This attitude not only
legitimises the authority structure but also ensures personal loyalties of the lower levels
of organization in total disregard of abilities and actions of persons in authority. In
public organisations it may lead to certain dysfunctions like growth of pesonality cult or
personal goals of authorities may gain priority over the organisational goals. In this
cultural situation, benevolent paternalistic management style may pay rich dividends
more than participative leadership style, which may be appreciated only in egalitarian
and an open society. 1ndian culture demands that people higher in status should be '
addressed with reverence and unpleasant things should not be mentioned before them. It
becomes very difficult for the people at lower levels in organisation to give correct
information or opinion if they feel that it may be unpalatable to those in authority. .The
public organisations are considered merely as an extension of the personalities of their
chief executives. This may also sometimes result in practice of sycophancy in public
organisations.
Note: i) Use the space given below for your answers

1) Explain the impact of Hindu values on rationality in decision-making

Citizen and
Administration
................................................................................................
2) In what ways do the cultural factors affect administrative process?
21.4 LET US SUM UP

In this unit, we have discussed about the main features of Indian social structure and their
impact on Indian administration. We also discussed about the interactions between
culture and administration. The discussion in this unit brings out the inter-relationship
between the sociocultural factors and the administration. It is because of this important
pattern of social structure, culture and ecology that some outside or foreign experts when
called upon to perform certain administrative tasks faced certain difficulties. Thus, it is a
prerequisite for one to understand the s~cio~cultural context that influences the
administrative system.
21.5 KEY WORDS

Communalism: it is a group feeling, which aims at or oriented towards religio-centric
mobilisation.
Egalitarian Society: it is a society, which expresses or supports the belief that all people
are equal and'should have the same rights and opportunities
Fatalism: it is a doctrine, which propounds that all things are predetermined or subject
to fate.
Patriarchy: a form of social organization in which the father is head of the family, clan
or tribe. In patriarchal society, men have all or most of the power.
Paternalistic: the principle or practice of an authority in managing .or governing the

affairs of a country, community, company or individuals in the manner of a father's
relationship with his childran.
'Sycophancy: self-seeking

Arora, R K, 1985. Comparative Public Administration, Associated Publishing House,
New Delhi.
Mathur, Kuldeep. Oct-Dec. 1976. Administrative Mind in a Developing Nation, The

Indian Journal of Public Administration, Vol. XXVII, No. 4, IIPA, New Delhi.
Nigro, F.A., 1961. Modern Public Admigistration, Harper Row, London

\

Puranik. N. April -June, 1978. Administrative Culture: Needfor Conceptual Clarity and Socio-Cultural Factors
and Administration
Further Research, The Indiap Journal of Public administration, Vol. XXIV, IIPA, New
Delhi.
Riggs, Fred W. 1964, Administration in Developing Countries: The Theory of Prismatic

Society, Houghton Mufflin, Boston.
Sharma, I.J. an-~kch, 1982. The Cultural Context of Management, The Indian Journal
of Public Administration, Vol. XXVIII, No. 1, IIPA, New Delhi.
Subramanyam A, Oct-Dec. 1967. Hindu Values and Administrative Behaviour, The

Indian Journal of Public Administration, Vol. XIII, IIPA, New Delhi
21.7 ANSWERS TO CHECK YOUR PROGRESS EXERCISES

The village social life influences the authoritarian and hierarchical norms in
administration. The hierarchical relations of the society greatly influence the
behaviour of civil servants.
The administration is affected by the communal considerations and considerations

of their religious groups.
Main features of caste system viz.,' segmental division of society, hierarchy,

restrictions on social interactions, marriage, choice of occupation and religious
disparities, affect the political process and the sensibilities of an administrator.

The paternalistic and authoritarian structure of the family affects administrators.
Effect of family on attitudinal formation in the administrators.
Practice of helping one's relatives.
Family loyalties result .in sacrifice of values like impartiality and integrity in
administration. . .

Hindu approach stresses on non-existence of mutually exclusive alternatives
needed for a decision.
Average Hindu idea of decision is that Hindu mind is reconciled yith the idea of
distance between precept and practice, ideal and reality and formulation of
decision and its execution.
2) Your answer must include tlfe following points:
Cultural factors have implications on the administrative process like motivation,

communication and authority.
Citizen and In Indian administration, the one-way process of communication, that is, from top
Administration to bottom in an organisation is a reflection of social culture.
Indian culture demands that people higher in status be addressed with reverence
and unpleasant things should not be mentioned before them.

UNIT 22 REDRESSAL OF PUBLIC GRIEVANCES

Structure
22.0 Objectives
22.1 Introduction
22.2 / Public Grievances
22.3 Corruption in Administration
22.3.1 Modes of Corruption
22.4 Institutions for Dealing with Corruption
22.4.1 Central Vigilance Commission
22.4.2 Lokpal -
22.4.3 Lokayukta
22.5 Let Us Sum Up
22.0 OBJECTIVES
After studying this unit, you should be able to:

Explain public grievances
Discuss the problem of corruption in Indian Administration and
Explain the machinery for the redressal of citizen's grievances.
22.1 INTRODUCTION
In the contemporary society, State plays an important role in the socioeconomic
development. The success of democracy and development depends to a greater extent on
the efficiency of the government machinery. However, in thz exercise of administrative
powers there is always a possibility of malpractices. This results in public grievances
towards the administration. According to Chambers dictionary, grievance means a
'ground of complaint, a condition felt to be oppressive or wrongful'. In a democracy
people should have the opportunities to ventilate their grievances and a ,system of
redressal. In this unit we shall be discussing the nature of public grievances and the
institutional arrangements for the redressal of the same.
22.2 PUBLIC GRIEVANCES

The colonial history and the authoritarian orientation of Indian administration resulted in
the negative attitude of citizens towards the administration. The gap between the
performance of administration and the expectations of the people also created a negative
image of administration. The democratic -aspirations of the people and authoritarian
attitude of administrators produced tensions between the two. The contradictions in the
social situation have resulted in inequalities. There is discrimination in the treatment of
citizens by administration. The social gap between the civil servant and the citizen
whom he is expected to serve also is a cause for hostile relationship between the two.
The well-educated urban middle class civil seivant is expected to serve the poor and
illiterate rural citizens. This creates a socio-psychological gap between them. Then, there
are the chronic delays in getting things done, and innumerable rules and regulations that
are not easily comprehensible to ordinary citizens. The cumulative effect of all these
factors is the piling up of public grievances against administration.
Some of the common grievances against administration may be listed as under:
1) Corruption: Demand and acceptance of bribery for doing or not doing things.
Citizen and
Administration 2) Favouritism: Doing or not doing things for obliging people in power or people who
matter.
3) Nepotism: Helping the people of one's own kith or kin.
4) Discourtesy: Use of abusive language or other types of misbehaviour.
5) Neglect of Duty: Not doing things that the law requires.
6) Discrimination: Ignoring poor and uninfluential citizens' genuine complaints.
7) Delay: Not doing things at the appropriate time.
8) Maladministration: Inefficiency in achieving the targets.
9) Inadequate Redressal Machinery:. Failure to attend to public complaints against.

administration.
In addition to the above-mentioned common grievances there may be specific grievances

relating to particul r administrative departmentsfagencies. For example, people have
7
many grievances against the police resorting to third degree methods like beating,
torturing, wrongful confinement or harassment of suspects and witnesses. Fabrication of
evidences, nexus between the police and the underworld are some other areas of public
grievances against police administration. The grievances against agricultural
administration may be mainly related to the quality y d quantity of inputs and services
provided to farmers. Though there may be many specific grievances against individual
administrative agencies, coiruption is the most common among them all. We shall be
discussing the public grievances pertaining to corruption along with the machinery for
the redressal of the same in the ensuing sections.
22.3 CORRUPTION IN ADMINISTRATION

Everyone who comes in contact with administration feels the all-pervading nature of
corruption. Corruption has many negative effects on administration. It is one of the
major factors for delay and inefficiency in administration. The bureaucratic norms of
impartiality suffer due to this factor. There is loss of credibility of administration and it
iS the pdor man who suffers most because of it.
22.3.1 Modes of Corruption
The term corruption has been defined in many ways. In general terms corruption is not
always for monetary gains. It is the personal use of public office in violation of rules and
regulations. Shri Santhanam, Chairperson of the Committee on Prevention of Corruption
said, 'any action or failure%-take action in the performance of duty by a government
servant for some advantage is corruption'.
The Central Vigilance Commission has identified the following modes of corruption.
I) Acceptance of substandard stores/works.
2) Misappropriation of public money and stores.
3) Borrowing of money from contractorsffirms having official dealing with
officers.
4) Show of favours to contractors and f m s .
5) Possession of assets disproportionate to income.
6) Purchase of immovable property without prior permission or intimation.
7) Losses to the government by negligence or otherwise.
8) . Abuse of official positionlpowers.
9) Production of forged certificate of age f birth / community.
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1 1) Irregularities in grant of import and export licenses.

12) Moral turpitude.
13) Acceptance of gifts.

1) .What are the common grievances against administration?
2) What are the modes of corruption in public services?

......................................................................................................
22.4 INSTITUTIONS FOR DEALING WITH CORRUPTION
There are various institutions in India for dealing with corruption. The Central Vigilance
Commission is one among them. We will be dealing with the functions of the CVC in the
following paragraphs.
22.4.1 Central Vigilance Commission (CVC)
After Independence various measures were taken up for checking corruption in public
services. In 1962, the Central Government appointed a Committee on Prevention of
Corruption under the chairmanship of Shri. K. Santhanam to review the existing
arrangements for checking corruption and to suggest steps to make anti-corruption
measures more effective. The Santhanam Committee in 1964 recommended the setting
up of Central Vigilance Commission headed by Central Vigilance Commissioner. Based
on the Committee's recommendations, the Central Vigilance Commission was
constituted in 1964.
The role of the Comrhission is advisory. It falls within the jurisdiction of the Ministry of
Personnel. Its jurisdiction and powers extends to all those matters, which fall within the
purview of the executive powers of the Central government. Its jurisdiction covers:
i) All the employees of the Central government.

ii) All the employees of public undertakings, corporate bodies and other institutions
under the Central Government.
iii) All the employees of the Delhi Metropolitan Council and the New Delhi Municipal
Corporation.
The Commission receives complaints against corruption and malpractices directly fiom
the aggrieved citizens. It can also gather information about the same fiom press reports,
audit. reports, various departmentdenterprises concerned, allegations made by members
of Parliament,from:-
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Citizen and
Administration It is headed by the Central Vigilance Commissioner who is appointed by the President of
India for a period of six years or till the age of 65 years whichever is earlier. He can be
removed in the same manner as provided for the removal of the Chairman of UPSC. He
is not eligible for any further employment either under the Central government or the
State government. The functions of the CVC are:
1) Undertaking inquiry into any transaction in which a public servant is suspected or

alleged to have acted for an improper purpose or in a corrupt manner and tendering
advise to the disciplinary authorities such cases at different stages of investigation,
appeal and review. '
2) Exercising a general check and supervision on the vigilance and anti-corruption

work in ministries and departments of the GO1 and other autonomous bodiei.
3) Advising the administrative authorities to modifL the existing procedures and
practices when it appears that such pocedures and practices afford scope for
corruption and misconduct.
4) Approving the appointment of chief vigilance officers (CVO) who head the vigilance
units in various organizations. It may initiate a review of procedures and practices of;
administration in so far as they relate to maintenance of integrity in administration.
Vigilance machinery in the States and Districts
The vigilance machinery at the state level differs from state to state. Most of the states
have a State Vigilance Commission. There is also a special police establishment to deal
with cases of corruption in both the state government and the state public undertakings.
The Commission presents Annual Report to the State government and the same is placed
before the State Legislature. At the district level, there is a District Vigilance Officer.
The District Collector appoints one of his gazetted officers as District Vigilance Officer.
22.4.2 Lokpal
The AdministrativeReforms Commission (ARC), which was constituted in 1966, gave
priority to the problem of redressal of public grievances and submitted its.first interim
report on the 'Problems of ~edressaiof Citizens Grievances'. The ARC &commended
the creatian of Ombudsman-type jnstitution namely the ~ o k ~ and a i Lokayukta. The
Scandinavian institution of Ombudsman is the earliest institution for the redressal of
public grievances, fust established in Sweden in 1809. The Ombudsman institution is
based on the principle of administrative accountability to parliament. The institution
refers to an officer appointed by the legislature to handle complaints against
administrative and judicial, action.
The features of these institutions as given by ARC are:
They should be demopstrably independent and impartial.

Their investigations and proceedings should be conducted in private and should be
uniform iircharacter.
Thejr appointment should as far as possible, be non-political.
Their status shouid compare with the highest judicial functionary in the country.
They should deal with matters in the discretionary field involving acts of injustice,
corruption and favouritism.
Their proceedings should not be subjected to judicial interference and they should
have the. maximum latitude and powers in obtaining information relevant to their
duties, and
They should not look forward to any benefit or pecuniary advantage from the
executive government.
Based on the recommendations of ARC, many attempts were made from 1968 onwards
for the establishment of Lokpal at the Central level. The Government of India introduced
bills for this purpose in the Parliament in 1968, 1977, 1985,1990, 1998 and latest being in Redressal of Public
2001. The Lokpal bill introduced in 1977 brought in the Prime Minister as well as Grievances
members of Parliament under its purview. While the 1985 bill excluded the Prime
hainster from the jurisdiction of Lokpal, the bill on Lokpal introduced in Parliament
recently has brought in Prime Minster again under Lokpal's jurisdiction. Unfortunately,
these bills could not be passed by Parliament.
22.4.3 Lokayukta
The Ombudsman established at the level of States in India is known as the Lokayukta.
Many state governments have established the office of the Lokayukta and Up-Lokayukta.
The office of the Lokayukta exists in Maharastra (1971), Bihar (1973), Uttar Pradesh
(1975), Madhya Pradesh (1981), Andhra Pradesh (1985), Himachal Pradesh (1985),
Karnataka (1985), Assam (1986), Gujarat (1986), Punjab (1995), Delhi(1996) aQd
Haryana(1996). Kerala is also in a process of establishing this office. Orissa was the first
state to pass ombudsman legislation in 1970 and also the first to abolish the institution in
1993. 1 ,
The appointment of the Lokayukta and Up-Lokayukta is made by the Governor who is
the executive head in the states. The Lokayukta Acts provide that the Governor shall
appoint Lokayuktal Up-Lokayukta in consultation with the Chief Juqtice of the High
Court of the state and the leader of the opposition in the legislative assembly.
Terms and conditions of ofice

I
k
The term of the Loka k t . and Up-Lokayukta has been fixed for five years. The Assam
Act however prescri ek,an upper age limit of 68 years. The status prescribed for the
Lokayukta is equal to that of the Chief Justice of a High Court or a judge of the Supreme
Court of India and that of Up-Lokayukta to the judge of a High Court and in any other
case to an additional secretary to the Government of India. With a view to ensure
independence and impartiality, the Lokayuktal Up-Lokayukta have been debarred from
being a member of parliament or state legislatures and prohibited from keeping any
connection with political parties. After relinquishing office they have been made
ineligible to hold another office under their respective state governments. All acts
expressly prohibit the reappointment of the Lokayuktas. The Lokayukta and Up-
Lokayukta can be removed from office by the Governor for misbehaviour or incapacity.
The procedure prescribed for the removal of the Lokayukta is almost the same as
provided for in the Constitution of India for the removal of judges of the High Court or
the Supreme Court.
Jurisdiction
The Lokayukta and Up-Lokayukta has been granted powers to investigate any action,
which is taken by or with the general or specific approval of a minister or a secretary, or
any other public servant. Thus, all administrative actions from the level of ministers to
the lower levels are subjected to scrutiny by the Lokayukta and Up-Lokayukta. Certain
other categories of officials like Chairman of Zila Parishad and othep local bodies have
also been included within the purview of the Lokayukta.
Procedure of investigation
After making preliminary investigation where the Lokayukta or Up-Lokayukta proposes

to conduct investigation, he forwards a copy of the complaint to the officer and to the
competent authority concerned. Any proceeding before the Lokayukta and Up-Lokayukta
has to be conducted in private and the identity of the complainant or the person
complained against is not to be disclosed at any stage of investigation.
Citizen and The Seventh All-India Conference of Lokpals, Lok Ayuktas and Up-Lokayuktas held in
Adininistration
Bangalore, in January 2003 stressed on the following:
7 .
There is a need to bring out Lok Ayukta Act to bring uniformity and to make the
institution independent of the political executive.
If Parliament brought in a law, the appointment of Lok Ayuktas could be based on

the recommendations of the Chief Justice of India in consultation with the Chief
Justice of respective High Court. This will ensure tenure, protection ~f salary and
emoluments and a sound procedure for their removal.
The staff deputed to the Lokayukta should be giveu protection.
Reports of the Lokayukta should be made binding on the in so far it is

related to the government servants.
Lokayukta should bring out an annual report about their functioning and this should
be made public; and
Lokayukta should be made easily accessible to the public.

1) Explain the role of the Central Vigilance Commission?
2) What are the recommendations of Administrative Reforms Commission on Lokpal

and Lokayukta?
3) Explain the institution of Lokayukta?

......................................................................................................
22.5 LET US SUM UP

The interaction between citizen and administration in a democracy is a very complex
process. The conflict in the society. and the values of the society are reflected in this
interaction. The effective machinery for the redressal of citizen's grievances makes the
administration more human and civilized. In this https://t.me/Upsc_Zone_Official
unit, an attempt was made to study the
nature of public grievances with special reference to corruption and the existing Redressal of Public
machinery for the redressal. Grievances
Chaturvedi, T.N., July -September 1997. Fljy Years of Indian Administration-

Retrospective and Prospects, IJPA, Vol. XLIII, No. 3.
IIPA, July-September, 1975. Citizen and Administration, IJPA, Vol. XVI.

\
Maheshwari,\Shriram, 1990. Indian administration, Orient Longman, New Delhi.
Shukla, K.S. and Singh, S.S. 1988. Lokayukta :Ombudsman'in India, Indian Institute of
Public administration, New Delhi.
Singh, Mohinder and Singh, Hoshiar, 1989. Public administration in India: Theory and
Practice, Sterling Publishers, New Delhi.


Corruption
Favouritism
Nepotism
Discourtesy
Neglect of duty
Mal-administration
Inadequate redressal machinery

The modes of corruption are:
Misappropriation
Substandard work
Borrowing money
Showing favours
Causing losses
Abuse of position
Irregularities
Moral turpitude
Acceptance of gifts etc.

The CVC has to: -
Undertake inquiry against corruption charges.
Exercise supervision on anti-corruption work.
Render advice to modify the existing procedures, and
. Approve the appointment of CVO.

They should be demonstrably independent and impartial. https://t.me/Upsc_Zone_Official
Citizen and Their investigations and proceedings should be conducted in private and should
Administration be uniform in character.
Their appointment should as far as possible, be non-political.
Their status should compare with the highest judicial functionary in the country.
They should deal with matters in the discretionary field involving acts; of
injustice, corruption and favouritism.
Their proceedings should not be subjected to judicial interference and they
should have the maximum latitude and powers in obtaining information relevant
to their duties, and
They should not look forward to any benefit or pecuniary advantage from the
executive government.
3) Your answer must include the following:
The ombudsmanic institution at the State level is referred to as Lokayukta.

Helshe is appointed by the Governor. The term is for 5 years. To ensure
independence of the office, the Lokayukta is debarred from being a Member of
Parliament or State Legislature. The removal procedure is like the removal of
judges of Aigh Court or Supreme Court. The Lokayukta can investigate any
action taken up by or with the approval of a minister or a secretary or any other
public servant.

UNIT 23 ADMINISTRATIVE TRIBUNALS

Structure
Objectives
Introduction
Meaning of Administrative Law
Administrative Tribunals
Reasons for the Growth of Administrative Tribunals
Types of Administrative Tribunals
Advantages of Administrative Tribunals
Disadvantages of Administrative Tribunals
Safeguards in the Working of Administrative Tribunals
Let Us Sum Up
Key Words
23.0 OBJECTIVES
Explain the meaning of administrative law
Enumerate the meaning and characteristics of administrative tribunals and reasons

for their growth
' Discuss various types of administrative tribunals; and
Describe the advantages and disadvantages of tribunals.
23.1 INTRODUCTION
There has been a phenomenal increase in the functions of the government, which has lent
enormbus powers to the executive and also led to increase in the legislative output. This
has led to more litigation, restrictions on the freedom of the individuals and constant
frictions between them and the authority. Administrqtipe tribunals have emerged not only
in India but also in many other countries with the objective of providing a new type of
justice - public good oriented justice. These tribunals manned by technical experts, with
flexibility in operations, informality in procedures have gained importance in the
adjudication process. In this unit, we shall first discuss the meaning of administrative
law. Then we will deal with the meaning and features of administrative tribunals, the
reasons for their growth, their types and their advantages and disadvantages.
23.2 MEANING OF ADMINISTRATIVE LAW

Administrative law covers the entire gamut of public administration and includes the
statutes, charters, rules, regulations, procedures, decisions etc. required for smooth
running of administration. According to Jennings, administrative law is the law relating
$tothe administration. It determines the organization, powers and duties of administrative
authorities. Wade remarks that administrative law is concerned with the operation and
control of the
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Citizen and
Administration Administrative law has the following characteristics:
1) It subordinates the common law, rights of personal freedom, and private property to
the common good. The stress is on public interest than on individual interest.
2) It entails the application of flexible standards for implementation of law.
3) The interpretation of these standards lies with the administrative tribunals.
4) It puts the public officials in a better position over the people.
5) It is not codified and is in an experimental and dynamic condition.
23.3 ADMINISTRATIVE TRIBUNALS

In pursuance of administrative law, there can arise disputes. These disputes require
adjudication. There are administrative agencies other than the courts to adjudicate such
issues arising in the course of day to day administration.
Administrative adjudication is the resolution of quasi-judicial matters by administrative

agencies or commissions established for the purpose. A number of technical issues and'
disputes emerge in the day-to-day administration. The ordinary courts do not have the
technical expertise and it becomes quite dilatory and costly to dispense with cases of
administrative nature. It is only the administrative agencies, which are capable of looking
into the matters of administrative exigencies. These administrative agencies with the
power to adjudicate the disputes arising out of administrative action or inaction are
called administrative tribunals.
According to Servai, 'the development of administrative law in a welfare state has'made

administrative tribunals a necessity'. In India, and in many other countries, there Pias been
a steady proliferation of administrative tribunals of various kinds. They have, indeed,
become a permanent part of the law adjudication machinery of the country. As a system
of adjudication they have come to stay, and their number is constantly on the increase.
Administrative tribunals are authorities outside the ordinary court system, which interpret
and apply the laws when acts of public administration are questioned in formal suits by
the courts or by other established methods. In other words, they are agencies created by
specific enactments'fo adjudicate upon disputes that may arise in the course of
implementation of the provisions-~ft~e relevant enactments.
They are not a court nor are they an executive body. Rather they are a mixture of both.
They are judicial in the sense that the tribunals have to decide facts and apply them
impartially, without considering executive policy. They are administrative because the
reasons for preferring them to the ordinary courts of law are administrative reasons.
They are established by the executive in accordance with statutory provisions. They are
required to act judicially and perform quasi-judicial functions. The proceedings are
deemed to be judicial proceedings and in certain procedural matters they have powers of
a civil court.
They arr not bound by the elaborate rules of evidence or procedures governing the
ordinary courts. They are ipdependent bodies and are only required to follow the
piocedure prescribed by the relevant law and observe the principles of 'Natural Justice'.
They do not follow the technicalities of rules of procedure and evidence prescribed by the
Civil Procedure Code (CPC) and Evidence Act respectively. The administrative tribunals
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.may be more appropriately defined as specially constituted
authorities established by law
to settle the dis~utesbetween the citizen and administration.
The administrative tribunals are the instruments for the application of administrative law. Administrative
They have distinct advantage over the ordinary courts because they ensure cheapness, Tribunals
accessibility, freedom from) technicality, expedition and expert knowledge of the
particular subject. The involvement of experts in administration in regulating
administrative actions is necessary to provide justice to the citizens, without sacrificing
the institutional needs. What is involved is basically the relative position of two values,
that is, the protection of the individual and his legitimate interests and the effective
attainment of public purpose.
23.4 REASONS FOR THE GROWTH OF ADMINISTRATIVE

TRIBUNALS
There are many reasons for the growth of administrative iribunals. Some of these are:
Firstly, the administrative tribunals, rendering administrative justice, is a by-product of

the Welfare State. In the lathand 191hcenturies when 'laissez faire' theory held sway, the
law courts emerged as the custodians of the rights and liberties of the individual citizens.
Sometimes they protected the rights of all citizens at the cost of state authority. With the
emergence of Welfare State, social interest began to be given precedence over the
individual rights. With the development of collective control over the conditions of
employment, manner of living and the elementary necessities of the people, there has
arisen the need for a technique of adjudication better fitted to respond to the social
requirements of the time than the elaborate and costly system of decision making
provided by the courts of law. In brief, 'judicialisation of administration' proved a
potential instrument for enforcing social policy and legislation.
Secondly, in view of the rapid growth and expansion of industry, trade and commerce,
ordinary law courts are not in a position to cope up with the work-load. With the result,
enormous delay in deciding cases either way, takes place. Therefore, a number of
administrative tribunals have been established in the country, which can do the work
more rapidly, more cheaply and more efficiently than the ordinary courts.
Thirdly, law courts, on account of their elaborate procedures, legalistic fortns and
attitudes can hardly render justice to the parties concerned, in technical cases. Ordinary
judges, brought up in the traditions of law and jurisprudence, are not capable enough to
understand technical problems, which crop up in the wake of modem complex economic
and social processes. Only administrators having expert knowledge can tackle such
problems judiciously. To meet this requirement, a number 6f admjnistrative tribunals
have come into existence.
Fourthly, a good number of situations are such that they require quick and firm action.
Otherwise the interests of-the people may be jeopardized. For instance, ensuring of safety
measures in local mines, prevention of illegal transactions in foreign exchange and unfair
business practices necess@te prompt action. Such cases, if are to be dealt with in the
ordinary courts of law, woukd cause immense loss to the state exchequer and undermine
national interest. However, the administrative courts presided over by the experts would
ensure prompt and fair action.

1) Explain the meaning of administrative law?

Citizen and
Administration
...................................................................................................
...................................................................................................
2) '
Briefly describe administrative tribunals?
23.5 TYPES OF ADMINISTRATIVE TRIBUNALS

There are different types of administrative tribunals, which are governed by the statues,
rules, and regulations of the Central Government as well as State Governments. We will
. discuss the various types of administrative tribunals now.
Central Administrative Tribunal (CAT)

The enactment of Administrative Tribunals Act in '1985 opened a new chapter in
administering justice to the aggrieved government servants. It owes its origin to Article
323 A of%he Constitution which empowers the Central Government to set up by an Act
of Parliament, the Administrative Tribunals for adjudication of disputes and complains
with respective recruitment and conditions of service of persons appointed to the public
services and posts in connection with the Union and the States.
The Tribunals enjoy the powers of the High Court in respect of service matters of the
employees covered by the Act. They are not bound by the technicalities of the Code of
Civil Procedure, but have to abide by the Principles of Natural Justice. They are
distinguished from the ordinary courts with regard to their jurisdiction and procedures.
This makes them free fiom the shackles of the ordinary courts and enables them to
provide speedy and.inexpensivejustice.
The Act provides for the establishment of Central Administrative Tribunal and State
Administrative Tribunals. The CAT was esQblished in 1985. The Tribunal consists of a
Chairman, Vice-Chairman and Members. These Members are drawn from the judicial as
well as the administrative streams. The appeal against the decisions of the CAT lies with
the Supreme Court of India.
Customs and Excise Revenue Appellate Tribunal (CERAT)
The Parliament passed the CERAT Act in 1 9 6 The Tribunal adjudicate disputes,.
complaints or offences with regard to customs and excise revenue. Appeals from the,
orders of the CERAT lies with the Supreme Court.
Monopolies and Restrictive Trade Practices Commission (MRTPC)
In 1969, the Parliament enacted the MRTP Act by which the Monopolies Commission
was set up and given powers to entertain complaints regarding monopolistic and
restrictive trade practices and later unfair trade practices by the Amendment Act in 1984.
With the introduction of new Industrial Policy (1991), a substantial programme of
deregulation has been launched. Industrial licensing has been abolished for all items
except for a short list of six industries related to security, strategic or environmental
concerns. The MRTP Act has since been amended in order to eliminate the need to seek
prior approval of government for expansion of the present industrial units and
establishment of new industries by large companies. A significant number of industries
had earlier been reserved for the public sector. Now the ones reserved for the public
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notification of the Government of India in the Department of Atomic Energy; (d) Administrative
Tribunals
Railway Transport. Private sector participation can be invited on discriminatory basis
even in some of these areas. Under the amended MRTP Act, a three-tier system for
settling consumer complaints has been provided. This operates as District Level Forum
at the district level, State Commissions at the state levels and National Consumers
Disputes Redressal Commission at the national level. The National Commission has
power to hear the appeals against State Commissions and also has revisional powers.
Appeal from the National Commission lies to the Supreme Court.
Elgction Commission (EC)

/ ,/
The Election Commission is a tribunal for adjudication of matters pertaining to the

allotment of election symbols to parties and similar other problems. The decision of the
commission can be challenged in the Supreme Court.
Foreign Exchange Regulation Appellate Board (FERAB)
The Board has been set up under the Foreign Exchange Regulation Act, 1973. A person
who is aggrieved by an order of adjudication for causing breach or committing offences
under the Act can file an appeal before the FERAB.
Income Tax Appellate Tribunal
This tribunal has been constituted under the Income Tax Act, 1961. The Tribunal has its
benches in various cities and appeals can be filed before it by an aggrieved personls
against the order passed by the Deputy Commissioner or Commissioner or Chief
Commissioner or Director of 1ncome'~ax.An appeal against the order of the Tribunal
lies to the High Court. An appeal also lies to the Supreme Court if the High Court
deems fit.
Railway Rates Tribunal
This-Tribunal was set up under the Indian Railways Act, 1989. It adjudicates matters
pertaining to the complaints against the railway administration. These may be related to
the discriminatory or unreasonable rates, unfair charges or preferential treatment meted
out by the rajlway'administration. The appeal against the order of the Tribunal lies with
the Supreme Court.
Industrial Tribunal
This Tribunal has been set up under the Industrial Disputes Act, 1947. It can be
constituted by' both the Central as well as State governments. The Tribunal looks into
the dispute between the employers and the workers in matters relating to wages, the
period and mode of payment, compensation and other allowances, hours of work,
gratuity, retrenchment and closure of the establishment. The appeals against the decision
of the Tribunal lie with the Supreme Court.

1) Explain the Central Administrative Tribunal?

Citizen and
Administration 2) Briefly describe the Monopolies and Restrictive Trade Practices Commission?
23.6 ADVANTAGES OF ADMINISTRATIVE TRIBUNALS

Administrative adjudication is a dynamic system of administration, which serves, more
adequately than any other method, the varied and complex needs of the modem society.
The main advantages of the administrative tribunals are:
1) Flexibility
Administrative adjudication has brought about flexibility and adaptability in the judicial
as well as administrative tribunals. For instance, the courts of law exhibit a good deal of
conservatism and inelasticity of outlook and approach. The justice they administer may
become out of harmony with the rapidly changing social conditions. Administrative
adjudication, not restrained by rigid rules of procedure and canons of evidence, can
remain in tune with the varying phases of social and economic life.
2) Adequate Justice
In the fast changing world of today, administrative tribunals are not only the most
appropriatdTmeansof administrative action, but also the most effective means of giving
fair justice to the individuals. Lawyers, who are more concerned about aspects of law,
find it difficult to adequately assess the needs of the modem welfare society and to locate
the individuals place in it.
3) Less Expensive
Administrative justice ensures cheap and quick justice. As against this, procedure in the
law courts is long and cumbersome and litigation is costly. It involves payment of huge
court fees, engagement of lawyers and meeting of other incidental charges.
Administrative adjudication, in most cases, requires no stamp fees. Its procedures are
simple and can be easily understood by a layman.
4) Relief to Courts
The system also gives the much-needed relief to ordinary courts of law, which are
already overburdened with ordinary suits.
5) Experimentation
Experimentation is possible in this field and not in the realm of judicial trials. The
practical experience gained in the working of any particular authority can be more easily
utilised by amendments of laws, rules and regulations. Amendment of law relating to
courts is quite arduous.
In sum, flexibility, accessibility and low cost are the important merits of administrative
tribunals. In the words of W.A. Robson, the advantages of administrative tribunals are
"cheapness and speed with which they usually work, the technical knowledge and
experience which they make available for the discharge of judicial functions in special
Downloaded from:- fields, the assistance which they lend to the efficient
https://t.me/Pdf4Exams conduct of public administration,
and the ability they possess to lay down new standards and to promote a policy of social Administrative
Tribunals
improvement".
Now we will discuss some of the disadvantages of the administrative tribunals.
23.7 DISADVANTAGES OF ADMINISTRATIVE

TRIBUNALS
Even though administrative adjudication is essential and useful in modem day
administration, we should not be blind to the defects from which it suffers or the dangers
it poses to a democratic polity. Some of the main drawbacks are mentioned below.
In the first place, administrative adjudication is a negation of Rule of Law. Rule of Law
ensures equality before law for everybody and the supremacy of ordinary law and due
procedure of law over governmental arbitrariness. But administrative tribunals, with their
separate laws and procedures often made by themselves, pu@ a serious limitation upon
the celebrated principles of Rule of Law.
Secondly, administrative tribunals have in most cases, no set procedures and sometimes
they violate even the principles of natural justice.
Thirdly, administrative tribunals often hold summary trials and they do not follow any
prekedents. As such it is not possible to predict the course of future decisions.
Fourthly, the civil and criminal courts have a uniform pattern of administeringjustice and
centuries of experience in the administration of civil and criminal laws have borne
testimony to the advantages of uniform procedure. A uniform code of procedure in
administrative adjudication is not there.
Lastly, administrative tribunals are manned by administrators and technical heads who
may not have the background of law or training of judicial work. Some of them may not
possess the independent outlook of a judge.
However, there exist certain safeguards, which can go to mitigate or lessen these
disadvantages. We will be discussing some of the safeguards to be observed in the
working of administrative tribunals.
23.8 SAFEGUARDS IN THE WORKING OF

ADMINISTRATIVE TRIBUNALS
Administrative adjudication suffers from many shortcomings that cannot perhaps be
denied. But, like delegated legislation, it is an inescapable necessity in a modem complex
society. Therefore, to overcome the shortcomings, few safeguards are suggested to make
administrative adjudication impartial and certain. These safeguards include:
1) Administrative tribunals should be manned by persons possessing legal training

and experience. To inspire public confidence, the appointment of members should
be made in consultation with the Supreme Court.
2) A code of judicial procedure for administrative tribunals should be devised and

enforced. This is important in view of the prevalence of varying procedures of
administrative adjudication in India.
3) Reasons should invariably accompaily decisions by the tribunals. "Good Laws",

observed Jeremy Bentham,. "are such laws for which good reasons can be given".
A reasoned decision goes towards convincing those, who are affected by it, about
Downloaded from:-
its innate fairnesshttps://t.me/Pdf4Exams
and is a check against misuse of power. https://t.me/Upsc_Zone_Official
Citizen and 4) The jurisdiction of the Supreme Court (as well as the High Courts) should not be
Administration curtailed. In other words, the right to judicial review on points of law must remain
unimpaired. Some of the administrative tribunals permit appeal to the court of law.
Some, however, seek to ban judicial review altogether by making decisions final.
According to M.C. Setalvad, former Attorney General of India, the need for
judicial review is greater in a nascent democracy like India.

ii) Chmk your answers with those given at the end of the Unit.
1) Discuss the advantages of Administrative Tribunals?

....................................................................................................
..................................................................................................
2) Discuss the disadvantages of Administrative Tribunals?
!
.....................................................................................................
3) Examine the safeguards in the working of administrative tribunals?
..........................................................................
I........................
23.9 LET US SUM UP

In view of the increasing rdle of administration in citizens' life, the administrative
tribunals are expected to play an important role in the redressal of citizens' grievances. In
this unit we have examined the nature of administrative tribunals and the various reasons
for their goping importance. Various types of administrative tribunals are set up in the
country to address yarious issues, such as, the adjudication of disputes and complaints of
the public servants, redressal of consumer disputes, industrial disputes, disputes
pertaining to income tax etc.
They provide greater flexibility in administering justice and provide relief to the courts.
But at the same time they suffer from some limitations as they sometimes violate the
principles of natural justice, lack uniform pattern of administering justice and also suffer
from the lack of a proper background on law or judicial work.
However, with certain safeguards it is possible to rectify some of these limitations. The
administrative tribunals should have people with legal training and experience. A code of
judicial procedures should be devised and enforced for their functioning.
Administrative
Tribunals
23.10 KEY WORDS
Delegated Legislation: it refers to the law making conferred by the Parliament on the
Executive.
Dicey's Rule of Law: it means that no man is above the law of the land and that every
person, whatever be his rank or status, is subject to the ordinary law and enables to the
jurisdiction of the ordinary tribuials. Every citizen is under the same responsibility for
every act done by him without lawful justification and in this respect there is no
distinction between officials and private citizens.
Principles of Natural Justice: these principles aim to provide fair, impartial and
reasonable-justice.These principles include:
i) No person should be a judge in his own cause.
ii) No decision should be given against a party without affording them a reasonable
hearing.
iii) Quasi-judicial enquiries should be held in good faith and without bias and not
arbitrarily or unreasonably. To give every citizen a fair hearing is as much a canon of
good administration as it is of a good legal procedure.
Public Good Oriented Justice: In the modem state, Public Good Oriented Justice
provides a new type of justice where the individuals are able to assert themselves freely,
welfare of the community is kept in view and the system functions like a social
institution existing for achieving social end.

Jain P.C., 1981. Administrative Adjudication - A Comparative Study of France, U.K,
U.S.A. and India: Sterling Publishers Pvt. Ltd., New Delhi.
Maheshwari, Shriram, 1990. Indian Administration; Orient Longman:,New Ddlhi.
Nayak, ~adhakant,1989. Administrative Justice in India; Sage Publications: New Delhi.
Prasad, Vishnu, 1974. Administrative Tribunals in India; Oxford and IBH Publishing
Co.: New Delhi.
S.P. Sathe, 1999. 6thEdition, Administrative Law, Bullerworths, New Delhi.
I.P. Massey, 2001. Fifth Edition, Administrative Law, Eastern Book Company, 2001:
Fadia, B.L., and Kuldeep, Fadia, 2000, Public Admini&ation: Administrative Theories
and Concepts, Sahitya Bhawan Publications, Agra.
Wade, H.W.R, 1977. Administrative Law, Oxford University Press, New Delhi.
"
EXERCISES

Citizen and Administrative Law includes the statues, charters, rules, regulations,
Administration procedures, decisions, etc. required for smooth running of administration.
It determines the organisation, powers and duties of administrative authorities.
Administrative tribunals are authorities outside the ordinary court system,

which interpret and apply the laws when acts of public administration are
questioned.
They stand midway of the judiciary and administration.
They are established by the executive and perform quasi-judicial functions

and operate on the principles of natural justice.
I) Your answer must include the following points:

Central Administrative Tribunal is set up for adjudication of disputes and
complaints relating to recruitment and conditions of service of Central
Government employees.
Observance of principles and norms of 'natural justice' in disposing of the

cases.
The tribunal enjoys the status and powers of a High Court.
Flexibility and informality in the functioning of tribunal.
Judicial and administrative expertise of the members of tribunals.
2) Your answer include the following points:

I
In 1969, the Parliament enacted the MRTP Act by which the Monopolies
Commission was set up and given powers to entertain complaints regarding
monopolistic and restrictive trade practices and later unfair trade practices by
the Amendment Act in 1984.
1 Your answer must include the following points:
Flexibility and adaptabiliG.
Most effective means of giving fair justice to people.
Ensures cheap and quick justice.
Provides much needed relief to the ordinary courts.
Experimentation.

It is negation of the rule of the law.
No set procedures and violates the principles of natural justice.

Administrative
Tribunals
They do not have uniform pattern of administering justice.
They are manned by administrators who may not have the background of law.

Administrative tribunals to be manned by persons with legal training and
experience.
Devising and enforcing of a code of judicial procedure for tribunals.
Reasons to accompany decisions of the tribunals.
Right to judicial review on points of law to be retained.

UNIT 24 JUDICIAL ADMINISTRATION

Structure
Objectives
Introduction
Judicial System in India
Scope of Judicial Control over Administration
Forms of Judicial Control over Administration
24.4.1 Judicial Review
24.4.2 Statutory Appeal
24.4.3 Suits against the Government
24.4.4 Criminal and Civil Suits against Public Officials
24.4.5 Extraordinary Remedies
Limitations of Judicial Control over Administration
Public Interest Litigation -
Legal Aid
Nyaya Panchayats
Let Us Sum Up
Key Words
Answers to Check Your Progress Exercis'es
24.0 OBJECTIVES
After studying this unit,.you should be able to:
Discuss the judicial system in India.
Explain the scope and the methods ofjudicial control over administration.
Analyse the limitations of judicial control over administration; and
Discuss the various other judicial systems of rendering justice.
24.1 INTRODUCTION
In India, the judiciary occupies an important place. The constitution visualizes an
independent judiciary to safeguard the rights of citizens. In a democratic polity, the
independent judiciary is a sine qua non to the effective functioning of th'e system.
Administration has to function according to the law and the Constitution. The judiciary
has an important role to play in protecting the citizen against the arbitrary exercise of
power by administration. In this unit, we shall be discussing the features of judicial
system in India, the scope and methods of judicial control over administration, the
limitations of judicial administration and various other judicial systems in vogue.
24.2 JUDICIAL SYSTEM IN INDIA

As mentioned in the introduction of this unit, Indian Constitution'envisages an
independent judiciary. There is a separation of powers between the executive and
judiciary. The judiciary, which interprets the constitutional meaning of law and legality
of executive actions, must have a separate existence. Lord Bryce has said that there is no
better test of the excellence of a government than the efficiency and independence of its
judicial system.

Indian constitution incorporated many provisions to ensure the independence of Judicial

judiciary. Though the executive appoints the judges of the highest courts, that is, the Administration
Supreme Court and High Courts, their tenure is kept beyond the purview of the
executive. Even in appointing the judges, the executive has to follow certain guidelines.
Once they are appointed they are not subject to any executive control in the discharge of
their functions. This is done to ensure that the judgments of courts are impartial and fair.
In Indian federation, the courts also have an important role to play in adjudicating the
disputes between the Centre and States. Thus, the independence of the judiciary is one of
the important features of the judicial system in India.
Another important feature of judicial system in India is the single unified judicial system
prevailing in the country. ~ h wholek system of courts taken together is called the
judiciary. Unlike.some other federations like the USA, Indian federation has a unified
judicial system. If we compare legislative and executive system in our federation with
the structure of judicial system, h e find a difference. We have separate legislative and
executive authorities for the Centre and the States and their functions are divided by the
Constitution. But our judicial system is different. It runs like a pyramid from the
subordinate courts and districts courts at local level to High Courts for every state to the
Supreme Court of India.
The Supreme Court occupies the highest position in the judicial hierarchy in India. It
comprises of the Chief Justice and other judges appointed by the President of India. The
Supreme Court has three areas of jurisdiction, namely, original, appellate and advisory.
The original jurisdiction extends to (a) disputes between Government of India and one or
more statks, and (b) claims of infringement of constitutionally guaranteed fundamental
rights. The Court's appellate jurisdiction extends to four types of cases, that is,
constitutional, civil, criminal and special leavp. .In these types of cases under certain
conditions appeals may be made from any State Hi& Court to the Supreme Court. The
Court's advisory jurisdiction pertains to matters referred for the purposes of seeking
advice. The President of India may refer a question of public importance for the advise
of the Supreme Gourt.
The High Courts are in the second level of judiciary. Ordinarily every state has a High
Court, but two or more states may also have one High Court. The High Court consists
of a Chief Justice and some other judges appointed by the President of India. The High
court of the states have three types of jurisdictions, that is, original, appellate and
administrative. It has among its original jurisdiction the power to' issue warrants
regarding the fundamental rights of citizens. It also has original jurisdiction to try civil '
and criminal cases. It's appellate jurisdiction includes the authority to try appeals about
civil and criminal cases from the lower courts. The administrative jurisdiction of High
Courts relate to superintendence over the subordinate courts,
The subordinate judiciary, that is, courts at the district level and below come into intimate
contact with the people in the judicial field. The Governor in consultation with the High
Court appoints the judges of the district courts. The Public Service Commission
, conducts competitive examinaths for the selection of candidates for appointment in the
State Judicial Service.
The above discussion on judicial system in India clearly shows that the whole judicial
system is based on two important features namely independent judiciary and single
unified judicial system.
24.3 SCOPE OF JLTDICIAL CONTROL OVER

ADMINISTRATION
In the context of ever-expanding activities of government and discretionary powers
vested in the various administrative agencies and public officials, the need to protect and
safeguard the citizen's rights assumes significance and priority. In developing societies
where the state is playing an important role in development, judiciary https://t.me/Upsc_Zone_Official
has a special
Citizen and responsibility to ensure social justice to the underprivileged sections of the community.
Administration However, it must be admitted that the courts can not interfere in the administrative
activities on their own accord even if such activities are arbitrary. They act only when
their intervention is sought. Judicial intervention is restrictive in nature and limited in its
scope. 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 hisher or its authority or jurisdiction the courts can declare such acts as ultra-
vires. 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 court's
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 hisher authority vindictively to

harm a person or use authority for personal gain, court's intervention can be sought. In
legal terms, it is called malfeasance. The courts can intervene to correct the malfeasance
of administrative acts.

Note i) Use the space given below for your answers.
1) Explain the main features of judicial system in India?
......................................................................................................
2) How does the single unified system of judiciary function,in India?
3) What is the scope of judicial control over administration?

Judicial
Administration
24.4 FORMS OF JUDICIAL CONTROL OVER

ADMINISTRATION
The forms and methods of judicial control over administration vary from country to
country, depending upon the type of the constitution and the system of law. Broadly
speaking, there are two systems of legal remedies against administrative encroachments
on the rights af citizens. One is called the Rule of Law system and the other is called the
Administrative Law system. The Rule of Law means that everybody, irrespective of
social and cultural differences, whether an official or a private citizen is subject to the
same law and the ordinary law of the land. The official cannot take shelter behind state
sovereignty in committing mistakes in his official capacity. A.V. Dicey, the main
exponent d Law system stated that the Rule of Law assumes equality of Rule of all
before law and application of the same law to all. The rule of law system prevails in
England and other Commonwealth countries including India. It is also prevalent in the
USA and many other democratic counties.
The administrative law system is based on the assumption of separate law and courts for
dealing with administrative actions. This system prevails mainly in France. We have
discussed in detail about this system in Unit 24 of this course. In the following
paragraphs, we shall discuss some of the forms of judicial control over administration in
India, under the Rule of Law system.
24.4.1 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. This doctrine
prevails l n countries where Constitution is held supreme, for example, in U.S.A. India,
Australia, etc.
In India, judicial review is restricted by certain provisions of the constitution as well as of

Act declaring finality of administrative decisions in particular matters. However, it can
be stated that the Legislature in India, being non-sovereign body cannot exclude 'udicial
1
review in certain cases unless there is a provision to that effect in the Cons itution.
Generally, the courts do not interfere with purely administrative action unless it is ultra-
vires as regards its scope or form.
Even in Britain, where judicial review is not applicable, the c6urts can use this system of
controlling administrative actions within the scope of parliamentary statutes. In view of
the parliament's sovereignty in Britain, many administrative acts and decisions are
excluded from judiciabview by the courts themselves under what is called 'judicial
self-limitation'. ~ o G e v e rit, must be noteckthat administrative actions can be challenged
for want ofjurisdiction.
In the USA, judicial, review, at least in theory extends to the entire field of administrative
action. However, in practice, the courts in the USA have, by self-denial, restricted their
power in several ways. For instance, courts usually do not review certain type of
decisions particularly those concerning administrative discretion. The power of the
courts as regards judicial review, although not crystallized is potentially great. .
24.4.2 Statutory Appeal

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

Citizen and
Administration
provide for judicial intervention in certain matters.
24.4.3 Suits Against the Government
There are several limitations, varying from country to country, as regards filing suits
against thegovernment for its contractual liability. The contractual liability of the Union
and the State Governments is the same as that of an individual citizen under the ordinary
law of contracts, subject however, to any statutory conditions of limits, which the
Parliament can regulate under the constitution. The State is liable for the tortuous acts of
its officials in respect of the non-sovereign functions only. In Britain, under the Crown
Proceedings Act of 1947, the State is liable for torts committed by its servants i.e., public
officials, subject to some exceptions. In U.S.A, subject to a few exceptions, there is no
statutory provision to sue the State in tort. On the other hand, the liability of the State foi
the wrongful acts of its officials is fully established.
24.4.4 Criminal and Civil Suits against Public Oflicials
The position regarding the public officials' personal liability in respect of acts done by
them in their official capacity varies form country.to country. 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 H e ~ dof the
State i.e., the President or the Govefnor is required. Some functionaries like the
President and the Governor are immune from legal proceedings even in respect of their
personal ac$. Ministers, however, do not enjoy such immunity. The Monarch in Britain
and President infhe U.S.A. are also immune from legal liability.
24.4.5 Extraordinary Remedies

Apart from the methods of judicial c'ontrol already discussed, there are the extraordinary
remedies in the nature of writs of Habeas Corpus, Mandamus., Pfohibition, Certiorari and
Quo Warranto. 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 wiit is an qrder of the court
enforcing compliance on the part of those against whom the writ is issued. In India, these
writs are available upder the provisions of the Constitution. While the Supreme,Court is
empowered tu issue these writs or orders or'directives only for the enf~rcem~nt 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. Zn Britain, these are called
Prerqgative Writs issued in the name of the King as the fountainhead of justice. In the
'U.S.A. these are provided for partly by common law and partly by statute. The krrit of
injunction is not specifically provided in the Constitution. However, it is issued by the
Indian courts.
We will discuss these writs now.
a) Habeas Corpus: 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 unlawfblly or illegally detained, he will be set free. A friend or a
relation of the detained person may also apply for this writ on hisfher behalf. This
writ is a great bulwark of individual freedom and can be described as the
cornerstone of personal liberty. This writ is granted as a matter of a right of
prima facie, if it is established that the pefson is unlawfully detained. Its utility is,
however restricted in India in view of the provision of Preventive Detention Act.
b) 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. From the Judicial
Administration
standpoint of judicial control over administrative lapses, it is an effective writ. In India,
this can also be issued to compel a court or judicial tribunal to exercise its jurisdiction.
c) 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 quasi-judicial 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.
d) 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 quasi-judicial authority to the superior court for
determining the legality of the proceedings.
e) Quo Warranto: Literally, Quo Warranto 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, hetshe will be ousted from that office. It is, thus, a
powerful instrument against the usurpation of 'public offices'.
Besides the units, there is one more writ, namely the writ of Injunction. It is of two
kinds, mandatory and preventive. Mandatory injunction resembles the writ of Mandamus
while Preventive Injunction resembles the writ of Prohibition. Through this writ, a
public official can be restrained from doing a thing which, if done would cause
irreparable damage to the rights of individuals. While Prohibition is a writ available
against judicial authorities, Injunction is a writ, which is issued against executive
officials.
24.5 LIMITATIONS OF JUDICIAL CONTROL OVER

ADMINISTRATION
The effectiveness of judicial control over administration is limited by many factors.
Some of these limitations are:
a) 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. The old adage of 'justice
delayed is justice denied', still holds good. 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.
b) 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.
c) 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. As V.R. Krishna Iyer pointed 'the portals of justice are not accessible to the
poor'.
d) Cumbersome procedure: Many legal procedures are beyond the comprehension of

common man. The procedural tyranny frightens many from approachinghttps://t.me/Upsc_Zone_Official
the courts.
Citizen and Even though the procedures have a positive dimension of ensuring fair play, too much of
Administration it negatives the whole process.
e) 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.
f ) Specialised 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.
g) 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 ofjustice to them.
1
h) Erosion of autonomy of judiciary: There is executive interference in the wbrking 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.
Many steps have been initiated to overcome some of the limitations mentioned above. In
the succeeding paragraphs, we shall discuss some of these measures, in particular, Public
Interest Litigation, Legal Aid and Nyaya Panchayats.

1) Explain the meaning and impo&ce ofjudicial review?

...................................................................................................
...................................................................................................
2) Dis.cuss the different writs available under the provision of Constitution of India?
...................................................................................................
3) Discuss the limitations of judicial control over administration?

...................................................................................................

Judicial
24.6 PUBLIC INTEREST LITIGATION (PIL) Administration
Public Interest Litigation refers to a system of intervention of social action groups in

making courts accessible to the deprived, poor and the victims of social oppression.
Earlier the 'rule of standing' that means only the wronged person can seek the help of
courts, came in the way of judiciary reaching the poor. The poor who are not aware and
capable do not exist for the court purposes. The imaginative interpretation of judicial
process by creative and socially conscious judges led to the system of PIL, which
facilitated the social action groups and conscious individuals to enable the courts take
cognisance of various forms of injustices done to the poor. In the Asiad Workers Case,
Justice Bhagwati of Supreme Court who championed the PIL observed: "now for the
first time the portals of the court are being thrown open to the poor and the downtrodden.
The courts must shed their character as upholders of the established order and the status
quo. The time has now come when the courts must become the courts for the poor and
struggling masses of this country". In recent times, the courts are allowing
representations and petitions from members of public through postcards, newspapers,
editorials, letters to the editors and as writ petitions. Some of the PILs relate to
environment conservation, rehabilitation of bonded labour, undertrials languishing in
jails, atrocities on scheduled castes, scheduled tribes, women and other weaker sections,
violation of civil liberties, police atrocities, etc. The courts have intervened in such
cases on the initiatives of social activists and civil liberties groups. Judicial activism has
thus certainly facilitated more access to justice to the poor.
24.7 LEGAL AID

The Constitution of India clearly envisages that opportunities for securing justice are not
denied to any citizen by reason of economic or other liabilities. The fundamental
entitlement of legal aid is concomitant right that arises out of Art. 14 of the Constitution
which enjoins the state not to deny to any person equality before law or equal protection
of law. Many commissions made suggestions to provide legal aid to poor to eliminate
the implicit bias towards the rich in our legal system. In response, the Government of
India, constituted a High Powered Committee in 1980 under the chairmanship of Justice
P.N. Bhagwati, the then Judge of Supreme Court to evolve a comprehensive scheme of
legal aid. The Committee was reconstituted in May 1987 with Justice R.S. Pathak, Chief
Justice of India, as Patron-in-Chief, and Justice R.N. Misra, Judge of the Supreme Court
of India, as its executive chairman. As a request to the Committee's work, the National
Act that governs the system of legal aid to the poor in this country is the Legal Services
Authorities Act, 1987, under which "Authorities" have been set up at national, state and
sub-state levels. Under the Act there is a model scheme, for those citizens whose
annual income from all sources does not exceed a certain limit are eligible for free legal
aid. The limitation as to income is not applicable in case of disputes where one of the
parties belongs to scheduled castes, scheduled tribes, vimuktajatis, nomadic tribes or is a
woman or a child.
The Legal Services Authorities have been set up in accordance with the provisions of the
national law and respective State Regulations in most of the States. The Legal Services
Authorities have been set up at the High Court and district levels and in most of the
places at taluka levels also. The Supreme Court Legal Aid Committee has been set up for
dispensing legal aid in cases coming before the Supreme Court of India.
Under the Legal Services Authorities Act 1987, the institution of Lok Adalat is provided
at all levels (State, District and Taluk) for resolution of disputes through conciliatory
methods. Such Adalat. are proving a successful alternative forum for resolution of
disputes thr~ughconciliatory methods outside the regular courts, and very near to the
clients or the people who need legal support, aid and speedy resolution of disputes.
Citizen and 24.8 NYAYA PANCHAYATS

Administration
The Nyaya Panchayat system aims to take justice to the doorstep of rural people. Under
the panchayati raj system attempts were made by many state governments to establish
Nyaya Panchayats to decide civil and criminal disputes of bet@ nature.
Different state laws provide for different kinds of jurisdiction of the courts. The
members are appointed by the state government from the panel recommended by the
village panchayats or block panchayats. The members appointed to the Nyaya Panchayat
should be literate and should not hold any office nor should be active member of any
political party.
The effective functioning af Nyaya Panchayats can facilitate the speedy settlement of
many disputes at the village level itself. They provide for the speedy and summary
disposal of cases. Structurally, the system has the advantages of easy accessibility,
speedy settlement of disputes, openness, etc. But enough steps should be designed to
protect these institutions from the influence of rural rich and vested interests.

1) What is the meant by Public Interest Litigation?

...................................................................................................
\
....................................................................................................
2) Discuss the advantages of having Nyaya Panchayats in villages?
...................................................................................................
24.9 LET US SUM UP

In a democracy, the primary objective of judicial system is to ensure citizen's rights. The
judicial system in India is based on the principles of independence of judiciary from
-executive and the single unified system of judiciary. The main purpose of judicial control
over administration is to errsure the legality of administrative actions. The judiciary has
an important role to play in the application of rule of law. We have discussed in this unit
the main features of the judicial system, the methods of judicial control over the
administration and their effectiveness. Some recent trends in judicial system like Public
Interest Litigation, Nyaya Panchayats and Legal Aids Systems have also been discussed.
24.10 KEY WORDS

Malfeasance: this is a legal 'term, which implies abuse of authority by a public official
for personal gains.
Judicial
Misfeasance: when the public official miinterpets the law and imposes upon the Administration
citizens' obligations, which are absent in law.
Prima-facie: it is used to describe something, which seems to be true when you

consider it for the first time.
Special Leave: the power of the Supreme Court to grant special leave to appeal to the
Supreme Court against any judgement, decree etc. by any court or tribunal in India.
Tort: a tort is something that one does or fails to do which harms someone else and for
which one can be sued for damages.
Ultra vires: violation of constitutional provisions.
24.1 1 REFERENCES AND FURTHER REAIflNGS

Basu, Durga Das, 1987. Introduction to the Constitution of India, Twelfth Edition,
Prentice Hall of India, New Delhi
India 1987. A Reference Manual, Publications Divisions, Government of India, New

Delhi
Mathew, George. 2000. Status of Panchayati Raj, The States of India, Institute of Social
Sciences, Concept Publishing House, New Delhi.
Jha, S.N., 1999. Decentralisation andLocal Politics, Sage Publications, Delhi.
Tyagi A.R. 1989. Public Administration, 6' Revised Edition, Atrna Ram and Sons, New
Delhi.

Separation of powers between executive and judiciary.
India has a single unified judicial system.
The Supreme Court occupies the highest position in the judicial hierarchy in
India.

Judicial system in India runs like a pyramid from the subordinate courts at the
lower levels to High Courts for every state to Supreme Court of India at the
national level.
Supreme court is at the highest level of judicial hierarchy, High Court at the
second level and there are subordinate courts at the district level and below.
Supreme Court has three areas of jurisdiction, namely, original, appellate and
advisory and the High Courts have the original, appellate and administrative
jurisdiction.

Citizen and Lack of jurisdiction

Administration
Error of law
Error offact
Error of procedure
Abuse of authority
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. This
doctrine prevails in countries where Constitution is held supreme, for example, in
U.S.A. India, Australia, etc.

Habeas Corpus
Mandamus
Prohibition
Quo Warranto
Injunction
3) Your answer must include the following points

Unmanageable volume of work
Post-mortem nature of judicial control
Prohibitive costs
Cumbersome procedures
Spe~ializednature of administrative actions
Lack of awareness
Erosion of autonomy of judiciary

It refers to a system of intervention of social action groups in making courts
accessible to the deprived, submerged and invisible millions of poor and victims
of social oppression.
It facilitates the social action groups and conscious people to enable courts to
provide justice to the poor
Judicial
The courts allow representations and petitions from members of public through Administration
post-cards, newspapers, letters to the editors and writ petitions.
It has enabled more access of justice to the poor
Your answer must include the following points:

They decide civil and criminal disputes of petty nature
It takes justice to the doorstep of rural people
Speedy settlement of case
Easy accessibility

UNIT 25 CENTRE-STATE ADMINISTRATIVE

RELATIONSHIP
Structure
25.0 Objectives
25.1 Introduction
25.2 Centre-State Administrative Relations
25.3 Centre-State Financial Relations
25.4 Centre State Relations: Institutional FrameworWConferences
25.5 Emergency Provisions
25.6 Concluding Observations
25.7 Let Us Sum Up
25.8 Key Words
-
25.0 OBJECTIVES
Discuss the division of administrative powers between the centre and the
states;
' Explain the various types of devices for securing centre-state cooperation;
Describe the techniques of executive control over the states; and
Examine the important recommendations of the Sarkaria and Venkata
Chaliah Commissions.
25.1 INTRODUCTION
Indian Constitution is neither purely 'federal' nor purely 'unitary'. The federal
form is clearly manifest in the constitutional distribution of powers between the
union and the states not only in the legislative field but also in executive and
administrative fields. In normal times, the constitutional schifne has to ensure
autonomy of the states in regard to the spheres of activities earmarked for the
states in the Constitution. Specific subjects have been allocated to the exclusive
fields of the centre and the states respectively and certain subjects have been
allocated to the 'concurrent field' with the stipulation that in the 'state' and
'concurrent' fields, the states should have the freedom to follow their own
policies except to the extent that Parliament itself decides to legislate under the
powers given to it under the Constitution.
.
Historically, a highly centralised colonial government had slowly been

transformed into a semi-feudal set-up. In post-Independent India, the needs of
planned development, national integration and maintenance of law and order
resulted in a considerable degree of centralisation of powers in the hands of the
centre. Single party rule for a long period of time has also contributed to the
increasing preponderance of the centre. c'k"1tre-state relationship in reality is a
matter of interaction between the two levels of governments in course of
discharge of their duties to people. In administering subjects like education,
health, agriculture, etc. the two levels of governments have to interact in the
interest of efficient management of these functions. Administrative pr~blems
nccllmp nnlitical cnlnllr when the interactions are conditioned b a n n s
Emerging Issues of power and hegemony. As the Administrative Reforms Commission

commented "The problem of Centre-State relations has acquired new dimensions
and new importance in recent times due to several political parties being in
power at the Centre and in the States."
In thiS Unit, we will study about the division of administrative powers between
the centre and the states and constitutional and extra-constitutional devices for
securing cooperation between the two sets of governments. This Unit will also
discuss about the different ways in which the union exercises its control over the
States.
25.2 CENTRE-STATE ADMINISTRATIVERELATIONS

As earlier pointed out, the Constitution has clearly delimited the scope of
legislative and executive authority of the union and the states. It is at the same time
expressly provided under Article 256 of the Constitution that the executive power
of the 'states shall be so exercised as to ensure compliance with the laws of
Parliament. Also the union executive power extends to the giving of such
directions to the states as may appear to the Government of India to be necessary
for the purpose. It is further stipulated under Article 246 of the Constitution that if
the state government fails to endorse the laws passed by the Parliament within its
jurisdiction, the union government can issue directions to the states to ensure their
compliance.
Adequate provisions have been made in the Constitution for the division of
executive powers between tht centre and the states. The executive power of the
centre extends primarily to matters with respect to which Parliament has
exclusive authority to make laws. Similarly the executive powers of the states
extend to all those matters which are within their legislative domain. But with
regard to the matters which are in the concurrent list there are three courses of
action with the parliament in reference to the enforcement of legislation. It can
leave it entirely to the states or may take over the task of 'enforcing it or it may
take upon the enforcement of a part of the law, leaving the rest of it to the states
for enforcement.
The executive power of the union also extends to giving of directions to the
states as to the construction and maintenance of means of communication
declared to be of national or military importance. The union government can give
directions to the states for the protection of railways within the states.
There is a constitutional provision under which the President may, with the
consent of a state government, entrust either conditionally or unconditionally to a
state or to its officers, functions in relation to any matter falling within the ambit
of union executive power. A state can also, with the consent of union
government confer administrative functions on the union.
India, being a federation, the Constitution establishes dual polity with the union
at the centre and the states at the periphery. The dual government system-and the
division of powers are key features of the federal system. Since cooperation and
coordination between the central and state governments are necessary for smooth
running of the federation, the Constitution provides for a detailed division of
executive, legislative and financial powers. The administrative relations between
the union and states can be discussed under two parts (a) powers exercised by
union over the states as granted by the Constitution and (b) powers exercised by
extra constitutional agehcies. https://t.me/Upsc_Zone_Official
Division of Administrative powers between the centre and the states as per Centre-State Administrative
constitutional provisions: Relationship
a) Directives by the union to the state governments: The executive power of

the union also extends to giving of direction to the state under Article 256
for their compliance. This power of the Union extends to the limit of
directing a state in a manner it feels essential for the purpose. For instance,
the union can give directives to the state pertaining to the construction and
maintenance of means of communication declared to be of national or
military importance or protection of railways within the state. This is
essential to ensure the implementation of parliamentary laws throughout
the country. Non-compliance of the directives might lead to a situation
where the un,ion can invoke Article 356, for imposition of President's rule
in the sGte and take over the administration of state.
b) Delegation of union functions to the states: Under the constitutional
provision of Article 2 5 4 the President may, with the consent of the state
government entrust either conditionally or unconditionally to the
government, functions relating to any matter falling within the ambit of
union executive power. Under clause (2), Parliament is also entitled to use
the state machinery for the enforcement of the union laws, and confer
powers and entrust duties to the state. A state can also, with the consent of
union government confer administrative functions on the union.
c) All India Services: Besides central and state services, the Constitution
under Article 312 provides for the creation of additional "All-India
services" common to both the union and states. The state has the authority
to suspend the officials of All India Services. The power of appointment
and taking disciplinary action against them vests only with the President of
India.
The idea of having an integrated well knit All India Services to manage
important and crucial sectors of administration in the country which was
the legacy of the past was incorporated in our Constitution. Their
recruitment, training, promotion disciplinary mattes are determined by the
central government. A member of the Indian Administrative Service (IAS)
on entry into the service is allotted to a state where hetshe serves under a
state government. This arrangement wherein a person belonging to the All
India Service being responsible for administration of .affairs both at the
centre and states, brings co-operation in administration.
d) Deployment of Military and Para-military Forces: These can be deployed
in a state by the union, if situation warrants, even against the wishes of the
state government.
e) Constitution of Joint Public Service Commission for Two or more States:
We have discussed in the Unit on Union Public Service Commission
(UPSC) in Block 2 of this cowse that apart from UPSC and State Public
Service Commission, the Constitution also provides for a Joint Public
, Service Commission. When two or more states through a resolution to that
effect, in their respective legislatures agree to have one such Commission,
the Parliament may by law, provide for a joint commission. The constitution
of the Commission facilitates inter-governmentalco-operation.
There is also a provision in the Constitution wherein, on request by two or
more states the UPSC can assist those states in framing and operating
schemes of joint recruitment to any service for which candidates with
special qualifications are required.
f) Judicial System: A distinctive feature of our federal system is the presence
of integrated judicial system. Though we have federal form of government
with two sets of government and dual powers, there is no dual system of
administration of justice. This is clear bv the Dresence of single inteaated
Emerging Issues chain of courts to administer both union and state laws with the Supreme
Court at the apex of hierarchy of courts. The practice of having one set of
courts which was present in our country under the Government of India Act
1935 continued thereafter under our Constitution.
The state governments are empowered to undertake the administration of
justice and to constitute courts for this purpose. Hence, there is a High
Court in each-state as the highest court within the territory of state which is
required to administer both the union and the state Iaws. Hence, the
Constitution stipulates that the Chief Justice of the High Court be
.appointed by the President in consultation with the Chief Justice of India
and the Governor of the State.
The Constitution also provides for creation by the Parliament through law,
a common High Court for two or more states. For example, the states of
Assam and Nagaland have a common High Court. The administration of
justice falls entirely within the sphere of state irrespective of whether a
matteipertains to civil or criminal law or whether such a law is enacted by
Parliament or state legislature.
g) Inter-State Council: India is a union of states wherein the centre plays a
prominent role but at the same time is dependent on the states for the
execution of its policies. The Constitution has provided for devices to bring
about inter-governmental co-operation, effective consultations between the
centre and states so that all important national policies are arrived at through
dialogue, discussion and consensus. One such device is the setting up of the
Inter-State Council. The President is given the powers under Article 263 of
the Constitution to define the nature of the duties of the Council. The
Council is to inquire into and advise upon disputes which may have arisen
between the states. In addition, it may investigate and discuss subjects of
common interest between the union and the states or between two or more
states in order to facilitate co-ordination of policy and action.
Three such councils have been set up - (i) Central Council of Health; (ii)
Central Council of Local Self-Government; and (iii) Transport Development
Council. Based on the Sarkaria Commission's recommendations, a
permanent Inter-State Council has been created on I April 1990, consisting
of six Union Cabinet Ministers and the Chief Ministers of all the States and
those Union Territories with a Legislative Assembly with Prime Minister as
the Chairman. The Sarkaria Commission recommended that in order to
differentiate the Inter-State Council from other bodies set up under the
Article it must be called Inter-Governmental Council.
h) Inter-State Water Disputes: In India there are many inter-state rivers and
their regulation and development has been a source of inter-state function.
These relate to the use, control and distribution of waters of inter-state rivers
for irrigation and power generation. In the Indian Constitution, water-related
matters within a state are included in the state list, while the matters related
to'inter-state river waters are in the union list. Keeping in view this problem
of unending river water disputes, the Constitution framers vested the power
to deal with it, exclusively in Parliament. The Parliament hence, may by law
provide for the adjudication of any dispute or complaint, with regard to use,
distribution or control of the waters. The Inter-State Water Disputes Act was
enacted by the Parliament in 1956 according to which tribunals are set up for
adjudication of water disputes referred to them.
The Union government has so far, set up four Inter State Tribunals for
Narmada, Krishna, Godavari and Cauvery. Parliament may constitute an :
authority like the Inter-State Commerce Commission in the USA to
enforce the provisions of the Constitution relating to freedom of trade,
commerce and intercourse throughout the territory of India. Such aq
authority has however not yet been sethttps://t.me/Upsc_Zone_Official
up.
Federal government involves dual government. It is therefore necessary to Centre-State Administrativt

Relationship
provide for the acceptance of public acts of both governments to avoid
inter-governmental conflict. In the functioning of federation, a state
refusing to recognise acts and records of another state may give rise to
confusion and inconvenience. To eliminate such a possibility, the
Constitution of India provides the 'full faith and credit clause'. Article 261
(i) of the C.onstitution stipulates that full credit and faith shall be given
throughout India to public acts, records, and judicial proceedings of the
union and all the states. The term 'public acts' relates to not only statutes
but to all other legislative and executive acts of the union and the states.
This clause serves a very important purpose of eliminating any possible
hindrance to the normal transaction of administrative activities in the
Indian federation.
/-
25.3 CENTRE-STATE FINANCIAL RELATIONS
The proyi'sions relating to the financial relations between the union and the states
are derived from the Government of India Act, 1935. The areas of taxation have
been clearly demarcated between the centre and states. The states have little
powers in taxation and are heavily dependent on the centre, for financial
resources. The chief source of finance of the states is the grants-in-aid from the
centre.
'The seventh schedule of the Constitution provides for specific entries reserved
for the union and the states for imposing taxes. The union can levy taxes on the
12 items of Union List (82 to 92 A). Similarly, the state list contains 19 items on
which states are empowered to conect taxes. The residuary powers in taxation
vests with Parliament.
There is a four-fold classification of tax revenues between the union and the
states. These are:
a) Taxes levied by the union but coIlected and whoIly appropriated by the
state (Article 270). These are stamp duties and duties of excise on
medicinal and toilet preparations.
b) Taxes levied and collected by the centre, but wholly assigned to the states
(Article 269). These include duties on succession to property other than
agricultural land, estate duty on property other than agricultural land,
terminal taxes on goods and passengers (railway, sea or air), taxes on
railway fares and freights etc.
c) Taxes levied and collected by tile union and distributed between the union
and the states (Article 270). This includes taxes on income other than
agricultural income.
d) Taxes levied and collected by the union but may be shared with the states.
This includes the customer and excise duties if parliament by law so
provides.
Grants-in-aid and Loans
Besides the devolution of revenues, from different taxes, the centre provides
grants-in-aid to the states as per Article 275 to the States for the purpose of
promoting the welfare of the Scheduled Tribes and raising the level of
administration of the scheduled Areas. Also every year grants are made to the
states, as elected by the parliament on the recommendations of the Finance
Commission.
~rnerging~ssues Borrowing Powers -
The Constitution also provides for the borrowing of money by the union and
state governments under certain provisions. As per Article 292, the union
government has powers to borrow money on the security of the Consolidated
Fund of India either within or outside the country, subject to limitations imposed
by parliament. Recently the state governments are also empowered to borrow
money on the same basis from outside India.
Finance commission
Besides, provisions relating to demarcate of taxes and distribution between the

union and the states, Article 280 provides for the constitution of the Finance
Commission. The President of India constitutes it every five years. It is to
consist of a chairman and four members.
The Finance Commission is entrusted with the tasks to recommend to the

President about the (1) distribution of the proceeds of tax between the union and
the 8teta and the allocation between the states of the respective shares of such
proceeds; (ii) principles that should govern the grants-in-aid out of the
Consolidated Fund of India; (iii) measures needed to augment the consolidated
Fund of a state to supplement the resources of the panchayats in the states and
municipalities; and (iv) any other matter referred to by the President in the
interest of sound finance. Till now twelve Finance Commission have been set
up. The Thirteenth Finance Commission has recently been constituted with
C. Rangarajan as the Chairman.
Financial Relations During Emergency
The financial relations between the union and the states undergoes changes
during proclamation of emergency. In case of financial emergency imposed by
the President under Article 360, it shall be competent for the union to:
i) give directions to the state to observe such cannoris of financial propriety as

may be specified in the communication;
I
ii) instruct state governments that the salaries and allowances of all public
semants including judges be reduced in the specified manner; and
iii) reserve for the consideration of the President all money bills and financial
!
Pills after they are passed by the Legislatures for the state.
1) Explain the importance of 'fill faith and credit clause' incorporated in the
Constitution.

2) Comment on the significance of All India Services in Centre-State Centre-State Administrative

relations. ,Relationship
3) Discuss the role of the Inter-State Council.
25.4 CENTRE STATE RELATIONS: IYSTITUTIONAL

FRAMEWORKJCONFERENCES
There are other extra-constitutional and formal devices for securing consultations
between the centre and the states and for bringing about co-operation and co-
ordination between the states. These-devices are to solve the centre-state conflicts
and promote co-operative federalism. Regular conferences are being held as a
matter of practice like annual conferences of Chief Ministers, ~ o v e r n o i Chief
,
Secretaries, etc. The Governor's Conference serves as a useful forum where the
President who is the Chairman of the conference is apprised by the Governors, of
the political, social, and economic situation of the states. Similarly, the Chief
Minister's conference serves as a potential forum for discussion of whole range'of
issues concerning the states and harmonisation of relationship between the centre
and the states.
Likewise, a Conference of Inspectors General of Police which is held generally

twice a year provides a common platform for discussion of issues like crime
situation in the country, prevention, and investigation of crime, training, morale
of police force, suppression of immoral traffic in women and children, etc. Such
conferences help in the development of co-ordinated approach to operational
problems of police. Since establishments such as Central Reserve Police Force,
Border Security Force are maintained by the centre, the conference gains
importance in bringing about co-operation of these units with the law and order
machinery of the state.
In this connection, the role of the Planning Commission and the National
Development Council deserves special mention. Originally set up to formulate an
integrated national five year plan for economic and social development and to
advise the union government on planning and developments the Planning
Commission has over the years extended its activities over the entire sphere of
administration. There has therefore been justifiable criticism that the Planning
Commission which is an extra-constitutional and non-statutory body, has
Downloaded
encroached from:-
upon the https://t.me/Pdf4Exams
autonomy of the states-in a significant way. https://t.me/Upsc_Zone_Official
Emerging Issues The other extra-constitutional body, the Planning Commission has evolved to get
the co-operation of the states is the National Development Council (NDC) which
consists of all the ministers of the Union Cabinet, the Chief Ministers of the
States and the administrators of the Union Territories. The main objective of the
NDC is to review the working of the five-year plan periodically and to
recommend measures for the achievement of the aims and targets set out in the
national plan. But generally the decisions of the Council are binding on the state
governments and Government of India. Also, the Planning Commission holds
regular consultations with the representatives of the state governments in matters
affecting various programmes of planned development.
National Integration Council
The National Integration Council is another constitutional body created in 1986,

to deal with welfare measures for the minorities on an all-India basis. It was
revived by the National Front Government in 1990, comprising not only Union
Ministers and the Chief Ministers of States but also the representatives of
national and regional political parties, labour, and women.
Zonal Councils
These are extra-constitutional bodies created under the State Re-organisatiori

Act, 1956. Five Zonal Councils for Northern, Southern, Eastern, Western and
Central were created in 1956. The North-Eastern Council was set up in 1971, by
an Act of Parliament. Each Council has the Chief Minister and two other
ministers of each state in the zone and the administrator in case of a Union
Territory. The Union Home Minister is the Chairman of all the zonal councils.
The Council is to advise the Union and State governments which are represented
in the council on matters of common concern relating to economic and
administrative matters, social planning, inter-state transport matters arising out of
reorganisation of State.
Sarkaria Commission
The Sarkaria Commission on Centre-State relations was constituted in 1983

under the Chairmanship of Justice R. S. Sarkaria, a retired judge of the Supreme
Court. It was to examine and suggest reforms for an equitable distribution of
powers between the Centre and the State. The report was submitted in 1988 and
it made 247 recommendations in this regard, suggesting 12 amendments to the
Constitution and 20 new legislations. Though it did not recommend any drastic
structural changes, it desired streamlin':ng the provisions of the Centre-State
relations. It suggested the Centre's financial hold over the state to be diluted and
autonomy be given in this regard.
The major recommendations include:
i) The Governor of a state to be a non-political person appointed with the

concurrence of the Chief Minister.
ii) Articles 256, 257 and 265 of the Constitution and provisions designed to
secure co-ordination between the union and the states for effective
implementation of Union laws. Nonetheless, a directive under Article 256
and 257 and application of the sanction under Article 365 in the event of
its non-compliance, is to be used as a last resort. Before issue of directions
to a state and application of section under Article 365, utmpst caution
should be exercised and all possibilities explored for setting points of
Downloaded from:- conflict by all other available means.
iii) The representative state to be consulted before deployment of union armed' Centre-State Administrative
and other forces in that State. Relationship
iv) Sharing of the corporate taxes behveen the centre and state to be made
mandatory.
v) The transfer of High Court judges should not be against their will.
vi) The state should have more control over the matters in the concurrent list
and the Centre's hold over the union list should be loosened.
vii) To foster co-operative federalism in inter-governmental relations, the
commission recommended the setting up of Inter-State Council under
Article 263.
Though the Commission provided a comprehensive review of Central-State
relations, few recommendations were accepted. This include:
a) The President's Proclamation, while imposing emergency in a state, should

include the 'reasons' as to why the state cannot be run as per the normal
provisions of the Constitution.
b) As far as possible the centre should issue a warning to the state
government before resorting to the use of Article 356.
c) The Inter-State Council under Article' 263 as recommended by the
Commission has been set up termed as 'Inter Governmental Council'.
d) Sharing of corporate taxes between the centre and states has been made
mandatory.
Venkatachaliah Commission
The latest high power body constituted to examine the working of the
constitution is the National Commission to Review the Working of the Indian
Constitution which was notified on January 27, 2000, with Chief Justice
Venkatachaliah as Chairman. The terms of reference of the Commission were as
under:
The Commission shall examine, in the light of last fifty years, as how far the
existing provisions of the constitution are capable of responding to the needs of
efficient, smooth and effective system of governance and socio.-economic
development of modem India and to recommend changes, if any, that are
required to be made in the Constitution within the framework of Parliamentary
Democracy without interfering with the basic structure of features of the
constitutions."
The Commission functioned with the aid of I0 expert teams after having
identified the major fields for incisive review:
Examine ways to strengthen democratic institutions and their
accountability;
Review Electoral Reforms;
Review the pace of Socio-economic change and development and
eradication of poverty;
Promote Literacy and Employment, besides ensuring Social Security;
Review Centre-state relations, including Art. 356, appointment of
Governors, financial relations and sharing of revenues;
Strengthen Panchayati Raj Institutions;
Enlarge the Fundamental Rights and improve the Rights of the Minorities
and Weaker Sections;
F f f e r t ~ ~ nFt e~ ~ n r l n m ~ nnt ~
n l~ t i e s .
Emerging lssurs Enforce the Directive Principles of State Policy;

9)
10) Legal Control of Fiscal and Monetary Policies.
It appears that the Commission, born out of a controversy about the scope of
enquiry, delimited its area of inquiry in such a way that 'parliamentary
democracy' and the 'basic structure' were out of bounds for them.
The Commission made a s many as 248 recommendations touching on these ten

areas of intensive inquiry. Out of these, only 58 involve amendment of the
Constitution, 86 pertain to legislative measures and the rest require executive
action.
Unfortunately, this Commission Report proved to be a damp squib. There was

hardly any national debate on the issue raised; nor is there any interest among
parties - ruling or otherwise - to pursue the issues seriously.
25.5 EMERGENCY PROVISIONS

In normal times, the union and the states are expected to function separately
within their constitutionally delimited spheres of activities. But our Constitution
makes provisions for proclamation of emergencies to enable the union
government to acquire the strength of a unitary system in times of 'emergencies'.
The Constitution envisages three different kinds of 'emergencies' or abnormal
situations calling for a radical departure from the normal governmental
machinery as set up by the Constitution.
The first kind of emergency, undkr Article 356, as we have discussed earlier
relates to the failure of constitutional machinery in a state. The President is
empowered to make a proclamation when he is satisfied that the government of a
state cannot be carried on in accordance with the provisions of the Constitution
either on the report of the state governor or otherwise. Under this provision
President's rule has been imposed in several states at different points of time. It
has proved to be a drastic coercive power which takes nearly, the substance away
from the normal federal polity prescribed by the Constitution.
The second kind of emergency is the 'national emergency'. Under Article 352, a .
proclamation of emergency may be made by the President at any time when he is
satisfied that the security of India or any part thereof has been threatened by war,
external aggression or armed rebellion. Such a proclamation has far-reaching
consequences for the fundamental rights and for the exercise of executive,
legislative and financial powers of the union government. The nation virtually
slips into a unitary system in times of national emergencies.
A third type of emergency - the financial emergency - may be proclaimed by the

President under Article 360. This is done when the President is satisfied that a
situation has arisen whereby the financial stability or credit of India or any part
of the temtory thereof is threatened. During the financial emergency, the union
executive has powers to direct any state to observe some specific cannons of
financial propriety as well as taking measures such as reduction of salaries and
allowances of persons service the state or the union.
The emergency provisions are so drastic that when the proclamation of either of
the emergencies is in operation, the government is carried practically on a unitary
basis and during the crisis the state governments are, in effect merely subordinate
governments and function as a part of a union structure.
Check Your Progress 2 Centre-State Administrative

Relationship
I) What are the extra-constitutional devices which help in bringing about
cooperation between the centre and the states?
I
2) Explain the three types of emergencies which can be proclaimed by the
union as stipulated in the Constitution.
25.6 CONCLUDING OBSERVATIONS

To sum up, the administrative relationship between the centre and the states in
India has evolved during the course of colonial rule. After Independence the
Constitution of India provided for a system of inter-governmental relationship
both for normal times and emergencies. In normal times, the federal polity was
expected to function on the principle of dual government. The history of highly
centralised government in the past, the influence of the Government of India Act
1935 and the concern of our founding fathers about national stability, peace and
harmony led to the acceptance of a constitutional arrangement of distribution of
powers that deliberately tilted the scale in favour ofthe union.
Later, in course of actual governance, the political forces started reshaping the
Indian polity and central dominance through President's rule and other
provisions harmed the effective working of the federal system. As different
political parties came to power at the union and the state level, the phenomenon
of central dominance had steadily come under attack by the constituent states.
The politics of centre-state relations revolved round such issues as 'more powers
to the states', 'more financial resources to the states' and even a clamour for
redrafting of the Indian Constitution. In response to the states' demands, the
Sarkaria Commission which was set up to review the working of the federal
system suggested appropriate constitutional changes but nothing substantial came
out of it. But it seems that in the years to come 'consensus' rather than 'control'
is going to be the dominant paradigm of centre-state administrative relationship
in the years to come.
As the Administrative Reforms Commission cautioned earlier, "In our anxiety ...
to strengthen the unity of India, we should not think o f indiscriminately
I. .. . . .. .., .I . .. P
Emerging Issues administrative powers at a distant centre tends to breed inefficiency and
resentment, which in turn sets the minds of the people against the centre. A wise
and farsighted administration must be committed to decentralisation of
administrative powers."
Consequently, a federal polity is a decentralised polity. It needs a political will to

design and sustain a decentralised political and administrative system. India
waits for the emergence of this system.
25.7 LET US SUM UP

The distribution of powers between the centre and states in the legislative and
executive fields, as stipulated in the Constitution is clearly delimited in their scope.
At the same time the Constitution provides for devices through which cooperation
between the centre and states is facilitated. These include constitution of All India
Services, Joint Public Service Commission for two or more states and presence of
integrated judicial system. Adequate provisions have been made in the Constitution
in ensuring smooth financial relations between the centre and states, through
provision of grants-in-aid, constitution of Finance Commission etc. The settin of
Inter-State Council by the National Front government for the first time is F
considered a positive step towards promoting harmonious relationship between\the
union and states in bringing about overall development of the country.
The centre has emerged strong over the years:due to centralisation of certain
powers in its hands. Through giving of directions to the states backed by a
coercive sanction for their enforcement, exercising supervisory control over the
states in the maintenance of order, and proclamation of emergencies, the union
exerts its control over the states. The Sarkaria Commission on centre-state
relations suggested certain constitutional changes, which would smoothen the
relationship between the centre and states. Efforts need to be made to make our
federal system decentralised on both political and administrative fronts.
25.8 KEY WORDS

Hegemony : Domination or control by one country or state over
a group of others especially if it is a member of
that group.
Sarkaria Commission : This Commission on Centre-State Relations was

formally constituted by the Government of India,
Ministry of Home Affairs on June 9, 1983 under
the chairmanship of R.S. Sarkaria (a retired judge
of Supreme Court), Shri. B. Sivaraman and Dr.
S.R. Sen were the other two members. The
objective of the Commission was to examine the
working of existing arrangements between the
centre and the states and recommend such changes
in the said arrangement as might be appropriate
within the present constitutional framework.
Article 256 : This provides that the executive power of every

state shall be so exercised as to ensure compliance
with the laws made by Parliament and any existing
laws which apply in that state and the executive
power of the union shall extend to the giving of
such directions to a state as may appear to the
government to behttps://t.me/Upsc_Zone_Official
necessary for that purpose.
Article 257 : This Article of the Constitution relates to the

power of the union to give directions to the state
government's regarding exercise of executive
power to ensure
a) that the exercise of the executive power of the
state does not interfere with the exercise of
executive power of the union (257 (i))
b) the construction and maintenance of means of
communication of national or military
importance by the state (257 (ii))
C) protection of railways within the state (257
(iii))
Article 365 : The Constitution stipulates that where any state
has failed to comply with or to give effect to any
directions given in the exercise of the executive
power of the union under any of the provisions of
the Constitution, it shall be lawful for the
President to hold that a situation has arisen in
which the government of the state cannot be
carried on in accordance with the provisions of the
Constitution.

Administrative Reforms Commission, 1980, Report on Centre-State
Relationship, Government of India, Ministry of Home Affairs, New Delhi.
Basu, D.D., 1982, Introduction to the Constitution of India, Prentice Hall of

India, New Delhi.
Chhabra, H.K., 1977, State Politics in India (A Study of Centre-State Relations),

Surjeet Publications, New Delhi.
Chandrapal, 1983, Centre-State Relations and Cooperative Federalism, Deep

and Deep Publications, New Delhi.
Joshi, G.N., 1983, The Constitution oflndia, Macmillan India Ltd., New Delhi.
Government of India, 1988, Report of the Commission on Centre-State Relations

(Part-I), Nasi k.
Maheshwari S.R., 1989, Indian Administration (41h edition), Orient Longman,

New Delhi.
Py lee M.V., 1983, Constitutional Government in India (#Ih edition), S. Chand

and Co., New Delhi.
Sarkar, R.C.S., 1986, Union-State Relations in India, National Publishing House,

New Delhi.

- -
EXERCISES

Emerging Issues Importance of the clause which provides acceptance of public acts o f ,
both the central and state governments, thereby reducing inter-
governmental conflict, confusion and inconvenience.

a Importance of All India Services with personnel manning administrative
positions both at union and state levels which brings cooperation in
administration.
.-
a The All India Services officers get acquainted with state and district
administration and carry with them this experience while migrating to
the centre to occupy positions of responsibility.
a This interchange of experience improves decision-making.

It helps &:bring about inter-governmental cooperation and effective
consultations between the centre and states on important national
policies.
a It may inquire into and advise upon disputes which may have arisen
between the states.
a It may investigate and discuss subjects of common interest between the
union and States or between two or more states to facilitate coordination
of policy and action.

Governors' Conference
a Chief Ministers' Conference
a Conference pf Inspectors General of Police
-1
a Planning Commission
a National Development Council
2) Yqur answer must include the following points:
a Provisions of Article 356 of the Constitution relating to imposition of
President's rule in a state due to breakdown of its constitutional
machinery.
a Proclamation of 'national emergency' by the President under Article 352
of the Constitution in times of threat to the security of the country due t o
war, external aggression or armed rebellion.
a Declaration of financial emergency under Article 360 by the President
when there i s a threat to the financial stability of the country or territory.

UNIT 26 DECENTRALISATION DEBATE

Structure
Objectives
Introduction
Decentralisation: Meaning
Importance of Decentralisation
Approaches to the Concept of Decentralisation
Types of Decentralisation
System of Decentralisation in India
26.6.1 Pre-Independence Period
26.6.2 Post-Independence Period
26.6.3 Recent Trends in Decentralisation
Factors Impeding Decentralisation
Let Us Sum Up
Key Words
26.0 OBJECTIVES
Discuss the concept of decentralisation;
Analyse the system of decentralisetion in India in the pre and
post-Independence periods;
. Explain the functioning of local bodies; and
State the factors that hamper the smooth functioning of decentralisation in
the country.
26.1 INTRODUCTION
One of the important problems of organisations including that of public
organisations is the issue of centralisation versus decentralisation. In fact, this is
one of the dilemmas facing the government and the administration today. While
on the one hand the compulsions of socio-economic planning, the requirements
of national integration and the consideration of defence strategy, pull the
administration towards centralisation, on the other, the political commitment for
autonomy, greater participation by the people and the need to take democracy to
grassroots pull administration towards decentralisation. We are thus confronted
with contradictory pulls and pressures. To further illustrate, in the words of
Avasthi and Maheshwari "the Planning Commission symbolises the trend
towards centralisation, while 'Panchayati Raj' epitomises the trend towards
decentralisation". In this 'Unit, we shall discuss the meaning of decentralisation,
deconcentration, delegation and devolution, and the system of decentralisation in
India in the pre and post-Independence periods. The future trends in
decentralisation and functioning of rural and urban local bodies will also be
explained.
26.2 DECENTmLISATION: MEANING

The term decentralisation is understood differently by different individuals or
Emerging Issues the administrative techniques that characterises the art and science of
professional management. To quote Pfiffner and Sherwood, "In some respects
decentralisation has come to be a 'gospel' of management. Firstly, it is regarded
as a way of life to be adopted at least partially on faith, secondly, it is an
idealistic concept, with ethical roots in democracy, thirdly, it is in the beginning a
more difficult way of life because it involves a change in behaviour running
counter to historically-rooted culture patterns of mankind. That is why the new
literature of deccntralisation dwells on how to bring about changes in
organisation bohaviclur. Men find i: difficult to delegate, to think in terms of the
abstractions requ~redby long-term planning, to listen rather than to give orders,
to evaluate other men and their work in terms of overall results instead .of
irritations and tensions of the moment. Yet this is the very key to the behaviour
required of leaders in a decentralised organisation." It is clear that
decentralisation is not only a device for the delegation or dispersal of
administrative authority, but it is also a democratic method of devolution of
political cuthority. Further, in a decentralised organisation'it is also essential to
adopt the democratic norms. Such norms help the various levels of the
administrative organisation to develop a reasonable capability for the exercise of
authority to reach the most desired decisions. Moreover, they help to assimilate
in them the virtues of greater interactions not only among the various
organisational levels but also between the organisation and the clientele among
the general public.
It has been opined that dacentralisation refers to the physical location of facilities
and the extent of dispersal of authority throughout an organisation. Hence, it is
an arrangement by which the ultimate authority to command and the ultimate
responsibility for results is localised in units located in different parts of the
country. It is argued that assigning of functions and responsibility, for their
efficient and effective performance, to the subordinates or sub-divisions is the
essence of decentralisation. We may say that in a decentralised organisation
lower levels are allowed to decide many matters and a few cases involving m a j ~ r
policies or interpretations are referred to the higher levels of the orghnisation.
However, in common phraseology the term decentralisation is interchangeably
used with terms like deconcentration, devolution and delegation, though they
have different connotations. Thus, decentralisation denotes dispersal of authority
among the lower levels of organisation and its field offices.
Deconcentration, Delegation and Devolution
The word 'decentralisation' is often confused with delegation, deconcentration

and devolution, which is not correct. The point is that all these words have their
own meanings. For instance, delegation is not a transfer of authority but it is
simply an assignment of authority to a lower body by a higher level of
government. Delegation is merely a technique of administration or management
while decentralisation deals with deep urgencies of democracy. Like delegation,
deconcentration is also a technique of administration. Deconcentration denotes
assignment of certain functions to the agent of the central or state government in
the field. There have always been difficulties in governing the country from the
centre and so the government is compelled to deconcentrate certain functions to
its agents or officers in the field. Another synonymous term is devolution which
is not very much different from deconcentration. The method of devolution is
applied to the formally constituted local authorities while deconcentration is
applied generally to the field agencies or staff. It is thus clear that delegation,
deconcentration and devolution are simply the technical methods of efficient
administration. The meaning and scope of decentralisation are much wider and
deeper. It is a process of democratisation of political power and thereby aims at
achieving democratic values in practice. Decentralisation aims at widening the
area of ~eoole'soarticioation in decision-makine. micro level oolitical authoritv
and autonomy through transfer of specific powers to people's representative Decentralisation rJebate
institutions at t:le bottom.
To make the distinction more clear Panchayati Raj is an example of

deszntralisation. State governments in lndia demanding for more powers,
amounts to devolution. The District Collector, being vested with authority over
development departments in the district is an example of deconcentration. The
Commissioner of Police delegating powers to permit holding of public meeting
tc the Assistant Commissioner of the concerned area is an example of delegation.
26.3 IMPORTANCE OF DECENTRALISATION

Development--Administration is basically oriented towards speedy socio-
economic transformation. Hence, throughout the developing world there is
universal concern now to design new forms of administration to match the needs
of development. Decentralisation has been looked at as a singularly useful mode
of administration to deliver the public services from convenient local centres
close to the clients' locality. Bringing administration to the doorstep of the
citizen and establishing a direct relationship between the client and the
administration have been the driving force behind dectiilralisation in most of the
developing countries.
The urge for decentralisation has come from many sources. Firstly, it has been
prompted by the need to deliver the basic public goods like food, housing, water
from local units of administration as soon as possible. Secondly, most people in
the developing countries live in rural areas which are away from the National
Capital located in distant urban area. Administration has to 'penetrate' the rural
areas and link these up with the nation as a whole. Thirdly, in many countries
sociological diversities manifest themselves in ethnic, linguistic and religious
differences. Administration needs to be decentralised in response to regional
diversities. Fourthly, regional and local resources can be utilised for area
development purposes, only if administration would move out to the regions and
localities. Decentralisation, therefore, facilitates local planning and development
with the help of local resourcks. Fifthly, decentralisation has its own value in
political and administrative terms. Politically, local participation in development
activities, with intensive responses paves the way for meaningful articulation of
local demands. Planning, thus, becomes much more realistic and receives ready
political support. From the administrative point of view, local capability to
govern local areas increases through sustained participation in local decision-
making. Decentralisation is expected to release local energies and enlist local
support for development activities. In the process, the local community can
steadily attain political and administrative maturity.
26.4 APPROACHES TO THECONCEPT

OF
DECENTRALISATION
The different approaches to the concept have been clearly and profoundly
presented by Fesler. Following his classification, the approaches can be grouped
into four categories: the doctrinal, the political, the administrative and the dual-
role.
The doctrinai approach seeks to transform decentralisation as an end in itself

through a process of 'romantic idealisation'. The Gandhian concept of
'concentric circle' of power distribution and the idealisation of village
community in Panchayati Raj have reduced decentralisation almost to a dogma
and as an article of faith. Instead of treating decentralisation as a means to the
achievement of some end-values, such idealisation tends to elevate it to the status
Downloaded from:-
of a hardened https://t.me/Pdf4Exams
doctrine. https://t.me/Upsc_Zone_Official
Emerging Issues The political approach underscores the essentially political character of
decentralisation. Initiatives to decentralise, and willingness to pass on powers
and functions to decentralised units, and to allow these units to actually operate
within a framework of autonomy, are politically determined. Creation of field
units of government, away from central headquarters, exemplify deconcentration.
Decentralisation in the shape of devolution to local self-governing bodies marks
an attempt to'set up autonomous governments at the level of the locajity. Field
units of government like district administration are the long arms of the central
(state) government. To create and maintain local government is thus a major
political commitment. In the absence of such commitment, devolution to sub-
national governments, including self-governing bodies, will remain more in law
than in practice. This leads to what Fesler has called 'illusory decentralisation'.
Both Panchayati Raj and municipal government in India represent to a
considerable extent this sort of faqade devolution.
The administrative approach to decentralisation is motivated by efficiency

criterion. Enhancement of administrative rationality becomes necessary. When
field administrative units are set up through a process of deconcentration, the
measure is considered appropriate for field level decision-making and prompt
problem solving. In this process, administiative units might come up at many
levels between the locality and the central (state) headquarters. With more and
more demand for specialised functions, multiplicity of functional departments
would appear at the field level. The administrative situation gradually presents a
picture of polarisation between general area-based administrative demands and
specific function-centred claims of particular functional departments. Currently,
district administration in India is faced with this problem of area-function
duality. Decentralisation in administrative terms may not therefore always
guarantee 'clarity of authority and orderliness of operations'. To promote such
operational principles, conscious attempts are needed to readjust from time to
time the conflicting claims of area and functions in deconcentrated field
administration.
Finally, the dual role approach, as Fesler puts it, is a kind of rehearsal of the area-
function dichotomy in a new setting. Decentralisation is placed within a larger
context of development and change, as distinguished from maintenance of status
quo. Conceived in administrative terms, the dual role approach seeks to highlight
the conflict in field administration between tradition and change. Most field
administrative systems were evolved in an earlier era mainly to maintain the
established order, to collect revenue and to keep things from going wrong.
Almost all the developing countries that have inherited the colonial field system
are seeking to bring about speedy social and economic change. As a consequence
there has been a radical change in the functions of field administration. To quote
Fesler, "The intent is to change established ways of doing things so as to carry
economic and social. development forward rapidly. This contrasts with the status
quo orientation of a field system geared to maintenance of the established order
and may conflict with the personal orientation of field generalists so chosen and
trained as to identify themselves with the classes, families, and other groups who
constitute the 'establishment'." Resolution of conflict between two different
orientations in field administration calls for adaptation of decentralisation to
changing circumstances. The theme is not unfamiliar to Indian administration in
general and to district administration in particular.
26.5 TYPES OF DECENTRALISATION

Four different types of decentralisation can be identified, viz., administrative,
functional, political and geographical. Administrative decentralisation refers to
decentralisation of authority to the lower officials in the administrative hierarchy
Downloaded from:- of organisations. It may also mean decentralisation
https://t.me/Pdf4Exams powers or functions to the
subordinate units. Functional decentralisation implies that the functions are Decentralisation Debate
decentralised to the specialised units or departments like education or health.
Political X c G i i s a t i o n involves that the political powers and functions
concentrated in the hands of higher-level political organs are decentralised to
lower level political organs. We are all aware that Panchayati Raj agencies are
units of decentralisation wherein political powers of decision making are
decentralised from state governments to panchayats, samitis and zilla parishads.
Finally, in geographical decentralisation, the powers and functions of
headquarters decentralised to the field departments of the state government,
which are fhrther decentralised to their field officers at the regional and district
levels. This facilitates quick decision-making keeping in view the local
requirements.

- 1) Distinguish between decentralisation, delegation, devolution and
deconcentration.
2) Analyse the importance of decentralisation.
3) , Discuss the types of decentralisation.
26.6 SYSTEM OF DECENTRALISATION IN INDIA

A highly centralised imperial rule was gradually decentralised at the level of the
provinces with the Government of India Act 1919 and the Government of India
Act 1935. Under the Act of 1919, as a sequel to the Montague-Chelmsford
Reforms, 'Dvarchv' was introduced in the provinces. This meant that certain
Emerging Issues departments were for the first time put in charge of elected ministers responsible
to the legislature, and the remaining departments were kept in the charge of
Government officials, the Members of the Governor's Executive Council. The
Act of 1935 for the first time introduced a federal form of Government and
conferred 'Provincial Autonomy' on the provinces subject to certain safeguards.
This process of decentralisation of powers from the central government to the

provincial governments was deliberately pursued during British rule for a variety
of reasons such as administrative convenience, political pressure generated by
the national freedom struggle, and the need for political accommodation cif the
elite and the intelligentsia.
There was another kind of decentralisation effort noticeable during the colonial
rule: the policy of setting up local self-governing bodies in urban and rural areas.
It is this form of decentralisation at the grassroots level that continues to raise
doubts and debates even today, and this 'decentralisation debate' has assumed
considerable significance in recent times for two important reasons: first, poverty
'
alleviation and social justice have become a major political agenda; institutional
decentralisation, in this context, is being debated. Second, the Panchayati Raj
institutions have been languishing in most states; absence of a constitutional
guarantee has been diagnosed as the cause of Panchayati Raj decay. The mode of
constitutional protection of Panchayati Raj became a debatable proposition since
the proposal was first mooted by the previous Government.
26.6.1 Pre-Independence Period

The decentralisation debate during colonial rule can be traced to the famous
Ripon Resolution of 1882. To train the Indians in the art of governance, to enable
them to learn from experience and to open up avenues for political participation
of the educated class, Ripon strongly advocated the cause of decentralisation of
administration through the establishment of local self-governing institutions. The
British administrators were not prepared to accept the Ripon thesis as they
questioned the competence of Indians to manage local administration and feared
a general weakening of field administration under a local self-government
regime. The debate was essentially over the choice of values: democracy or
efficiency. With the rising tempo of freedom struggle, the imperial policy had to
however willingly concede Indian demands for self-government and participation
in administration.
26.6.2 Post-Independence Period

The second phase of the decentralisation debate in post-Independence India was
staged on the floor of the Constituent Assembly. Panchayati Raj was an
important component of Mahatma Gandhi's vision of future India in which
economic and political power would be decentralised and each village would be
self-reliant economically. It was in accordance with the wishes of the Mahatma
Gandhi that Article 40 of the Constitution of India was adopted stipulating that
"the state shall take steps to organise village panchayats and endow them with
such powers and authority as may be necessary to enable them to finctions as
units of self government."
Dr. B.R. Ambedlaar, however, had a different view of the Indian rural society. He
argued in the Constituent Assembly that the Indian social structure at the village
Cevel was hierarchical, oppressive and insensitive to change. In his view, it would
be dangerous to give powers to the panchayats as he thought that would mean
giving powers to the prevailing rural power structure which would work to the
Downloaded from:- detriment of the harijans and the rural
https://t.me/Pdf4Exams poor. Two contrasting views about
decentralisation had thus surfaced in the Constituent Assembly; a visionary stand Decentralisation Debate
point of decentralisation and a realistic view of decentralisation.
Any scheme of decentralisation presupposes a harmonious society. As Dantwala

has observed: "In an unequal society, democratic or decentralised political or
planning mechanisms do not succeed in ensuring genuine people's participation."
The Galidhian vision of village society is a normative model that serves the
purpose of a guidepost. But the reality of rural life and the experiences of
Panchayati Raj in India seems to have' largely confirmed the belief of
Dr. Ambedkar. It is interesting, in this context, to note the observations of the
Asoka Mehta Committee on Panchayati Raj Institutions: "Panchayati Raj
institutions are dbminated by economically and socially privileged sections of
society and have as such facilitated the emergence of oligarchic forces yielding
no benefits to weaker sections."
T h e decentralisation debate has its roots at the conceptual level. The concept of
Panchayati Raj has been far from clear and as the Asoka Mehta Committee
commented: "Some would treat it just as an administrative agency; others as an
extensio~iof democracy at the grassroots level; and still others as a charter .of
rural local government."
The bureaucracy-democracy debate over decentralisation which is a4. old as the

Ripon reforms df the late nineteenth century has been rehearsed in recent times
as well. When it came to entrusting local developmental responsibilities, most
state governments opted for their official field machinery and virtually bypassed
the Panchayati Raj institutions. As the Asoka Mehta Committee reported, some
of the state governments would postpone the holding of elections or supersede
the Panchayati Raj institutions for one reason or the other. "The lukewarm
attitude of the political elite at higher levels towards strengthening of the
democratic process at the grassroots was generally the crux of the matter."
26.6.3 Recent Trends in Decentralisation

Even with our development planning experience of more than four decades, there
is no sign of abatement of poverty and social injustice in the form of oppression
of the harijans and the rural poor. One important reason for this state of affairs
that has been widely acknowledged in centralised administration and planning
and languishing popular institutions at the grassroots level. At the end of 1985,
this point was clearly brought out by the G.V.K. Rao Committee on
Administrative Arrangements for Rural Development (CARD). The Committee
emphasised the importance of local initiative in local development and
recommended revitalisation of the Panchayati Raj institutions. Research findings
revealed that the developmental process had gradually been bureaucratised and
divorced from the Panchayati Raj institutions leading to what has been aptly
termed as "Grass without Roots". To quote one study:
"The basic reason for the failure of rural development and poverty
alleviation programmes is the exclusion of the people from participation
in the development process and the abandonment of the institutions of
democratic decentralisation and the related electoral process."
The G.V.K. Rao Committee came out with a blue print of a decentralised system
of field administration with Panchayati Raj playing the lead role in local planning
and development. Another novel decentralisation plan below the state level has
been advocated by Nirmal Mukherji through devolution of politica! powers to
directly elected "district governments" in India. Such a decentralisation plan will
of course virtually
Downloaded affecthttps://t.me/Pdf4Exams
from:- the Panchayati Raj structure from the district to https://t.me/Upsc_Zone_Official
the
..;llo"c.
Emerging Issues The other committee to bemoan the languishing of grassroots democracy is the
L.M. Singhvi Committee on Revitalisation of PRIs for Democracy and
Development (1986). The Panchayati Raj institutions, as the Committee has
observed "have become moribund and ... they have been denuded of their
promise and vitality". To revive Panchayati Raj, the Committee recommended
that "local self-government should be constitutionally recognised, protected and
preserved by the inclusion of a new chapter in the Constitution".
This has since been achieved through the 73rdConstitutional Amendment, 1992,
that accords Constitutional status to Panchayati Raj Institutions. At the same
time, municipal bodies have been accorded Constitutional status under the 74'
Amendment, 1992. The Constitutional status of local government - rural and
urban - has been discussed in detail in Block 4 of this Course.
26.7 FACTORS IMPEDING DECENTRALISATION
Decentralisation is to be seen not only as a method or approach in administration,

it has other dimensions also. To what extent there is actual decentralisation
depends on a variety of factors: administrative, political, social and cultural.
Administratively in a society where there has been a long practice of
centralisation of power, those at the higher levels find it rather difficult to be
mentally prepared to transfer powers to lower levels. Conversely, because of the
long habit of always looking above for receiving orders there is inertia on the
part of the persons working at lower echelons. They would wait for an order
from the above. In some cases, it has been found that even when power has been
decentralised, there is a tendency to shift the responsibility of taking decisions to
the higher levels, to play safe, so that, the onus of responsibility does not fall on
them, if something goes wrong administratively.
Rules and procedures are also laid down for decentralisation of powers, but it is
seen that in actual practice, things are not what they ought to be. There is always
a method of getting around the system, so that the decisions are made from levels
higher than that at which the decision should have been taken. Politically also we
find that though legally and constitutionally, decentralisation might have been
provided for and yet in reality in many cases decisions are being taken by the
political executive even in those areas which may not fall strictly in hislher own
domain. Because of the hold of the political parties, and the practice of the local
politicians being 'nominees' of the politicians at the state and national level, the
very purpose of decentralisation gets defeated. Socially and culturally also if the
society is paternalistic this concept of paternalism also gets transferred to the
administrative structures. And this results either in the superior officer actjng like
a patriarch habituated to giving orders to the officials at the local levels or
conversely the officials at the lower level resent every order, or decision or even
suggestion on part of their superiors as undesirable imposition. The very spirit of
decentralisation of power lies in the fact that we recognise that there are levels of
decision-making and at each level we have personnel competent enough to take
decisions at their level. The success or failure of decentralisation, therefore, to a
very great extent depends on the mentality and attitude of the superior authorities
towards their subordinate authorities; whether or not it is based on trust and
confidence.
In reality, decentrralisation is the cumulative result of decentralisation of

functions, jnances and functionaries. Mere legislative provision does not lead to
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.-I &--I:--
Check Your Progress 2 Decentralisation Debate

1) Discuss the system of decentralisation during pre-Independence period.
2) Examine the recent trends in decentralisation.
, 26.8 LETUSSUMUP
The process of decentralising powers to the lower levels of governance had been
going on since the pre-Independence days. The motives, assumptions and
political-administrative compulsions have, however, differed from age to age.
Since Independence, India has been experimenting with decentralisation and
development. The establishment of Panchayati Raj institutions, on the
recommendations of the Balwant Rai Mehta Committee (1957), was a landmark
in the history of decentralised development. For a variety of reasons, the
Panchayati Raj institutions could not play the desired roIe and in most states the
institutions languished for want of political production and administrative and
financial support. Reports of commissions and committees and many research
studies have pointed out the danger of continued neglect of the grassroots
institutions, both for the health of Indian democracy and for bringing about
meaningful local development with active popular participation. The
Constitutional amendments - 73rd(for Panchayati Raj) and 74' (for Municipal
Bodies) - have since been enacted, granting Constitutional status to local
government.
The 'decentralisation debate' has assumed considerable significance in recent

times for various reasons as discussed in this Unit. There is the need to deepen
democracy. People at the grass roots level need to be "empowered". And, above
all, participatory development ig possible, and becomes a reality only with
decentralisation. In this Unit all-attempt was made to discuss the approaches,
types of decentralisation, evolution of the system of decentralisation in India. It
also highlighted the recent trends, and hnctioning of institutions of
decentralisation in India and factors impeding decentralisation.
26.9 KEY WORDS

Doctrinal : Dogma, something taught as the principles of a
religion, political party.
Emerging Issues Idealisation : Any theory which holds that things exist only as ideas
in the mind or that things are really imperfect
limitations of unchanging forms existing
independently of the material world.
Oligarchic Forces : Government with the ruling power belonging to a few.

Avasthi and Maheshwari S.R., 1985, Public Administration (141h rev. ed.);
Lakshmi Narain Agarwal; Agra.
Bureaucracy and Development Administration, 1978, Centre for Policy

Research, New Delhi.
Jain L.C., Krishnamurthy B.V. and Tripathi P.M., 1985, Grass Without Roots:
Rural Development Under Government Auspicies, Sage Publications, New Delhi.
Maheshwari S.R., 1989, Indian Administration (4Ih rev, ed. and updated), Orient
Longman Limited, New Delhi.
Satyanarayana P. (ed.), 1990, Towards New ~anchayufiRaj, Uppal Publishing

House, New Delhi.
Indian Journal of Public Administration - Special Number on Decentralisation,

July-September 1978.

EXERCISES
1) Your answer mwt include the following points:

*. Delegation implies transfer of certain specified functions by the central
to the local abthority which thereupon acts as the agent of the former.
Devolution is the assignment of functions to formally constituted local
bodies.
Decentralisation denotes assignment of certain functions to the agents of
central or state government in the field.
.: Development administration is basically oriented towards speedy socio-
economic transformation.
To deliver the basic public goods, like food, housing, water.
. Administratian has to "penetrate" the rural area. .
Administration needs to be decentralised in response to regional
diversities.
Administration should move out to the regions and localities.
Local community can steadily attain political and administrative
maturity.
' Administrative
r Functional
Political Decentralisation Debate
Geographical

Ripon Resolution of 1882.
Government of India Act 1919.
Montague-Chelmsford Reforms.
The Act of 1935 for the first time introduced a -federal form of
Government and conferred 'Provincial Autonomy'.
G.V.K. Rao Committee on ~dministrative'Arrangement for Rural
Development stressed the importance of local initiative in local
development.
It recommended revitalisation of Panchayati Raj Institutions.
Emphasised on Panchayati Raj's leading role in local planning and
development.
Nirmal Mukherji's plea for devolution of political powers to directly
elected 'district governments'.
L.M. Singhvi Committee on Revitalisation of Panchayati Raj institutions
for Democracy and Development which recommended that local self-
government should be constitutionally recognised.

UNIT 27 RELATIONSHIP BETWEEN

POLITICAL AND PERMANENT
EXECUTIVES
Structure
27.1 Introduction
27.2 Historical Context
27.3 Policy-Administration Dichotomy
27.4 Principles Governing the Relationship
27.4.1 Norm of Neutrality
27.4.2 Norm of Anonymity
27.5 Areas of Cooperation and Conflict .
27.6 Increasing Popular Consciousness
27.7 Relationship between Political and Permanent Executives: A Changing
Perspective
27.8 Let Us Sum Up
27.9 Key Words
27. I0 References and Further Readings
27.0 OBJECTIVES
Discuss the relationship between political and permanent executives, in the
light of policy-administration dichotomy;
Describe the principles which govern their relationship;
Outline the areas of cooperation and conflict; and
Examine the impact of rising popular consciousness on the relationship.
27.1 INTRODUCTION
This Unit deals with one of the important issues of Public Administration in India,
viz., the relationship between political and permanent executives. The former
derives authority from the people while the latter derives strength fiom its
administrative positions and technical expertise. It is the political executive that the
permanent executive is subordinated to, because the political executive represents
the people. The concept of policy-administration dichotomy, in which is rooted the
basic distinction of the two executives, has been dealt with in this unit. Moreover,
the principles which govern their relationship in the context of the growing popular
consciousness have also been discussed in the unit.
27.2 HISTORICAL CONTEXT

Ever since the state came into being it is associated with power and dominance,
for the state originated primarily to maintain law and order. The monarchy of the
ancient and medieval times represented the unchallenged and unrestricted power
of the monarch and in turn-the state. Human history witnessed the exercise of the
Downloaded from:- naked and arbitrary power. Power has an https://t.me/Upsc_Zone_Official
https://t.me/Pdf4Exams inherent propensity to get centralised.
A - A- :&-. - r L -.--- L-:--- A- ---A ..-- L-- ---.-.- --J 11
consciousness started undergoing change, the structure and the modes of exercise Relationship Between
Political and Permanent
of power could not remain the same. The most important landmark in this Executives
evolution was the industrial revolution which paved the way for capitalist
development. The capitalist development gave rise to pluralism, liberalism,
market-oriented development, the rule of law and so on. Of all the developments
the major one has been the rise of the nation state.
The concept of nation is not new to human history. It existed as the symbol of
cultural and social life of a society for a long time. The concept of the state is
also not new to history. It existed even when there were attempts to establish a
social order. But the state and nation have become coterminus only with the
arrival of industrial revolution. The nation-state has been experiencing
considerable changes. There have been serious attempts to preserve pluralism
and consolidate power. In fhe process it has been realised that concentration of
power in any form or in any institution in the long run tends to be counter
productive. It was in the wake of this realisation that the system was sought to be
built on the concept of separation of powers. It was Montesque, a political
philosopher, who advocated the concept of separation of powers with checks and
balances so as to ensure that naked power is checked and its abuse is reasonably
restricted.
The clear-cut separation of powers between the three branches of government -

the legislative, the judiciary and the executive - marks a significant beginning of
a new system of power distribution. The sole attempt in this system is to impose
proper checks on each branch of the government and more so the executive
branch of the government. The executive branch of the government consists of
two branches: a) political executive, b) permanent executive. The political
executive exercises power by virtue of its elections and the constitutional
position. Theoretically they derive power from the people. The permanent
executive derives its strength partly from its administrative positions but largely
from its technical expertise. As the political executive represents the people and
modern governments are based on the concept of popular sovereignty, the
permanent executive is subordinated to the political executive. In fact in the
parliamentary system of government, the political executive is responsible to the
legislature which in turn is accountable to the people. In this arrangement there is
also judiciary to ensure that the governance is based on the constitutional
provisions on the one hand and the executive, both politiczil and permanent,
confirm and enforce the laws passed by the legislatures without violating their
spirit. While it would be interesting to study the relationship between the various
branches of government, the scope of this discussion is confined to the
relationship between the political and permanent executives.
27.3 POLICY-ADMINISTRATION DICHOTOMY
The basic distinction between the political executive and the permanent is rooted
in the concept of policy-administration dichotomy. It was Woodrow Wilson, in
1887, made a distinction between politics and administration in his paper "The
Study of Administration", which we have studied in Course I of this programme.
He considered politics as concerned with policy formulation which sets tasks for
administration. Administration was said to be concerned with execution of
policies which is the domain of career civil servants. Policy making is the
function of popularly elected representatives. This dichotomy at that time
basically arose due to the prevalence of spoils system in American politics which
led to governmental inefficiency. This view gained support by other scholars,
such as, Willoughby, Pfiffner, L.D. White, etc. This dichotomy implies that the
policy process is entirely different from its implementation. The policy is
supposed to from:-
Downloaded be the primary function of politics and the politics in turn
https://t.me/Pdf4Exams are
Emerging Issues supposed to be rooted in an ideological structure. Ideology' is a set of priorities

that a given political party prefers from the available alternatives to solve
different problems that people of a society confront. The difference between one
political party and the other is based on the differences in preferences. On the
contrary, the permanent executive deals with the collection of factual information
about the concrete situation. It furnishes the information necessary for the policy
outcome. Once the policy is made, the administration or the permanent executive
needs to initiate action and take all the measures to accomplish the tasks that the
policy sets for the administrative machinery. The permanent executive is
expected to equip itself with the necessary technical and managerial expertise
both.to administer people and things. As they are permanent they also possess the
experience with the help of which the pitfalls can be avoided and the goals
realised with economy and efficiency.
There has been a considerable debate on this dichotomy. There have been
arguments for and against such a theoretical position. While theoretically such a
separation is conceivable, it is argued, operationally it poses a number of
problems. There is a question about the sbparation of facts and values: when the
permanent executive furnishes the factual information, does it not get mixed up
with their values. Is it possible for the individuals to separate their values from
the facts that they collect? Then it is asked: whether the permanent executiyes
implement the policies if they do not subscribe to those preferences? In other
words, how can any individual implement a programme which he does not
subscribe to. Further is it correct to believe that the members of the permanent
executive do not have value preference? These questions are not discussed in
detail. However, those who maintain that dichotomy is feasible, argue that policy
preferences involve more of values and political processes while the
administrative process involves more of techhical details and facts and less of
values. It would not be possible for the same agency to do both the functions
simultaneously with economy and efficiency. The separation of these two
functions is not only theoretically desirable but also operationally essential.
27.4 PRINCIPLES GOVERNING THE RELATIONSHIP

Once the premise for separation of these two wings is agreed upon, the two
wings must operate based on certain basic conditions. The conditions become all
the more necessary when the distinction in activities is delicate and overlapping.
It is this necessity that gave rise to two important norms, viz., neutrality and
anonymity. Let us try to understand the implications of these two norms.
27.4.1 Norm of Neutrality

The norm of neutrality assumes three coilditions: 1) changing of political parties in
power, 2) meritorious bureaucracy; 3) permanent bureaucracy. Let us now try to
understand these three conditions. Firstly, in a liberal democracy with pluralistic
nature of political parties, particularly with electoral mechanism, there is bound to
be a change of parties in power. That is, in fact, the logic of the system. In United
States, there used to be spoils system before the Pendleton Act was passed. Under
this system the political parties coming to power had complete discretion to change
the admihistrative personnel ffom top to the bott'om. This means the political
values of the party coincided with the values of the administrative system. For the
administrative personnel were chosen mainly on the basis of their values. This
system did pose its own problems giving rise to the passage of Pendleton Act
which brought in the concept of merit.
This leads us to the second condition, viz.,

recruitment of the members of
administrative svstem on the basis of merit of the individuals. Here we are not
going into the question of what is merit. It is sufficient to state that the criteria Relationship Between
evolved for selection is uniformly applied to all the candidates aspiring to join Executives
the administration. Here care is taken to avoid political valuation, in the narrow
sense of the term.
This leads to the third condition, viz., recruitment on a permanent basis. This
means the persons chosen for the service become life members of the service.
This implies that changes in the fortunes of political parties have nothing to do
with the continuation or otherwise of the members of the civil service. In fact it is
these factors which have brought in.the concept of permanent executive.
The recruitment of the personnel on a permanent basis in a changing political

climate calls for neutrality of the permanent members. This means the members
are not supposed to commit themselves to any political values. They are expected
to cooperate and assist any party in power irrespective of the political
preferences. This implies that members of the permanent executive either do not
have clear preferences or do not allow those values enter their day-to-day work.
There have been several debates on this question. But the existing theoretical
position is that the permanent executive and their individual value preferences
cannot go together. With the result neutrality has come to be accepted as one of
the governing norms of the relationship between the political and permanent
executives.
27.4.2 Norm of Anonymity

The second principle - anonymity flows from the norm of neutrality. The principle
of anonymity emphasises that permanent executive works from behind the screen.
In other words, they should avoid public gaze. This implies that the political
executive takes the total responsibility for omissions and commissions. The
executive takes the.credit for the achievements and discredit for the failures. The
people through electoral mechanism punish or reward the political executive or the
political party that the executive represents. The permanent executive has to work
under the overall guidance and direction of the political executive. The political
executive will have all the powers not only to extract work from the permanent
executive but reward or punish them. Under this arrangement the pattern of
accountability is so distributed that while the political executive is solely
accountable to the people, the permanent executive is also accountable to the
political executive. It is precisely the reason why anonymity has come to be
considered as one of the governing norms of political-permanent executive
relationship.
The discussion on these two norms can raise the question: how do we reconcile
these two norms? For while the first norm advocates neutrality, the second
advocates accountability. If the permanent executive is totally accountable to the
political executive, can the latter afford to be neutral? If it means that they should
be committed to the political executive in power, is it possible for the permanent
executive to go on changing its commitment from regime to regime? Otherwise the
members of permanent executive should maintain neutrality in such a way that
they may even grow indifferent to all the regimes. However, it is assumed that
technical and managerial skills are not political. It is often noted that Lenin
welcomed Taylorism which was the product of industrial development in America.
The skills and the technical knowledge which are assumed to be non-political can
be used by any political party in power.

Emerging lssues 1) "The basic distinction between political and permanent executive is rooted
in the concept of policy-administration dichotomy." Explain
2) Why is the norm of neutrality essential in the relationship between

permanent and politicaf executive?
27.5 AREAS OF COOPERATION AND CONFLICT

This separation has certain built-in advantages and strengths. The political
executives devote their time for political mobilisation of the masses and also for
political education of the masses. In addition to mobilising the masses, they can
formulate the value preferences by comprehending the popular moods and
changing aspirations. They can also discuss various alternatives at a fairly higher
level. The permanent executive can continuously evaluate its own field
experience and draw meaningful lessons for subsequent programmes. They can
also monitor various schemes at day-to-day or step level. They can also devote
greater time to improve their own manageria1 and technical skills for better and
effective realisation of the goals. Thus, this separation of functions can lead to
I
division of labour which in turn can contribute to a higher level of efficiency in
the society.
There are several reasons for cooperation between these two executives
becoming less. The following are some of the important reasons for this
deteriorating situation.
Firstly, the cooperation between the political and permanent executive ,

1)
depends upon the societal consensus on the goals pursued. This is t e
advantage of some of the western capitalist societies where there is
J
considerable consensus on the goals of development. There is also a
certain degree of homogeneity in the societal formations. This gives an
added advantage to those systems. In other words the conditions existing in
the society provide the base for a better pattern of relationship between the
political and permanent executive. In the third world societies like India
where the consensus on development goals has not yet been achieved,
there are bound to be certain problems. The heterogeneity of the society is
shared by both the political and the permanent executives. The political
executives, in the absence of consensus on development and absence of
socio-political homogeneity, are subjected to political uncertainty. The
absence of long-range view of the society weakens the ideological base.
Downloaded from:- Thi?, in turn, leads to a lot of ambiguity
https://t.me/Pdf4Exams in policy preferences. The leads to
what has come to be popularly known as adhocism. Adhocism cannot Relationship Between
provide direction to the permanent executive. On the contrary political Executives
processes start occupying even the technical and managerial space. This
leads to narrowing down of the distinction between the political executive
and permanent executive. This can strain the relationship.
Secondly, the conflict between these two executives, partly emanates from
the historical process and partly from the socio-economic development.
Historically speaking the permanent executive during the colonial period
not only performed the administrative role but political too. In fact during
the colonial phase these two functions converged to a point'that to make a
distinction between the two would be difficult. It was the anti-colonial
movement, aiming at political power for elected representatives, which led
to the demarcation of the roles. While the freedom movement presented
the aspirations of the people, the bureaucracy appeared as a counter-force.
Thus the political elite had their own doubts and suspicion. The
bureaucratic elite, deeply rooted in the colonial administrative culture, had
an exaggerated view of themselves. They suffered from ego and
arrogance. The achievement of freedom should have resulted in
redesigning the whole bureaucratic system so as to make them fit to
perform the new tasks. But the political elite hesitated to recast the system.
With the result the bureaucracy which was used by the colonial masters
against the freedom fighters was the very game instrument which the
elite of Independent India had to depend upon. The differences
embedded in historical process rendered cordiality between the two
branches a bit dificult.
3) Thirdly, there is another dimension which leads to conflict. The social

origins of the political and administrative elite in India do present a
difference. While both the elites do not come fiom the large masses, they
differ in their middle class origins. The political elite have got to be
relatively more heterogeneous than the middle and higher level
administrative functionaries. While a bulk of the members of the political
executive, particularly at the state level, have been drawn fiom the rural
and agricultural background, the top and middle level administrators are
from the urban middle and upper middle classes. These differences are
manifest in their style of living, mode of communication, ways of looking
at things and their mannerisms. Thus the differences get preserved and
accentuated. Although the character of bureaucracy has been changing, it
has been changing rather slowly. The nature of political elite is also
undergoing change. Yet one cannot say that they are comparable or
identical. In other words the urban, industrial middle class on the one hand
and rural agrarian upper or middle strata on the other dominate the
permanent and political executives respectively. The relationsGps are also
partly shaped by these factors.
4) Fourthly, there are also institutional mechanisms which accentuate or

widen the areas of conflict. The political institutions normally are
empowered with greater discretion and flexibility. They have to be
relatively more responsive as they are in constant touch with the social
system. The political executive, in parliamentary system of government,
takes even the legislature for granted. In a number of instances they take
the decisions to the legislature or Parliament only for ratification. In fact
in the parliamentary from of government, the initiative does not rest with
the legislature. The whole process is reduced to either the ratification or
rejection of what has been brought before the legislative houses. Thus the
political executive has become quite strong. In fact it is observedhttps://t.me/Upsc_Zone_Official
that
Emerging Issues parliamentary governments over a period of time have become the cabinet
system of governments which in turn are turning into prime ministerial
governments. Thus the executive branch has appropriated the powers of
the legislative organs and became quite powerful. With this enormous
power, they want the matters to move faster. They feel no constraints in
exercise of power. The permanent executive has also gained greater power
by virtue of being an integral part of the executive branch of the
government. However, due to long colonial background and the rules and
regulations and established procedures, the permanent executive tends to
be less flexible. They also do not appreciate the political expediency. For
them precedent is very important. The very nature of the institution is such
that their authority is located in the law. As a result they do not feel
enthusiastic about experiments and innovations. The political executive
does attempt to change these institutions through administrative reforms.
There are a number of instances to show that the permanent executives do
not welcome the reforms. In fact at the first instance they try to hold back
the reform measures. The strong habit of clinging to the rules and
regulations continue to influence their approach. Thus the conflict arises
between flexibility and rigidity, expediency and experience, purpose and
the process.
Lastly, in develoqing countries like India where there is scarcity of resources and
intense competition, for those limited resources, the political executive is
subjected to enormous pressure. The impact of pressure group on the
administration shall be discussed in the Unit on Pressure Groups. The political
executive in turn puts pressure on the bureaucracy. In a number of cases the
tendency is to violate the norms, which they themselves formulate. The norms
become necessary for lawful governance but pressures are built in scarce
situation. As a result the permanent executive is pressurised to violate the norms
and the other rules and procedures. They resist these trends as they are rooted in
the rigid rules and regulations. This gives rise to tensions. A section of them
may make compromises. This process may end up in public offices being used
for private purposes. This may land these officers in various controversies and
sometimes enquiries etc. These are some of the important reasons that had given
rise to a number of tensions in the relationship within the executive branch of the
government.
-
27.6 CREASING
POPULAR CONSCIOUSNESS
*
In the recent past it is increasingly noticed that rising consciousness of the people
can also lead to greater strain in the relationship between the political and
permanent executive. In most of the developing economies like India, the
resources are limited and are disproportionately distributed. The masses who
were under the grip of culture of silence have started coming out of it. This has
happened partly due to the freedom movements or anticolonial struggles.
During these struggles the aspirations of the masses have been raised. They have
taken part in the movements with new hopes and dreams. This has definitely
contributed to greater demands on the system. The consciousness also started
changing due to the electoral or political processes. The competitive politics
went on further triggering the hopes of the people without matching
performance. A number of countries in the third world have put an end or
abandoned competitive electoral politics and opted for military dictatorships.
But those societies like India which continued to have electoral politics go on
making promises to the people. The logic of this political process is that the
masses at one stage start insisting on performance, for every promise must end
up with performance or frustration. The political systems which developed
Relationship Between
higher skills in policy-making have not simultaneously equipped themselves with Political and Permanent
the necessary capacity to hlfil those promises. This wide gap leads to unrest and Executives
sometimes even violent outbursts. It is in this context that we should understand
the rapidly changing patterns of relationship between the political and permanent
executives.
The political executive, in the situation mentioned above, passes through two
distinct changes: the first is the stage of manipulation and the second is the stage
of repression. In the stage of manipulation they resort to rhetoric, populistic
slogans, ad hoc solutions and shifting the blame on to the others. It is this
process in which the political power moves away from the people. The
permanent executive has to remain at various field levels and the day-to-day
interaction with the violent people cannot be avoided. The failures of the system
are seen as failures of the administrative machinery and the failure of the
permanent executive.
It is these developments which gave birth to the notion that policies are good but
the implementation is bad. The question that one has to raise is that can there be
good policies which are not implementable? Supposing the political executive
sets certain unattainable targets and blames the permanent executive, does that
get justified. In other words, failure at the level of implementation need not
necessarily be an administrative failure. In fact a good policy is the one which is
effectively and successfully implemented. For the problems of implementation
must be discussed at the stage of policy formulation itself. The strategies of
implementation cannot be planned at the implementation level itself. At this
level certain technical details can be worked out. Certain minor modifications
can be introduced. But the issues like adequate resources, necessary
technologies, institutional infrastructure, need to be developed at the policy
making level and not at the level of implementation.
The notion that policies are good and implementation is bad has an implicit
assumption that political executive is committed while the permanent executive
is lazy, indifferent and noncommittal. The logic is that those who formulate
good policies should necessarily be good and those who fail to implement those
policies are bound to be bad. Here the principle of neutrality can become a
negative factor. That is why we must see the policy and implementation as an
integrated process.
The major outcome of this whole process is the strain that it imposes on the
patterns of relationship. The political executive which is in no position to face
the tides of increasing consciousness would not know how to tide over the
situation. With the result there would be a strong tendency to blame the
permanent executive. In fact here may be occasions when the political executive
may openly criticise and attack the permanent executive. In such a situation the
permanent executive governed by the principle of anonymity may not be in a
position to publicly defend itself. The people may express their resentment
against the permanent executive more directly, aided and encouraged by the
political executive. Thus they may have to face the public wrath in the early stag
of public unrest. When the political executive chooses to press the coercive arm
into action, the gap between the permanent executive and the people gets further
widened. This is a stage where the relationship between the political executive
and the people touches the lowest ebb. That is why the relationship of permanent
and political executive should be studied in their larger context.

ii) Check your answers with those given at the end of the Unit. https://t.me/Upsc_Zone_Official
Emerging Issues 1) Why in India, cooperation between the two executives is increasingly
becoming less?
2) How does the rising consciousness of people lead to greater strain in the
relationship between the two executives?
27.7 RELATIONSHIP BETWEEN POLITICAL AND

PERMANENT EXECUTIVES: A CHANGING
PERSPECTIVE
The politico-administration dichotomy propagated earlier is now undergoing a
change. The nature of traditional concept of civil service neutrality is
transforming. The policy formulation and implementation are now considered as
activities complementary to each other. Hence, for efficient government
administration, co-operation between the political and permanent executives is
considered imperative. The Administrative Reforms Commission in India also
laid down certain norms as:
a) the obligation of every public servant to implement faithfully all policies

and decisions of the ministers even if these be contrary to the advice
tendered by them;
b) the freedom of public servants to expose themselves frankly by tendering

advice to their superiors including the ministers; and
c) the observance by public servants of the principles of neutrality,

impartiality and anonymity.
Policy implementation also needs the consultation and guidance of the political
executive. Also certain operational decisions taken during implementation of
policies have policy implications. In the present day globalisation era, the tasks
of administration are getting specialised and policy formulation has become an
activity that needs specialised inputs from administrators. Administration is also
becoming professionalised. The implementation activities also need the co-
operation of political representatives as they acquire the necessary feedback,
which is helpful for formulation. The earlier held view about the
conceptual distinction. between policy and administration cannot hold good in
present times. , https://t.me/Upsc_Zone_Official
Relationship Between
27.8 LET US SUM UP Political and Permanent
Executives
Thus, in this Unit, the relationship between political and permanent executive has
been analysed. The principles governing their relationship, viz., norm of neutrality
and norm of anonymity have also been discussed. The Unit made an attempt to
highlight the reasons behind the strained relationship between the two. The areas of
cooperation between the ministers and secretaries have been explained too.
27.9 KEY WORDS

Liberalism : It is the belief in gradual social progress by reform and
by changing laws, rather than by revolution.
Nation-State : A state organised for the government of a nation

whose territory is determined by national boundaries,
and whose law is determined at least in part, by
national custom and expectation.
Pendleton Act : The reform of Civil Services in U.S. began with The
Pendleton Act (1883). Its aim was to promote
appointment on the basis of merit through open
competitive exam and assure the appointees security
of tenure. It recommended the establishment of a
United States Civil Service Commission. The Act was
concerned with classified positions only. Labourers,
workmen and persons nominated for confirmation by
the Senate were excluded fiom the purview of the Act.
Populistic Slogan : A slogan made to win the will of the people

irrespective of the fact that the promises therein may
be too "high" to achieve.
Pluralism : The existence of a variety of different people, opinions

or principles within the same society, system or
philosophy.

Bhambri C.P., 1977, Bureaucracy and Politics in India, Vikas, New Delhi.
Eisenstadt, S.N., 1969, Modernization: Protests and Change, Prentice-Hall of

India Private Limited, New Delhi.
Heady, Ferrel, 1966, Public Administration: A Comparative Perspective,

Prentice-Hall of India Private Limited, New Delhi.
Jain R.B., 1976,' Contemporary Issues in Indian Administration, Vishal

Publications, New Delhi.
Kothari, Shanti and Ramashray Roy, 1969, Relation Between Politicians and
Administrators at the District Level, IIPA and the Centre for Applied Politics,
New Delhi.
Riggs, Fred W., 1964, Administration in Developing Countries: The Theory of

Prismatic Society, Houghton MiMin Co., Boston.
Srivastava, G.P.,1976, Relation Between the Political and Permanent Executive

in India, in Changing Aspects of Public Administration (ed.), O.P. Motiwal,
Chugh Publications. Allahabad.
Emerging Issues
EXERCISES

The policy, being the primary function of politics, is rooted in an
ideological structure.
Permanent Executive deals with factual information about concrete
situations.
Need for separation of facts and values.
Changing of political parties in power.
Meritorious bureaucracy.
Permanent bureaucracy.
\
,
Absence of consensus on development and socio-political homogeneity.
The bureaucratic elites' &i)&erated view of themselves.
Factor of social origins of the members of the political and permanent
executives.
Institutional mechanisms, widening the areas of conflict.
Freedom movements and then Independence leading to new hopes and
dreams.
Competitive electoral politics raising the aspiration of the masses.
Political executive's emphasis on populistic slogans.
Failure to meet the promises and blaming of each other.

UNIT 28 PRESSURE GROUPS

Structure
28.0 Objectives
28.1 Introduction
28.2 Pressure Groups: Meaning
28.2.1 Pressure Groups and Political Parties
28.2.2 Pressure Groups and Lobbying
28.3 Characteristics of Pressure Groups
28.4 Types of Pressure Groups
28.5 Nature of Pressure Groups in India
28.6 Methods of Operation of Pressure Groups in India
28.7 Limitations of Pressure Groups
28.8 Concluding Observations
28.9 Let Us Sum Up
28.10 Key Words
28.0 OBJECTIVES
Explain the meaning and characteristics of pressure groups in India;
Discuss the various types of pressure groups existing in the country;
Throw light the problems faced by the pressure groups; and
Highlight the need for their effective functioning.
28.1 INTRODUCTION
Pressure groups have become a very important part of an administrative system.
These groups try to pressurise the administrative and political system of a
country either to ensure that their interests are promoted or to see that at least
their interests are not relegated to the background. No system can function
effectively without taking their viewpoint into consideration. In developing
countries like India where there is a scarcity of various resources on the one hand
and acute poverty and deprivation on the other, the pressure on administrative
system is bound to be very heavy. The pressure groups arise in different forms in
different walks of life. They provide a stabilising mechanism and form a crucial
component of the structural equilibrium which means that they perform the
system maintenance function. There can be another side of the phenomenon
where the pressure on the system may reach a breakdown point. Thus, the
questions like how the pressure groups are formed, how do they operate and what
mechanisms the system adopts to cope with the pressures become important
issues confronting the administration of any country. This Unit t i e s to give us a
clear picture regarding the functioning of pressure groups in India.
28.2 PRESSURE GROUPS: MEANING

Pressure groups are forms of organisations, which exert pressure on the political
or administrative system of a country to extract benefits out of it and to advance
Emerging Issues their own interests. In the present contest these forms of organisations are
broadly referred to a$ Civil Society Organisations (CSO). In this unit we shall be
examining their role as pressure groups. The term 'pressure group' refers to any
interest group whose members because of their shared comtnon attributes make
claims on the other groups and on the political process. They pursue their
interests by organising themselves and by influencing the governmental policies.
Their aim is to see that laws or government's actions are favourable to their
interests.
Pressure groups have been in existence in different forms ever since

governmental machinery became capable of delivering certain benefits to either
individuals or groups. They did take more concrete form in the wake of industrial
revolution and the rise of market oriented economies. The emergence of trusts
and monopolies and the struggle over tariffs led to the formation of pressure
groups. With the advancement of technology and agricultural skills new
problems, desires and needs arose and therefore new groups and organisations
came into being to advance their common interests. State assumed various
welfare functions in addition to its earlier regulatory activities. All this entrusted
considerable power and discretion in the hands of state apparatus and the need to
exert more pressure on the State became stronger. The dominant sections of the
society needed the help of the State in promotion of the economic activities and
the weak and the deprived needed its help for meeting their basic requirements.
To articulate their interests, and exert pressure on the State apparatus these
groups gained prominence. Pressure groups in mobilising and organising masses
have widened the base of political participation as well as creating a responsive
political and administrative system. They help in social integration, political
articulation and act as catalysts for change.
Finer has characterised pressure groups as 'anonymous empire'. Richard D.

Lambert views it as unofficial government. These groups influence both public
policy as well as administration. They also contribute towards determination of
political structure of society and the form of government. Any social group
which seeks to influence the, behaviour of any political officer, both
administrative as well as legislative, without attempting to gain formal control of
the government can be called a pressure group.
28.2.1 Pressure Groups and Political Parties

Pressure groups have to be differentiated from political parties. Political parties, in
the strict sense of the term, are associations of individuals sharing common values
and preferences. They are organised on ideological lines and present a vision for
the future. They have well trained cadres who are engaged in continuous political
mobilisation of the masses! They use all the political means available to capture the
power and consolidate their position to attain or realise their ideological goals. In a
broader sense they are also interest groups. They have a social base whose interests
it must protect and promote. They may adopt pragmatic approach and operate only
in the immediate context. They may, sometimes, degenerate to the level of a
pressure group to extract benefits for their group. In such a situation the distinction
between a pressure group and political party may even disappear.
The pressure groups unlike the political parties are formed to solve their
immediate problems. They are relatively more temporary than political parties. A
pressure group may appear for a short time if it does not present any long-range
programme. However, where the interests of the group are of long-range, the
pressure group may also last longer. In such cases it may even project the
sectarian interests as general or universal interests. It depends on the imagination
of their leadership. The pressure groups may have a well-knit organisation and Pressure Croups
organised membersllip. Generally they do not have cadres and do not directly
deal with people. In most of the cases they deal either with the political parties or
governmental apparatus. The pressure groups have far greater flexibility
compared to political parties as they do not go to people and stake their claims
for power. It is precisely this process that distinguishes political parties from
pressure groups.
28.2.2 Pressure Groups and Lobbying

Pressure groups and lobbying is not one and the same thing. Lobbying takes place
when a few members of pressure groups loiter in the lobbies of the legislatures
with a view to securing an opportunity to interact with legislators and to influence
the decisio~lsof the legislators. Parity cannot be drawn between lobbying and
pressure groups even though the lobbyists are the representatives of particular
interest groups. Lobbying is a communication process used for persuasion; it
cannot be treated as an organisation. Lobbying is used in governmental decision-
making and it aims at influencing the policy process. It acts as an instrument that
links citizens and clecision-makers. Lobbying is different from pressure groups in
the sense that pressure groups are organised groups and they perform various
functions including lobbying.
To have a proper understanding of pressure groups we must try to familiarise

ourselves with the various characteristics of pressure groups.
Based on Certain Interests
Each pressure group organises itself keeping in view certain interests and thus tries
to adopt the structure of power in the political systems. In every government and
political party there are clashing interest groups. These groups try to dominate the
political structure and to see that groups whose interests cl,ash with theirs are
suppressed. Thus, each political party and system is pressurised by certain interest
groups which may be similar or reactionary to each other.
Use of Modern as well as Traditional Means
Another characteristic feature of pressure groups is that they try to follow modem
means of exerting pressure, without fully giving up the traditional or old ways of
operation. They adopt techniques like financing of political parties, sponsoring
their close candidates at the time of elections and keeping the bureaucracy also
satisfied. Their traditional means include exploitation of caste, creed and religious
feelings to promote their interests.
Resulting Out of Increasing Pressure and Demands on Resources
As the resources of developing countries are usualIy scarce, there are cIaims and
counter claims on their resources from different and competing sections of the
society. In such a situation, there has to be a process of allocation. The public
policies thus become the devices through which allocation takes place. However,
the allocation process has to be accompanied by certain amount of authority for the
demands of all the groups cannot be satisfied. In the process certain other groups
are denied the benefits. Those who are denied the benefits are found to be unhappy
and do express their resentment through different forms. This may range from mild
protests to from:-
Downloaded violent outbursts. In such a situation the allocator of values, viz.,
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43
Emerging Issues State employs different techniques to contain the movement or meet the protest.
At ideological level the State would claim legitimacy of its authority to allocate the
values. If the legitimacy claim is accepted then the conflicts get resolved in a more
orderly fashion. If the claims for the legitimacy are rejected, the State employs
force and justifies it on the grounds of legitimacy and maintenance of order in the
general interest of the society. The pressure groups take birth in this process.
In every society there is a continuous generation of demands. In developing

countries like India, where around forty per cent population is below the poverty
line, the demands emanate from the basic physical requirements of human
beings. There are demhnds not only for food and basic needs but demands for
work and opportunities. It is significant to note that the pressure for these
demands has come more from the elite than the poor people themselves.
Although there is restlessness, it has not acquired a concrete form in terms of
poor peoples' organisation. The poor continue to be one of the most unorganised
segments of the society with the result their problems do not get articulated
sufficiently and pressure applied is not adequate to extract the share that is due to
them.
I 1
Alternative to Inadequacies of Political Parties
Pressure groups are primarily a consequence of inadequacies of the political

parties. The political parties are expected to articulate the demands of different
deprived and dominant interests in the system. They are also expected to
organise and mobilise the support structure to various demands. In India, the
spectrum of political parties indicates that while all of them do talk of the poor
and other deprived sections and give prominent place to their problems in their
manifestoes, a larger number of them neither have the capacity nor the political
will to organise the poor. Thus, the political parties leave a wide gap in the
system. This gap is not filled by the pressure groups either. This is due to the
inability of the poorer sections to organise themselves.
The political parties have not been able to present the interests of the dominant
groups as adequately and fully as one woulcl expect them to do. Most of the
political parties compete for the same social base. With the result there is not
much difference between one party programme and the other. This has left
enormous gaps in the socio-economic system of the country. These gaps have
come to be filled up by the pressure groups.
In a mixed economy where the state has opted for planned development, the
dominant interests are always suspicious of the intentions of the state. This gives
rise to organised pressure groups as a counter-check to politics and political
parties. For -instance, the Acts like Monopolies Restrictive Trade Practices
(MRTP) or land reforms can always be a source of doubt about the real
intentions of the policy formulators. That is the reason why the dominant
interests are alert throu& pressure groups.
Another reason why political system leaves considerable space for pressure
groups is the continuous regulations and restrictions imposed by the political
system. From obtaining a licence to selling a product in the market, there is
presence of the State. T is is a highly bureaucratised process. The interest or
h\
pressure groups not only need to.have a highly organised pressure system but
maintain middlemen, liaison officer, hidden persuaders and so on. They adopt
several methods to extract the favours from the system on the one hand and
Downloaded from:- circumvent highly impending procedures, rules
https://t.me/Pdf4Exams and regulations on the other. The
Pressure. Groups
political parties because of their dependence on the poor voters do not publicly
plead for the course of the dominant interests. On the contrary their rhetoric is
anti-dominant social groups. This gives rise to pressure groups.
Represent Changing ~onsciousness
Pressure groups are a sign of changing consciousness. The consciousness of

different groups go on changing as the result ( I ) changing material conditions; and
(ii) increasing politicisation. The change in the material conditions leads to higher-
level consciousness. For instance the increase in the food production or industrial
goods does bring a change in the way individuals and groups look at the world.
The stagnation in production leads to fatalism but increase in the production leads
to demands, protests and formation of new pressure groups. This is the initial
expression of the changes in material conditions. This also leads to sharpening of
the political processes. The political parties and political groups try to mobilise
various groups by raising new demands or articulating the new aspirations. The
people at large respond to those processes as they enter a new phase of
consciousness. Thus, the changing material conditions and consciousness create a
'new situation for the rise of pressures and in turn the pressure groups.
The pressures arising from competition are, in fact, the real arena of pressure
group phenomenon. The poor and the deprived sections lack the capacity to
organise themselves, therefore, they are usually organised or represented by the
elite for upper strata. That is why the nature of pressure that is applied on behalf
of the poor would be different from the pressure that the better off sections apply
on the society. The better off sections who are locked up in competition from the
limited resources of the society employ all the methods possible to extract
maximum benefits from the system. It is in understanding the modes and
methods that these groups adopt, our awareness of the problem gets enlarged.
In present times, the role of some movements, for protection of rights of people,
has become significant. They are playing the role of a pressure group. For
example, the Narmada Bachao Andolan (NBA) movement has generated
consciousness amongst the people in questioning the actions of government
regarding dam construction and its repercussions.
Similarly, in the State of Rajasthan, a people's organisation known as Mazdoor

Kisan Shakti Sanghthan (MKSS), could succeed in making the people question
and demand information on money spent on roads; loans to poor and so on. This
made the basis for the right to information movement. People are exerting their
rights to get information from the government regarding activities that rightfully
concerns them.

1) Discuss the meaning of pressure groups.

2) In what way are pressure groups different from political parties?
3) Explain the difference between lobbying and pressure groups.
28.4 TYPES OF PRESSURE GROUPS

Different writers on comparative government have classified interest groups or
pressure groups on the basis of their structure and organisation. According to
Almond and Powell, interest groups can be classified into four categories,
i) Institutional Interest Groups
ii) The Associational Interest Groups
iii) Anomic Interest Groups
iv) Non-Associational Interest Groups
Institutional Interest Groups
These groups are formally organised which consist of professionally employed

persons. They are a part of government machinery and try to exert their influence.
But they do have much autonomy. These groups include political parties,
legislatures, armies, bureaucracies and churches. An example of institutional group
can be the West Bengal Civil Services Association. Whenever such an association
raises protest it does so by constitutional means and in accordance with the rules
and regulations.
Associational Interest Groups
These are organised specialised groups formed for interest articulation, but to
pursue limited goals. These include trade unions, organisations of businessmen
and industrialists and civic groups. Some examples of Associational Interest
Groups in India are Bengal Chamber of Commerce and Industry, Indian
Chambers of Commerce, Trade Unions such as AITUC (All India Trade Union
Congress), Teachers Associations, Students Associations such as National
Students Union of India (NSUI) etc.
Anomic Interest Groups
These are the groups that have analogy with individual self-representation. In such
type of groups, perpetual infiltrations such as riots, demonstrations are observed.
These groups are found in the shape of movement demonstrations and processions, Pressure Groups
signature campaigns, street corner meetings, etc. Their activities may either be
constitutional or unconstitutional.
Non-Associational Interest Groups
These are the kinship and lineage groups and ethnic, regional, status and class
groups that articulate interests on the basis of individuals, family and religious
heads. These groups have informal structure. These include caste groups, language
groups, etc.
28.5 NATURE OF PRESSURE GROUPS IN INDIA
The different types of pressure groups found in India are business groups, trade
unions, peasant groups, student groups, teachers' association, caste and religious
associations, women's associations, etc.
The Business Groups
The Business group is the most important and organised pressure group in India.
They are also most effective. They are independent of the political parties that exist
and they have enough resources with which they can safeguard their interests.
Business associations have existed in India even before Independence. The
important business groups include the Confederation of Indian Industry (CII),
Federation of Indian Chambers of Commerce and lndustry (FICCI) and Associated
Chamber of Commerce. They exert varied kinds of pressures, they try to influence
planning, licensing bodies and economic ministries. Some businesspersons are
always there in different legislatures at the Central as well as State level. Every
Ministry of the Government of India tias some kind of consultative committee and
business groups are represented there. During pre-budget meetings the Finance
Ministry interacts with the groups, to secure suitable inputs which helps in budget
formulation.
Trade Unions
The Indian Trade llnion movement has rapidly developed. The trade unions were
present prior to Independence. Under communist influence, the All India Trade
Union Congress (AITUC) was established in 1920s. The emergence of the
comnlunist movement also played an important role in the growth of trade unions
in India. In 1948, the Indian National Trade Union Congress (INTUC) was
established. Trade Unions in India are closely affiliated with the political parties;
many national political parties have got their own federations of trade unions. In
fact no amount of independence from political parties exists in trade unions. They
seem to have been able to exert significant pressure at the policy formulation level
and their strength is well recognised by political parties and government. The trade
unions when required can be very vocal and militant in their actions to meet their
demands. They work through the weapon of strike and have been able to achieve
monetary gains in ternis of wage increase, bonus, change in wage structure, etc.
These type of pressure groups have been able to encourage class consciousness and
class sojlidarity among the workers. We have witnessed over the past few years the
trade unions resorting to demonstrations, during the disinvestment by the
government in public sector undertakings over the past few years.
lnspite of certain institutional limitations, such as, ideological differences, internal

splits, external pressures, lack of international backing, the trade unions exert
significant pressure at various levels of policy formulation.
Emerging Issues Peasants Organisations
The rise of peasants groups in India has been mainly due to abolition of Zamindari
System, implementation of Panchayati Raj, land reform measures, Green
Revolution Movement. They gained power since 1960s. In 1936, the All India
Kisan Sabha was established and after 1942 the Communist Party of India acquired
control over it. Different parties have got their own peasant organisations. Like the
trade unions, there is no peasant organisation which may be independent of party
control, though at the State level, their organisations are non-political, independent
of the political parties and homogenous. The agriculturists are mainly organised
more in regional or local class unions than on all-India basis. Even though there are
some important All India Kisan Associations like All India Kisan Congress, All
India Kisan Kamgar Sammelan, Akhil Bharatiya Kisan Sangh, peasant groups
have been mainly organised on territorial basis.
Their demands relate to procurement prices of agricultural products, fertiliser

subsidy, tenancy rights, electricity charges, etc. The Bharatiya Kisan Party (BKP)
in Western U.P. is considered the most significant pressure group. The interplay
of language, caste factor, weak financial positions, etc. have been greatly
responsible for non-emergence of national level pressure groups.
Students Organisations
The student organisations in India have also acted as pressure groups both prior to
Independence and after Independence. The All Bengal Students Association was
formed in 1928. The All India Students Federation (AISF) was established in 1936.
After Independence the political parties continue to be affiliated with student
organisations. The All India Students Congress and later on the National Students
Union of India (NSUI) are affiliated to the Congress Party. The All India Students
Federation and Students Federation of India (SFI), are controlled by Communist
Party of India. The Radical Students Union, Democratic Students Union, Akhil
Bharatiya Vidyarthi Parishad (ABVP) etc. are all affiliated to different political
parties. They try to pressurise governmental policy on various crucial issues, their
activities are not just confined to educational issues. Like the students
organisations we also have teachers' associations.
Community Associations
Apart from these there are various community associations in India. These
community groups are organised on the basis of caste, class and religion. Some
examples of caste organisations are Scheduled Caste Federation, Backward Caste
Federation, etc. Amongst other organisations there ire some like Vishwa Hindu
Parishad, Northern and Southern India Christian Conference, etc. which represent
interests that are supposed to safeguard their respective religions.
28.6 METHODS OF OPERATION OF PRESSURE

GROUPS IN INDIA
, The pressure groups adopt different methods to realise their goals. These
methods even include cordial rapport with the political party in power, to even
resorting to agitational methods. The pressure groups finance the political parties
during the election time and sometimes even during the non-election times. They
control the parties through this funding mechanism. There have been several
debates on election finances but no discussion resulted in regulating or
controlling the flow of finances. Once the parties receive financial support, they
cannot oppose these groups and their interests. On the other hand, they have to
promote their interests. It is believed that several members of the national and
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https://t.me/Pdf4Exams top industrial groups.
The pressure groups also maintain close rapport with the State apparatus, viz., Pressure Groups
the bureaucratic machinery. The organised pressure groups maintain a
wavelength with the key bureaucrats. The role of rampant corruption needs no
mention. The liaison officers are appointed to take care of the bureaucrats,
particularly when they are stubborn. The lobbyists, middlemen, etc. have
acquired enough of skills to manage them. This has also given rise to
favouritism, corruption and other maladies in bureaucracy. While one cannot find
anything seriously wrong with the pressure groups, it is the methods of operation
which have become controversial.
Although all the pressure groups use identical methods, there are some groups
which are far more effective than the others. The capacity of a pressure group is
determined by:
a) leadership
b) organisational abilities
c) mass media
d) economic power base
e) mobilisational techniques
There is a need to discuss these factors to assess the potential of a pressure group
and the way it is determined. .
Leadership
This is one of the essential components of pressure groups. For it is the leadership
which has to protect the interests of the group. It has to be so projected that in
public image it is viewed as a universal interest. The leadership should also
regularly communicate to the political parties, policy-making agencies and the
public. The support of all these three forces is essential. The leadership should be
able to establish credibility and be able to cany public opinion. The leadership
should be, therefore, capable of communicating the viewpoint of their group arally,
in writing and through dialogue. In short the success of leadership lies in
universalising the particular interest.
Organisational Abilities
There is also a need for an organisational network. In a country like India with its
size and magnitude, it becomes essential that there are units of the organisation
throughout the country. These organisations are needed for two reasons: firstly to
associate the various facets of the interest groups and consolidate them and
secondly, in a highly diversified society, communication should take place at
multiple points so that rapport with different agencies at different levels is
maintained. The size and organisational strength can always play a significant role
in terms of the response of political system to the demands that the pressure group
puts forward.
Mass Media
In India the mass media is slowly gaining importance. In countries like United
States it has come to dominate the socio-political process to such a point that can
make the things unmake. In United States it is completely in private sector. In India
the newspapers are by and large owned by the major industrial houses. Now the
regional newspapers are also becoming influential. The print as well as the
Television in present times through their skills of communication create powerful
Emerging Issues public images and through continuous debate and propaganda influence the public
opinion. The political parties and policy-making agencies are sometimes kept on
tenterhooks by the media. In fact during the post-Independent India one issue on
which government had to retreat is the issue of freedom of press. Whenever the
bills were introduced either in the state legislature or union parliament, they had to
be withdrawn. Enough of public pressure could be built on this issue. For this is a
major weapon in the hands of the industrial houses or private sector to influence
the policy-making process.
Economic Power Base
The economic power of the interest groups is a crucial factor. The influence a
pressure group commands is proportionate to its economic strength. From
financing the elections and party funds to carrying propaganda, the economic
power of the group plays an important role. In India the industrial and trading
houses have been far more influential and powerful than the farmers associations,
inspite of farmers being spread all over the country. It is clear that without
adequate economic resources the pressure groups cannot exert proper pressure.
Mobilisational Techniques
Effectiveness of the pressure groups also depends on their capacity to mobilise the
people. The interest groups not only create public opinion but sometimes draw the
general masses into agitational and protest politics. If they want to set an industry
in a particular area, they create the necessary climate and make the people of the
area demand for the industry. If they want infrastructure facilities they pressurise
the government through its network at first and through a public demand and an
agitation, later, if necessary. This is how a major irrigation dam can also be
demanded and realised. In a society where the majority is semi-literate and semi-
conscious, private interests can always be converted into public interests.
28.7 LIMITATIONS OF PRESSURE GROUPS

In India, organised groups largely infloence the administrative process rather than
the formulation of policy. This is dangerous as a gap is created between policy
formulation and implementation. Unlike the pressure groups in the developed
countries of the West, where these are invariably organised to safeguard economic,
social, cultural interests, etc., in India these groups are organised around religious,
regional and ethnic issues. Many a time factors of caste and religion eclipse the
socioeconomic interests. The result is that instead of serving a usehl purpose in
the political administrative process, they are reduced to work for narrow selfish
interests. Moreover, many of the groups have a very short life because of the lack
of resources. This explains the reason for the mushroom growth of pressure groups
as well as their withering away as it becomes difficult to sustain the interest of the
persons, initially attracted to form these pressure groups.
In a country like India the tendency to politicise every issue, whether it has
social, economic, cultural import, restricts the scope, working, and effectiveness
of pressure groups. Instead of the pressure groups exerting influence on political
process, they become tools and implements to subserve political interests. As a
matter of fact, the factors which inhibit development of sound civic
consciousness, also hinder emergence of healthy and hnctional pressure groups
as a legitimate means of projecting legitimate socio-economic-ethnic and cultural
Downloaded from:- interests of the citizen.
Check Your Progress 2 Pressure Groups

ii) Check your answers with those given at the end.of the Unit.
1) Discuss the different types of pressure groups.
2) What methods of operation do the pressure groups adopt?
3) Analyse the problems faced by the pressure groups in India.
28.8 CONCLUDING OBSERVATIONS

Pressure groups are now considered as an indispensable and helpful element of the
democratic process. The society has become highly complex and individuals
cannot pursue their interests on their own. They need the support of other fellow
beings in order to gain greater bargaining power; this gives rise to pressure groups
based on common interests. For a long time these groups remained unnoticed,
initially they were considered as harmful for the democratic process, but now their
role in the political process has become very important. Democratic politics has to
be politics through consultation, through negotiation and some amount of
bargaining is also involved. Thus, it is very essential for the government to consult
these organised groups at the time of policy formulation and implementation.
28.9 LET US SUM UP
Thus, we saw that pressure groups are a very important part of any system. No
administrative and political set up can function without the advice and cooperation
of pressure groups. The Unit explained the meaning and importance of pressure
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groups. An attempt https://t.me/Pdf4Exams
was https://t.me/Upsc_Zone_Official
made to discuss the nature of pressure groups in India and
Emerging Issues their methods of operation. The different types of pressure groups that exist in any
political and administrative system were highlighted upon. The problems of
pressure groups and need to overcome them were also clearly dealt with.
28.10 KEY WORDS

Fatalism : The belief that all events are determined by fate and
hence are inevitable.
MRTP Act : To prevent the concentration of economic power and to

control the growth of monopolies, the government
adopted the Monopolies and Restrictive Trade Practices
Act (MRTP Act) in 1970. Undertakings under this Act
have to obtain government approval for expansion of
their activities.
Disinvestment : The government through the industrial' policy of 1991,

provided for offering a part of government's
shareholding in select public sector enterprises, to
mutual funds, investment institutions, workers. This
was to encourage wider public participation and promote
greater accountability of public enterprises.
Rhetoric : The art of using .words'effectively, in a forceful and

dramatic way which appears to be clever and important.
Tariffs : A system of taxes upon exports and imports.

Chakraborty, Sunil Ranjan, 1974, Pressure Groups in West Bengal, in Indian
Journal of Political Science, April-June, Volume 35.
\
Das Harihara and Sasmita Das, 1988, Indian Government and Politics,
Discovery Publication House, Delhi.
Goyal, O.P., 1977, India: Government and Politics, Light and Life Publishers,
New Delhi.
Hansraj, 1982, Indian Government and Politics, (Indian ~oliticaiSystem),

Surjeet Publications, Delhi.

EXERCISES - - --

Pressure groups are forms of organisation, which exert pressure on
political andadministrative system.
They pursue their interests by organising.themse1ves.
They have become stronger as a result of industrial and technological
development.
Thev have to he differentiated from nolitical narties and lohhvin~
Pressure Groups
Pressure groups unlike political parties are formed to solve their
immediate problems.
Usually they are relatively more temporary than political parties.
Pressure groups have greater flexibility as compared to political parties.
Pressure groups do not have cadres and generally they do not directly
*
deal with people.
3) Your answer must'include the following points:
Parity cannot be drawn between pressure groups and lobbyists.
Lobbying cannot be treated as an organisation.
Pressure groups perform various functions that include Idbbying.

Associationat Interest Groups
Non-Associational Interest Groups
Anomic Interest Groups
Institutional Interest Groups
Strength of leadership
Mass media
Organisatiollal capability
Economic strength
Mobilisational capability.

Narrow selfish interests
Lack of resources
Political pressures
Gap between policy formulacon and implementation.

UNIT 29 GENERALISTS AND SPECIALISTS

Structure
29.0 Objectives
29.1 Introduction
29.2 Generalists and Specialists: Meaning
29.3 Relationship Be,tween the Generalists and Specialists
30.3.1 Arguments in Favour of the Generalists
30.3.2 Arguments in Favour of the Specialists
29.4 Recommendations of the Administrative Reforms Commission
29.5 Bridging the Gulf Between the Two
29.6 Let Us Sum Up
29.7 Key Words
29.0 OBJECTIVES

Explain the meaning of the term 'generalists' and 'specialists';
Review and assess the roles of generalists and specialists in administration;
Discuss the impact of the relationship between generalists and specialists on
administration; and
Outline the recommendations of the Administrative Reforms Commission on
,this issue and review their follow-up.
\
The administration of any country requires different categories of personnel to

cany out its functions. The personnel ought to have the necessary knowledge,
skills and qualities to be able to perform the various administrative functions.
There are horizontal and vertical divisions in administration. The horizontal
divisions are marked according to the temtorial or regional levels at which the
personnel are located. The vertical divisions, on the other hand, are demarcated
according to the functions or tasks allotted to the employees or their groups. The
vertical divisions are further conceived to belong to the generalist and the
specialist categories. These are not as such formally defined categories.
Functions and tasks are just the basic units of the classification or categorisation
of the administrative personnel in government. In this Unit we will discuss about
the functions of the generalists and specialists, nature of their relationship and its
impact on administration. The Administrative Reforms Commission's
recommendations to improve the relationship between the two will also be dealt
with.
A generalist is considered an administrator with no technical or specialist

qualifications. In India, a member belonging to .Indian Administrative Service
(IAS). as well as a member of Administrative Service in Britain is a generalist.
Generalists and Specialists

A generalist entrant to the civil service would have graduated (passed B.A., B.Sc.,
B.Com., B.Tech. or M.B.B.S.]in literature or history or social sciences, or physical
or biological science or mathematics, or commerce or accountancy, or a technical
subject like engineering, or medicine. On the strength of hisher subjects at
graduation, which may be different from the specialisation needed for job offered,
hetshe is not fit to be posted in a particular department engaged in performing
specific function such as agriculture, health, social service, etc. The posting of a
generalist civil servant in a department or at a regional level of administration has
nothing to do with the subject of histher education or of further training or
administrative experience. Hisher selection to the civil service through a
competitive examination open to all graduates in any discipline, such as, arts,
social sciences, sciences, commerce, engineering1 technology, medicine, is
adequate to entitle hidher to occupy a position in a department or at a regional
level such as a district or a division, (a group of districts) or in the secretariat.
A generalist usually performs the POSDCORB functions (planning, organising,

supervising, directing, coordinating, reporting and budgeting).
A specialist is an expert, who is confined within a specialised area or department

and occupies the technical positions in administrative hierarchy. They are entrusted
with the task of providing technical advice to the generalist administrator.
Spicialists are those civil servants who have acquired proficiency in terms of their
. education and experience in administration of specific subjects. They include
medical doctors, engineers, scientists, etc. Generalists are selected in
administration on the basis of their having obtained a University degree
irrespective of the subjects at it. They are selected, unlike the specialists, for having
reached a certain (minimum) level of education per se indicating the essential
minimum extent of intellectual and mental development. The Generalists are not
chosen in administration for their proficiency in a particular discipline or branch of
study or for further training or experience in that branch. It is said that
administration per se becomes a matter of specialisation of the generalists.
In any department or the government secretariat or any other administrative

institution such as a public enterprise or a university or a local body, as one goes
higher and higher in the level of responsibility, say from the clerk to the
superintendent to the officer-in-charge of an office and further to the executive
officer leading to the secretary of a department or ministry, functions become more
and more generalist in nature. Even in technical or functional departments such as
irrigation and power, agriculture, medicine and health, the secretary to the
departments and the head of the executive department performs the generalist
functions of policy-making, control of the administrative machinery, direction,
supervision and control of the employees, coordination within and outside the
organisation under control, and public relations. The technical or functional
departments are no doubt suffused with the substantial content of the subject
matter of the respective departments.
In modern times the functions of administration have become varied and complex.
The state, besides maintaining law and order and looking after regulatory functions
is engaged in multifarious economic and welfare functions. The state has been
entrusted with the task of setting basic industries like steel, mining and heavy
electricals. The state also looks after the welfare of the physically challenged, the
health of the infirm, the old and the children. Not merely that, the production of
nuclear energy, conductmg scientific research and introduction of innovations in
technology are a must for the modern state. In a country like India where the
Emerging Issues peasantry forms the bulk of the population besides the above-mentioned functions,
the state is also concerned with assisting them with finances, technical information
and other inputs. Literacy rate is very low in the country. All this has cast heavy
responsibilities on the government. The functions of administration have become
enormous, varied and complex. This tendency has been visible in the west
especially after the first world war, and in India after Independence. To take care of
the diverse functions in a welfare state, specialists are appointed in administration
in growing numbers at various levels and in different departments and ministries.
A specialist is a person who has special knowledge in a specific field. To

systematise the working of the specialists in administration, they are recruited in
cadres, i.e., groups of public services like engineers, medicos, statisticians,
agricultural scientists, computer scientists, etc. The number of generalist
administrators at supervisory or directional levels has not grown to the extent to
which the number of specialist officials with higher responsibility has increased.
Clerks, typists, stenographers, accounts clerks, etc. are appointed in all departments
at all territorial levels. But they do not perform duties of direction, supervision,
control, coordination and public relations, which are the managerial functions of an
administrator. So these employees or officials with lesser and routine
responsibilities are left out in the discussion on the roles of the generalists and the
specialists here.
Specialists are also posted as advisers, special/administrative assistants and

researchers to the chief executive, viz., Prime Minister, Chief Minister or City
mayor. Here they operate as a staff agency, and not as a line agency. In line
agencies, i.e., departments or public enterprises also, specialists like the lawyers or
statisticians assist the administration.
293 BETWEENTHE GENERALISTS

RELATIONSHIP
AND SPECIALISTS
The system of administration in India which has largely been. generalist
dominated has been due to the impact of administrative philosophy of England
during 1 9 ' ~century where generalists formed the basic principle of
administration. Later the Northcote-Trevelyan Report on the organisation of
Permanent Civil Service (1854) and the Macaulay Report on the Indian Civil
Service (1854) also favoured the generalist dominated administration. This
continued even after independence also.
The issue of the relationship between the generalists and the specialists has come
to the fore on account of various factors. In the first place, they are organised in
separate hierarchies, i.e., groups having supervisor-subordinate relations between
various levels. That is why, the generalists and the specialists have lost contact
with each other, and they look to each other with a kind of envy and suspicion. In
the second place, the tasks of policy-making, control of administrative machinery
and management at highest levels are allotted largely to the generalists in
preference to the specialists, excluding few exceptions. In the third place,
generalists are moved from one department to another, from one type of job to
another, from a department to a public enterprise or local government and back,
without hindrance. The specialists, on the other hand, are transferred or promoted
within their respective departments. These contrasting situations have given rise
to a feeling among the generalists of being 'administrators' per se and par
excellence, and an inferiority complex and a feeling of being neglected among
the specialists. Posts of secretaries in the government departments, and-even of
heads of most executive departments are reserved for the generalists. There are Generalists and Specialists
also salary differences in favour of the generalists. This privileged position of the
generalists tends to offend the self-image of the specialists, and in result their
morale and confidence.
The generalists and the specialists also function in the private sector industries
and business. But their relations do not suffer from bitterness or envy, as in
Public Administration. This is so because in private administration specialists
like engineers, accountants also occupy managerial and executive positions.
In India, gradually, the basis of liberal university education in arts (including social
sciences) and sciences for the recruitment to the Indian Civil Services has been
broadened to include graduates in engineering, medicine and technology. So, the
old Macaulayan premise of liberal education based university graduates as
"flowers of the earth" being the most suitable for selection as civil servants does
not hold good in India today. The members of the Indian Administrative
Service(1AS) occupy higher posts in various departments both in the field and the
secretariat except those which are too technical, i.e., specialists that are occupied
by the members of the Central Services. Apart from the Central Services which are
included among the specialist services, scientists, legalists, engineers, economists
and other cadres are also termed specialists. The IAS incumbents like those in the
Indian Police Service(1PS) and the Indian Forest Service are posted in the State
administration as well as in the Central administration. But, strictly speaking,
members of the Indian Police Service and the Indian Forest Service are not
generalists; the IAS is really considered the only genuine generalist civil service in
India. The members of the 1AS begin their career in a State administration as an
assistant collectorlcom~nissioner and rise to hold headship of an executive
department like agriculture, sociat welfare, saIes tax, etc., and secretaryship of a
department in the State secretariat. After a stint of 10 years or so in the State
administration, some of the IAS civil servants are transferred to the Central
Secretariat, and in sonie cases finally elevated tq secretaryship of a department,
ministry there. Some of these are again deputed at times to the Central public
enterprises RS managing directors andlor Chairmen. But this trend is diminishing in
recent times.
Specialists occupy different positions in their own departments in the field and
the Secretariat, A few of them rise to the secretaryship of the respective
department. ~ h ; tis said here about the specialists in the Central administration
applies to those in the State administration.

1) Who are the specialists in administration?

Emerging Issues 2) What type of functions are performed by the generalists?
3) Why has the issue of the relationship between generalists and specialists
come to the fore?
29.3.1 Arguments in Favour of the Generaliqts

Traditionally, the Indian p~iblicservices have been structured on the British pattern
of division of services into the higher "adminibrative class and other subordinate
technical services". The originif such dichotomy can be traced to the famous
Northcote-Trevelyan Report on "Organisation of the Permanent Civil Service",
1853. The report recommended that the superior posts in the administration should
be filled with educated and promising young men by a competitive examination.
This administrative class recruited on the basis of literary attainments in recent
years has come to be called generalists. The Macaulay report in 1854 laid emphasis
on the superiority of generalists over the specialists. This was the basis and the
philosophy on which the Indian Civil Service was constituted. This philosophy
continued to hold good till Independence. However, due to the increased welfare
functions of the government, Trevelyan and Macaulay philosophy has been
questioned and challenged seriously:
The main idea in the selection of the generalist civil service and the placement of
its entrants to the high level positions in any department including the secretariat
is that the intelligent young university graduates would occupy these positions
with distinction without a formal in-service training. Another idea behind the
generalist civil service was that these young entrants would perform the
functions of providing advice to the government in policy-making, formulating
decisions for execution of government policies, whichever be the subject or
function of administration. The technical experts in the respective subjects would
help in these tasks.
Various points are put forward in favour of the generalists. They have a broad
outlook and flexibility of approach, to adjust themselves to any department and
position at any level, and to reflect and judge on any issue in administration. As
they shift the ability of the generalists to assimilate different experiences
functional, public and political, their ability to occupy higher position in any
department and post gets strengthened.
Besides, it is argued that the generalist acts as a mediator, an umpire between the
expert and the politician, the people and the government, the pressure groups and
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https://t.me/Pdf4Exams and the political
executive, and the conflicting points of view and aspects. The generalists are said Generalists and Specialists
to know the "minister's mind" better than the specialists. They tone down the
angularities and extremities of the positions taken by the technocrats or the
specialists. The specialists, it is held, favour costly proposals which the
generalists can size up.
29.3.2 Arguments in Favour of the Specialists

During the nineteenth century when the generalist civil service was founded in
Britain and India, highly specialised knowledge was not required in administration
as its functions were limited to the maintenance of law and order and looking after
regulatory activities. The general criticism of the generalists is that they have not
developed the essential professionalism or adequate knowledge in depth of the
work of any departmewdue to the absence of specialised education or post-
service entry training in the work of that department. This has resulted, it is pointed
out, in defective policy-making and had made basic evaluation of the policies
difficult. The methods adopted for execution of policies are also ineffective.
Effective co~nmunicationwith the sources of expert advice in and outside the
administration is not established. Because most of the policies and the decisions
flowing from them are executed by the specialists or officials under their charge,
the generalists are away from the perception regarding the extent of the effective
execution of the policies and the decisions and the reasons for it. The specialists
feel that generalists misu~~derstand technical advice or do not obtain it at all. The
generalists cannot undertake forward planning because they are not equipped with
the necessary knowledge of the developments in particular subjects like
engineering, agriculture, education, health, etc., as they move from one department
to another, and even out of a department to a public enterprise or a university, or an
auxiliary body like the National Book Trust or the National Council of Educational
Research and 'Training (NCERT). Further, the 'intelligent amateur' theory
underlying the constitution ofthe generalist civil service would not be applicable to
the recent times when the functions of administration have become complex, more
technical, scientifically oriented and subject specific.
The specialists advance their case for being placed e ~ a nequal footing with the
generalists on various grounds. The shortcomings in the administration by the
generalists are cited in their own favour. The chief merit of the specialists claimed
by them for occupying the highest positions of headship of executive departments
and secretaryship of secretariat departments in advance on the strength of their
knowledge and experience of respective specialities. It is also activeIy canvassed
by the specialists that, on the one hand, the generalists become better qualified to
hold higher positions in different departments because they themselves have
fashioned the system in their own favour, and on the other hand, the specialists are
deprived of occupying highest positions even though they are better equipped.
Scientific training inculcates an objective spirit among the specialists which
reduces the alleged functional bias in them. Nor are the generalists completely free
from a personal bias in the course of administration. The charge on the specialists
of not being cost-conscious and of being too close to own department's clientele, is
answered with a similar argument.
The dual hierarchical structures of the cadres of the generalists and the specialists
respectively not only mar administrative efficiency but also create discontent
among the specialists. Easier and more cordial communication between them
would result. Better expert advise from the specialists would be evoked.
Career planning is necessary both for the generalists and the specialists in the
interest of the develop~nentof both and the greater efficiency and effectiveness of
the administrative system. Both have to be trained in the managerial functions and
techniques. A comlnon body of knowledge useful to both needs to be taught in the
course of the post-entry training. Better communication and cooperation between
these two components
Downloaded of the
from:- administrative system have to be encouraged. https://t.me/Upsc_Zone_Official
Emerging Issues In 1968, the Fulton Committee in U.K. recommended a greater role for the
specialists in administration. It favoured fostering professionalism among the
specialists through training in management and also specialisation in subject
matter.

1) What are the arguments advanced by the generalists in favour of their
dominant position in administration?
2) What are the arguments put forth by the specialists in favour of their
position in administration?
29.4 RECOMMENDATIONS OF THE

ADMINISTRATIVE REFORMS COMMISSION
The issue of the relationship of the personnel of the Indian Administrative Service
with those of the specialist services occurs at both the levels central as we11 as the
state. The IAS is an All India Service in the sense that its personnel are recruited
and appointed by the central government, but serves both the state and the central
governments. The role of the IAS in the field administration in the States, in
providing manpower for appointment as District Collectors and magistrates and
development officers to the posts of Zilla Parishad (Chief Executive Officers1
District Development Officers), is also unique. In the Government of India, the
members of the IAS are appointed as secretaries, joint secretaries and deputy
secretaries to various departments after having a stint of service with the state
governments as a deputy secretary or a secretary. They serve the Government of
India on a tenure basis for say five years, and revert to their respective states on
completion of the tenure unless their tenure is extended. Prior to the publication of
the report of the Administrative Reforms Commission on Personnel
Administration (April 1969), the specialists were rarely promoted to the posts of
secretaries in the central or state governments. Besides, in the state government
members of the IAS are also appointed as heads of departments including technical
ones like agriculture, animal husbandry, sales tax, etc. except police or
engineering. The differences in pay-scales of the IAS and the other services do
exist, vyhich add to the discontent among the members of the specialist services
such as thJndian Audit and Accounts, Railways, etc. at the central and the
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There could be no two opinions about the "main considerations for the formation Generalists and Specialists
of the Indian Administrative Service" as stated by a Study Team of the
Administrative Reforms Commission. These are to: i) provide top administrative
personnel to the central government as well as to the state governments; ii) provide
opportunities to the central administrative machinery for constant touch with
realities and for contact with the people; iii) provide opportunities to the state
administrative machinery for acquiring a wider outlook; iv) facilitate liaison
between the centre and the states; v) bring about uniformity in the standards of
administration; vi) ensure that services are free from communal or party basis; and
vii) ensure contentment and sense of security in the services.
'The Administrative Reforms Commission (ARC) maintained that in view of the

complexities of the governmental functions today, it needs a diversity of skills for
the administration of various programmes of development; that many of these
skills are not available; and that these considerations have a great bearing on the
staffing policies of the government.
One of the major recornmendations of the ARC was that all posts requiring close
and intimate familiarity with a subject matter, i.e., a fhnction should. be put into a
separate cadre (i.e., service). These posts should 'form a functional service and
should, therefore, be earmarked for the officers of the service. However, the
movement of persons at various levels in the functional service is not to be
automatic but through careful selection at each level. The unified grading structure
recommended by the ARC sought to help the process of selection.
'The ARC recognised however that there would be many posts which would not
require subject matter (functional) specialisation but would call for broad
conceptual and managerial skills. These are the policy level posts of-secretaries in
the secretariat. For these posts no single functional service is uniquely qualified.
These posts are very important, so the Commission has suggested that they should
not be manned as at present but by a different method. The method recommended
by the Commission is to hold an examination to all officers of higher services with
8-12 years of experience in government and test them for their suitability to occupy
higher-level policy positions. This examination should be designed to assess the
candidate's capacity for communication, clarity of thought, overall managerial
ability, power of analysis and comprehension of current social, economic and
political issues. The ARC has suggested that after the officers are selected on the
basis of this examination, they should be allotted to one of the eight specialities
mentioned by the Commission, according to their background and aptitude. These
specialities are: (i) personnel and manpower; (ii) economic administration
(including planning), (iii) financial administration; (iv) agricultural administration;
(v) industrial administration, (vi) social and educational administration; (vii)
internal security and defence; and (viii) general administration. After this
allotment, the careers of these off~cerswould be within the selected speciality, but
there would be judicious job rotation of these officers in related areas.
Criticisms could be offered on these categories of functional professionalisation of

the civil services in India at the higher policy-making level, as also on the mode of
examination to be held at the mid-career of the civil servants for selections to this
level. But the recommendations of the ARC on-the matter ensured the pre-
eminence of the generalist Indian Administrative Service as well as justice to the
highly qualified and experienced among the specialists in respect of their claims to
the higher level posts in policy-making.
Similar professionalisation and mode of selection was suggested by the ARC at the
state level
Emerging Issues
29.5 BRIDGING THE GULF BETWEEN THE TWO
Of late, certain steps have been initiated towards inducting specialists into
administrative positions both at the centre as well as the states. For example, the
Department of Atomic Energy is headed by a ouclear scientist, Ministry of Law by
a member belonging to the legal pkofessid,n or service. Similarly, scientists
preponderate in the scientific research depadents. The Planning Commission is
exclusively manned by specialists and professiunals.
There is another method in vogue of giving a specialist head of the department ex-
officio status of JointfAdditional Secretary to the government. For instance, at the
union level, the members who are heads of operating departments are ex-officio
secretaries in the Union Ministry. At the state level too, specialists are appointed as
secretaries - ex-officio or in own right - in departments like law, public works, etc.
The Director General of Indian Council of Agriculture Research (ICAR) is the ex-
officio Secretary of the Department of Agricultural Research and Education in the
Ministry of Agriculture. Similarly, the Director General of Council for Scientific
and Industrial Research (CSIR) is the ex-officio Secretary of Department of
Scientific and Industrial Research in Ministry of Science and Technology.
An independent Personnel and Administrative Reforms Department has been

constituted at the centre in accordance with another recommendation of the ARC.
Similarly, imparting of training in managerial techniques and reforms in
administration as suggested by the Commission is under way. But the concept of
overall career planning and development seems to have been stuck up.
In the public enterprises, prior to the report of the ARC on public enterprises,
government secretaries most of whom were generalists used to be appointed either
in ex-officio capacity as part time ChairnardManaging Directors or Directors or on
a full time substantive basis. The recommendation of the ARC to discontinue the
practice was accepted and implemented by the Government.
Another possible way out to bridge the existing gulf between the generalists and
specialists could be the formation of any one of the following hierarchies like:
i) Separate Hierarchy: The system is prevalknt in Australia, Sweden where
there is common pay and greater respect for specialists.
ii) Parallel Hierarchy: This is a system where a specialist will be worEing with a
generalist like for example Director General (Specialist) will be working
with Deputy Secretary (Generalist).
iii) Joint Hierarchy: Here both a generalist as well as a specialist report jointly to
a permanent Secretary who is a generalist.
iv) Unified Hierarchy: This implies creation 0f.a unified civil service merging
both central and All India Services. This requires common competitive
examination of uniform standard and uniformity in emoluments and
conditions of service. While in India no steps were taken to create such a
service, in Pakistan in 1973, unified civil service was created wherein all the
services and cadres jn their civil service were merged in one service.
The generalist Indian Administrative Service, with all its shortcomings, has proved
to be an asset to the administration both at the national and state level. Its alleged
omniscience, overbearing outlook towards the specialists, its inadequate
'professionalism' and outdated knowledge in scientific and technological sectors of
administration are known and have been discussed in scholarly works and current
journals, magazines and newspapers. But its national outlook has helped to keep
the State administration into the national mainstream. Its integrated approach has
kept the national administration alive to the requirements of fostering interrelations
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At the same time, the value of the specialists' contribution and role in the Generalists and Specialists
administration at both the central and the state levels has to be appreciated. India
lias progressed tremendously in scientific, industrial, transport, communication,
agricultural, educational and other fields. The specialists' role in this multisided
national progress and the administrative infrastructure and processes for it,
should be recognised.
The complexion of administration is undergoing a change with the tasks getting

more and more specialised in recent times. The discharge of functions by the
administration in present t!mes needs more professionalisation. While in the
USA, the public service places emphasis on some specialist inputs, Indian system
modelled on the W s h pattern gave importance to generalism. But now the gap
between the generalists and specialists is getting reduced through suitable
measures. Now ge~ierallya freshly appointkd officer of IAS shall gain experience
in the field as well as in regulatory and welfare departments in the initial 11 to 12
years. In the next few years opportunities are being made available to specialise
in their areas of preference.
Policy formulation, and implementation are the key components of

administration. The contribution of generalists and specialists in this process
cannot be assessed in rigid watertight compartments. The present times call for a
blend of detailed knowledge of administrative activity as well as specialised
knowledge along with proficiency in skills of organisation and policy making.

Note: i) Use the space given h l e w for your answers.
1) What are the recommendations of the ARC regarding specialist services?
2) How far have the recommendations of the ARC on staffing been

implemented?
29.6 LET US SUM UP

Thus, we can say that the problem of smoothening the relationship between
generalists and specialist is not an easy task. More efforts have been made to
imnlement them nrnnerlv Manv dennrtments have tried tn give a Int n f incentives
Emerging Issues to the specialists like appointing them as secretaries ex-officio or in own right in
the central secretariat and state secretariats. More developments towards this
direction are underway. What has to be realised is that generalists and specialists
both have very important roles to play in administration and their contributions
ought to be recognised.
29.7 KEY WORDS
Horizontal Division : Horizontal divisions in administration are made

according to the territorial levels at which personnel
are located.
Intelligent Amateur : The theory which holds the view that person who is
not a specialist has a broader view of administrative
activities.
Par Excellence : One uses this word when one wants to emphasise
that something is the best possible example of a
particular thing.
Per se : It is a formal expression which is used to say that

one is considering a particular subject only from a
general or thecretical point of view rather than
taking into account the practical aspects, or one's
own experiences.
Vertical Division : Vertical divisions in administration are made

according to the functions or tasks performed by the
employees.

Chanda, Asok, 1968, Indian Adn~inistration,G. Allen and Unwin, London
Jain, R.B. 1976, Contemporary Issues in Public Administration, Vishal

Publications, New Delhi
Report of the Fulton Committee on the Civil Service, Volume I, 1968, HMSO,
London
Report of the Administrative Reforms Commission on Personnel Administration,

1959, Government oflndia; Manager of Publications, Delhi
' ,
Personnel Administration: Implementing the Reforms, Indian Institute of Public
Administration, 1970, New Delhi
Sharma, M.P. and B.L. Sadana, Public Administration in Theory and Practice,
Kitab Mahal, Allahabad, 1998

EXERCISES

L '2-nciaiict ic 0 m n r c n n 11rhn haa a n n c ; o l L n n x x r l a A n s = in cnma c n n r i G r Gold
-
To take care of the diverse runctions in a welfare state specialists are Generalists and Specialists
appointed in administration.
r They are recruited in cadres, i.e., groups of public services.
r Their number has increased substantially over the period of time.
2) Your answer must include the.following points:

r PlanniEg and organising.
r Supervision and control.
r Direction.
r Staffing and coordinating.
r They look to each other with envy and suspicion.
r Salary differences in favour of the generalists.
r Posts of secretaries to government departments and even heads of most
executive departments are reserved for the generalists.

r Generalists have a broad outlook and flexibility of approach
Generalists are more experienced
Generalist acts as a mediator between the expert, i.e., the specialist and
the politician, the people and the government, the pressure groups and
the public interests.
Specialists have developed the essential professionalism and adequate
know ledge.
Generalists are away from perception regarding the extent of the
effective execution of the policies.
0 Generalists do not have necessary knowledge to take up policy-making.

ARC recommended that all posts requiring close and intimate familiarity
with a subject matter should form a functional service.
The movement of persons at various levels in the functional service is
not to be automatic but through a careful selection at each level.
For policy level posts, no single functional service is uniquely qualified.
These should be manned by officers of higher services with 8-12 years of
experience in government through an examination.
The selected officers should be allotted one of the eight specialists
mentioned by the commission.
2) Your answer must include the following points: .
The ARC'S recommendation regarding the eight-fold professionalisation

for selection to the higher policy level posts has not been implemented in
India.
Emerging Issues An independent personnel and administrative reforms department has

been constituted at the centre in accordance with the recommendations of
the ARC
The training in managerial techniques in administration as suggested by
the Commission is under way.

UNIT 30 ADMINISTRATIVE REFORMS

Structure
30.0 Objectives
30.1 Introduction
30.2 Meaning of Administrative Reforms
30.3 Need for Administrative Reforms
30.4 Types of Administrative Reforms
30.5 Administrative Reforms in India since Independence
30.6 Evaluation of Recent Reforms
30.7 Ministry of Personnel, Public Grievances, and Pensions
30.8 Let Us Sum Up
30.0 OBJECTIVES
After reading this unit you should be able to:
Explain the meaning and importance of Administrative Reforms;
Describe the reform measures undertaken by the government since
independence; and
Examine the reforms in the light of the recent initiatives taken.
30.1 INTRODUCTION
When lndia achieved independence, it inherited a colonial legacy in
administration, which was suited to the needs of revenue collection and
maintenance of law and order. During the years following independence, the
Indian government was mostly pre-occupied with the problems of administrative
integration of the princely states and the rehabilitation of the rehgees and the
displaced.
With India becoming republic the objectives for the development of the country
was spelt out. The focus shifted to the social and economic development of the
country. Attention was directed to people-oriented administration.
Administration had to be responsive to the development needs of the people.
Thus, there was a need to reform the administration to suit the needs of
independent lndia.
The Government of India undertook various measures for bringing in reforms in

administration. It constituted various committees and commissions and organised
conferences to suggest reforms in administration. We will be discussing them in
the ensuing sections.
We will first discuss the meaning, needs, and types of administrative reforms,
which will be followed by the reform steps and measures undertaken in the
country since independence.
30.2 MEANING OF ADMINISTRATIVE REFORMS

Administrative reforms have been variously defined. There are many names https://t.me/Upsc_Zone_Official
Downloaded from:- https://t.me/Pdf4Exams given
Emerging Issues transformation, administration restructuring, administrative reengineering, renewal,

realignment etc. The idea is that administration is in need of re-alignment and re-
adjustment and it must evolve to a new form and format through a planned,
systematised and well-directed process.
Administrative reforms can, in short, be defined as artificial inducement of

administrative transformation against resistance. This definition highlights three
distinct elements, namely:
Administrative reform is artificially stimulated;
It is a transformatory process; and
There is existence of resistance to change process.
Obviously, reforms do not take place by themselves. They are pre-meditated, well
studied and planned programmes with definite objectives in view. Reform is an
induced and manipulated change, for it involves persuasion, collaboration and
generation of conviction for betterment.
Reform is more than a series of incremental changes or marginal adjustments,

though it may result from the cumulation of small changes, which periodically
creates requirement for comprehensive and systematic efforts.
Administrative reform paves the way for new order. It refers to the formal,
mechanistic and meditated process of structured change.
30.3 NEED FOR ADMINISTRATIVE REFORMS

The distinguishing characteristic of modernised social system is its ability to deal
with continuous systematic transformation. Society has to change in order to free
itself from the shackles of traditionalism, cope with the changes in environment,
adopt fresh innovative culture, adopt new knowledge and technology and crave
for a new order through elimination of the old structures and system.
Administrative reform is but a part of the universality of this change, for

administration is nothing but a sub-culture, a social sub-system reflecting the
values of the wider society. Administration must also correspondingly change to
be in step with the outer modernisation process. Or else, disequilibrium would set
in, resulting in imbalances, dysfunctionalities, maladjustments and goal
displacement.
According to Fred W.Riggs administrative reform is a "problem of dynamic

balancing ". Since public administration functions within a political context, its
basic character, content and style of functioning is greatly influenced by the
political environment, its institutional dynamics and process, in not merely
setting national goals, priorities, or deciding between competing values, and
allocating resources but also in devising the most effective instrument for
translating these policies into successful programme realities. Added to this, the
advances in Information and Communication Technology (ICT), and the state's
pervasive role in managing national assets and resources, controlling the entire
economy through regulation and development, ensuring a just and equitable
economic order, correcting age old social imbalances through newer forms of
institution-making, and ushering in an egalitarian social system, has thrown up
new tasks for administration. This requires fundamental and foundational
improvement in the administrative capabilities. The latt6r7 in turn, requires
proper planning, educational re-arrangement, skill-generation, attitude-formation
and a host of other structural-functional reornanisatinn. This heinn the ecnlnw nf
administrative reform, the success of administrative reform programmes Administrative Reforms

postulates an inter-disciplinary and multidimensional approach.
With the nineties came the market reforms, and there was an emphasis on
structural adjustment. Good governance is the stress of the governments of the
day, with focus On accountability, efliciency, effectiveness, transparency and
decentralisation. With focus on good governance today, there has been a greater
change in the conventional role of the State, the government and the bureaucracy.
Today, there is shift from responsiveness to partnership and collaboration. The
importance is given to people's participation in governance and the involvement
of the nlultiple actors. With citizen's participation and collaboration taking
centre stage, the government have to act as partners with the citizens.
Administration cannot fulfil the newer roles with the traditional organisation and
methods. It has to be people friendly and work on public trust. Hence, the
bureaucracy has to change to adapt to the new role. This need for change in turn
necessitate reforms.
30.4 TYPES OF ADMINISTRATIVE REFORMS
Administrative reforms, according to Gerald E. Caiden,.can be of four types.

Reforms imposed through political changes.
Reforms introduced to remedy organisational rigidity.
Reforms through the legal system, and
Reforms through changes in attitude.
Reforms imposed through political changes
Administration is shaped and influenced by political forces. The change in

' political scene also affects administration. Structure and working of
idministration is affected by political changes.
Reforms introduced to remedy organisational rigidity
Bureaucratic structures have to change to be flexible. The rigidity in the

structure of administration has to be removed. The changes can take place in the
form of restructuring, reinvention, realignment, rethinking and reengineering.
Reforms through the legal system
Laws pertaining to administrative reform can lead to significant changes in

administration. Legislation is normally preceded by consultations and
deliberation3 in several forums such as committees, commissions, press etc.
7
Reforms through changes in attitude
Human beings are an important part of any organisation. Change in their attitude
will help in bringing reforms. No legal, structural and political change can lead to
desired reform unless and until these are appreciated and accepted by the people
working in the organisation.

ii) Check your answers with those given at the end of the Unit.https://t.me/Upsc_Zone_Official
Emerging Issues 1) Explain the meaning of administrative reforms?
2) Discuss the need for administrative reforms?
30.5 ADMINISTRATIVE REFORMS IN INDIA SINCE

INDEPENDENCE
The Context for Reforms
When India became independent in 1947, it faced problems of partition, refugees,

migiation, retirement of a great number of administrative personnel, problem of
integration of the princely States, etc. The new government adopted the ideology
of welfare of the people through socio-economic development, which led to a
greater proliferation of tasks and functions. To take up the welfare programmes
and challenges, the administrative machinery, which was inherited from the
colonial regime and rendered weak by erosive circumstances and stressful
situations accompanying Indgpndence, had to be revamped and reinforced.
Administration, as the instrumept for designing and implementing all the
developmental programmes had to be restructured, reformed and renewed.
Various measures were taken up by the GO1 in administrative reforms. We will

discuss these measures now.
~ecfetariat~eorganisationCommittee, 1947
The Government of India set up the Secretariat Reorganisation Committee in

1947, which was headed by Girija Shankar Bajpai. The Committee enquired into
the matters of personnel shortages, better utilization of the available manpower
and improvement of methods of work in the Central Secretariat.
Shri N. Gopalaswamy Ayyangar Report, 1950
Shri N. Gopalaswamy Ayyangar conducted a comprehensive review of the

working of the machinery of the Central Government, which was presented in his
report on 'Reorganisation of the Machinery of Central Government'.
A.D. Gorwala Committe, 1951
In July 1951, a Committee. headed by Shri .A.D. Gorwala in its Report on Public
Administration underlined the need for having a clean, eficient and impartial
Downloaded from:- administration.
Paul. H. Appleby Reports, 1953 &I956 Administrative Reforms
In continuation of these efforts, the Government of India invited an American

expert, Mr. Paul. H. Appleby to suggest reforms in Indian administration.
Appleby submitted two reports. His first report namely 'Public Administration in
India: Report of a Survey', 1953, dealt with administrative reorganisation and
practices. His second report namely, 'Re-examination of India's Administrative
System with special reference to Administration of Government's Industrial and
Commercial Enterprises', 1956, dealt with matters pertaining to streamlining
organisation, work procedures, recruitment, training in these enterprises.
Among the twelve recommendations made, the Government of India accepted

two of his recommendations. First, related to the establishment of a professional
training institute, namely the Indian Institute of Public Administration for
promoting research in public administration. The second related to the setting up
of a central office to provide leadership in respect to organisation, management
and procedures. As a result, an Organisation and Methods (0 & M) Division
was set up in March 1954, in the Cabinet Secretariat for improving the speed and
quality of the government business and streamlining its procedures. 0 & M units
and work-study units were set up in the Ministries / Departments. The focus was
on improving the paper work management and methods. A Manual of Oflice
Procedure was prepared for all Ministries and Departments.
Committee on Plan Projects, 1956
In 1956, the Planning Commission set up a 'Committee on Plan Projects' to

evolve organisation norms, work methods and techniques, with a view to achieve
economy and efficiency in the implementation of the plan projects. In 1964, a
Management and Development Administration Division was also established as
a part of this Committee to promote the use of modem tools of management. It
also undertook studies on problems related to development administration at the
district level.
Committee on Prevention of Corruption, 1962
The Committee was set up under the chairmanship of K Santhanam to study the
causes of corruption, to review the existing set up for checking corruption and to
suggest measures for improvement. The Committee stressed on the need for
streamlining the procedures relating to prevention of corruption and
recommended the setting up of Central Vigilance Commission(CVC).
Administrative Reforms Commission (ARC), 1966
The Administrative Reforms Commission was set up in January 1966 under the
chairmanship of K Hanumanthaiya. Its terms of reference was the widest as it
covered the entire gamut of public administration at the Centre as well in the
States.
The 'Commission submitted 20 reports containing more than 500

recommendations. These led to major and minor changes in administration as
well as paved the way for further thinking, which led to more reforms.
The major recommendations of the ARC are mentioned below:
1)It spelt out the tasks for the Department of Administrative Reforms. The
Commission suggested that the Department should concentrate on:
Undertaking studies on administrative reforms that are of a
Downloadedfoundational nature;
Emerging Issues Creating 0 & M expertise in the ministries and departments and
providing training to the staff in their 0 & M units in modem
managerial techniques; and
Providing guidance to the 0 & M units in implementing the
improvements and reforms.
2) It recommended the reactivating of the 0 &M units in different ministries
and departments.
3) It called for setting up of a special cell in the central reforms agency to
give effect to the reports of ARC; and
4) It stated that the central reforms agency should be research based in
matters dealing with the methods of work, staffing pattern and
organisational structure.
Kothari Committee, 1976
The Committee on recruitment and selection methods under the chairmanship of

Shri Kothari was set up in 1976 by the UPSC to examine and report on the
system of recruhent to All India Services and Central Group A and B Services.
The committee in its report recommended for single examination for the AIS and
Central Group A non-technical services.
National Police Commission, 1977
The Commission was set up under the chairmanship of Shri Dharam Vira to
examine the role and fbnctions of police with special reference to control of
crime and maintenance of public order, the method of magisterial supervision,
the system of investigation and prosecution and maintenance of crime records.
The Commission made over five hundred recommendations extending to a wide
area of interest relating to police administration.
Economic Reforms Commission, 1981
The Commission was set up with L K Jha as the chairman. The main fbnctions
assigned to the Commission related to the study of the important areas of
economic administration with a view to suggest reforms. The Commission
submitted a number of reports to the Government of India, which advocated the
rationalisation and modemisation of the economic administrative system to pave
way for a new economic order.
Commission on Centre-State Relations, 1983
Mr. R S Sarkaria, was the chairman of this Commission. Its term of reference
was to examine and review the working of the existing arrangements between the
union and states with regard to powers, functions and responsibilities in a11
spheres and make recommendations as to the changes and measures needed.
yational Commission to Review the Working of the Indian Constitution, 2000-

03, und,er the Chairmanship of Chief Justice (Retd.) Venkatacheliah, was set up
to examine the working of the Indian Constitution.

Explain the major recommendations of the ARC? Administrative Reforms

1)
2) Why was the Kothari Committee constituted?
3) What were the recommendations of the Commission on Centre-State

relations?
Conference of Chief Secretaries, 1996
A Conference of Chief secretaries of the state and union territories was organised
by the Department of Administrative Reforms & Public Grievances (AR & PG)
on 20Ih November 1996. The focus of the Conference was on having an
accountable, open and citizen-friendly government and on improving the
performance and integrity of the public services.
The follow-up actions of the Conference included:

1) Setting up of an inter-ministerial Working Group on Right to Information
and Transparency headed by Shri H.D. ~hourie;
2) Constituting an Expert Group headed by Shri N. Vittal to look into the
computerization in personnel system and public services;
3) Formulation of citizen's charters by all ministries with public interface;
4) Steps to provide timely disposal of departmental enquiries and vigilance
proceedings;
5) Developing grievance redressal mach'inery; and
6) Initiating civil service reforms especially including the transfers and
promotions in Centre and States.
Chief Minister's Conference, 1997
In pursuance of the objectives of accountability, transparency, https://t.me/Upsc_Zone_Official

and
res~onsivenesswelt out bv the Conference of Chief Secretaries. a national
Emerging Issues debate was generated on the above-mentioned issues to elicit opinion of the
wider public, which included officials, experts, voluntary agencies, media,
academia and the citizens groups. This debate culminated in an Action Plan for
effective and responsive government. The Action Plan was discussed and
adopted in the Conference of Chief Ministers on 24th May 1997, to be
implemented by both the Centre and the State governments.
The Action Plan has three components, namely:
1) Making Government Accountable and Citizen-friendly

2) Transparency and Right to Information
3) Irnproving the Performance and Integrity of the Public Services
We will discuss the three components now.
Accountable and Citizen-friendly Government
To make the government and administration accountable and friendly to the

citizens, the following steps are undertaken.
a) Implementation of Citizen's Charter

The Government of India has directed ministries and departments with
public interface to formulate a citizen's charter laying d ~ w the
n standards of
service and time limits, avenues of grievance redressal and provision for
monitoring.
The Department of AR&PG has coordinated efforts in 'this regard to see
the adoption of the citizens' charter in ministries, departments and
agencies of the Centre and States.
b) Redressal of Public Grievances
Director of Grievances have been appointed in every ministry and
department for redressal of public grievances in the Central government.
The time limits for disposal of public grievances have been spe~ifiedand
software has been developed for computerized, web-enabled and
networked monitoring of public grievance redressal mechanism. A
compendium of guidelines has been published in this regard. Similarly, a
Standing Committee of Secretaries to Government of India has been set up
under the chairmanship of the cabinet secretary to monitor the public
grievance redressal mechanism of the Central government.
At the State level, States like Madhya Pradesh, Tamil Nadu and Uttar
Pradesh have made institutional arrangements to monitor the redressal of
public grievances by Chief Minister's Secretariat. Likewise, Andhra
Pradesh, Assam, Haryana, Madhya Pradesh, Maharashtra, Rajasthan,
Tamil Nadu and Uttar Pradesh have started special programmes and
campaign for taking administration to the people. Delhi has set up a Public
Grievance Commission and Assam and Madhya Pradesh have also set up a
separate department for the same.
c) Reviews of Laws, Regulations and Procedures

The existing laws, regulations and procedures are to be reviewed,
amended, modified and reformed in order to make them simpler. The
Action Plan provides for Centre and States to look into the repeal of
obsolete laws, reduction of time and cost for the disposal of cases in civil
and criminal courts and easy practice of approvals, sanctions and issue of
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A Commission was set up under the chairmanship of Shri P C Jain for Administrative Reforms
reviewing the steps taken by different ministries and departments in this
regard. The Commission made certain recommendations relating to
amendments and changes in the laws, regulations and procedures; repeal of
dysfunctional and irrelevant laws; documentation of laws and subordinate
legislations, executive orders, instructions and circulars; and
simplifications and consolidation of rules, regulations and orders.
The ministries and departments have made attempts in this regard by
modifying and amending various Acts and laws. The outdated laws have
been repealed. The Department of AR & PG monitor the review of such
rules and regulations by ministries and departments on a regular basis.
The P C Jain Commission reviewed over 2500 laws and recommended
repeal of about 1400 laws and amendments to about 24 1 laws. The follow
up action has been taken up under the supervision of a Standing
Committee.
d) People's Participation: Decentralization'and Devolution of Powers

The Action Plan provides for the decentralisation and devolution of
powers. This will include people's participation consistent with the 73rd
and 74th Amendments of the Constitution, involvement of the people and
voluntary agencies in the delivery of services, and devolution of
administrative powers.
People's participation has been ensured by providing constitutional status to the
PRIs in the country. Elections are conducted for these bodies. There are around
2.5 lakhs Panchayats, of which about 2.25 lakhs are Cram Panchayats and they
have elected approximately 3.4 million representatives at all levels. The urban
local bodies have also been accorded similar status. With the Extension to the
Scheduled Areas Act, 1996, the provisions of the 73rd and 74thAct have been
extended to the tribal areas of 10 States and all these States have enacted
legislation to give effect to these provisions.
Transparency and Right to Information
This provision in the Action Plan entails freedom of information to the public.
This will include amendments to the Official Secret Act, 1923 and Indian
Evidence Act. The Freedom of Information Act, 2003 has been passed. The Act
seeks to provide freedom to every citizen to secure information under the control
of public authorities. It seeks to make government open, transparent, responsive
and accountable to the people. This Act provides easy access to the people to all
information relating to government activities and decisions except matters
relating to national security. Most of the States - Goa, Karnataka, Maharashtra,
Delhi, Rajasthan and Tamil Nadu- too have legislated the Right to Information.
Information and Facilitation Counters (IFCs) have been set up by ministries,

departments and organisations with large public interface in areas such as land
records, passport, investigation of offences, administration of justice, tax
collection and administration, issue of permits and licenses etc. information and
Communications Technology based public service delivery has helped in
promoting accountability and transparency in administration.
Improving the Performance and Integrity of the Public Services
The Action Plan aims at improving the performance and integrity of the civil
services. The civil servants are to adhere to ethical standards and be committed to
basic principlesfrom:-
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Emerging Issues of Conduct for the Central and State civil services. It also aims to regulate the
relationship between the politicians and the civil servants.
Amendment to the existing provisions for the prosecution and removal of corrupt
officials as well as reward to the employees for doing good work is being taken
up. The CVC has displayed on its website the names of various senior officials
for whom it has recommended action for corrupt practices. Some of the States
that have reported strengthening of vigilance procedures are Xarnataka, Kerala,
Maharashtra, Nagaland, Uttar Pradesh and West Bengal.
The strengthening of the investigation agencies and vigilance machinery, such as,
Lok Ayukta, CBI, CVC, Income Tax authorities, Enforcement Directorate, and
revamping of existing procedures for departmental queries and vigilance
proceedings have enabled in improving the integrity of public services.
In this connection recently, CVC has been set up as an independent and

autonomous body by executive order. The provisions of giving statutory status is
still awaited and the bill is pending in the Parliament. The Rajya Sabha passed
the central vigilance commission bill conferring statutory status on the CVC to
probe offences committed by central public servants, corporations, societies and
local authorities. It provides for the CBI to obtain approval of the government
before conducting any inquiry into an offence committed by officers of the rank
of joint secretary or above in any government department or PSU. The Bill
passed by the Lok Sabha in Feb. 2003, provides for appointment of a CVC and
not more than four vigilance commissioners. CBI and Enforcement Directorate
have been brought in its purview in matters pertaining to investigation cases of
the public servants.
This will help in strengthening the vigilance machinery and provide for close
networking of various related agencies.
At the Union level, the Lokpal Bill proposes to deal effectively with corruption
in high places and the nexus between politicians, civil servants, businessmen and
criminals. The bill is pending before the Parliament. Several States, like Assam,
Andhra Pradesh, Bihar, Gujarat, Himachal Pradesh, Karnataka, Madhya Pradesh,
Maharashtra, Orissa, Punjab, Rajasthan, Uttar Pradesh and Delhi, have already
set up the corresponding institution of Lok Ayukta.
A Code of Ethics has been drafted by the Government of India to improve the
integrity of the civil servants. This will be in addition to the existing Conduct
Rules. The State governments of Gujarat, Madhya Pradesh and West Bengal are
also drafting Code of Ethics for civil servants.
Likewise, providing institutional arrangements to look into the postings and

transfers of officials to prevent political interference is being worked out. The
Central government has set up a Civil Services Board to process proposals for
the postings and transfers of the officials of the level of deputy secretary, director
and joint secretaries. This will curb the practice of frequent and arbitrary
transfers of the public servants. Many of the States have also laid down the
transfer policy pertaining to the civil servants.
Fifth Pay Commission, 1997
The Commission was established under the chairmanship of Mr. Ratnavel

Pandian. The Commission, irr effect, became more than a conventional Pay
Commission, and went into major issues of administrative reforms. The
Downloaded from:- Commission observed that the entire machinery
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staff, determining the size of tlie ministryldepartment, no file movement beyond Administrative Reforms
three hierarchical levels for a decision to be taken, injection of the concept of
multi,skilling at the Group D level and abandoning of the centralised planning
model.
30.6 EVALUATION OF RECENT REFORMS
At the Central level, various ministries and departments have been slow in
implementing the reforms. The citizen's charters lack quality, as many of the
ministries and departments have renamed their information brochures as charters.
The citizens as well as the employees also seem to be unaware of the charters.
The computerization and networking is yet to be fully implemented by the
Centre and the States.
The review of laws has not been taken up at the required pace. The Lokpal Bill is
lingering in the Parliament. The Department of AR&PG found that many of the
Information and Facilitation Counters set up by the ministries and departments
are non-functional. The code of ethics is yet to come up. The voluntary
retirement scheme has also not been properly taken up. At the State level, much
is left to be achieved. The Right to Information Act has been place in several
States, but it has not been properly implemented.
Nothing has been going beyond the 73rd and 74Ih constitutional arriendments.
The States have not implemented the constitutional amendments in letter and
spirit. As a result, decentralisation has suffered a setback. The States have not
adequately streamlined the function of the panchayats. In some States more
powers has been vested with the district and intermediate levels whereas in some
States more have been given to the gram panchayats and the intermediate
levels and not to the district level. The States have not provided these bodies with
adequate staff and finances in relation to the subjects allocated to them. Again,
the district planning committees have not been set up by a number of states. The
gram sabha are not fully empowered as their powers and procedures have not
been properly laid down. The urban local bodies have lost their importance due
to the multiplicity of corresponding institutions that have come up to carry out
varied functions pertaining to housing, urban regulation, water and sewerage, and
power distribution. Also, there is dearth of resources, which creates problems for
rendering better services.
30.7 MINISTRY OF PERSONNEL, PUBLIC

GRIEVANCES AND PENSIONS
A Department of Administrative Reforms was set up within the Ministry of
Home Affairs in March 1964 to suggest reforms and conduct studies on all
aspects of administration relating to the organisation, methods and personnel.
The 0 & M Division, which was earlier functioning under the cabinet secretariat,
was transferred to it.
Based on the recommendations of the ARC, a Department of Personnel was set

up in the cabinet secretariat on 1" August 1970. All matters pertaining to the civil
services were transferred to this Department from the Ministry of Home Affairs.
Further, on 7th February 1973, the work relating to the Department of
Administrative Reforms was also transferred to it and the Department was re-
deciannted ac nenartrnent n f P ~ r s n n n e land A d m i n i s t r a t i v e Refnrrnc Tn A n r i l
Emerging Issues 1977, the Department of Personnel and Administrative Reforms was shifted from
the cabinet secretariat to the Ministry of Home Affairs and this arrangement
continued till the end of 1984. Department of Personnel and Administrative
Reforms was also set up at the State level.
The Department of Personnel and Administrative Reforms was elevated to a full-

fledged Ministry of Personnel and Training, Administrative Reforms, Public
Grievances and Pehsions in March 1985. On December 10, 1985 this Ministry
underwent furthq change in its nomenclature and was re-designated as the
Ministry of ~ e r s o h e l ,Public Grievances and Pensions with three departments
namely, Department of Personnel and Training (DOPT), Department of
Administrative Reforms and Public Grievances and Department of Pension and
Pensioners' Welfare. A major highlight of this arrangement was that, firstly the
Ministry was placed u h e r the overall charge of the Prime Minister assisted by a
Minister of State. Secondly, the subject of public grievances was added to
Department of Administrative Reforms. This allocation was effected under the
rationale that it would provide a closer and integrated view of the inadequacies of
the administrative system that gives rise to grievances, on the one hand, and how
the administrative machinery could be made adaptive to the changing
requirements, on the other. Thirdly, a separate Department was created to handle
the subject of Pension and Pensioner's Welfare.
We will be basically concentrating on the functions of the Department of

qdministrative Reforms and Public Grievances.
Functions of the Department of Administrative Reforms and Public Grievances
With the creation .of the Department under the Ministry in 1985, the following
tasks were assigned to it:
Matters pertaining to the conduct, coordination and evaluation of
administrative reforms.
Matters pertaining to organisation and methods.
a All policy matters and issues relating to the redressal of public grievances in
general and grievances pertaining to the Central government agencies in
particular.
The functions relating to research in personnel administration, liaison with State
governments and professional institutions in personnel matters was transferred to
this Department in 1989 from the Department of Personnel and Training.

1) What are the three components of the Action Plan?

2) Briefly describe the functions of the Department of the Administrative Administrative Reforms
Reforms and Public Grievances.
30.8 LET US SUM UP

Administrative reforms are vital for the sustenance of ttie government machinery.
The focus on good governance today has necessitated reforms in government as
well as in administration. The Government of India undertook reform measures
since independence. Various commissions and committees were set up to suggest
reforms in the administrative system, organisation, methods and procedures. One
of the important commissions to suggest reform was the ARC, which made
recommendations covering the entire gamut of administration at the Centre and
States. *
Major reforms in the recent years pertain to the implementation of the Action
Plan on Effective and Responsive Government. There are three vital components
of the Plan that aims at making administration responsive and citizen friendly,
transparent with the right to information, and improvement of the performance
and integrity of the civil services. The Centre and States have implemented the
Plan to a certain extent. More steps in this regard are on the anvil.
The Department of Administrative Reforms and Public Grievances is the nodal

agency of the GO1 for administrative reforms as well as for redressal of public
grievances.
Administrative Reforms Commissi 1968. Report on the Machinery of

"";
Government of India and its Procedu es of Work, The Manager of Publications,
Delhi
Bhambhri, C.P., 1985. Public Administration, Educational Publishers, Meerut.
Bhattacharya, Mohit, 1987. Public Administration: Structure,!Process and

Behaviour, The World Press Private Ltd., Calcutta.
Government of India, 20Q . Department of Administrative Reforms and Public

Gr-: Through the1 7Ages, Department of Administrative Reforms and
Public Grievances, Ministry of Personnel, Public Grievances and Pensions, New
Delhi.
Maheshwari, S.R., 1986. Indian Administration, Orient Longman Limited, New

Delhi.
Sadana, 1998. Public Administration in Theory and Practice, Kitab Mahal, New
Delhi.
The Indian Journal of Public Administration, July-Sept. 1998. Towards Good

Governance, Vol. XLIV, No. 3
Emerging Issues
EXERCISES

Administrative reforms is artificially stimulated, it is a transformatory process,
it cannot take place by itself, it is a calculated and manipulated and through it
old order is replaced by a new order.
2) Your answer must including the following points:
The need for reforms is due to the following reasons:
Administration has to change with changing social, political and
economic scenario.
Bureaucracy has to change its organisation, structure and methods of
working in consonance with the traits of good governance.
1) Your answer must including the following points:

The major recommendations of the ARC related to:
Laying down the functions of the Department of Administrative
Reforms.
Re-activation of the O&M units.
The Kothari Committee was constituted to examine and report on the system
of recruitment to AIS and Central Group A and B Services to be followed by
UPSC.
The recommendations of the Commission on Centre-State relations were
related to improving the relations between the. Union and States with regard
to powers, functions and responsibilities in all spheres.

The components of the Action Plan are:
Making administration citizen friendly;
Transparency and right to information; and
a Improving the performance and integrity of public services.
The functions of AR&PG are:
a Administrative reforms
Organisation and methods
Policy and coordination of issues pertaining to public grievances.

PUBLIC ADMINISTRATION :
MEANING AND SCOPE
1.0 dbjectives
1.1 Introduction
1.2 Specificity of Administration
1.3 Public Administration Defined
1.4 Scope and Dornriin of Public Adniinistration
1.3.1 The Domain
1.4.2 Thr Scope
1.5 Character of the Discipline
1.6 Distinction between Public and Business Admirlistration
1.7 Let Us Sum Up
1.8 Key Worcis
1.9 Some Useful Bonks
P,O OBJECTIVES --
After you have read this unit, you should be able to :
define Puhlic Administration and state its characteristics
0 explitin the character of the.discipline
discuss the domain and scope of Public Administration; and
distinguish between Business and Public Administration.
1.1 . INTRODUCTION
You are our undergraduate learner. We appreciate your keen interest in learning Public
Administration. We are sure you are anxious to learn all that is given iu this Unit. This
first unit in the course Administrgtive 'Theory, aimsoatintroducing he discipline of Public
Administration to you. It explains the meaning and characteristics of the discipline
of Public Administration. Public Administration, as an aspect of governmental
activity is very old. It is as old as human I~istory.In European languages, the term Publie
Administration began to creep in during the seventeenth century to separate the absolute
monarch's administration of public affairs from his nianagement of his private household.
It was a peiiiiu ......1 ~ ~ ~ ? : r ,1r33c hseparaled from the state and the government was
superimposed on all other societal institutions within a definite territory. In every.saciery
there are some activities like maintenance of law and order and defence which have to be
undertaken in public interest. Public Administration as a system of organisation is mainly
concerned with the perfolmance of th&e activities. Political decision makers set the goals
for the political system. It is the business of Public Administration lo work fur the
realisation of these goals. At the present stage of man's evolution, Ptlhlic rIJmint$tr:111ri11
has proved to be indispensable. %he scope of Public Administration has expanded with the
I rise of the modem administrative state. Its growing importance in thc conduct of human
affairs is evident in the birth of numerous public laws, growth clf public profession,
accumulation of huge anns and increasing coverage of laxes and pi~blicexpenditure. The
domain of state functions is almost all-cotqkellensive in socialist countries. Even the
capitalist states have expanded their functions under compulrrions of welfare
considerations. The post-colonial 'third-world' countries have embarked upon
Develop,ment Administration to speedily bring about stale sponsored stwio-econat~kc
reconstmction.

'Thr Nature of I'ublir
Administriation SPECIFICITY OF ADMINISTRATION
It terms 'of activity, Public ~dministrationis an aspect of aqmoregeneric concept - -
adn~inis!riition.~dnlinistrationhas been defined as a cooperative effort towards achieving
some r:otnmon goulk. Thus defined. ad~iiinistration,can be found in various institutional
settings such as a business firm, a hospital, a university, a government depaitment, etc.. As
an aspect of this more generic concept Public Administration is that species of
adn~inistrarionwhichoperates within a specific political setting. It is an instrument For
translating political decisions into reality, it is "the i~cticnpart of government, the means
by which the purposes and goals of government are realised". Nigro and Nigro (1980) have
identified the following five important characteristics of Public Administration.
It is a cooperative group effort in a public setting.
It covers all three branches -.legislative. executive dnd judicial - and their inter-
relationships.
* i t has an important role in the fi~rmulationof public policy, and is thus a part of the
political process.
r It is different in significant ways from private administration.
u
0 It is closely associated with numerous private g:oups and individuals in providing
services to the community.
=+ i
Note : I ) Use .the space below for your answers.
1 ) Why is the scope of Public Administration expanding?
2) What ;Ire the important characteristics of Public Administration?
................................................. .....................................................................................s.
*. ...
*
,
1.3 PUBLIC ADMINISTRATION DFSINED .. ,
Public Adniinistratiotr is a specialised academic field. It essentially deals with the

machinery and procedures of government activities. Adminiswation has been dcfined as a
cooperative human effort towards achieving some common goats. Thus defined,
administration .can be found in various institutional settings such as a business firm, a
hospital, a university, a government department and so on. As an aspect of this more
genkric concept, Public Administration is that species of administration which operates
within a specific political setting. I t is a means by which the policy decisions made by ihe
political decision makers are carried out. Public Administration is decision making,
planning the work to be done, formulating objectives and goals, working with the
"iegislla~ureacd citizen organisations to gain public support and funds for gtrvernmenl
. -3 .

6 +,
programmes, establtshing and revising organisation, d i ~ c t i n gand supervising employees, hblic Administration:.
Yeaning andscope.
providing leadership, communicating and receiving ccmmunications, determining work
mkthods and procedures,appraising performance, exercising controls and other functions
performed by government executives and supervisors. It is the action part of the government,
the means by which the purposes and goals of the government are realised.
Some well known definitions of Public Administration are:
4 "Public Administration is detailed and systematic execution of public law. Every
particular application of law is an act of administration"- L.D. White.
Public Administration is "the art and science of management applied to the affairs of
the State"- D.Waldo.
4 "By Public Administration is meant in common usage the activities of the executive
branches of the National, State and Local Governments'' - H. Simon.
m e 'Public' aspect of Public Administration gives the discipline a special character. It can .
be looked at formally to mean government'. So, Public Administration is government
administration, the focus being specifically on public bureaucracy. This is the meaninp
commonly used in discussing Public Administration. Public Administration,in a wider sense,
has sought to expand its ambit by including any administration that has considerable impact.
on the public. From this standpoint, a private electricity undertaking like the Calcutta Electric
Supply Corporation can be considered a fit subject of diwussion under Public Administration.
-
It is, however, in the first sense that Public Administration is usually considered.
1.4 SCOPE AND DOMAIN OF PUBLIC ADMINISTRATION .

We shau now Attempt & discuss-the scope of the discipline of Public Administration. The
scope can be studied under two heads:
1.4.1 The Domain

Public Administration is the complex of governmental activities that are undertaken in
public interest at different levels such as.the central, state or provincial (in a federal set-up)
and local levels. The discipline of Public Administration aims at a systematic study of
these activities. Government, as political authority, is the major regulator of social life.
With the emergence of democracy and the concept of.welfare state, the governmental
activities have increased by leaps and bounds. The historical movement has thus been from
regulation to service and welfare. The polick state has gradually given place to popular
governance in the interest of widest possible public welfare in close association with the '
people themselves. Expanding governmental activities have resulted in expansion of the
bureaucracy, creation of different forms of public and semipublic organisations,raising
public expenditure, and overall control over public life. Since government has come to
have such widespread influence and control oyer public life, its organisation, basis of
authority, functions, finances and impact on society have been subjected to intellectual
examination.
he area chosen by Public Administration has generally been "executive action" or the
activities of the executive organ of the government. 'This means really a study of the
bureaucracy: its structure, functions and behaviollr. But, the other organs of government
such as the Legislature and the Judiciary have' also been found useful inpublic
Administtytion analysis. The policy-king impetus comes from ttie TepsTafilre, and the
legislativecommitteesvery often undertake imFrtant vigilance and control ftnction, The
Estimates Committee, the Public Accounts Committee, Committee on Pubiic Unde-rtakings
etc. could be mmioned as examples of such Committees.
Similarly, the judiciary often adjudicates on quasi-judicial issues and passes important
j+udgementsaffeqting executive operations. Judidal administratibn itself forms a major
component of Publjc Administration. Thus, the study of Public ~dministratiohis basicJ1.y
focused on the 'cxqcutive"no doubt; but an, adequate understanding of Eublic
Admidstration is #at possible without taking-into account the legislative and iAe judicial
administration as *elk

The Nature of Public 1.4.2 The Scope

Administration
It is widely acknowledged that the scope of the discipline of Public Administration has to
be wide enough to respond to the complex social realities of today. Major concerns of the
discipline are:
Promoting (publicness': In a democratic society, Public Administration has to be
explicitly 'public' in terms of democratic values, power-sharing and openness. This calls
for a new climate in the bureaucracy. Public Administration,in practice, has to absorb the
principles of democracy as an overarching form of the government.
Policy Sensitivity: As governments are called upon to play increaskgly active roles in
times of rapid changes and social crisis, innovative and timely policy formulation becomes
'a prime necessity in the government. This would necessitate a new preparedness within the
administrative set-up that had hardly any precedence in the past.
Implementation Capability: Effective policy implementation is going to test the coping
capacity of the governments in today's complex situations. Goals have to be clearly set;
planning, programming and projections have to be followed step by step; and project
management in all its ramifications has to have top priority in government. The strength of
administratiohand the legitimacy of the government itself would depend more and more
on the administration's capacity to deliver the goods in time and in response to the
demands of the citizens.
Shared understanding of social reality: The capacity to cope with social and
administrative complexity can be enhanced by a deliberate policy of organisational
openness. The underlying assumption here is the administration needs to understand the
diverse interests and influences. In today's complex administrative world, construction of
administrative reality has to be based on the shared understanding of its actors such as the
men at the top, the middle managers, the employees and the citizens. The centralised,
insular bureaucracy does not fit in with the contemporaneous socio-administrative reality.
Administration as a learning experience: Shifting social reality and komplex
environmental conditions impose certain rigours on Public Administration today. G t e d .
'principles' of the past or the administrative recipes of bureaucratic routine are no longer
appropriate tools for analysis an~lproblem solving. Public Administration in modern tima
has to be proactive, innovative, risk-taking, and often adventurous. This new,
entrepreneurial zeal is expected to transform 'bureaucracy' into a new kind of learning
organisation, more adaptable to changes, more open to new insights and innovations, and
more accessible to the clientele.
These are the major concerns of government in all democratic countries. In the developing
countries, these have added significance, as Public Administration has a pivotal role to play
in the socio~economicreconstruction of post-colonial societies. The discipline of Public
- Administration cannot live in isolation. It has to develop' in close association with the
dynamic social changes. As a body of knowledge, it must develop explanatory strength to
i analyse socio~economiccarnplexity anq(assist in the ushering in of a new society free of ,
exploitation ahd human misery, poverty and deprivation of the past era. : 1
,: - -- i *
Check Your Progress 2 - ,
Note: i) Usp the space below for your answer.
ii) Check your answer with those given at the end of the unit.
' I ) ~xplainthese* of Public Administration:
..
._ .
. . .
*..:..,-.... -
"...'".......*.................. ............*.....,.......,.*,.,.....,.......,
, . ,:f
' .
d................,...,....,,.*..,...*.,.....3L

Public Administration:
Meaning and Scope
CHARACTER OF THE DISCPPILINE

The discipline of Public Administration has been evolving over the years under the impact
of changin societal conditions, and new developments in the allied Social Sciences. The
d'
original isciplinary interest was to improve Governmental performance: This led to its ,
separation from its parent discipline of Political Science. In its enthusiasm to 'reform'
government and make the administrative agencies more business-like and productive,
Public Administration as a discipline has tilted markedly toward the "management
sciences". The accent is on administrative and managerial tools and principles such as
budgeting, management techniques, application of operations research methods, computer
technology, etc. Such heavy management orientation has tended to rob the discipline of its
social science character. It has necessarily paned company with Political Science and
almost merged itself into management education. The discipline has gradually come to
assume a vocational character, the objective being to produce public managers much'in the
same fashion as the management institutes produce a cadre of managers for the business
wotld.
This shift of disciplinary focus has been questioned by many. While acknowledging the
importance of borrowing knowledge from allied discipline.^, it has been argued that Public
' .Administrationis essentially concerned with nation-building, social regulation and public
'
service activities. Management science orientation and application of management
--techniquesg Public Administration need not bi: a blind emulation of private management
practices. The evaluative techniques of non-profit publio organisations have to be
I
significantly different, and the basic orientation and sensitivity of public organisations to
.public interest brings in certain necessary constraints in governmental decision-making
and bureaucratic behaviour. Functioning under the compulsions of public law and under
the glare of open public and legislative criticism, the bureaucracy has willy-nilly to follow ,
certain administrative norms that have hardly any parallel in private management. A
certain sensitivity to politics and a readiness to app,~ciatethe citizens demands and
multiple interests of the clientele are desirable qualities in a bureaucrat. The private
manager, by contrast, may afford to be inward-looking and secretive, but not the public
I
servant.
Golembiewski has posed this dilemma of Public Administration as a discipline'in terms of
choice of 'locus' and 'focus'. 'Locus' stands for the institutional'where' of the field; while
'focus' is the specialised 'what' of the field. As an academic discipline, for a long time, ,
the place (locus) of Public Administration was, in most cases, with Political Science and at
times with subjects like History, Economics, etc. So far, the question of 'focus' is
concerned, in recent years, there has been an increasing tendency to lay emphasis on
I administrative techniques and not so much on public policy.
As Golembiewski has observed, the shifting paradigms (substantive concerns) of Public
Administration may be understood in terms of *locus' or 'focus'; while one has been
sharply defined, the other has been conceptually,ignored in aca8emic circles in turns.
Depending on the definition of the substantive concerns of the discipline, Public
Administration can exist within the broader field of Political Science or, move away from
the mother discipline in a search for a mofe &-floating professional career in the
company of business management or the management sciences.

The Nature of Public may be said that since the 'New Public Administration' moyement of t.he laic' sixties,
/It
Administration there has been an increasing awareness of the basically social science character ol'the ,
discipline of Public Administration. The vocational orientation of the .discipline has hren '
.found to be somewhat misguided .and supportive of status quo. In turbulent times when
social problems cry out for innovative social analysis, a conservative, management- .
oriented discipline niight be inadvertently reinforcing the forces of repression and sociil .
regression.
. . . . '. - -..,. ~.
check ~ o u < ~ r o ~ r3e s s

.;
~ o t :e i) Use the space below for your answer. E
, . . ,. -. __ - ."+,.
ij) Check your answer with those given at theend of the unit.
1 ) Explain the character of Public Administration.
I
*
Y !
1.6 DISTINCTION BETWEEN PUBLIC AND' BUSINESS

ADM~~ISTRATION
As learlier obsehed, the 'management' euphoria at one stage led to a blurring of distinction
bedween public and phvate a'drninistration.
THCdistinction between the public and the private sector is however, greatly influenced by
thk. political philosophy of each nation. In the USA, for instance, the private sector plays a .
vkry important role in the American economy and society. The public sector is in many
days dependent on the private sector for the supply of goods and services. Hence, the
tkndency in that country is toward a blurring of lines rather than a distinct bifurcation of
'
tesponsibilities. In India, by contrast, the public spctor is slowly emerging as the dominant
/sector in the context of mixed economy. The steady expansion of the public sector in Indiu. ',
'if it continues unabated, is expected to draw a sharper distinction between the public and
private management.
Considerations of general welfire should be the common concern of both public9nd
business adrninistration.'Private rnanigement can ignore the larger public interest only at
&!ril. At the otherxnd, Public Admin~mtioncan hardly ignore the needs of,effident
management. Yet, the two types are basically different, as discussed below: , . . .
'
i) The major purpose of Public Administration is to serve the publicrhence beneial
.weifare and, in specific&, public satisfaction are the ends'thit hblic ~dministradon :
.. 'must serve. ~ ~ c o n t s a sbusiness
t, administration is basically'oriented towardeaming
profit for the business proprietors. Inability to earn profit will soon drive a private
enterprise out of business.
ii) Public Administration has to operate strictly according to law, rules &d nylatiom-
Adherence to law brings in a degree of rigidity &operation 'in the public sector.,There
' ;
-. -
is always the fear of audit or accauntability that acts as a.constraint on performance. ,
On the conjrary business administration is relatively free from such constraints of law

and regulations. There are of course general laws regulating business, but individual Public Adminis I..
Meaning ar
business firms have considerable flexibility to adapt their operations to changing
situations. This is possible because of their relative freedom from specific laws and
rules that abound in Public Administration.
liii) The actions of Public Administration are much more exposed to the public gaze. An
achievement rarely gets publicity, but a little fault hits the newspaper headline.
Organisations like the police have to be on their toes to make sure that their operadons
I do not)incur the public wrath. This wide publicity is not to be found in business
: - . -administration, nor is it so.very closely watched by the public and the media.
iv) In Public Administration, any show of discrimination or partiality will evoke public
censure or legislative commotion. Hence, the administrators are to be very consistent
and impartial in their dealings with the public. In business administration,
discrimination is freely practised due to competitive demands. In the choice of
products and in fixing prices, business administration overtly practises discrimination
which is almost a part of business culture.
V) Public Administrati.on, especially at higher levels of government, is exceedingly
cmplex. There are many pulls and pressures, many minds have to meet and discuss,
consultations go on in several rounds of meetings before decisions are taken. Activities
in ope department have ramifications that spread over several other departments. By
-.
contrast, business administration is, generally speaking, much more well-knit and
single-minded in operation. There is much less complexity in organisation and
operations. The pressures are certainly almost non-existent.
v2' Public Administration as organisation is thus much more complex, compared to
business or private organisation. Any unit of government administration is'tiad'up with
B network of jdlied public ocganisations and has to work in close interaction with them.
A private oqganisation by contrast, has more compactness, insularity and autonomy of
actiori
vii) Public Administration has overarching responsibilities in terms of nation-building, and
...
v,
shaping the future society. It is;therefore, much more. yalue oriented. Business
organisations have to follow the guidelines laid down by the public rtuthorities.
- -
Note : i) Use the space below for your answer.
ii) ~ h e 4 kyour answer with those given at the end'of the unit.
1) ~ k t i n ~ u i between
sh Public Administration and Business Administration.
ZET US'SUM U P
All societies have their political systems and ecqnomic systems, so also they have their'
II
I
' Public Administrative Systems. In contempqrary soqieties. Public Administration has
proved to be indispensable. Its scope is drywide, It includes all the activities undertaken
by the government in public interest. ~kinessAdministration and Public 'Administration
have much in common though there are several points of diffirences as well. In %is.unitwe
have discussed the character and scope of Pbblic Administration, and the distinction
between Public Administration and ~usinedAdministration. In the next unit we'will stiidJ'
'the importance of the subject,
7..

1 KEY WORDS
Absolute Monarch : The KinglQueenlEmperor w h holds ~ unrestricted/complete power for
life.
Capitalist State : State where the ownership and control.of capital is in private hands.
Police State: A state in which political stability seems to be dependent upon police
supervision of the ordinary citizen and in which the police are given power suitable to that.
Socialist Country : A country where the community as a'ivhole owns and controls the
means of production, distribution and exchange.
Welfare State : A state which makes substantial provision through law and administration
for deprived sections and those in 'need, e.g, the sick, poor, elderly, etc.
1.9 SOME USEFUL BOOKS

Bhattacharya, Mohit, 1987. Public Administration (2nd Edition) Chapter-I; The World
Press Private Ltd: Calcutta. ,
Gotembiewsky, Robert T., 1977. Public Administration as a Developing Discipline,
(2 volumes); Marcel Dekker; New York.
'. Henry, Nicholas, 1975. Public Administration and Public Affairs; Chapter-I, Prentice Hall:
New Jersey. .
, A. and Nigro, Lloyd G., 1980. Modern Public Administration; Harper and
~ i ~ ; oFelix
Row: New York.
self. Peter, 1972. Aclministrativ~Theories and Politics, Chapter-I; George Allen and
Unwin Ltd: London.
Waldo, Dwight , Public Administrarion, in International'Encyclopaediaof Social Sciences.
White, L.D., 1968. Introdurrion to the Study of Public Administration;.Eurasia
Publishing House : New Delhi.

EXERCISES
Check y o u r Progress 1
1) See Section 1. I
2) See Section 1.2
1) See Sub-section 1.4.2
Check-Your Progress 3
1) See Section 1.5
' Check Your Progress 4
1 ) See Section 1.6

UNIT 2 IMPORTANCE OF PUBLIC

ADMINISTRATION .
Structure I
7.0 Objectives
1.I Introduction
1.2 The Practical Concern
3.3 The social Science Perspective
.2.4 The Third World Perspective
2.5 Liberal Studies for Citizenship.
1
2.6 Contributions of Public Administration
2.6.1 Epistemological
2.6.2 Technical
2.6.3 Omhudsmanic
2.6.4 Liberal-Educational
2.6.5 Professional
2.7 Let Us Sum Up
2.8 Key Words
2.9 Some Useful Books
Public Administration is of practical significance to every citizen in the contemporary

society. In this unit we shall discuss the importance of the study of Public Administration.
~ f i estudying
r this unit, you should be able to:
- describe how Public Administration responds efficpntly to diverse public needs and
pli~yspragmatic problem solving role
explain how Public ~dministrationfas a Social Science, organises knowledge about
governmental structure and processes
I
recognb and describe the ,emergence of the sub-discipline of Develop,ment
Administration; and
state its contributions to creative citizenship.
In the first unit you were introduced to the discipline of'Public Administration. You have
read &out its meaning, scope, character as well the distinction between Public'Administration
and Business Administration. In this unit we will explain to you the importance of the study,of
Public Administration in modern society.
The importance of Public Administration as a specialised subject gf study was well brought
out by Woodrow ~ i l s o nthe
i founder of the disaiplirie. In his celebfated essay on 'The
Study of Administration' published in 1887, he characterised government a'drninistration
as the practical or business end of government that could be separated fram the rough and
tumble of 'politics'. Urging .for the establishment of an autonomous field of academic
inquiry, Wilson observed:
"There should be a science of administration which shall seek to straighten the paths of
government, to make its business less unbusiness like, td strengthen and purify its
organisation, and to crown its duties with dutifulness."
2.2 THE PRACTICAL CONCERN

Since government ha$ to respond to diverse public needs, Public Administratign's first and
Ibremost objective should be to efficiently 'discharge the publi.c!s business. The Wilsonian

The Nature of Public definition of the subject as an efficiency-promoting, pragmatic field was the first explicitly
' Administration articulated statement on the importarlce of a separate discipline of Public Administration.
This view of the discipline emerged at a time when there had been a felt need for increased
social prod~ctivity~and for a positivistic role of the govemment as the chief regulator of the
social order and a facilitator of socio-economic development.
Classical administrative theory about \;hich we wciuld discuss in detail in the next
block, reigned uninterrupted for about three decades since the beginning of the :sent
century. It laid special emphasis on improvement in the machinery of governmer.,. 4 s
the tasks of modem administration increased,enormously, it was just proper tb look
into the cau5es of apmlnistrative incompetence. tie Haldane Committee Report (1919)
in Britain and the Pre.sident's Committee on ~dmihistrativeManagement (1937) in the
United States are examples of official efforts to streamline Public Administration to
make it a fit agency of social development. In India, also several committees had been
set up during the British period as well as after independence. One of such major effort
was undertaken by the Administrative deforms Commission (1966) which was set up
with the identical purpose of making Public Administration a suitable agency for
effective and efficient socio-economic development.
The overdependence of administration on "po~itidswwas criticised by the reformers of
Public Administration. On the basis of studies made by the practising administrators and
'academicians, a iew'faith was- born in t h i f o 6 of a 'science' of administration that would
have great applied value in scientific restructuring of Public Administration.
The classical 'principles' of administration have severely been criticised. Despite
criticisms they have never been totally discarded. These were the precursors of later-day
sophisiicated methods and techniques of administrative improvement such as cost-benefit.
analysis, .operations research, etc.
* With increasing social complexity and international tensions, governments everywhere
had gradually come to assume more and more interyentionist postures. Trade. '
Cominerce and Industry eiparided and new kinds of productive enterprise sprang up. .
There were increasing social demands for State intervention in industrial regulations.
' Poverty, malnutrition, illiteracy and other social evils had becoqe central concerns of
public policy. The era of the laissez-faire state had thus come to an end. Instead, it
positivist-interventionist welfare,state has emerged steadily.
The State's increasing concern for social regulation and general social welfare meant a
quantum leap in governmental activities. The academic interest in the study of , ,
govemment and administration accompanied this historical expansion in state activities.
As Leonard White has put it:
"In their broader context, the ends of administration are the ultimate object of the state
itself-the maintenance af peace and order, the progressive achievement of justice, the
instruction of the young, protection against disease and insecurity. the adjustment and
'compromise of conflicting groups and interests-in short, the altainment of the good
life". 1
I
Rising popular demands and expectations from government coincided with a lively
interest in 'efficiency' in Public Administration. How can governmental activities be
made more cost-effective? How can the budgqary practices in govemment be
streamlined and made more and more management-oriented? Are there better ways of
organidng the administrative machinery? What could be done to ensure a steady and
timely flow of skilledmd motivated personnel within the governmental machinery?
After all, it is popular satisfaction and fulfilment of popular demarids that provides the ,
rationale for Public Administration. So, what methocis could be invented to monitor
popular reactions to administrative action? How can people's satisfaction be measured?
Apart from these, larger issues of public policy formulation, policy execution and
monitoring and evaluation of policy outcome had come to assume crucial significance
in governmental operations. After the seminal contribution of H&beft Simon to
decision-theory, Public Administratjon has received policy science prientation. This has
greatly enhanced the utility of the discipline for practical policy analysis and
policy improvement in the government. Writers like Dmr and Dye have greatly enkched
policy analysis as a major area of Public Administration.
* These objectives and practical requirements of govemment gave a fillip to the academit:
development of the new discipline af Public Administration. The'importance of the new

' Imporlilrce of Publk
discipline came to be recognised, as sustained academic inquiry and interesthttps://t.me/Upsc_Zone_Official
started
,.- Administration
producing new techniques and methods of improving governmental performance.
Public Administration's increasing practical concern for publii' problem-solving has
steadily legitimised its.place in the larger family of Social Sciences.
Complexity and larger scale of governmental operations have prompted innovations in
organisational designs, In order to meet the needs of rapidly changing $cia! situations,
governments have been groping for new.organisational formats that would'match the
specific situational needs. Organisation theory has, in recent years, assumed the
character of a well-developed discipline. The theories of organisat ion have Reen
co-ppted by Public Adminisqation and there is widespread application now of
.
P
organisation theories to adm'~istrative design problems. The organisation theory
perspectrve is now an integr I part-of Public' Administration discipline. 'This hiis made
the discipline much more useful then ever before for organisational development and
.
, structural experimentations in govemment. Thus in recent years the discipline has . '
acquired considerable strength. It is in a position tb suggest'~lternativeways (if
organising governmental activities to optimise the results.
.. Application of &havioural science knowledge 93s also facilitated more sophisticated
analysis of public personnel systems. Research as bn motiv~tionand morale. group and
intergroup behaviour, and interpersonal relationships have produced .rich.conceptual
and theoretical toolkits that are currently being uskd b> Public Administration-analysts,
The crucial importance of the human element.in administration,'which was. large1y
ignored in the classical model, is currently being emphasised. As i n applied science,
Public Administration has thus been of direct use in public personnel management.
A SOCIAL SCIENCE PERSPECTIVE

. So far we have presented Public Administration as a pragmatic and problem-solving
discipline. This is a one-sided analysis. Now we will examine an equally important fact$
of Public ~dministrationri:., it:; social-scientific status. Since government touches on
almost all aspects of life in the contemporary world, how the government is organised and
I how it operates in practice should naturally attract our attention. The importance of public
Administration as social science lies in its methddical study of government and in attempts
, to organise knowledge about governmental structure and operations. In'this role, Public
I' Administration as'a discipline is more interested in providing scientific explanations rather
than merely solving public problems.
d
Administration is looked at, in this perspective, as'asocial activity. Hence the concern of
academic inquiry would be to understand the impact of government policies and
operations on the soc'iety. What kind of sociely do the policies envis~ge?To what'extent
i administrative action is 'class' oriented:' In other words, how is Public .
Administration and what are the immediate and long term effects of governmental action
on the'sociai structure. the economy and polity? From this social science perspective,
Public ~dministration,as a discipline, has to draw on a variety olkirlcrr dijciplines {uch as
History, S(xit)lopy. Economics, etc., the aUwtive,being to "explain" find not just to
"
"prescribe".
-
Check Your progress 1 . .
Note : i) Use the space below for your answers.
ii) Check your answkrs with those given at the end of the unit.
I ) Explain how the interventionist role of Government is increasing.

ÿ he ~ i t u r of
e Public
Administration
!) How do behavioural sciences help in the analy\i\ of Public Administra~lon'
. .3) How adrnini51ratlon I \ ioob.ed a i b &,or&a!~ L I I V I I ) ' !
2:6 THE THIRDbWORLD PERSPECTIVE '
Plrblic Administration's special status in the "developing countrie~"has been u ~ d e l j

acknowledged. The post-colonial, "third world" countries have everywhere embarked upon '
speedy socio-economic development. These countries have naturally to rely on the

government to push through speedy 'development'. This means Public Adminlstration,has
to be organised and operated to increase productivity quickly. Similarly social welfare
activities have to be efficiently and effectively executed. The government-sponsored
'planned development activities have necessitated the birth of new sub-discipline of
"Development Administration", about which you would know more in Unit 5. Ba\ed on u
series of country studies. Development Administration has emerged as an extremely u\eful
field that has great practical utility in the special circumstances of the developing
countries. The'emergence of 'Development Administration' is indicative of a felt need f i x
a body of knowledge about how to study the thlrd world administration and at the \ame
time to bring about speedy socio-economic dev,$opment with government intervention. All
the developing countries in the third world depend on the gcvemment's aggressive role in
nation-building and socio-economic reconstruction. Development Administration, therefore
has emerged as a special sub-discipline to serve the cause of development. This is a
distinct branch of the discipline, sewing a distinct cause, viz. development.
LIBERAL .STUDIES FOR CITIZENSHIP

'
Another general utility of Public Administration as a'discipline lies in its contribution

to credtive citizenship. In a democracy, the citikns must be well-informed about what the
government does or does not do. Governmental literacy is a sine-qua-non of good
- citizhnship. People must get. to 'know about the organisation of government, the activities it.
undertakes and the manner in which these are actually performed. As a discipiinel,~ublic
Administration has ample scope to educate the lay citizens a b u t the machinery and
. . procedure of-work in the government. '
CONTRIBUTIONS OF PUBLIC ADMINISTRATION

J .
As already stated. the expanding role of government in every country, especially in the
develbping nations, has encouraged many-sided inquiries into governmental ,operations. - .;
Since government touches on almost every conceivable'aspect of lifp in a democratic ,
society, the citizens must have access to informqtion about government and about how.it is'
I
I ,

1
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Imporl:~ncc of [ uhlic
actually orgeised and pressed into social regulation and citizens' welfare. Public
.idrnini>tr;~lion
Administration as an intellectual discipline has, therefore, been gaining in importancejwith
the increasing interventionist role of goveniment in social life.
The importance of a well-developed discipline of Public Administration' lies in its five
kinds of major contributions to organised social life which we will discuss iiow;
* epistemological
* technical
e ombudsmanic
e liberal-educational, and
professional.
The fiist type of contribution arises out of the discipline's capacity to build up a rigorous.
systematic and scientific body of knowledge about governmental structure and operations.
Publio Administration alone has the exclusive responsibility to study the government in action
in all its aspects. In dischargihg this responsibility, it has been striving to collect reliable
information and data, analysl: administrative structures and operations, and build
explanatory theories for enhancing knowledge about administrative practices.
2.6.2 Technical
The second type of technical contribution of the discipline flows from its first major role as
stated above. Since the days of the pioneers like Woodrow Wilson, it has been the
endeavour of Public Administration specialists to apply knowleqge to act~ial-public
problem solving. With reliable theoretical equipment and on the basis of "clinical" studies
of administration situation, the technical consulting capacity of the experts in the
I discipline has increased considerably. Advising government and solving practical
problems in administration are legitimate expectations from Public Administration
analysts.
.The third type of contribution of the discipline can came out df investigative studies of
critical sectors of administration. Case studies on citizens' grievances, administrative red
tape, corruption, etc. may be widely circulated to familiarise the general public,.the press
and the legislature about the actual goings-on inside the bureaucracy. By disseminating ,
knowledge and information, the experts in Public Administration can play a socially useful
role akin to the ombudsmanic institution as established in many countries.
2.6.4 Liberal Educational

Public Administration as a discipliqe has the fourth important responsibility to create
enlightened citizenship. In a democracy, knowledge of how the government and the
administration functions must be universally disseminated. This is what can be called
governmental-administrative literacy. Public Administration is the only social science
, discipline that,can perform this role of a universal educator of "government and
administration" for all the citizens.
2.6.5. Professional
Public Administration has also served the cause of vocationalism. The discipline has been
greatly useful in training civil servants and equipping students to join the professional
stream of practising administrators. Institutes and schools of Public Administration, Public
Affairs and Public Policy Analysis are engaged in the ofganisation of professional courses,
Check YOU; Progress 2

Note: i) Use the space below for your answers. I .
ii) Check your answers wih those given at the end of the unit. '.
1) Why Public Administration is of special importance in developing countries?

.......,.................................................................................................................,...............
2
2) In which a r m a n Public.Administration contribute to o~anisedslciallife? :
:*r
. . . -.
2.7 LET. US
. SUM UP f
I
The importance of Public Administratioh as a discipline has been highlighted in this unit. '
Subsequent developn~entsin the discipline in response to both practical problems and
academic:questions have further enhanced its importance as an autonomous field. In the ,
contemporary world, the burden of public duties on government has been steadily i
increasing. To expect that the days of,laiskz-faire wobld return again is mere day-
*
dreaming, The positivistic-interventipnistrole of government would automatically find
reactions ih academic inquiry. And as history has shown, the importance of Public
Administration as a discipline has been closely associated with the increasingly activist
role of govemment everywhere.,
I
As regards the 'de;eloping* or 'thidworld' countries, 'Development Administration' as a
sub-discipline has a special role to play to systematise knowledge about 'development' as .
well as to facilitate successful and effective governmental intervention in radical socio-
,
economic 'reconstruction.
0 I
* , I
2.8 KEY WORDS

"
; $
Laissez-faire : Policy of non-interference.

Ombudsmaniq: Investigation of individual's complsints against public authorities.
Positivist : One who recognises only positive facts and observable phenomena.
" 2.9 SOME USEFUL BOOKS .

I
'
~hattacharya,Mohit. 1987. Public Administration: Chapm-Z: The World b s s Rivae
Ltd:: Calcutta. d
,
Golanbiewski, Robert T,1977. PLMic ~ckinistratimas a ~ ~ e i o bisc&liie;
g n ~ Vol,J; .
Marcel b k k e ~New
: Yo*.' I
,
.~enri.Nicholas. 1975. Public A&ninistratioy and Public ~ffdirs:Rcntia Hall.
Englewood-Cliffs: New Jersey. I
N i p . Felix A. and Niw. Lloyd 0. 1980. Modern Public Adminirtration; -Harperand
Row: New Yotic. .
While, LSDe. 1968. In!rodrcrion to the Study of P ~ I Ahinistroion;
~ C @unriahblishing ,
House: New Delhi: . -., ,

EXERCISES '
check Your l~rGress1

1 ) See Section 2.2
2) See Section 2.2
3) See Section 2.3
L
I CheckYourProgrcess2
1 ) See Section 2.4 li ---
2) See Section 2.6

UNIT 3 PUBLIC ADMINISTRATION AND

OTHER SOCIAL SCIENCES
Structure
3.0 Objectives
3.1 Introduction
3.2 . Social Phenohena: Their lntepated Nature
3.3 :public Administratjon as a Socilil Science
3.4:. elation with other Soci~lSciences
3.4.1 Relation with Political Science
3.4.2 Relation with Sociology
3.4.3 Relation with Economics
3.4.4 Relation with History
3.4.5 Relation with Law
3.5 Let Us Sum Up
3.6 Key Words
3.8 ~nswersto Check Your Progress Exercises
a 3.0 OBJECTIVES
-
, ,
'In this unit, we shall examinkthe place of Public Administration among Social Sciences
and its relations with other Social Sciences, in particular, with Political Science. '
Sociology, Economics, History and Law.
Af!er studying this unit you iould be able to:
q . 6 I I
'describe the integrated nature of knowledge
explain the inter-relatedness of different Social Sciences and
describe how the concepts and issues of Public Administration are related to those of
political Science, Sociology, Economics, History and Law.
3.1 INTRODUCTION
'
From the time of Plato and Aristotle of ancient Greece to the 18th Century, Social
Sciences have $en regarded as a single subject of study. With analysis of different, aspects
of it, it has split into differen! disoiplines. Their development was hastened by the
Industrial Revolution which gave rise io issues requiring investigation by s&xialists. The
broad division of Social Science into Economics, ist tor^, Political Science, Public
Administration, .Sociology, etc. has proved inadequate to the understanding or the solving
of several problems posed by social phenomena. This has led to specialisation in different
areas of a subject (e.g. ~conomichihto Applied Economics, Econornetdcs, etc. Political
Science into Political Sociology, Political Anthropology, etc.). As a result it has become
increasingly difficult to realise an integrated perspective of social events. Indeed, the
writings in Social Sciences in the 20th century testify to the phenomenal expansion of
. "
specialisation. However, too much specialisation may lead to unrealistic results ignoring
social phenomenon in its totality.. ft i s like missing the wood for the trees. This is so,,
because, no social event is unidimensi~nalnor does it occur in isolation. It is linked with,
economic, political, administrative and social systems of a country. In order to
understand the role of administrative system of Public Administration in a social setting, it .
is necessary to know the relationship between Public Administration and sth& Social
Sciences. This unit is designed to he1 you not only to understan$ the nature of social ,
phenomena but also to h o w whether k i a l Sciences can be regarded as Sciences; what ,
features Public Administration has, asp Sacid Science wd hdw it is rel&d to other~acial
ScienceS.
S

The Nature of Public

Adm!nistratiun 3.2 SOCIAL PHENOMENA :THEIR INTEGRATED
NATURE
No social event can be studied in isolation without reference to other events. Consider for
instance, the policy on Reservation. A good section of people are supponing i t and an
equal number are opposing it. If it i s viewed only as a policy, for raising or reducing the
percentage of reservations we would be facing difficulties. We have to take into
consideration i t s root cause which is the outcome of the historical development of the ' "
lndiin society. This means'that we have to analyse the social, economic, political and
cultural aspects of reservation policy in order to be abje to formulate it in such a way as' ti)
meet the ends of social justice and ensure national progress. Likewise. with regard to the
problem of growing inefficiency in public offices you have to take into account .a whole
spectrum of policies ranging from the recruitment policy thinugh educatiorral policies to
the absence of 'achievement' motivation. Then only you will know what hus causcd it. If
you view inefficiency only as a matter of discipline in the offices' you may no1 he ahle to.
solve the problem of ihefficiency. -. 3
. :
Check Your Progress I I
Note : i)Use the space given below for;your answer . ..

ii)Check your answer with those given at the end of this unit.
* .-
I ) Explain the integrated nature of social phenomena with illu.\~rations.
One of the problems faced by almost all Social Sciences is the absence of some important
features of a Science. The main features of aLScience'are (a) exactness, (b) validity and
(c) predictability. Sciences have laws which are verifiable; Sciences follow a systematic
procedure of observation, investigation, experimentation, the building o f a hypothesis,
verification of the hypothesis by facts, tabulation, classification and correlation o f facts, I
etc. in order to arrive at conclusions that can be put forward as generalisations. Thus
exactness, universal validity and predictability are ensured.
As observed by Aristotle, a great Greek Philompher, Art is to do and Science is to know. If

Scienke is called a systematic body of knowledge, i t ~ !xn acquired only through the
appli'cation of the scientific method. At first, knowledge was viewed as a single entity in
which various subjects of s'ludy ootild be regarded as different dimensions o f it. Later, we
find subjects divided into sciences'suchas Physical Sciences, Life Sciences and Social
t
Sciences. But just as the way we call Physical Sciences whish deal with physical
phenomena as exact Science or Sciences, we cannot call Social Sciences which deal with
human beings as Sciences. The reason is that, the social phenomena in which human beings
play a major role cannot be studied in as rigorous a way as the physical phenqmena crrn be.
Morwver, no Social ~ u e n m can claim such exactness rq to he ahle to make predictions.
I
This, however, does not mean that i t i s impossible to evolve vlrlid laws about buman
- I
behaviour. The contribution of Sigmond Freud to Psychology cannot.be ignored. The point
- 24 . * o f exactness which is attainable in Physieal Scicnccs iL not possihlc in
is that the level
Social Sciences. 'Facts' in Physical Sciences, unlike those in Social Sciences, need not be Public ~dministrationand
other Social Sciences
related to any prescribed setting or context.
To be regarded as Science, Social Sciences have to have principles which are of universal
applicability and validity. While some subjects in Social Sciences can claim to have
developed such principles, the others can prove no such claim.'The reason is that human
behaviour is, so complex that it is difficult to account for it, using the same principles in
every context. For example, no political scientist .can trace certain political developments
to any one cause. However, you should not assume that there are no principles in any
discipline of Social Sciences. pot all Social Sciences have such principles to which the
criteria of exactness, universal validity and predictability Cali be strictly applied. The
scientific methods which are used fot arriving at accurate results , are now being bonowed
by Social Sciences. The behavioural movement which has called for extensive use of
empirical techniques for the scientific study of human behaviour, has made
inter-disciplinary approach possible. It is against this background that we shall consider
Public Administration as a Social Science.
!
Public Administration deals ~ 8 t certain

h aspects of human society. Various public
organisations are supposed to serve the public in different ways. To the extent to which the
administration deals with the public. Public Administration can be called a Social Science.
I
Public Administration is a Social Science having techniques and abstractions of its own
concerning the concepts of action and its own problems of theory. It is vitally concerned
with, the integration of knowledge in other Sciences, physical, biological, and I
psychological. Further, Public Administration relies on the method of observation rather

than on that of experimentation. Although experimentation in a laboratory is not possible
in the case of Public Administration, the advent of behaviourialism has made it possible.
Public Administration appears to be both positive and normative. Questions of 'What is'
and 'What ought to be' are as much relevant to Public Administration as they qre to
Political Theory. Public Administration has been passing through v a r i ~ u s ~ ~ ~ofa gtheory
es
' buildihg. In other-wckds, it 'is a discipline in the making.
\
b
. Check.Your Progress 2 ,
Note : i) Use the space below for your answer .
ii) Check your answer with -those
- given at the end of the, unit.
1) Explain the distinctidn between the nature of Physical Sciences and that,of Social ,
Sciences.
I .
.......................i'rr..............................................................................................................
Let us now consider the ;elation between Public pdministration and other Social
Sciences, lli:.' Political 8cience. Sociology, Economics. History and Law. .
.3,4.1 Relation with Political Science
?tall the intarit:elationships among Social Sciences, those between Political*Scie~qe and Public
Administration itand apart from otherh. Politicil,Science, according to a ~ o c r Scien'tist.
~l
. is concet.~scj\i:rt 1 the study of "authoritalive allocations of viluesl'. I t focuses'o" thc '
- ~ ~ State and individual. it prdvides answers to quesdonh concerning
'mlation?hin~ q t u . $ kthe
I

The Natureof Public the origin and nature of the State and also considers the institutions through which the
Administrsltirtsl
members of society exercise power. For a long time Public Administration has been
regarded as a part of Political Science. About 100 years ago Woodrow Wilson called for
the separation of Public Administration from Political Science on the ground that 'the field
of administration is the field of business'. Following Woodrow Wilson, Frank Goodnow,
yet another brotagonist of the separation of Public Administration from Political Science
has observed that since a large pan of adqinistration is not directly connected with politics
it needs to be removed from the control of political parties. Writers from the US were
largely influenced by the above mentioned argument and emphasised the need for
overcoming the ill-effects of the 'spoils system' according to which the party coming into
power replaces the officials appointed by its predecessor with those chosen by it to run
administration. However, the hundred years old history of Public Administration brings out
the severe limitations to which the growth of Public Administration as an independent
discipline is subjected. It isstherefore, not surprising that the contemporary theoreticians of
Public Administration have advocated its re-unification with its parent discipline, i.e.
Political Science.
We know that the political system of every country is related to its administrative system.
Indeed, it is the country's political system which creates its administrative system.
Conventionally speaking, Political Science deals with policy making and the
implernenta~ionof policies is left to the administrators. Thus the administration is charged
with the responsibility oftranslating the political will of a country into practical forms of
action. However, this is easier said than done. Again, it would be noted that the
administration plays a significant role in the formulation OF policies also. It follows that the
I
political qstem and administration influence each other to such an extent that it will be
sometimes~difficultto demarcate between the roles played by them respectively in kbe
given case. In a parliamentary'gqvernment like India. while the minister, as a political
leader and member of Cab~netparticipates in policy making, but as the top boss of the
Ministry/Department, is also involved in administrative decision making. Similarly th6ugh
the civil servants are supposed to administerlimplement the policy-decisions, the senior
administrators are also involved in policy-formulations by way of providing
data/information/advice to the Minister. As has been pointed out by some writers, the
character and form of administration of a country are influenced by its political system. If
this view is accepted, it may be asked whether one can understand the administrative
system without understanding the political system. For instance, in a democratic syste~pof
governance the bureaucracy (or the administrative system) is expected to obey its plitical
master. In suchla case the concept of bureaucratic neulrality put forward by Weber ( a
~ e r m a nSociologist whb is considered an authority on types of bureaucracy) does .not hold
good.
Administration is regarded as a powerful agent of change in most of the developing
countries. But, the nature of the State'itself in such countries is the root cause of poverty,
inequality and injustice. In such cases we have to examine the prevalcnt.politica1 system
before we analyse the role of Public Administfation in the country concerned. Thus the
separation of Public Administration from Political Science, according to some critical
observers; denies us the requisite 'political approach' to Public Administration. For
instance, the study of the Indian Political system, the historical evolution of Indian
Administratiye System, the debates in the Constituent Assembly and the basic
constitutional law which are all 'subjects of Politikal Science would alone provide an
insight into the process and theaworking of the Public Administration in the country. In
fact. there are certain areas of study common to Political Science and Public Administration
such as.Public Policy, Comparative Constitutions, and Local Govemment. Again,
Govemment is regarded as a continuous integrated process comprising different
functio~~legislative, Executive, Administrative. Considered in this light, the scope of
Public Administration is not a routine process but a dynamic process ln\iolving
considerable discretion. Studies in administration, therefore, focus not only o i policy
fonnulatio? but also on political parties. pressure groups; public apinion. etc. The methods ,
and techniques of Political Science are borrowed extensively by researchers in Public
Administration also, which includes'public policy, public welfare and public interest. The
relationship between politics and adniivistration is so close that they may be regarded as
the two sides bf a coin.
C
Check ~our.'ho~ress 5
ii) Check your answer with those at the cnd of the unit.
Public ~dminlstrationand
;. 1) j,llustrate the relationship'between PoliticalScience and Public ~d~ninistri~tion; other Social Sciences
.......................................................................................................................................
..........
................
....................................................................................................................
3.4.2 '&,lation with Sociology
Sociology is concerned with the scientific study of social structure. It is a Science which
studies the form of human actions in society. It also studies the inter-relatedness of the '
other Social Sciences. It is called by some a 'super science' unifying the generalisations of
the other Social Sciences. Post colonial societies continue to be in the grip of an all
pervasive bureaucracy. They are marked by inequalities of every kind. This is why the
policies and their implementati'on in such countries need to be studied within a broad
framework of class, caste and power. American scholars like Riggs and Presthus have
brought out clearly the undifferentiated nature of social reality characterised by a close
nexus between society, polity and its administrative system.
Adminidtration as we are aware, operates in the context of the society of which it is a part.
Hence, just as the society is concerned with goals, values, belief systems, so also should be
the administration. Thus we notice a two way relationship; administration exists in a social
setting and the pattern of administration theoretically is determined by society. Through
administrative leadership the society may be influenced. Sociology is concerned with the
human behaviour in a group, the various types of groups and the ways in which they
influence human instincts and activity. Administration is a cooperative endeavour in
which, a large number of people are engaged in achieving certain objectives. The
'administrators themselves form a distinct group known as bureaucracy which, while .
maintaining its identity frequently interacts with its social environment. If the organisation
is big enough there will be small groups and even sub-groups within it. These small groups
and sub-groups have their own loyalties, sympathies, antipathies; ethics, outlook which
would influence the administrative apparatus. Sociology offers to Public Administration
information about groups, their behaviour, and the way they affect social life. It is,
therefore, not surprising that writers regarded as eminent in Public Administration
primarily belong to Sociology. Max Weber's essay on bureaucracy has influenced many
other writers in Public Administration. Some of the recent works in Sociology on status,
class, power, occupation, family, etc., provide useful information and a theqretical base for
'
the Sociology of Public Administration.
The classical theories of administration tell us about the importance of structures in
administration, considering 'human behaviour to be static, The contemporary theories,
regarding it as being dynamic, investigate why a particular decision is taken by an
administrator in a particular situation. In the course of such an investigation the study of
sqcial background of administrators will be found pecessary. The tools developed by
Sociology are made use of by the scholars of Public Administration in order to understand
I
the sociology ofadministrators.' A notable work in this,field is that by V. Subrahmaniam
on the social background of Indian Administrators. The interest in studies of the
representativeness of a country's bureaucracy'makes for the study of the relationship
between Sociology and Public ~dministration.If one looks at the administrative structures
engaged in the reconstruction of societies, Cspecially those of developing countries, one
will find that the bureaucracy is engaged in community action.
A good number of institutions/universitiesoffer a course in Social Administration as part
of the Postgraduate and other programmes. Premier institutes like the Tata Institute,of
'
Social Sciences are offering special training programmes to the officials of welfare
'
a gencies like Tribal Development, etc. The National Institute of Rilrq Developmedt
conducts'special training courses for the personnel of All India Services which are
intended to acquaint the administrators with the 'sociology of'rural India.
J
Check Your ProgrCss 4
Note : i) u s e the space below for your answer,
ii) Check your answetwith those given at the end of the unit.
. I

The Nature of Public 1) "Social system influences administrative system" Comment.
Administration ' .
......................................................................................................................................
, r
.......................................................................................................................................
.........................!.................................................................... -.....*..................................
3.4.3 Relation with Ecmomics .
"Economics is a science concerned with those aspects of social behaviour arid rhose
institutions which are involved in the use of scarce resources to produce and distribute'
goods and services in the satisfaction of human wants:' This definition of Economics may
be said to have been modified by the well-known economist, L. Robbins, who defines it .as'
"the science which studies human behaviour as atelatioKship between ends and scarce
means which have alternative use:'
These definitions suggest that economics is as much concerned with human behaviour as
any other Social Scienm. '
The major objectives of administration during 18th and a good part of 19th century were
maintenance of law'and order and collection of revenue. In the wake of Industrial
evolution there occurred a radical transformation of the concept of the State. This was
due to its being compelled to become more responsive to the needs of the masses,
especially the working classes than ever before. Industrial Acts fixing working hours and
minimum wages extended an enormous pressure on the administration. Goals like the
establishfnent of a socialist society led to the expansion of the role of administration in
- development. Those industrie's which had been hitherto managed by the private sector had,
come under the direct administration of the govemment. The fast growing Public ~ e c i o r
(i.e. industries directly under the government) illustrates the relationship between
--
Economics and Public Administration. Indeed, the expanding role of the Public Sector and a
direct intervention of the govemment to regulate extreme swings in the economy place a
great burden on Public Administration.
Planning has been'chosen as the means!to realise the goal of Socialist society, If efficient
implementation of plans ensures goal attainment, the task of the administrators is to choose
methods for effective implementation of plans. The administrators today,have been
entrusted with the responsibility of managing railways, insurance companies and tackling
' issues concerning agriculture, banking, etc. They, therefore, have got to have an
understanding of.the'economic problems of the country.
The ancient classic ~rthashastra,'isnot only a treatise on the art of administration but
also a reference book on .Economics. In several other respects Arthashastra points out the
close relationship between Public ~drninistrabnand Economics.
3.4.4 Relation with History

' According to E,H.Cart, 'history is a cpntinuous process of interaction (between the
historian and his facts) an unending dialogue between the present and the past'.
History prevides an insight into the past. The study of historical background of a country
enables us to understand its adminmative systems. Historians have rec9rded.not only
political events like battles and the deeds of rulers but also particulars of administration.,
*Forinstance, L.D. White in his books on the early history of American administration. .'
administrative history of Medieval England provided useful material for unilerstanding the
systems of administration of those times, History tells us how administrative problems
arose in the past and how they were solved.
Signjficantly, modem historians have been paying increasing attention of the pkvalent
administrative systems.'This augurs well for Social Sciences like Public Administration .
since it will provide' valuable information to them.
3.4.5 Relation with Law

Acmrdiq to Mali~xnki.Law is 'sanctioned norm'. According Gadhart, Law is any rule
. . q n i d being obligatory by the bulk of the cgmmunity. In other words, violation of

norms is usually followed by counteraction. A legal norm is marked by probability that it Public Admidistration and
will be enforced by specialised staff. The authority to enforce rules is vested in https://t.me/Upsc_Zone_Official
@her SoelPl S c l o ~ m
i
administration. This explains the relationship between Law and Public Administration.
Public Administration has to function within the framework of the law of the country. In
other words, law sets the limits of administrative action, though it allows considerable
discretion to the administration. A subject common to these two disciplines is
Administrative Law. ~ e ~ i s l a t u enacts
re laws (acts) which the administration has to
ihplement. 'The role of administration is not restricted to implementation only; it has a
h l e to play in law-making also. Civil servants have a say in the formulation, presentation
and enactment of laws.
In fact. Public Administration has been described by a writer as a machinery concerned
wi& the 'systematic and detailed execution of law'. The relationship between
administration and law appears to be so close that in some countries Public Administratidn
is studied as part of some courses in law. Some subjects like Delegated Legislation,
structure and functioning of Administrative Tribunals are studied by both the students of
Law and thqse of Public Administration.
The Indian form of Ombudsman (i.e., Lok Pal hnd Lok Ayukta) are studied by students of
Public Administration as institutions for the redressal of public grievances. The study of
such institutions show the increasing importance of the relationship between Law and
Public Administration.
3.5 ' LET US SUM UP

All social phenomena are found integrated in nature. No social event can underskood
completely without an understanding of its various dimensions. While krlowledge is r
regarded as single entity, the need to study different aspects of it led to specialisation.
While the mushroom growth of specialisation led to a spun in research, the need'for an
integrated approach to social reality has not been met. heref fare, the study of various
disciplines vis-a-vis others has become necessary. Public Administration as a discipline is
only about 100 years old. It got sep-arated from Political Science a few decades ago. It has
close relations with other Social Sciences. It owes its emergence to Political Science, But
as it i~ finding it difficult to sustain itself as an independent discipline. it is being
increasingly felt that it must be strengthened with concepfs drawn from Political Science.
- Public \Administration is related to Sociology.also. Public ~dministratibncannot be
4ppreciated without:an understanding of social reality around it. Works of Sociologists like
Max Weber influenced the theory and practice of Public Administration. The fact: that the
modem administrator is known as a social engineer, confirms the close relationihip
between Sociology and Public Administration. With the advent of planning the
'relationship between Public Administration with Economics has grown stronger, 'Fhq
present day administrators ought to know the economic aspects of the polity for effective
imp1ementation.of policies. 'The focus of administration.in the Third World countries is on
reyoval of poverty. Matters connected with mobilkation of resources (taxes, exports,
impofis, etc.) have a great bearing on administration. History is yet another subject with
which Public Administration has a close relationship. Knowledge of the past enables us to '
understand the present. Public Administration and Law are also closely related. The role of
administration has been described as that of a machinery for systematic execution o f ' law.
There are some subiects common to Law and Public Administration.
The discussion in this unit clearly brings out the inter-related nature of the social j
phenomenon and -its knowiedge.
3.6 KEY WORDS I

\
\
C&stitutional Law : The branch of law that governs the formation, reformation and , I .
application of a constitution. \ 2 .
Empirical : Based or acting on,observation and experiment; not on theory , -,

I '
Hypothesit: A proposition or supposition made from known facts as the basis fo* .,
reasonigg of investigation. i )*
29
The Nature olPublic !dndustriaiRevolution : The transformation of society, occurri~lgfirst in Britain in the
Administration
second half of the 18th century and the first part of the 19th century, in which the bulk of
the working population changed from agriculture to industry
',
Normative : Establishing a customary behaviour.
Post.Colonial Societies : Societies which have attained independence from Colonial rule.
Pressure Croups : A group (united by common interest) which has sufficient influence
on Central Government to be able to put pressure on behalf of its interests.

Dimock. Marshall Edward and Dimock, Gladys Ogden, 1975. Ptrhlic Administration;
Oxford & IBH Publishing Co.: New Deihi.
Sharrna, M.P. 1960, Public Administration Theory and Practice; Kitab Mahal :
Allahabad.
, 3.8 ANSWERS TO CHECK YOUR PROGRESS,

EXERCISES
Check Your Progress I
1 ) See Section 3.2
I ) See Section 3.3
I ) See Sub-section 3.4.1
I ) See Sub-Section 3.4.2

UNIT 4 EVOLUTION OF PUBLIC
. Structure
4.0 Objectives
4.1 Invoduction
4.2 Why Study Evolutioh of the Subject?
4.3 Absolutist Traditions
4.4 Liberal Democratic Traditions
-
4.4.1 Politics Administration Dichotomy Approach
4.4.2 Structural Approach
4.4.3 Human Relations Approach
4.4.4 Behaviournl Approach
4.4.5 Development Approach
4.4.6 Public Policy Approach
4.4.7 Political Economy Approach
4.5 A Chart Indicating the Differences between Various Approaches
4.6 Marxian Traditions
4.7 Let Us Sum Up
4.8 Key Words
4.8 OBJECTIVES
This unit aims at explaining the evolution of Public Administration$ss:a significant area of
inquiry. After studying this unit you should be able to:
*.
'0 appreciate and summaribe thc importance of the study of the evqlution of Public
Administration
to distinguish between different traditions of academic inquiry in Public
Administration; and
identify and explain the different phases in the growth of the study of Public
Administration.
In this Unit we shall trace the historical evolution s f Public Adrriinistration as a field of
inquiry and also explain different traditions in the development of Public Administration.
Broadly, we have identified three traditions, viz. Absolutist, Liberal Democratic Bnd
Marxian, in the evolution of Public Administration. The clas~ificationis done for
ducative purposes rather than for the purpose of explaining their empirical implications.
The analytical frkne, we hope, will enable you to have a broad perspective on the
developments in Public Administration considered in' t~:rms of the impulses. ~deologkaior
otherwise behind them. This unit introduces you to diveilse traditions in thepractice
and theory of Public Adniinistration. Such a diversity hiis arisen mainly because of
differences in not only the history, culture and levels of development at various societies
but also the impulses shaping them at different times. Before discussing them in detail, let
Us briefly consider the importance of the study of the evc?lution of Public Administration,
4.2 WHY STUDY EVOLUTION OF T'HE SUBJECT?

\
Them have k x n few studies in the evolution of&ublic Adnrlinistration, although its
importance has been widely recognised. A reason Li the errbnqous impression that

Downloaded the past developments are of little consequence
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the present ones with which we are most
Administration
actively concerned. But the question is whether the past can be separated fr0.m the present
without rendering our understanding of the present incomplete and inadequate.
I
Evolution refers to sgradual unfolding of development of things in the course of time.
when the past, present and future are considered in terms-of a continuum, the study of the
past or of history becomes all the more significant, The past not only foreshadows the
present but also serves as its matrix. History, in the wordsof E.H.Carr. is an unending
dialogue between the past and the present. J,n this sense, the study of history has a
contemporary relevance. Indeed, it is necessary for the understanding of the contemporary
!
status of the subject and the critical issues therein, the genesis of which may be found'in
tHe past. There is much truth in the saying that 'a phenomenon can be understood only in a
historical context' Again, the study of different phases and traditions in the evolution of
Public Administration may also help in applying the 'lessons' or the indicators of the past
to the consideration of the development of the subject in the present. Broadly, the study of
e~olutionfulfils both theoretical and pragmatic purposes. From the theoretical point of
view, it helps to locate the subject in a broader frame of reference and from the practical
point of view it facilitate$ the use of the knowledge of the past-to further-the qevelopment
of the subject in the pres<n%:' ..
,3.
Check Your ,Progress 1
Note : i) Use thespaceI%IGw'fiIryour answer.
-. ii) Check your answer yith those at the end of the unit.
1) Describe the significance of study of evolution of,Public Administration.
In this section we shall discuss the absolutist tradition which antedates the other two-
Liberal Democratic and Marxian. Absolutist tradition refers to administrative traditions of
absolute monarchical regimes, where all powers areiconcentrated in tha monarchy. The
earliest work concerning it is Kautilya's Arthasastra, the most important,work on Public
Administration in ancient India. We confine our discussion'to the Indian t~adition'mainly .
for two reasons. Firstly,,sufficientinformation is not available on the absolutist
administrative traditions of other Asian societies. Secondly, the students of admidistration
should be acquainted with their own traditions in the field of Public Administration.
According to tradition, Kautilya, also known as Chanakya and Vishnugupta, was the Prime
Minister of Chandragupta ~aur~a,(32%298 B.C.); who founded the Maurya Dynasty of 1
.
Magadha (Bihar). Kautilya's treatise known as Arthasastra may be regarded as an anc~ent
Indian text-book of practical politics. It, according to s_bme,'ranksin importance with,
Manusmriti and Kamasastra and forms a triad with thpm in dealing with the thiee ' ,
imperativq of th8 social ~p@Iosophyof that time-Dharma, Kama, Artha. It, &Is mainly
with the Science Polity, which, according to Kautilya, is a combination of Science 9f
Wealth and Science of Government. I: Vittasastra (Economics) and Dandanjthi
(Statecraft)]. To Kautilya, finances provide the sinews of government and financial
conhiderations are paramount in the government's activities. Thus, his treatise adopts the
political economy approach to the.understanding of the problems of governance. H.V.R
Iyengar described Arthasastra "as an exceptionally able dissertation both on the aims of.
'Jhe State as well as on practical means by which these aims can be achieved". Arthasastra
is bpth an analytical and a'perspe~tivedocument revealing amazing perception and
mastery of detail. ' -I
kautilya's #rtha&stya mainly discusses'thrde aspects of the science of Public .
Administration, viz. the principle& Public Administrhtibn, the' machinery of Government
7 *. 1

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personnel. The principles of administration are not explicitlyhttps://t.me/Upsc_Zone_Official
dealt Evolution g!f Public
with in Arthasastra. They are implied by the functions of the mu~arch,ministers. etc. ah Administratibn
detailed in it. The machinery of Government as described in the Airthasastrla is mainly
related to the monarch. his relations with ministers, etc. The problems of higher level
personnel receive greater Attention than the lower level functionaries in Arthasastra.
Kautilya spelt out the importance of the science of Public Administration. According to
Kautilya, an administrator can adopt the art of Public Administration only if he is
conversant with the science of Public Adm,inistration. So it is necessary for the King, the
Crown Prince, the-High Priest and the ministers to be conversant with the science of
Administration. He emphasised the principles of authority, obedience! and discipline as
being central to the administration of the state. He considered principles like division of
work, hierarchy and. coordination important to the mechanism of internal organisation.
Further, Kautilya is, perhaps, the earliest known thinker to iwecognise the importance of
statistics in administration.
-..
Kautilya made a systerhatic study of the society and did not blindly accept the current
.views based on faith and tradition. Ancient Hindus held that the Vedas constitute the sole
source of law. But Kautilya laid down four distinct sources of law; namely, sacred
scriptures, t k rules laid down in Arthasastra, customs and edicts of kings. Each of these
he considers more authoritative thz$ the one preceding it. He explicitly states that when
the sacred law is in conflict with the corporal law the latter should prevail. Arthasastra is
secular in its tenor and puts politics in command over religion. According to Kautilya,
pligious considerations shoula not outweigh political considerations. The King according
to hi& should strive and mai'ntain the stability of the State and increase his power and
material resources by policy or subterfuge. TO this end he even proposed an elaborate
system of recruiting spies and training them. Some of these propositions of Kautilya are
termed Machiavellian. Here it is interesting to note the observations of H.V.R. Iyengar,
who said that "Kautilya was honest and stated frankly what today is hidden under dnttious
veil of secrecy'!.
Kautilya's 'Ideal State' was sorbething like a modem Welfare State under an all powerful
ruler.'I-Ie clearly required the State to provide for the maintenance of children, women, the
old, the infirm and the disabled. The State was to run agricultural farms, help the anisans,
and exploit the forest wealth and mineral resources for the benefit of the people at large.
Indeed, the basics of 'Welfarisq' can be traced in Kautilya's Arthasastra.
Kautilya advocated a strong centralised authority vested in the monarchy. As pointed out
b j ' ~ .Inamdar,
~. "the principles governing the democratic Pu6lic Administration are in
many respects different from the principles underlying .a monarchical P~blicAdministration
described in Arthasastra, as the sources and the configurations of authority in the two
systems aie different". The administrative system as discussed in Arthasastra centres on
the king. His orders are unquestionable. His interests are supreme. He is the source of
authority for all institutions. The fading away of the monarchical form led to other
'traditions to gxplain and understand the administrative systems in democratic societies.
However, it ihould be noted that the traditions of Public Administration as established by
. ...- .. for its emphasis on the Scifn.c,e of Public ~dmi~istration
~ r t h a s a s t r aare significant and
systematic analysis of the art of governance.
I' '
Check.Y~ur,.Pragf.~w 2.1 .
Note : i) Use the space below for your answer. , '
ii)' Check your &swer wi* th'ose;at the end of thevii-it.
1) Explaid Kautilya's vbws on Public Administration.

' I 1
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Administration 4.4 ~ I B E R A LDEMOCRATIC TRADITIONS .
Traditionally, the origins of Public Administration as a separate area of inquiry are traced
to Woodrow Wilson's essay, The Study of Administration. published in 1887. His
essay marks the beginning of systematic investigation into the field of Public
Administration. Since then the study of the subject passed through va+us phases, each
phase characterised by a particular paradogmatic approach. Broadly, seven phases are
identified for understanding the evolution of the subject in the broad paradigm of liberal
democracy. Let us briefly discuss each one of them. c +
4
4.4.1 Politics-Administration Dichotomy Approach
Woodrow Wilson, the father of modem Public Administration, considered politics and
administration as separate processes and attempted io,conceptually distinguish between the
two areas of study. A similar attempt was made by Frank Godnow, another exponent of
the dichotomy approach who observed that "politics has to do with policies or expressions
. of state while administration has to do yith the execution of these policies". This
distinction is made between policy making a"d policy execution. Policy making is \
regarded as the realm of politics and execution as the realm of Public, Administration.
Further, politics and Public Administration ard,diflerentiatedon the basis of their
institutional locations. The location of politi'cs is identified with therlegislature and the'
higher eqhelons of government where major policy-de~isionswould be made arld the
larger questions of allocation of values decided upon, The location of administration on
the other hand is identified with the executive a m of government-the bureaucracy. The
processes of administration, it was argued, have a certain regularity and concreteness alxtut
them, which can be successfully investigated. Thus it is possible to develop a science of .
Administration. l i,
4.4.2 Structural Approa~h

This apprpach is marked by. the tendency to reinforce the idea of politics-adrjlinistration
dichotom3 and to evolve a value-free 'Science of Management". '. .
The 'Public' aspects of Public Administration was virtually dropped at &is s t a g and the
I
focus was almost wholly on economy and efficiency. The questions of 'value' were not
. considered important to the new science of Administration. Politics as practised by the ,
politicians was considered irrelevant. Scientific Management for the efficient handling of
the 'business' of administratipn became the focus of interest. Principles of nrwagement
were worked out as readymade aids ta practitioners. The administrative practitioners and.
the business schools joined hands to emphasise the mechanistic a s p c t of managemtf'nt
unaffected by the predilections of politicians and the failings of human"beings, . . I
The approach emphasised the s'tructure of the organisation. Structure is a device through
which human beings working in an organisation are assigned tasks and related tn one
'
another. It is believed that the effective [unctioning'of the organisation depends upon the
stivcture that a group af human beings build and operate. The structural approach was
criticised for the ambiguity of its principles, absence of scientific validity and its
mechanistic approach to human problems.
4.4.3 Human Relations Approach

The Hawthome experiments pioneered a movement which came to be known.& the :
Human Relations Approach to management. Its impact on Public Administrat#m WB$ &It,#
much more widely in the postwar period than before, This approach to organisational
analysis drew attention to the formation and effect of work groups in the orgqisation, the.
\
force of informal organisation in the formal setup, the phenomena of leadership and
conflicts and cooperation among growps in the organisational Betting. In short, ikc human
relations apprpach brought oup the limitations of the machine concept of.organisation in 4
'Scientific Management' thought..By drawing attention to the social and psychologicd
factors of work situation, it underlined the importance of the "human side of th$
enterprise".
The k i a l psychologist ha3 extended the concern of human relationists by bringing in . '
additional knowltdge about the sensitivity to human compiinents. It is B i d at bai<ing.

about: (1) greater organisational productivity or effectiveness, and (2) greater hwme ..

happiness and increased self-realisation. Proniinent writers. advwating this approach Evolution of Public
Administration
include Abraham Maslow, Douglas McGregor, Rensis Likert.gnd Chris Argyris.
The human relations approach has been criticised for its manipulative orientatiog. It is ,
alleged that the aim of the movement is to manipulate the man in organisation td qchieve
higher productivity. It is also criticised for ignoring the institutional and social system
variable in understanding the organisation.
4.4.4 Behavioural Approach
Herbert Simon's '~dministrativeBehavi6ur' is a critique of the older Public Administration.
More impodantly, it sets forth the rigorous,requirements of scientific analysis in Public
Administration. Simon's conclusion abodt some of the classical 'Principles', was that they
were unscientifically derived and were "no mote than proverbs". He rejected the
politics-administrati~ndichotomy: and at the same time brought in the perspective of
logi .id positivism for the study of policy-making and the relation of means and ends.
Reflecting the perspectives and methodology of behaviouralism in psychology and social
psychology, Administrative Behaviour pleaded for the enforcement of scientific rigour
in Public Administration. The substantive focus w s on "decision-making", and as Simon
inhisted, "If any "theory' is involved. i t is that decision-making is the heart of \
administration, and that the vocabularj of administrative theory must be derived from the
logic and psychology of human choice".
Simon's approach provided an alternative detinition of Public Administratjon, and
widene'd the scope of the subject by relating it to Psychology, Sociology, Economics and
Political Science. In the development of the 'discipline' he identified two mutually
supportive streams of thought. One was engaged in the development of a pure science of
administration which called for a good grounding in social psychology; and the other in
the development of a broad range of values and in working out prescriptions for public
policy. 'The second approach was, in Simon's view, analytically far-ranging. It would
imply the assimilation of the whole of Political Science and Economics and Sociology as
well as Public Administration, Thus Public Administration, he feared, might lose its
ideptity in the second approach. But he favoured the co-existence of both the streams of
th&#t for the growth and development of+thediscipline. As lie said, "there.does not
appear to be any reason why these two dcClelopments in the field of Public ,Arlmrnistration
should not go side by side, for they in no way conflict or contradict. But the workers in this
field must keep clearly in mind in which area, at any given time, they propose to work".
4.4.5 Developinent Approach

, The ecolo$ical approach to the study of administration originated in the wake of the
: emergence of the Third World and increasing realisation of irrelevanci of most of the
I wetern organisation theories to the study of administration. To quote Robert Dahl, "The
study of Public Administration inevitably must become a much more broadly based
discipline, resting not on a narrowly defined knowledge of techniques and processes, but
rather extqlding'to the varying historical, sociological, econdmic and other'conditioning
factors,,,.": ' h i s suggestion has been taken up as a challenge and efforts have been,rnade .
in the study of Public Administration in the developing countries in a bid to "establishing
propositioas about administrative behaviour which transcend national boundariesM.'Such
efforts have given rise to Comparative Public Administration and Development
Administration.
4.4.6 Public Policy Approach

The Social -Sciences' general concern for social engineering has resulted in the laying of
emphasis ?n public policy. The study of Public>Administrationhas also been influenced by
the public~policyperspective. The abandonment of politics-administration dichotomy
'
made the public policy approach agreeable to administrative analysis.
1 1
videi ice from the practical world of administration hqs brought out the criteria of a close
nexus between politics and administration. As governments seek to formulate and
implement more and more welfare programmes, the promotion of policy studies in pubtic '
Administrationgathers momentum. At this stage, the study of Public Administration has

been gaining !in m i a l relevance no doubt; but its boundarips as a descripgve study are not
asclearly distinguishable now as ,they used to he in the olden days of politics-
administration dichotomy. The discipline, to many Public Administration analysts, has
, gained in vigour and rigour, but it has suffered,a crisis of identity with diversificatiori and
strength. ' . J 34 .:,

ÿ be Nature of Public
~dministration 4.4.7,PoIitical Economy Approach he
Another development,in the study of Public Administration is brought about by the

\
adoption of the political ecphorny approach to the analysis of administrative problems.
This is associated witB the moving of Political Science closer to Economics in the interest
of greater theoretical coherence and better policy guidance. Economists like Anthony
Downs and Gordon Tullock have gone over the boundary by experimenting with the
application of economic methods and models to. political problems. Thus Public
Administration as a branch of Political Science and on its own has moved'towards a liaison
with Economics.
Q e liberal democratic tradition in the evolution of Public Administration as described
above shows that, starting, with an assertion of indepkndent identity, it has moved towards
the assimilation of ideas, methods and techniques of different Social Science disciplines.
Thus the scope of the discipline seems to be broadening while the question ot ~hidentity
remains unanswered. ,
Note :i) use the spabe below for your answer.
1) Explain different phases in the.evolution of Public'Administration'in Liberal r-
Democratic Traditions.
.......................................................................................................................................
;
\- .
....,.;........;:..; .......................................................................................................
A , ,
....*..
L. - .I
4.51 A CHART INDICATING THE DIFFERENCES ,
BETWEEN VARIOUS APPROACHES

Politics-Administration Structural Human Relations Behavioural
DichotomyApproach Approach Approach Approach
(1) Politics and ad- ( 1)A value-free (I) Emphasis on (1) Deals with the
rpinistration are Sciepce of Manage- the human side "inside" hunian
distinct, rnent. of the enterprise. being with a focus
on his values and
rationality.
* (2) ~diiticsis con- (2) The focus is oh (2) Brings out the (2) Decision-making
cerned with policy economy and limitation of the is considered to be
_ making. adminis- efficiency. machine concept of the heart of the
tration with organisation. adminismion.
execution ofblicy.
, (3)The location of
politics is
- (3) ?Public" aspec$,of
Public Admini+
, (3) Emphasis on the
social and psycho-
(3) Widens the scope
of the subject by
legislature and'khe tration was logical factors of relating it to Psy- .
-.
Cabinet; the dmppe'd. work situations. chology. Sociology
location of etc.
administration
the executive arm
of the' govewrnent.
(yl) A yalue-free I (4) Emphasis on the (4) Deals with the
Science of I structure. relationship
Management. among the people
working in organi-
sation.
Development Approach Public Policy Approach. Political Economy Approrcb
( I ) Emphasis on the study of (1) Emphasis on Public policy. (1) Empharis ~1the applicatim
the developmental aspect of economic methats arid
1 of the administration. models of political problem.
(2) Empl~asison historical, socio- (2TWith the fohulation and im- (2) Emphasis on the h b l i c
j economic, political factors plemeqtatioq of *elfarc pro- Admiiistration's closer inter- ,
wh~chconditi~ndevelopment. grammes, policy study relationship and interaction,
assumes greater significance. with ~ L i t i c ~ ~ pokles.
o m c

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I
4 6 MARXIAN TRADITIONS I
Admlnlstration
The October Revolution of l9,I7 generated debate among the Marxists on the role of
bureaucracy in Russia. Butt the Marxist interest in the bureaucracy. organisation and
management became pronounced only in the decade following the Second World War and
developed in a number of directions.
We have to go back to Marx, to understand the classical Marxist view of bureaucracy.
Although Marx has not paid much attention to the concept of bureaucracy, hisviews dn
bureaucracy and its relation to the power structure of the society found in his major works
, provide an important clue to the understanding of the later developments in the M xist
thought on bureaucracy. His ideas on bureaucracy figure mainly in his wok. 'The%*
Brurnaire of Louis Bonaparte.? I4is ideas about bureaucracy can be dnderstood &hen
considered within the general framework of his theory of class conflict. the crisis bf .
. capitalism. and the emergence of communisrfi. In the wider context of class struggle Marx
regards bureaucracy as an instrument of the dominant ruling ciass, promoting its particular
interests,'lts existence and development thus have a transient and parasitic character. From
this point of view bureaucracy and further bureaucratisation become unavoidable in a
society divided into classes. Marx envisaged that with the abolition of the classes, the State
and its bureaucracy would 'wither away'. The "withering away" of the bureaucracy would
mean its gradual absorption into the society as a whole. Thus instead of having an
oppressive structure, Marx visualised that in a Communist society, the functions of the
bureaucracy would be taken over by the members of the society themselves. The
administrative tasks shedding their exploitative character, would come to mean
administration df things and not of people. This philosophic stance of Marx has hqd a great
influence on his followers as well as on his critics.
The October Revolution,of 19 17 in Russia and the establishment of socialist government
in many countries of the world in subsequent years led. to experimentation with Marxian
ideas. There has been in the Socialist world a proliferation of bureaucracy and a growing .
, tendency to apply Western management techniques. Lenin viewed the strengthening of the
,centralise'd bureaucracy in Post-Revolutionary Russia as an indication of the immaturity of
socialism and the inadequate development of forces of production. Lenin like Marx
, considered it a transitional phenomenon. In contrast, the critics of the system have put
forward theories regarding the bureaucracy as a "New Class", i.e. a newly emerged class
in Soviet Union and other socialist countries ruling in the name of proletariat. -,
' It is indisputable that Marxinrr siudies of bureaucracy,* its organisation and management
'
'
have added a new dimension of the study of Public Administration and'helped to develop
it. The attempts of Stewart Clegg and David Dunkerly, Nicos Mouzelis, Braveman, and
many others to build a radical organisation theory have led to some significant advances in
the study of Public Organisation. ~ndeed,the Marxian traditions hate placed the study of
Public Administration in the widg.r-perspective of social transformation.
Check Your Progress q
6
Note : i) Use the space beloy.foryour-.-
answer
L..,.* .
ii) Check your answer with those given at the end'ofge unit.
1) Explain Marx's views'on bureaucracy.

*-
The Nature of P~~hlic
Administration 4.7 LET US SUM UP
The evolution of Public Administration was examined in the framework of absolutist,
liberal den~ocraticand Marxian nraditions. The Stale in the ancient times was dominated by
an abso1utir;t monarchical system for a long time. I<autilya's ArtIaasastra describes the
science of Administration in relation to the authoritarian monarchy. Sornc of the principles
of administration described in 'Arthasastra' have rekvance to the Present time probably
because of the continuation of authoritarian traditions in the modem state. The Industrial
Revolution of the late 18th and 19th Century resulted in the emergence of a liberal
democratic state in many parts of the world. The rnoder~iPublic Administration is a
by product of the liberal democratic state. Different phases in the evolution o f Public
Administration in a liberal democratic state reflect those of the social transformation in
these societies. The events of the October Revolution of 19 17 in Soviet Union resulted in
the study of Public Administration from a Marxian perspective. Thc proponents and critics
of Marxism and socialist practices have enriched the field of inquiry in Public
Administration. The diversity of human experience in respect of governance and the
ideological moorings of the people provide a battle grourld fur the ideas and practices in
4.8 KEPI WORDS

Corporal law : Law related to punishment.
Dichotomy : Division into two.
Edict : Order proclaimed by authority.
Paradigm : Example.
Proletariat : Class of industrial workers.
4 9 SOME USEFUL BOOKS

Bhattachaqa, Mohit, 1987. Public Adma'rri.strati~n;
The World Press Private 1,td.: Calsutva.
Golernbiewski, Robert T., 1977. Pidhlic Ad~ninistrafionos D e v ~ I o ~ ~Di.rt.ipliize;
in,~
(2 volumss) Marcel Dekker : New York.
tIall Inc.,
Nicholas Henry, 1980. Pzcblic Administration and C"utvlicsAfibit s; Pre~~oict.
Englewood cliffs: New Jersey.
Nigro, Aex A and Nigro, Lloyd G., 1980, Modern Flthltc Aiz'nlirai.~trarion;Harper and Row:
New York.
Rmd, Rstvindra D.,1989, Adazinistmtivr: Thir~kets;(Ed$),
Sterling Publishers : New Delhi.
Sharkansky, Ira, 1978. Public Admittistmtion-Policy Mubciptg in Conventional Agencies;

Wand McNally College Publishing Company: Chicago.
----
4.418 ANSWERS TO CHECK YOUR PROCiWESS
EXERCPSES - -
Check Your fiagrcss 1
1) See Section 4.2
Check YOME Progrw 2
1) See Section 4.3
P 1
Check Your FDpogrw 3

1) See Section 4.4
1) See Section 4.6

UNIT 5 COMPARATIVE PUBLIC

ADMINISTRATION
Structure
Objectives
1ntrod:uction
What to Compare?
Levels of Analysis
The Range of Comparative Studies
5.4.1 Inter-institutional Analysis
54.2 Intra-national Analysis
5.4.3 Cross-national Analysis
5.4.4 Cross-cultural Analysis
5.4.5 Cross-temporal ~ n a l ~ s i s
Nature of Comparative Administrative Studies
5.5.1 Normative to Empirical
5.5.2 Ideographic to Nomothetic
5.5.3 Non-ecological 'to Ecological
Scope of Comparative Public Administration
Significance of Comparative Public Adn~inistration
Conceptual Approaches in Comparative Public Administration
5.8.1 Bureaucratic Approach
5.8.3 General Systems Approach
5.8.4 Ecological Approach
5.8.5 Structural Functional Approach
5.8.6 Developme~~t Approach
Let Us Sum Up
Key Words
Some Useful Books
After you have read this unit you should be able to:
9
a explain the significance of Comparative Public Administration
explain the nature and range of comparative studies; and

' describe the conceptual approaches in Comparative Public Administration.
, .
--
.5:1 INTRODUCTION
Dear student, comparisons of administrative'systems has had a long tradition. But a focus
on this aspect of administrative studies is about forty years old. Only after the Second
World War and with the emergence of new nations in Asia and Africa, a vigorous interest
, in wmpar*ve studies of Public Administration has evolved. Comparative Public
Administration, in simple terms, refers to a comparative study of government
administrativesystems hnctioning in different countries of the world. The nature of
Comparative Administration has vast ramifications and ranges From the narrowest of studies
'
to the broadest of analysis. To understand the meaning of Comparative Public
Administration, it would be desirable to look 8t the types of comparative public '
administration studies undertaken by scholars in the field. In this unit we shall examine the '
meaning, scope and nature of Comparative Public Administration. We shall also discuss its
conceptual ap$oaches.

COMPARATIVE PUBLIC
Structure
5.0 Objectives
, 5 I 1ntrod;uction
5.2 What to Compare?
5.3 Levels of Analysis
5.4 The Range of Comparative Studies
5.4.1 Inter-institutional Analysis
54.2 Intra-national Analysis
5.4.3 Cross-national Analysis
5.4.5 Cross-temporal Analysis
5.5 Nature of Comparative Administrative Studies
5.5.1 Nonnat~veto E~npirical
5.5.2 Ideographic to Nomothetic
5.5.3 Non-ecological to Ecological
5.6 Scope of Comparative Public Administration
5.7 Significance of Comparative Public Administration
'5.8 Conceptual Approaches in Comparative Public Administration
5.8.3 General Systems Approach
5.8.4 Ecological Approach
5.8.5 Structural Functional Approach
. 5.8.6 Development Approach
5.9 Let Us Sum Up
5.10 Key Words
5.1 1. Some Useful Books
! 5-19 Answers to Check Your Progress Exercises
5.0 OBJECTIVES
9
explain the significanceof Comparative Public Administration
* explain the nature and range of comparative studies: and
describe the conceptual approaches in Comparative Public Administration.
I
521 INTRODUCTION
Dear student, comparisons of administfative'systems has had a long traditibn. But a focus
on this aspect of administrative studies is about forty years old. Only ttfter the Second
World War and with the emergence of new nations in Asia and Africa, a vigorous interest
in compar*ve studies of Public Administration has evolved. Comparative Public
Administration, in simple terms, refers to a comparative study of government
administrative systems functioning in differentcountries oE the world. The nature of
Comparative Administration has vast ramifications and ranges from the narrowest of studies
to the broadest of analysis. To understand the meaning of Comparative Public
Administration, it would be desirable to look at the types of comparative public .
administration studies undertaken by scholars in the field. In this unit we shall examine the '
meaning, scope, and nature of Comparative Public Administration. We shall also discuss its
conceptual approaches.

Administration 5.2 WHAT TO COMPARE?
In comparative (public) administrative studies, the unit of analysis is an administrative
system. Therefore, the focus is either on the .whole of an adtllinistrative system or on its
various parts. Briefly, the subject matter of comparison would be one or dl of the
following phenomena:
i) Environment of the administrative system.
ii) The whole administrative system.
iii) The formal structure of the administrative system with a focus on the pattern of
hierarchy, division of wgrk, specialisation, authority-responsibility network,
decentralisation, delegation, control mechanisms, procedures, etc.
iv) The informal organisational patterns existing in an administrative set-up, including
the nature of human groups, the relationships among individuals, motivational
system, the status of morale, patterns of infomial communicatiori and the nature of
leadership.
V) The roles of the individuals.
vi) The interaction between the persoinality of individuals and the organisational system.
vii) The policy and decisional systems of the organisation that link its various parts.
viii) The communicational system, which also involves the feedback mechariism.
ix) The performance of an administrative system.
You would notice from the foregoing discussion that an administrative system is noj-a -
simple entity. There are intricacies of its functioning which will be highlighted in any
comparative analysis.
5.3 LEVELS OF ANALYSIS

Comparative administrative studips can be conducted at three analytical levels: macro,
middle-range and micro. Macro studies focus on the comparisons of whole administrative
systems in their proper ecologicai contexts. For instance, a macro study would involve a
comparison of the administrative systems of India and Great Britain. it will conlprise
detailed analysis of all important aspects and parts of the administrative systen~sof the two
nations. It will be comprehensive in its scope. Though the studies of macro level are rare,
they are not impossible to be taken up. Generally, the relatisnsl~ipbetween an
administrative system and its external environmentme highlighted in the macro level
studies. The middle-range studies are on ckrtain important parts of an administrathe
system that are sufficiently large in size and scope of functioning. For insthce, a
comparison of the"structure of higher bureaucracy of two or more nations., s comparison of
agricultural administration in two or more countries or a comparison of' local government
in different,countries will form part of middle-range studies.
I
Micro studies relate to comparisons of an individual organisation with its counterparts in
other setting's. A micro study might relate to an analysis of a small part of an
administrative systein, such as the recrukment or training system in two pr more
administrative organisations:Micro studies are m0.m feasible to be undertaken and a,large
number of such studies have been conducted by scholars.of PublicA~ninisaation.In th;
contemporary Con~parativePublic Administration, all the three types of studies mexist.
Another relevant question that arises is what is the range of comparative administrative ,
' studies? What type of sttidies arepnerally included in this realm? In fact, the scope of
Comparative Public Adminjstration~atudiesis so'wide that a variety or analysis farm part of
this branch of knowledge.
- . .
5.4 THE R4NGE OF COMPARATIVE'STUDIES,

Let us now briefly outline the types of comparative adminish-ativesadies. Broadly there,
are five types of studies. They are:
Comparative Public
5.4.1 Inter-imstltatiomnal Analysis Administratian ':
It involves a comparison of two or more administrative systems. For instance, a
comparison of the structure and working of the Home Ministry of the Government of India
with the Defence Ministry will be a case of inter-institutional analysis. Such comparisons z
could involve the whole of an administrative organisation or its various parts.
5.4.2 Intrpnational Analysis

'.When an analysis in a comparative perspective is taken up among various administrative
systems functioning within a country, it would be an intra-national analysis.' Comparison
of district administration in Bihar and Punjab would be an example of such an analysis.
5.4.3 Cioss-national Analysis

When two or more administrative systems (or their parts) are compared in the settings of
different nations, this would be cross-national analysis. For example, comparing the
recruitment of higher civil service of China, Thailand and Tanzania will form an examflle
of a cross-national analysis. '

A cross-national analysis of administrative system involves countries forming part or
different "cultures", this would be called a cross-cultural analysis. For instancf, comparing
the admisiistrativesystem of the USSR (a socialist state) with the U.S.(a capitalist system)
could be termed a cross-cultural analysis. Even a comparison between a developed country
(e.g. France) with a developing country (e.g. Algeria) or between a developing democratic
country (e.4. Philippines) and a developing Communist regime (e.g. Vietnam) will be
covered in a cross-cult&al comparison. Thus-the word "cultural" in the category "cross-
culiural" has a broad connotation and involves an aggregation of distinctive political,
economic and socio-cultural traits of a particular system and its environment.
Such a comparison involves diff2rent time-frames for analysis. For instance, a cornparisoa
between the administrative system prevailing during Ashoka's reign and during Akbar's
regime would be a cross-temporal analysis. Likewise, comparisons,between the
administrative systems of ancient Rome and modem Italy, or between the administrative
practices prevailing during thd period of Jawaharlal Nehru and Indira Gandhi would fall
under the rubric of cross-temporal analysis. ,
A cross-temporal analysis may be inter-institutional, intra-national, cross-nationai or cross-
cultural. For instance, a comparison of the administrative control mechanisms prevailing
during the times of Julius Caesar, Alexander, Harsha, Attaturk and Nasser will be cross-
national as well as cross-cultural. Exactness in cross-temporal studies is not possible
because of differences in the nature of historical sources available for various periods. But
some broad conclusions on the basis of existing sources can be reached throu h sucll
ti
studies. Nimrod Raphaeli has defined Comparative Public Administration a stu y of
Public Administration on a comparative basis. The Comparative Administration Group
referred to Comparative Public Administration as the theory of Public Administration which
belongs to diverse cultures in the'na!ional settings and the body of factual data by which it
can be expanded and tested. Robert Jockson has defined it as the phase of study which is
-coneemcd.with making rigorous'cross-cultural cornparhons of the structures and processes
involved in the activity of aPministering public affairs.
--
d e c k Your Progress I\
NO& : i) Use the space below for your answgrs.
ii)'~heckyours answers with those given at the end of the unit.
1) What are the units of analysis in Comparhtive Public Administration'?

'IIre Nature (IT f'ubi~c
Adri~itristrrtion
.......................................................................................................................................
2) What is.cross cultural analysis'?
.................................................. .....................................................................................
.......................................................................................................................................
................................................... ....................................................................................
. ,
.......................................................................................................................................
.......................................................................................................................................
.......................................................................................................................................
3) Explain cross temporal analysis.
.......................................................................................................................................
0, li I
5.5 NATURE OF COMPARATIVE ADMINISTRATIVE

STUDIES ,
Some scholars believe that conlparison is an inherent part of any social analysis and
whenever we examine any social problem or issue, we cannot do so without employing the
comparative approach. Famous social scientist, Durkheim, subscribed to this approach.
Further, Eisenstad believes that there is no distinction between comparative research and
general social research, for the methods of the two are similar. On the other hand, there are
other scholars who believe that comparative inquiry has special focus and techniques.
Before the Second World War, there were; several studies on comparative politics and
administration but such studies were primarily descriptive and normative. Fred Riggs, the
toremost scholar of Comparative Administration had observed that there were three trends
which were noticeable in the comparative study of Public Administration. These were :
.I) "normative" to "empirical", 2) "ideographic" to '$ornothetic" and 3) "non-ecological"
to "ecological". We shall~now-brieflyrefer to thcse trends.
5.5.1 Normative to Empirical

Traditional studies of Public Administration were very much influenced by the classical
approach. These studies emphasised upon 'good administration' which was based on
following cettain ideal principles. Efficiency and economy were considered to be the
primary goals of all administrative systems and there were certain principles of formal
organisation which helped-in the achievement of these goals, nlerefbre, a few models of
administration, primarily of the western democratic world, were considered to be useful for
all other administrative systems. As a number of developing countries emerged on the
scene and with the success of the comn~unistsystems in various p m of the world, it
became clear that a limited culture-bound normative approach to the study of Public
ldministration was not adequate. The behaviourd approach highlighted the value of
studying the facts and reality ir,a significant manner and therefore the comparative studieh
of Public Administration after the Second World War started assigning grater importance
to the study of administrative "reality" existing in diffe~ent.countries and cultures. These
studies were more interested in finding out facts about smc- patterns and behaviom of
administrative systems rather than in describing as to what was good for each system.
In &is context, it may be mentioned that two important trends have influenced the
character of some administrative studies in the past two decades or so. First, the cowept'of
'T)evelopment Administration" which focuses on the goal-orientation of administrative

system is basically a nonnative concept .Thougl~r l con\iders reality as the basis of such Compnrntive Public
Administration
goal4rientation, the emergence of Development Admtn~strationas a focus inquiry since the
early sixties, Comparative Public Administration (encompassing the field of Comparative
Development Administration) has evolved a synthesis between the normative and the
elements of balysis.
The second movement that bas influenced the nature of Comparative administrative ~tudies
is phe Flew Public Administration which stressed the idealistic.goal lo be achieved h! an
system and thus tried to bridge the gap between the "is" and "should"
aspects of Public Administration. In the late sixties, the New Public ~dministrationmarked
the "post-behavioural" trend and its impact on most administrative analysis has been
profand. .
Z
9.5.2 Ideographic to Nsmsthetic
The words "ideographic" and "nomothetic" have been used by Riggs in specific contexts.
An ideographic approach concentrates on unique cases, e.g. a historical event, study of
single agency, single country or even a single cultural area.
Nomothetic approach, on the other hand seeks to develop generalisations and theories
which are based on analysis of regularities of behaviour of .administrative systems. Thus
earlier studies of Comparative Public Administration which were ideographic in character
focused on the study of individual nations or institutions and their approach was primarily
descriptive. No serious attempt was made to compare various nations and systems.
Generally, within a volume on comparative governmental administraiion, there were
separate chagters on different nations, without any attempt to Imk at the similarities or
differences among such nations in terms of their administrative systems. These studies,
therefore, were 'comparative' only in name and did not help in the process of
, theory-building or in developing generalisations concerning the functioning of
administrative system in different settings.
Nomothatic studies analyse various administrative systems in comparative context in a
manner that will help in the generation of hypothesis and theories. The qbjective of such
studis is to look at the similarities and differences of various administrative systems
existing in different nations and cultures and then draw certain generalisations relating to
administrrltive systems fuqctioning at various levels and in different settings.
It may be noted that the ernphas~son nornothetic compai-ativestudies is more noticeable in
the United States of America than in Europe or Asia. Presently, a large number of
comparative administrative studies are ideographic in character. Bven these studies, it
must Ik admitted, contribu'le to knowledge in Comparative Public Administration. Analysis
or theory-building has to be based on facts and description. And therefore, in the present
state of comparative administrative studies, a co-existence of ideographic and nomothetic
studies may have to be accepted.
5.5.3 Noa-ecological to Ecological

The traditiqpal studies of Comparative Public Administration were mainlv non-ecological,
These studies mentioned about the environmgnt of administrative system only in a casual
manner, There was no serious attempt to examine the relationship between the
administrative system and its environment, Thus, it had become very difficult to identify
the sources of differences among various administrative systems. Howeyer, studies
undertaken after the Second World War have been specifically looking at similarities and
differences among environmental settings prevailing-in different natioirs and cultures and
have been attempting to examine the impact of environment on the administrative system
an the onk hand ar .d the influence of the administrative system on the environment, on the
other. Tne well-kno*!n ecological approach relates to the study of interrelationship
between the system and its environment. This approach, popularised by Fred Riggs, has
I
been regarded as an important development in the study of Public Administratiad.
It may be noted that most of the ~omparativestudies of Public ~dministrationafter the
"
Second World War have been referring to the environment of the administrative sygtems,
but the @n emphasis is still on analysing the impact of the environment on Public
Administratior). The analysis relating to the influences of the administrative system on the
'environment is still inadequate. Nevertheless, a change in emphasis is noticeable and the
ecological onentation is gaining stronger footing in the contemporary comparative
- adrnidsLsp'ti.ve anajysis.
> .? I-

he
Nature of Pubik
Downloaded At this stage it may be painted
from:- https://t.me/Pdf4Exams out that when Riggs presented the above three trends in
Administration
1962; he was conscious of the fact that thsre is bound to be a co-existence of older as well
as the newer emphasis in the comparative studies. Accordingly, today there are normative
as well as empirical, ideographic as well as nomythetic and non-ecologicd aq,wdl a!.
ecological approaches co-existing in the literatile on Comparative Administratiem '

Note : i) Use the space below for your ahswers.
'ii) Check your answers with those given at the end of kbe unit.
1) Distinguish betweep normative and empirical studies:
2) How edologiral studies are'different from non-ecological studies?
........................................................................................................................ ...+..,...
.
...............................
r..:
. . . . . . . . . . . . . .
i...............;-.:.:.b.;:..,.::i.A,
......................................................... ..,..-,: :
5.6 SCOPE OF COMPARATIVE PUBLIC

.ADMINISTRATION
' The scope of Public Administration has increased enormously during the twentieth century. '
The importance of Public Admiqistration has grown substantially with the success of the
~ussiahRevblution, increased role of state during and after the Second World War,
measures of welfare adopted in most of the countries and growth of large number of
'developing countries. Taday, Public Administration influences almost all aspe~gi~f human
life. Even in a capitalistic country like'the USA, the role of govemment has expanded in an
effective manner. The net result of this increased role of state or govemment has&eltn that
large number of specialised branches of Public Administration have come up'on the scene. I
Some of these branches aie economic administration, social administration, educational
administration, health administration, transport administration, space administration, etc.
Besides, there are areas such a s state administration, urban administration, rural
administration, financial administration and personnel administration which have *become
istegrd p&s 6f the vocabulary of govemment. Therefore, when we comp'are
administrative systems existing in various nations or cultures, we can compare either the
'
whole of the administhive systems or some important parts of such systqms. Today, we
find a number of studies on comparative educational administration, comparative health
administration, compaktive economic administration, comparadve social adqhinistration
and other related areas. Further, there are a very large number of,publicationa on
comparative urban administration and comparative rural administration. It be~omes\ckar
that t h e s m p of Comparative Public Administration is as vast as that of its mother
discipline, vk Public Administration. Anything that & ' a ~ t l v e can ' be
compared.
Whi* di~ussingthe scope of Cotnparative Public ~dministratian,not only the specia,laed ;
branches ,of administration have' to be taken into W W ~ Further
. it also needs to'be , '
i 1

stressed once again that comparative studies can be conducted at macro, middle-range and Comparative Public
Adminislration
micro levels. These studies can be inter-institutional, cross-national, cross-cultural and
cross-temporal.
Here an interesting question arises: what do we include under the rubric of "nature" of
Comparative Administration and what do we put under the heading of "scope" of
comparative Administration? The best advice that can be given to students of Public.
Administration is that to attempt a neat distinction between the 'nature' and 'scope' of
comparative Public Administration may no! be a very useful effort. These two aspects are
overlapping and have common stress on the types, levels, and range of comparative
studies.
Now a brief reference to the'signiticance of Comparative Public Administration is in order.
5.7 SIGNIFICANCE OF COMPARATIVE PUBLIC

ADMINISTRATION
The importance of the study of Comparative Public Administration is we'll accepted today.
There are two factors that make comparative studies significant. The first factor relates to
the academic study of Public Administration. It is believed that through Comparative Public
Administration hypotheses, generaliaations, models and theories can be constructed which
can collectively help in the scientific study of Public Administration. The.old orthodoxy of
principles of administration is not considered valid anymore and therefore now it is
believkd that generalisations relating to administrative structures and behaviour emerging
out of comparative studies in diff~rentnations and cultures can help in formulating
theoretical constructs which can provide a scientific basis to the study of Public
Mministratian. It may be mentioned that way back in 1947, a very eminent political
scientist, Robert Dalh had observed that a science of Public Administration cannot be
conceived of without adopting a comparative approach. ,
The sludy ol' C'umparat~vePublic Administration also contrihatcs to P greater understanding
of the ~ndividualcharacteristics of administrative.systems functidning in different nations
and cultures. Besides, comparative studies also help in explaining factors, responsible for
, cross-national and cross-cultural similarities as well as differences in the administrative
systems.
The second important function of Comparative Public ~dministrdtionrelates to its
relevance to the empirical world. Throu~ha study of ~ o m ~ a r a t iPublic
v i Administration,
administrators, policy makers and academicians can examine causes for the success or
failure of particular administrative structures and patterns in different ewironmental
settings. It is interesting to find out through comparative analysis as to which important
f environmental factors help in the promotion of adn~inistrativeeffectiveness and which
t administrative structures function appropriately and successfully in what type of
i environmental settings, Lastly, an administrator or policy maker can, through comparative
studies o l I'ublic Administration, have greater insight into the prtwss and slratcpics of
' administrative reforms. He can look at the structures of administrative reforms adopted by
, various nations and examine those strategies and methods which can be helpful in his own
'.country. In other words, through ('omparative Puhlic Administralion, we learn about the
Finistrative practices followed in various nations and then we can endeavour to adopi
those practices which can fit in our own nations and systems.
The importance of Comparative Public Administration lies in its academic utility in terms
6fscientific and systematic study of Public Administration and in iqproying the knowledge
about other administrative systems so that 'appropriate administrative reforms and changes
can be brought about in different nations. .
'1
' 9
Check Your Progress 3 ,
\Nde: i) U'se the space below for your answers.

' ii) Check your answers with those given at the end of the unit.
1) What is the scope of Comparative Public ~dministration?

Administration
2) How comparative studies are relevant for administrative reforms?
CONCEPTUAL APPROACHES IN COMPARATIVE

PUBLIC ADMINISTRATION
1c
There are a number of approaches, models and theories presently characterising the
subject-area of Compa~ivePublic Administration. Particularly after Second World War, a
number of approaches have emerged in comparative administrative analys&. Much of this
effort is based on an adaptation of the developments in comparative ant~opology,
I comparative sociology and comparative politics. We will now study different approaches
a in a nut-shell.

-an.fie~most
influential of the approaches is Max Weber's ideal-type buryucrati model. This
of hierarchy,"specialisation,role-specificity, recruitment by
by seniority-cum-merit, career development, &thing, discipline,
%
personal and official means, etc. The emphasis in the rnode1.i~on

\
'
'I$e,re h e beea,a number of studies conducted in a comparative context employing the
bureaucfqtic mod4 of Weber. Notable scholars in this area include Michael Crozier (on
Fiance), %RoyLairdton the Soviet Union) and Monoe Berger (on Egypt). The
methodological limifation of an ideal-type model and specific context of a legal-rational
I authority system'$ses constraints in the application of Wdber's model to the eompr!tive
,
study of bureaucracies. Nvertheless, for an analysis of the bure,aucracies, of the deweloped
countries, the model is still considered eminently useful. Dwight Waldo views Weber's '
burwucratic model a's a "paradigm" of Public Administration. . .
a Particularly after Second World War, a number of apprdaches have emerged in- ,
comparative administrative analysis. Much of this effort is, based on an adaptation of the
developments in comparative anthropology, comparative sociology .and comparative ,
politics.

The behavioural approach emphasises '"acts", rigorous scientific methods of data
collection and analysis, quantification, experimentation, testing, verification and an ,
interdisciplinary orientation. It focuses on the analysis of human behaviour in.,
admin'istrative settings.

Downloaded from:- https://t.me/Pdf4Exams ,
5.8.3 General Systems Approach Comparative Public

Administration
Further, the general systems approach views an administrative system as a subsystenl of \
the society. It looks at various parts of an administrative system (formal organisation.

informal organisation, roles, individuals) and examines the interlinkages among variou~
parts. Besides, the approach analyses the dynamic interactions between the administrative
system and its external environment.
5.8.4 Eeologieal ~pproaelh

One of the most pop* approaches in Comparative Public Administration is the ecological
approach which has been stressed considerably by Fred Riggs. This approach examines the
interactions between an administrative system and its external environment. Thus the
impact of the political system, economic system, social system and the cultural system, on
the structure and behaviour of the administrative syste& as well as the influence of the
administrative system on these environmental structures is highlighted in the ecological
approach.
5.8.5 Structural-Functional Approach

A related approach, drawn mainly from Anthropalogy and Srxiology, is the structural-
functi~nalapproach. A structure, according to this approach, is a pattern of behaviour that
has become a standard feature of a social system. Further, a function denotes the impact of
a structure on another structure and the interrelationships among various structures.
Fred Riggs has successfully applied the ecological and structural-functional approaches in
his analysis of societies and their administrative systems. His typology of "agraria-
transitia-industria" systems, developed in 1957, was superseded by the typology oS "fused-
prismatic diffracted" societies that was constructed in 1959. For the,past thirty years or so,
Rigg's model of prismatic society and its administrative system known as "sala" has ruled
[he contemporary model-building scene in Comparative Public Administration. Despite
criticisms and certain inherent methodological limitations, the prismatic-sala model has
fascinated the students and practitioners of Public Administration in "developing"
countries. A prismatic society, according to Riggs, is characterised by a growing degree of
structural differentiation but not matched by an equal degree of integration (coordination).
This integration lag is reflected in almost all aspects of the functioning of a prismatic
society.
A prismatic society and its 'sala' are characterised by 'heterogeneity', formalism and
overlapping. Further,. overlapping has five dimensions: poly-communalism, poly-
normativism, bazaar-canteen model, authority versus control and nepotism. These features
relate to the social, cultural, economic, political andladministrative systems of the
prismatic society. The details of these characteristics are found in all important books on
5.8.6 ~ e v e l o ~ m e Approach
nt
A very well-known conceptual approach in Comparative Public Administration is of
'Development Administration' which has been elaborately dealt with in a separate unit.
This approach focuses on certain characteristics of a dynam~cadm~nrstrativesystem, e.g.
goal-orientation, change-orientation, progressiveness, innovativeness, participation and
responsiveness.
Besides, the abovei there are a number of other lessiknown approaches to comparative
administrative analysis. These include "information-energy' model of John Dorsey and
decision-making model of 'Martin Landau. Nevertheless, other models have not been able
to match the comprehensiveness and acceptability of Weber's bureaucragic model, Rigg's
prismatic model and of course, the construct of Development Administration.
It gppears that the experimentation phase in model-building in Comparative Public
Administration is not vlgorous anymore. However, the enthusiasm for understanding the
varieties of administrative patterns is alive in the scholarship of Public Administration.
That is why, one can hope formewer dimensions of Comparative Public Administration
emerging on the scene'in the'times to come
check Your ~rogr;iB"s 4

,
'S
ii) Cheok your answer with those given at the end of the unit,' 47

,
\ The Nature of Puhlk , 1 ) Explain the bureaucratic.approach.
AdmlnMraUon I
..........................................................................-.......................................-............... ,
I
5.9 LET US SUM UP: 1
comparative appr&ch has became an integral part of the Social ~ c i & inquiry. No
i exercise of systematic Social Science researchcah be complete without a comparative
focus. In this unit, we have examined the meaning and nature of Comparative Public
Administragon and its scope and significance. We have also examined the different
approaches to the study of Comparative Public Administration.
4 .
5.1Q KEY WORDS

Bazaar-Canteen :The "economic scene" in a prismatic society.'
2 ,
Diffracted : A social system where all structures are very specific.
Formal : The official norm, the theory, what ought to be done, as expfessed in
Constitutions, laws, rules and regulaiions.
Functionally diffuse : A structure that performs a large number of functions.
Fused : A social system.where all structures are highly diffuse.
Heterogeniety : The simultaneous,presehce, side by side, of quite different kinds of
systems, practices and iiew pbints.
, Overlapping : The extent to which what is described as "administrative" behaviour is
actually determined by non-administrative criteria, i.e. by'political, W i d , religious or

other factors. I
Poly-rommunal: A society that is composed sf several communities.

Poly-functional : A structurj!is poly-functional whose functions are more diffuse than
those of an association, but more specific than those of a traditional family. ,
Poly-normative : Refers to the characteristic myth sy&m of the "prismatic" society.

Prismatic : The mid-area on the continuum between the "fused" and the "diffracted"
models. % ,
1
W a : The prismatic bureau.
Structure : A pattern of behaviour which has become a standard-featweof a social
system.

4
,r . *. ..
Arora, Ramesh K., 1985: Comparative Public A&nistrotion;.Associated publishing"
House: New Delhi. . -- I
s Corhparative Public Administration; Allyn iurd

Raphaeli, Nimrod, 1.%7. ~ e a d i n g in
Baconi: Boston. I
Riggs, Eied, 1964. Administration in Developirrg Cowrtries: The theory of P r i s M c .

Swiery; Houghton Mifflii: Boston. '
Varqa, S.P.and Sharma S.K,,1983. Conipantiw Abministratian; IIPA : New Delhi..

e \
-
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Comparative Public
5.12 ANSWERS TO CHECK YOUR PROGRESS Administration
EXERCISES
chick your Progress 1
I ) See Section 5.2
I 2) See Sub-section 5.4.4 ,
I 3) See sub-Section 5.45

2) See sub-bection 5.5.3
1) See Section 5.6
,
2)SeeSection5.7
-
~ h & kYour Progress 4
1 X See Sub-section 5.8.1
> i
. .
--."
. .
I
,
I
I . a
. $1

UNIT 6 DEVELOPMENT
ADMINISTRATION
Structure
Objectives t
Intrqduction
Elements of Developme~tAdministration
6.2.1 Change-Orientation
6.2.2 Goal-Orientation
6.2.3 Progressivism
6.2.4 Planning
6.2.5 lnnovativeness
6.2.6 Flexibility in Organisntional Procedures
6.2.7 High Degree of Motivation
6.2.8 Client-Orientation
6.2.9 Participation
6.2.10 Effective Inlegratlon
6.2.11 Coplng Ability
6.3 Development Administration and Administrative Development
6.4 Development Administration and Traditional Administration
6.5 Instruments of Development Administration
6.5.1 Adminlsmtive System
4.5.2 Poiir~calChgunihinion
6.5.3 Volunuvy AbS~latlon~
6.5.4 Peoples Orgwiscltlons
6.6 Let Us Sum Up
6.7 Key Words
6.0 OBJECTIVES
explain the meaning and elements of Development Administration
distinguish between Developmcn{ Administration and administrative development; and
.
explain the features .pf Development ~dminis~atjon
and traditional administration.
6.1 INTRODUCTION
There is a populqr notion that th,k idea of ,Developrnent~dministrationevolved with the
emergence of a number of developing countries after the Second World W J ~ This . is odly
partly me. The concept has wider implications and its :evolution is npt confined to the
situations in dqveloping nations. You would find references to this concept in. the early
issues of the Indian Journal of Public Administration in the mid 1950's. However its
systematic use started in the United States of America in the early 1960's. The experience .
. gained in a large-scalk American public corporation, namely, Tennesse Valley Authority,
which was set up under the New Deal of Franklin Rmsevelt, was also termed as
'Development Administration'. However, later, a number of other administrative.
! experiences, particularly those relating to developipg countries, were grouped together
under the rubric.of Development Administration. The latter were qcerned with the .
probkrns relating to improvements in the administratwe capabilit~i?~ of developing nations
iso that they may utilist in a mote rational manner the foreign assistance received by them
for dcvelopnental purpases. Thus, a series of factors helped in the evolution of the concept
~f Development ~dhinistration.th this init you will study the significance of the elements

f he Nature of Public of Development Administration and the distinction between Development Administration
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Administration https://t.me/Pdf4Exams
administrative development. You will also studyhttps://t.me/Upsc_Zone_Official
the features of Development
Administration and traditional administration.
6.2 ELEMENTS OF DEVELOPMENT ADMIINHSTRATHON

bdward Weidner, way back in 1962, defined Development Administration as a "go;ll-
oriented" and "change-oriented" administration.To Weidner Development Administration is
~oncernedwith maximising innovation for development. According to Rigs
Development Administration refers to organised efforts to carry out programmes or projccts
Initiated by those involved in serving developmental objectives. To Martin Landau
Development Administration has come to mean the engineering of social change. We sees it
ia a directional process which is intended to make things happen in a certain way over
Intervals of time.
A numbr of other scholars also defined and refined the concept. Over the years. its
meaning has expanded in accordance with the added implications attached to it. As a
.result, one would find it, difficult to precisely define the concept of deve!opnlent
administration. At best one can attempt to explain what it implies and include> iI\ pcr the
current usage of the term. In the following section, we would outline a few of the nio\t
important elements of Development Administration existing in the literature of I'ublic
Administration.
6.2.1 Change-Orientation
DevelopmentAdministration is change-oriented administration. Change involves the
movement'of a system or a structure from one point to another. The reverse of 'change' , .
could be status-quo or inertia. Thus, a development.administrative system would be
dynamic and not 'static'. There is an in-built philos~phyofDevelopment Administration
'that values change. This change is a strategy for increasing the coping ability nf an
Administrative system ig relation to its-external environment as well as a rnechanisn~to
activate its internal structures.
As'we have pointed out above. Development Administration, ;is defined by Wcidner, is ;d
'goal-oriented' administration. One rilight ask a s~nlplequestion: Is an gdministrcrtive
system not necessarily goal-oriente&? Do we not define administration as a collective
human activity that is designed to achieve certain specific goalsr? Yes, it is true that all
administrative systems a s such are goal-ofiented. Yet what distinguishes the general public
(Idministration from Devclopnlts~+Idmi~?$tration is the dominanl fi IL us on
goal-achievement in a more systematic manner. In other word!,, Debclopmen1
Atlministration is that aspect of Public Administration which is dominantly goal-oriented.
~ goals, as Weidner points out are progressive in nature, Thus Devcl~~pmeni
. \ I Ithese
Ailministration is concerned with the achievement of progressive political, economic, social
and cultural goals.
i6.2.3 Progressivism
I
The element of 'progressiveness' of goals is an accepted feature of Development

Administration. \",'t;:is progressive for one society may not be so for another society.
IVevenheless, there appears to be a broad consensug on the nature of-progressiveness of
these goals in most of the countries, particularly those which are 'developing' societies.
'1n pblitical systems, progressivism would imply greater participation of the people in
.governmental affairs. 1n.a democratic system, participation could imply strengthening of
the pressqre groups, political parties, free voting in elections and greater respect for public
opinion in governmental affairs. On the other hand. $1 in totalitarian country, participatibn
would be more of a symbolic character. But in both'types of systems, increasing
participation would involve greater share of the common man in the fonnulatioh and
j implementation of government policies, plans, programmes md projects. It is a very
difficult goal to iichieve, particularly by an administrative system. Nevertheless, it is
expected of a development administrative system a create and promote such conditions
I that will facilitate greater participation of the'people ip the process of develoamnt,

Downloaded from:- https://t.me/Pdf4Exams Development Administration
In the economic sphere. a progressive approach would involve faster pace of economic
developw-nt and a more equitable distribution of income and wealth. It would involve an
approach of economic justice where opportunities to develop economically are equitably
distributed to all sections of society.
In the socio-cultural sphere, a progressive approach would involve universalisation of
promotion of health facilities for all sections of society, sociaPjustice based on
equity, secularism and adequate opportunities to all social groups to promote their
respective cultural distinctiveness.
, . ~eveloprnentAdministration,thus, is, an administration designed to achieve progressive
political, economic and socio-cultural goals. You can observe this from Figure 1.
Figure 1 : PROGRESSIVE GOALS
6.2.4 Planning
Plannina is not a prerequisite to ~ e v k l o ~ ~ e n ~ ~ d m i n i s but
~ a itt iiso the
n , most helpful aid
to the whole process of goal-ori6nted change. An Indian scholar, Pai Panandiker looks at
Development Administration as ahministration of "planned change". yeidner, however
opines that planning may or may not be a necessary condition fpr Development
Administration. Nevertheless, it is true that planning is a strategy that facilitates maximum
possible utilisation of human and material resource. And in poor countries, where such
resources are scarce, planning gains a central importance. As a programme of action to
>chieve certain specified goals in a given period, planning helps in the maximum possible
utilisation of time and other resources that make the whole process of development
effective. Little wonder, almost all developing countries have adopted socio-economic
planning as a strategy of development, and even the developed socialist countries continue
to place great reliance on the mechanism of planned development. Further, capitalistic
developed nations such as Great Britain and France have some form of 'indicative'
planning.
6.2.5 Innovativeness
Development administration is not dogmatic and traditional in its approach to problem-
solving. Instead, it stresses upon identification and adoption of new structures, method .
procedures, policies, plans, programmes and projects which would hklD achieve the
developmental objectives with tbe greatest possible facilitation. Experimentation and
adoptation are the hallmarks ~f~e~elo~mental~dministration. In India, for instance.
organisations such as District Rural Development Agency (DRDA) and Command Area
Development Administration (CADA) and programmes such as Integrated Rural
Development Programme (IRDP) and Tribal Area Development Programme (TADP) are
. examples of such innovations. Likewise, use of computers, district planning, national
education policy etc. are other instances of an on-going creative approach to the
development process.
This creativity is not confined to the organisational level only. At the group and the
individual levels as well, creativity in administration is feasible and its overall contribution
, ' to effectiveness of goal-oriented change can be'immense. A development administrative
, system has the responsibility to create an organisational environment which would be
congenial to creativity and innovations.
6.2.6 Flexibility in Organisational Procedures

Generally, a bureaucratic administration is considered as a synonym of rule-oriented
admiriistration. While it is true that no bureaucracy or administration can function without
an adequate set of rules, it is also true that a totally " rule-oriented" administration can fall
in the tnlp of treating rules as ends rather than as means. Such a dogmatic approach can
make an administrative system straight-jacketed and inflexible and thus make it unfit for
-.
The Nature of Public promoting development as a faster pace. Developmellt oriented administration requires an
Administration optimum flexibility of operations which would allow an administrator the required
autonomy to apply rules with discretion to certain unique and significantly distinctive
administrative situations. Though accountability for any decision made shall remain with
the administrator, yet h i will be granted adequate leeway in using the set of rules to the
advantage of the organisation and to the best of his ability and judgement. Yes, the risk is
likely to remain of misuse of any discretionary powers, yet this little inevitable risk sllould
not become an obstruction in the process of making al'Development Admir~istration
optimally flexible in its functioning. Otherwise, the ideal notions of creaiivity and
innovation will remain only myths.
6.2.7 High Degree of Motivation

Motivated personnel are the backbone of any organisation designed to achieve certain
progressive goals. A development administrative system needs a set of highly motivated
personnel at top, middle and lower levels. Such personnel should be committed to the
progressive goals designed to be the achieved and should have a high degree of
enthusiasm to accomplish those goals. Their narrow vested interests,or comforts should
not deter them from acting in the highest interest of the organisation atad the society.
What factors can motivate the personnel functioning in development administrative
organisation? Essentially, the maxim of need-fulfilment will apply to any group of
individuals entrusted with the responsibilities of achieving ccr~dingoals. For the
developmental administrative personnel too, the bases of motivation will remain the same.
Notwithstanding this commonality, it may be stressed that in a development administrative
system, the personnel need to possess and demonstrate extra zeal, extra dedication,and
even perseverance to achieve lofty progressive goals of change. In case it is not possible to
create such a cadre of motivated people, there is a likelihood of routinisation of
administration resulting in only modest performance.
How to get a group of highly motivated people to guide and man development
administrative organisations is a difficult question. Yet, a rigorous exercise in building
individuals and groups in a planned manner through proper training cann:be attempted.
Behavioural training for attitudinal change can be effectively employed for creating a new
class of motivated individuals.
A development administrative system is a client-oriented or a beneficiary-oriented

administration. It aims at providing maximum benefits of its services and products to d ~ e
very people for whom the organisation is designed. In other words,Development
Administration is"peopfe-centred" administration which accords primacy to the needs of
its .beneficiariesand tries to tune its programmes, policies and actions to these needs.
Here it may be appropriate to refer to a very important aspect of motivation that is pre-
. eminent in any service-oriented or beneficiary-oriented administration. It is called
"extension" motivation, which means motivation to "help" people. Western motivation
theorists such as Maslow, Herzberg and McClellmd have not highlight& this particular
type of motivation, but Indian social psychologists have been successful in identifying and
highlighting this notable phenomenon.
The assumption of extension motivation is that there is a desire in eyery man to be of use
to others. There are varying intensities of extension motivation among people, depending
on their socialisation and orientations. It can be suggested without much risk of
contradiction that in a beneficiary-oriented administration, existence of functionaries with
a high degree of extension motivation will be a great asset in moving that organisation
towards its goal of responsiveness. No doubt, a development administrative organisation is
a "responsive" organisation. It is responsive to the needs, wishes and aspirations of .the
people that it purports to serve. Responsiveness is a trait that would do good to any -
administrative system, but for a development administrative organisation, it is a
fundamental'prerequisite to its successful existence.
6.2.9 Participation
We have discussed earlier that progressive political goals in a society will involve
pdcipation of the people in governmenfal affairs. The notion of participation gains added
importance in the actual functioning of a development administrative system.
~velopmentAdministration involves the participation of the people or the beneficiaries in Development Administration
the formulation and implementation of development programmeg. In identifying goals, .
prescribing objectives formulating plans, designing action strabgies, implementing .
projects and evaluating performance, the role of the beneficiaries is of utmost importance.
m a t is why the block level and district planning are gaining increasing importance in
pvelopmentAdminis&ation in India. Not only participation helps in making policies and
plans more realistic m d down-to-earth, it also mobilises people's cooperation and support
in implementing development programmes with minimum cost in terms of manpower,
time and money.
participation of the people in development programmes depends on three factors. These
are:
i) Ability PO participate which in turn depends on their level of formal and infonnal
education;
ii) Willingness to participate which in turn depends on the socio-psychological framework
of society, groups and individuals, aqd
iii) Opportunity provided 10 the people by the governmental organisations to participate.
Their absence may cause low participation.
Participation has an important concomitant in decentralisation. A development
administrative system effectively utilises the strategies of delegation and consultation and
thus makes the administration "gross-root" oriented. People's willing cooperation is sought
and mobilised by the governmental authorities and this cooperation and collaboration +
becomes a potent instrument'for making the process of Development Administration

successful.
Bringing togcthec a host of groups and authorities for the achievement of common
developmental goals would require, a high degree'of integrative capacity in an
administrative organisation. Verily,DevelopmentAdministration is characterised by a high.
degree of coordination or integration. And in case the level of integration is low, the
developmen@ results are likely to be adversely.affected.
1n' a development administratiue situation, coordination is required to be affected at
various levels, among different organisations and units, among various positions and
ffinctionaries and among the resources available for the achievementsof goals. Lack of
coordination is' bound to result into wastage of resources and mitigation of effectiveness.
As is well known, any dedeloping society experiences a proliferation of structures to equip
itself to undertake specialised b k s . But what generally happns is that the level of
specialisation of functions and structures increases.'But this is not accompanied by a
required level of coordination. This gap%tween specialisation and coordination is termed
I
as "integration lag". Fred Riggs calls thtt society "Prismatic" where the level of
integration (coordination) is less than that of differentiation (specialisation). In a Prismatic
Society,
I < D (I stands for '~nte~ration
lag", ' D stands for Development).
6.2,11 Coping Ability

A development administrative system is an "open" system. It receives inputs regularly
from the environment and attempts to respond through its outputs, viz., decisions and
actions. NO doubt there is a continuing interaction between a system and its environment
and this miprocity of relationship is an important trait of Developmen Administration.
Every development administtative system functions in an environment which has its set of
substruchlres. For instance, there are the political, economic, social and cultural
(including technologicalj environments in which the~evelo~ment~dministration has to
function. Obviously, the influences of these environments affect the nature of functioning
rad effectiveness oflSevelopment#dministration. The political environment places
ChandS for a change and provides direction of movement, the economic environment
thc agenda of action of the administrative system and puts constraints of resources
on it and the socio-cultural system creates the miIieu in which the development
cdmihislmtive system has to operate. This is clear in Figure-2.
The Nature of Public https://t.me/Upsc_Zone_Official
Figure 2 : ENVIRONMENT OF DEVELOPMENT ADMINISTRATION
AdmCistration
DEVELOPMENT ADMINISTRATION
I
I I
I
Cultural (Including Technological)
It does not imply that Development Administration is only a dependent variable and lacks
its own mechanism to infllience the environment. Essentially, the process ofDeveloprhent
Administration is interactional and therefore it would be a mistake on the part of theorists
to present it only as a uni-directional process.
One thing is clear in this context: Development Administration has to respond to the
demands and challenges arising from its environment. Sometimes these challenges are
moderate and modest and thus do not strain the development administrative system.
However, on occasion, the challenges are serious and test the coping ability of the
administrative system. A development administrative system, therefore, continuously tries
to enhance its coping capacity. This is done through a process of greater sensitivity and
4 responsiveness to the environment and the capacity to strengthen its administrative
structures, behaviour and processes. This is what is known as "Administrative
t " which we would discuss in the next section. At this stage it should be
~ e v e l o ~ m e nabout
adequate to mention that Development Administration is goal-oriented, change-oriented,
progressive, planned, innovative,flexible, motivational, client-oriented, participative, it is a
highly integrated administrative system with substantial coping ability.
' 6.3 DEVELOPMENT ADMINISTRATION AND

ADMINISTRATIVE DEVELOPMENT
In the literature onDevelopmentAdministration,two notions have been interwoven: first
the "administration development" and second, the "development of administrative
capacity". The former is termed as"&velopmentAdministration", and the latter
'~dministrative~evelopmcnt". Both the phenomena are interdependent: any society
experiencing notable development in its political, economic, social and culturd systems is
likely to affect in a matching manner, its administrative system, and conversely a
well-orgmised and competent administrative system is likely to direct the process of
all-roundldevelopment of society in a competent manner. These twin processes are so
much interlinked that it is difficult to assert as to which would bb more prominent and
which would precede the other. Little wonder that Fred Riggs has found,in4'D~vefopment
Administration" and 'YidministrativeD~veloprnent"a "chicken and pgg" relationship.
Whatever be the sequence, it is undeniable that administrative devklopment is an essential
corollary toDevelopmqnt Administration. Administrative Development,implies the
enhancement of the capacity and capability of an administrative system to achieve the
, . prescribed progressive goals. The process depends on modemisation of administrative
structures and processes, induction of a spirit of innovation, cultivating a highly motivating
climate, increasing differentiation, effective integration, and positive attitudiaal and
behavioural changes among the administrators. The strategies of administrative reform are
a part of the process ofAdministrativel3evelopment.
6.4 DEVELOPMENT ADMINISTRATION AND

TRADITIONAL ADMINISTRATION
With the emergence of development phimistration, some scholar&have awmptd a
distinction between development and traditional administrations. The term tradition$
. administration is used as a synonym for 'general' administration and even &venue and law '
and order administration. The distinctions are generally made on the hllowing lines:
i) m e objectives of traditiond administration are simple while those of Development ,
56. Administration are multiple and variegated.
Development Administration
ii) ~ ~ d i t i o nadministration
al has a limited scope of operatmns, while Developmetlr
~dministrationhas a much vaster scope of fbnctioning.
?
iii) , &velopmentAhministratiOn is more complex in its parts and procedures than
traditional administration.
iv) Development Administration is larger in size than traditional administration.
V) hvelopmepf Administration is much more innovative and creative than traditional
administration.
vi) Development Administration is dynamic in its functioning, while traditional
administration stresses upon stability.
vii) Rule-orientation is valued in traditional administration, while flexibility is considered
a virtue inDevelopment administration.
viii)Participatory style of administration is a characteristic of Development Administration
while traditional administration is bureaucratic and authority-oriented.
ix) Development Administration is administration of planned change, while traditional
administration does not rely as much on planning.
x) Colonial bureaucracy is engaged dominantly in the performance of general
administrative functions, while the administrative system of an independent country is
primarily developmental in character.
xi) The administrative'systems in developing countries are basically developmental in
orientation, while those in developed countries focus on general administration.
It has become clear over the years that to attempt a neat distinction between development
and traditional administration i ~at, best, being over-simplistic. The nature of operations in
revenue, finance, police and pika-military administrations has become so complex,
consequently in these sectors of administration, not only the coqiplexity has increased
manifold and their objectives multiplied and intertwined but also the structures and
processes in these organisations have undergone notable changes. The techniques and
technologies in general administration have become modernised and sophisticate&
planning has become an integral part of their functioning; innovativeness and creativity in
their operations are being valued immensely; people's cooperation in taxation and law and
order administration is, being sought and mobilised; and flexibility is being introduced in
their procedures. No mow, the 'general' administration is 'traditional'; it has already
adopted the maxims of.modernisation with vigour. Thus, to attempt an absolute distinction
between general administration and Development Administration would be untenable and
unrealistic.
Further, to assert that t,he colonial administration is engagedemostlyin performing
traditional administrative functions of law and order and revenue administration wguld be
an over-simplification. It is well known that even the colonial bureaucracies, such as the
Indian, were engaged in promoting so-called 'developmental' activities (railways, roads,
tele-communication, education, health, etc.). Even a Planning and Development
Department was 914t up in the Government of India before Independence. Conversely, in
the independent countries, the focus is not on Development Administration alone. The
crises of stability, nation building, internal security and national integrity have forced the
governments in developing countries to strengthen their law and order maintenance
systems. In a country Keset with problems of internal disharmony, communal riots and
violence, it is difficult to promote socio-economic development in agwhole-hearted
manner. Time, energy and resources are distributed between the developmental and the
non-developmental activities. In fact, both are interdependent and changes in one lead to
changes in the other. Both prosperity arid poverty can lead to discontentment and even
violence. It may be pointed.out that even the developed countries face qroblems of change,
and challenges from their dynamic environment, In order to meet the progressive goals of
development, their administrative systems have also to be goal-oriented, change-oriented,
innovative, responsive, motivational and integrated. That is why the New Public
Administration, a movement started twenty years ago, stressed on almost the same
premises that characterise Development Adniinistration.Thus to say that development
administration is a dominant feature only of developing countries wo~lldbe an .
over-generalidation. And when we look at the developed 'socialist' countries (such as the
U.S.S.R.); the distinction further loses its validity.
When viewed objectively, it would become clear that the differences between
&velopment and traditional administrgtion are differences of degrei rather than of kind.

The Nature of Public The characteristics of Development Administration snumerated in this lesson'are also
Administration associated with general administration, but their intensity is greater in the case of the
former.
There are scholars (including William Wood) who say that to distinguish between
development and traditional administrations would involve an undue undermining of the
latter and thus belittling the importance of the fundarnental.bases of a nation's existence,
security and financial resources. How can, it is argued, a process of development take
place without adequate resource base? The argument has validity.

i) Define Development Administration and explain its meaning.
ii) What is goal-orientation?
iii) How is participation important inDevelopmentAdministration?
6.5 INSTRUMENTS OF DEVELOPMENT

ADMINISTRATION
You would agree that the problems of development are many and complexity of
developmental tasks are varied. It is very difficult to depend only on administrative system
to realise the developmental goals. There is need to employ other instruments also. We
would exaqine the four important instmlnents that can be employed to realise the goals of
development, They are :
..
'
administrative system ,
- ,
political organisation
voluntary associa~ions,and
people's organisations.
. 6.5.1 Administrative System
Public Administration ,of any country is an indispensable instrument to implement
58 ' \
development policies and programmes. Administrative system performs specialised
services and undertake vast range of developmental and non-developmental activities. As Development Administration
administrative systems have specialised skills and have rich experience there is a heavy
dependence on this instrument to real.ise development goals. But, because of the number of
the goals there is need to enlist other instruments also.
6.5.2 Political Organisation

Political parties mobilise people in support of developmental programmes. They resolve
social conflicts and pave the way for development. Therefore it is considered an important
instrument of Development Administration.
6.5.3 Voluntary Associations

In transitional societies there will always be gap between the people and the governmental
system. This should be filled to expedite the process of development. It is here that the
voluntary organisations can play a very crucial and significant role. Higher level of
motivation, flexibility in the organisation and approach, apolitical nature, commitment to
the cause;make them fit instruments to undertake developmental tasks.
6.5.4 Peoples Orrganisatisns

We have discussed earlier that development requires greater participation of people.
Participation can be at the level of decision-making, or implementation or in sharing
benefits or in evaluation. This requires skills as well as devoted work and calls for mass
movement. Peoples organisations contribute to quicken the process of development and
social transformation.'
We have to bear in mind that development strategy cannot depend only on one strategy for
national building and socio-economic progress. We have to use all the instruments or a
combination of different instruments.
Further, there are several administiative positions, such as those of District Collectors and
Chief Secretaries in India, which are'intricately involved in performing developmental as
well ,as traditional functions. To separate their functions would at best have only academic .
relevance.
And, therefore, the most acceptable approach would be to look at Development
* Administration as a type of administration which has its distinctive characteristics, but in an
:inseparable formfrom general administration.
?
Cheek Yaur,Progress 2
, -*
i) '"Administrative development is an essential corollary to Development Administration"
- Discuss.
I
ii) How is Development Adininistration differentfrom traditional administration?
.....
..........................*.....1...,,,,,,..........,.,..,.....*.,,..*.......,.....,..,..,.,...,.,..,,....,,......,..,,....,,..,,,....

The Nature of Public iii) What are the instruments of development administration?
Administration
6.6 LET US SUM UP

W e have studied in this unit the meaning and definitions df Development Administrationhd
its important elements. We have also discussed the distinction between Development
Administration and administration. Finally we have studied the differences between traditional
or non-developmental administration and Development Administration. In the next unit we
will examine the meaning and elements of New Public Administration.
6.7 KEY WORDS

Pressure group : An interest group which has sufficient influence on Central Government
to be able to put pressure on behalf of its interests.
Totalitarian : A state is totalitarian when the aims, activities and .metnbership of all
. associations are subject to the control of the State. 7
I

Arora, Ramesh K., 1985. Comparative Public Administration; Associated Publishing
House: New Delhi.
Riggs,Fred (ed) 1970. Frontiers ofDeveloprnent ~diF;inistration:N.C. Duke University
Press : Durham.
Swerdlow, Irving, 1968. Development Administration: Concept and Problems: Syracuse
University Press : Syracuse.
'
Verma, S.P., and Sht.ma, S.K. (eds); 1983. Development Administration: IIPA : New Delhi.
Weidner, Edward, (ed,, 1970. Development Administration in Asia; N.C.Duke University
Press: Burham.

EXERCISES
i) See Section 6.2
ii) SCe Sub-section 6.2.2
iii) See Sub-section 6.2.9
i) See Section 6.3
ii) See Section 6.4
iii) See Section 6.5

UNIT 7 NEW PUBLIC ADMINISTRATION

Structure
, 7.0 Objectives
7.1 Introduction
7.2 New Trends in USA
7.2.1 Changing Environment of Social Unrest .
7.2.2 Phlladclphia Conference
7.2.3 Minnowbrwk Conference
7.3 Features of New Pubfic Administration
7.3. C Change and Administrative Responsiveness
7.3.1 Rationality
7.3.3 Management-Worker Relations
7.3.4 Slructures
'
7.3.5 Education in Public Administration
7.4 Goals of New Public Administration
7.4.1 Relevance
7.4.2 Values
. 7.4.3 Social Equity
7.4.4,~ha;lge
7.5 Comments on New Public Administration
7.6 ~ eUSi Sum u p
7.7 Key Words
7.8 Some useful Books
7.0 OBJECTIVES
'
After you have read this unit you should be ahlc to :
explain the significance of New Public ~dminisrratit;n
explain the context of New Public Administration
discuss the features pf New Public Administration: i ~ n d
* explain the relevance of New Public Administr;~tion10 clc\cloping societies.
7.1 INTRODUCTION
In the earlier units we hlivc discussed the new approaches in Public Administration like
Comparative Administration and Develoflment Administration mainly in the context of
developments in the subject to meet the requirements of developing societies. Even in
developed societies like LISA, Canada and Britain, the administrative systems faced new
,challenges.The concept of New Public Administration is one r e s p n x to these challenges. In
this unit we shall examine the significance, features, and relevance of New Public
Administration.
J
i
-
7.2 NEW TRENDS IN USA
In regard to the theory and practice of Public ~dministrationrethinking and suggestions
for reform took place among individual intallectuals its well as at common forums of the
scholars and administratoxs.,For instance, F.C. Mosner e d i t 4 a pdblication, entitled
"Governmental Reorganization: Cases and Commentaries (1%7)"..The book dealt With the
common theme of administrative reorganisation and reform to strengthen administrative
capability $nd responsibility. The discussions at #e various forums did not always result in

I'lieNature of Public any consensus among the participants about any set formulae for administrative change.
Administration However, several 'valuable view points did emerge, regarding introduction of changes in
the theory and practice of Public Administration in response to the rapidly changing
environment. This urge for change has resuIted in the organisation of several conferences
in America. Of.these conferences one organised at Philadelphia in 1967 and the second
organised a1 Minnowbrook in 1968 are the most important.
7.2.11 Changing Environment of Social Unrest

In the second half of the present century rapid environmental changes taking place in USA
enabled her to achieve greater prosperity and power. But at the same time more and more
social tensions and unrest among several sections of people began to take place. The social
dissatisfaction and protests were mostly confined to the minority groups, the unemployed
and certain highly sensitive youth groups. These became a matter of growing concern to
the elected officials, the a'dn~inistrators,the intellectuals and the public leaders. A gbod
deal of public debate and discussion began to take place as how to solve the challenging
societal and technological problems. Several changes in policies and institutions began to
be undertaken and some others were debated to strengthen political and administrative
capabilities for coping with the rapidly changing environments: economic, social, political,
technological and human.
7.2.2 Philadelphia Gonferemece

Major viewpoints expressed at this conference about the subject and practice of Public
Administration are sumrnarised below :
a) With the progressive transformation ot;the liqited function state into a welfare state, the
responsibilities and functions of its government have increased very considerably. This
implies growth in the dimensions and functions of the administration. Since this growth
is to be a continuous process, it would be erroneous to demarcate rigidly the boundaries
of the study of Public Administration. The scope of the subject should remain flexible to
facilitate its growth. Again, it being obvious that administrators are involved in po~idy
making process as advisers and facilitators besides being primarily concerned with
poticy implementation, the dichototny between policy and administration and therefore
between the study of government and study of Public Administration is meaningless.
b) Too much emphasis on perfection of hierarchy and internal processes in administrative
organisations results in rigidities in administrative performance which detract from its
relevance and efficacy in rapidly changing environments; organisational innovations
and management flexibi!ihy,!re therefore .ippropriate.
C) The subject and practice of Public ~dministration'shouldpay increased attention to the
social problems of urban squalor, unemployment, poverty, environmental pollution ilnd
degradation.
d) There are great socio-economic disparities between classes of people. Hence, social
equity should be given due attention. For promoting equity as an administrative value
alongwith the existing values of efficiency and accountability, as well as for improving
administrative responsiveness, people's participation in administrative decision-making
and activities should be institutionally provided in a reorganised administration. This
would alsq mean that the study of public Administration should also include social
equity a s s n e of the themes.
e) Education and training progran~mesin Public Administration should not only provide '
management abilities and technique skills but should also d,eepen the social sensitivity
or consciousness of students/trainees as well as of the public personnel at work in
various governmental agencies. Moreove~administrative ethics needs due emphasis in
education programmes so as to prevent or minimise the chances of malpractices and
corruption.
7.2.3 Minnowbrook Conference

A year later in 1968 comparatively young scholars and practitioners of Public
Administration met at Minnowbrook to critically review t6e relevance of the study and
practice d Public Administration in termsrof rapidly changing environment posing
challenging problems before the government and social system in the country. Several
viewpoints were expressedvigorously. Though these were not much dissimilar lo the ones
_,. '
I .
at the Philadelphia Conference or by some individual academics at times, it was New Public Administration
the passionate character of discussions which was the distinctive feature of the meet at
Minnowbrook. Moreover, this was followed later on by small group meets of the
to keep up the tempo of their viewpoints as well as to elucidate these for
publicity or dissemination. The essence of the various viewpoints articulated by
the young participants was the advocacy for a tionnative approach in place of the
value-free efficiency approach of the classical theory. This normative approach stresses
that the purpose of governmental administration should be reduction of economic, social
a& psychic suffering and the enhancement of life opportunities both for the employees of
t h i government as wdl as for citizens. RI other words, concerned sections of people should
be freed from deprivations, wants and social disabilities. For this purpose, it was suggested
that administrative organisations and administrative systems rtnould be continuously
adapted to the environmental changes and should also facilitate c:lienale or citizen
involvement in adrniriisarativc processes to improve admitaistrative effectiveness.

Note : i ) Use the space below for your answer.
ii) Check your answer with the answer given at the end of this unit.
i ) Ucscrihc the n~i~jui

Qiewpointsof Philadelphia Conference.
........................................................................................................................................
........................................................................................................................................ I
1
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o...................,.............................................
;
.-- ",#.-. . --. .'6-...-.-". &
7.3 FEATURES 6~NEW PUBLIC ADMINISTRATION

George Frederickson has summarised, in several of his writings, the main features of the
new approach to Public Administration passionately advocated at Minnowbrook
-conference and afterwards. According to him, social equity is the key concept stressed as
an additional administrative value by the advocates of the new approach. He even titled
one of his books as New Public Administration. According tb him the various features of
the New Public Administration are as stared below.
7.3.1. Change and Administrative Responsiveness

,The social, political, economic and technological environments are changing rapidly.
Administrative organisations should, tirerefore, develop clear criteria by which the
effectiveness and relevance of their decisions and actions can be judged in the changing
context. They should also set, up an appropriate device and procedure ta effect appropriate
change regularly within themselves so as to be responsive to the environment. In other
words. organisational and operational flexibility or adaptability to meet environmental
changes should be in-built in the administrative system and in each of its departments and
agencies. Q
7.3.2 Rationality
In Puhlic Administration there is a g o d deal of emphasis on rationality as the main
criterion for administrative dmisions and actions. But this rationality really refers to the

Administration rationality of,bhe administrator and not as people would interpret it. The administrator
needs to consult the citizens as well not only about what'is proposed to be done but also
about what ought to be done and by whom.
7.3.3 Management- Worker Relations

It is true that human relations approach within an administrative organisation enhances
both morale and productivity (efficiency) among employees but these are not to be end in
themselves. The main objective should be the satisfaction of the citizens with the
performance and attitudes of the administrative employees whose morale and productivity
would have risen due to any human relations approach within an organisation.
7.3.4 Structures
There is 'a need Ear adopting a dynamic approach to organisational structure. ' Appropriate
decentralisation of authority and modification of l~ierarchiesof control and subordination.
for instance, need continuous review so that the structure becomes relevant to the changing
needs of environment. In other words, tllerc should hkalternativc structures to be choscrl
from the above inventory of org;misations rather than one standardised orgnnisational
structure based upon POSDCORB or other principles stressed by the advocates of the
traditional approach to Public Administration. Small decentralised and flexible hieri!rchies.
for instance, can be suitable for arlministraeive organisation's doncemid witl; programmes
of intimate concern to the people or some of their sections.
7.3.5 Education-in public Administration

The subject of Public Administration has been enriched by several streams of knowlcdgc
(concepts, ideas and insights). Heterogeneity is characteristic of this subject. The
management approach, the human relations approach, political approach and public
participative 01. choice approach continue to contribute to its growth. This is how it should
be. Since public affairs, in which the government is engaged, are highly varied and
complex, no single approach or theory or concept would be adequate to guide action.or
understand its rationale.
~ h e d kYour Progress 2
Note : i) Use the space below For your answer.
ii) Check your answer with those given at the end of this unit.
i) Explain the features of New Public Administration. .
- - -
7.4 GOALS OF NEW PUBLIC ADMINISTRATION

-
New Public Administration literature has stressed four important goals - namely,
relevance, values, equity and change.
7.4.1 Relevslrlce
Public Administration has always emphasised efficiency and economy. fublic Administration
is criticised as having little to say about contemporary problems and issues. At the
Minnowbrsok Conference, the participants focuscd attention on the need for policy-oriented
Public Administration and emph~isedthat Public Administration must explicitly deal with
political. and normative implications of all atiministrative actions. Another aspect of relevance
that was voiced was Public Administration htlowledge. At the Minnowbrook Conference,
some of the following questions were raiscd:
a) What standards of decision do we usc to select? New Public Adrninistratjon
b) Which questions ought to be studied and how to study them?
c) Who defines our questions and priorities for us?
d) To what extent are we aware of the social and moral implications of knowledge in Public
Administration?
.c) What are the uses of Public Administration as a social and political science?
rff Does Public Administration presently yield knowledge useful to certain institutions in
society (usually the dominant ones) and not to othersd
These are very&zXmbingquestions challenging the status quo in Public Administration.
' 7.4.2 Values

New Public Administration is explicitly normative. It rejects value concealing behaviouralism
as well as procedural neutrality of traditional Public Administration. The participants at the
Minnowbrook Conference, clearly espoused that value neutral Public Administration is
impossible. They emphasised that public officials have to advocate the interests of the
disadvantaged people.
Public Administration is indicated as an instrument of status guo, denying social justice to the
less privileged groups. The leaders of New Public Administration emphasise the principle of
social equity. Realisation of this principle should be the purpose of Public Administration.
Frederickson himself explains the concept of social equity much more boldly when says: "A
Public, Administration which fails to work for changes, which trier3_toredress the deprivation
of minorities, qill likely be eventually used to repress thosc ni~~lt)rities".
Client-fodus
. administration is a major goal of New Public Administration. Other goals are
debureaucratisatioh, democratic decision-making and decentralisation of administrative process
in the interest of more,effectiveand humane delivery of public services.
Achievement of social equity requires promotion of change by the public administrators.

Change is necessary to prevent Public Administration from coming under thc dominance ol'
powerful interest groups. New public administratqrs should regard change as a constant
fact of administrative life.
In conclusion, what'the New Public Administration movement focused was that the
administrator should be given less "generic" and more "public" than his predecessor, less
"descriptive" and more '?prescript.ive", less "institution oriented" and more "client-impact
.oriented", less "neutral" and more "normative", and 'it is hoped, no less scientific.
v II
?
' Cheek Your Progress 3
Note: i) Use the spacehelow for your a*swer.
i) Explain the goals of New public Administration.

The Nalum ofhbllc

Admlnirtrallw,
- ----+z
-
7.5 COMMENTS ON NEW PUBLIC-
ADMINISTRATION
- _I_C
According to Alan Campbell many of the issues bmught lo thc surface vigorously by
advocates of New Public Administration were not new. These have been raised by otller"
schoiars'from time to time. But these have been raised by proponents of New Public
Administration very forcefully and with a strong commitment to social ch~wge.Their
strong emphasis on citizen's participation in decision-making, on normative value of socid
equity, and human relations approach oriented largely to service to people is' once'again a
reminder a h u t the need for reorientation of theory and practice of Pu biic Adnlinistntion.
Dwight Waldo, in his book titled g6Etaterp~isa uf Public Administsstion (6980)"has
winled out
I
New Public ~drniniseation.proiects
- three pcrspeceivcs cIearly--client
(citizen)oriented bureaucracy, representative bureaucracy and pcople's participation. .I'hc~t
public perspectives if woven into Public Administration appropriately wotlkl lerlcl ta
demwratise it even more than before.
Carter and Duffey, writing on New Public Adrn~inistrationin the Xnternatlunrtl Journal of
Public Adminishalion, (19841, have expressed doubt whether the objective af social
equity is actually getting recognised as a well-established adrninis~rativeobjective or value '
in addition to the existing ones of efficiency, effectiveness and public accountability. The
great disparities of wealth and income continue in' USA to a\large extent. Due to recent
curtailment of government spending on social welfsc programme in USA the deprived
sections of the people still do not have adequate access to all the requisite economic and
social facilities for their substantial betterment.
We are of the view that since in USA the main emphasis has been on free competition and
individual initiative, adoption of social equity as a policy and ddininistrative objective is
not an easy proposition. In course of time, perhaps the progress towards its adoption may
become more encouraging due to social pressures.
Recknr trends in the study and practice of Public.4dministration in several countries, both
developed (e.g. France, Sweden and Britain) and developing (e.g., lradia, Pakistan1 idso,
indicate similar revision and additions. The intensity and extent of the impaci of the trends
however, vary from one country to the other, depending upon their respective historical
heritages, national resources, character of political system, cultwall and demographic
patterns and role of the state in national development. The impact is very we& in some
countries at one extreme and very strong at the other due to their differing nationd
profiles. On the whole, these trends indicate: '
a) growing emphasis on social equity in puh!ic policies and administrative actions;
b) devising of instihtional arrangements ro facilitate increased public participation in
administrative processes (i.e. decision-making, operations, etc.) at local and grassmot
levels;
c) strengthening of political direction of administration as wall as of administrative
accountability to the politiqal authorities within the government;
d) adoption of innovative (new) types of organisations as well as of modm management
pra&tices,and techniques and technologies to raise the adminiswtivc capability ( i a
efficiency and effectiveness) to deal with highly diverse, complex end numcmus
governmental tasks.
el growth of unionism among the public personnel (government emplayees) of various
grades and W i n g of organisedarrangwents for government-employas consultatio~
md negoh:?tiow as well as for-arbitration of disputes.
Because of thssb t W s in administrative-Qstems?the scow of Ule swdy of& subject d
Public Admhistratlon hhs increased considerably. Moreover, the study h no longer content
with the dacription and loalysis of administrative phenomena, polides, organisations and
-. . - . . . . .
processes. I t is also becc~mingincreasingly nolmative as it now deals with qklestions of New ~ u h l i cAdministration
social equity orientation. democratic orientation. ethical behaviom and citizen's
within continuously expanding ;administrative systems. Besides, it is also
beginning to he incre;~singlycomparative as it now examines and conceptualises the
administrative policies and drganisations and operations in various national environments
comprising severi~laspects - political, social, economic, demographic, physical and
kchnologicnl.
In short. the New Puhlic Admiriistration. both in practice and theory 'tends to be
_cy~nprc.liensivrGisckpi, descriptive-cum-normative in character and comparative besides
'multi-clisciplinary in substance.
h ;.* t
k',l~e,ck-yourPrngress 4
Note : i ) Usc the space below for your ansvmb.
i i ) Check your answers with tliosc giver1 ;it the end of the unit.
i ) Explain Waldo's cornnients oti N e w Public Adtninistration. .
~ i Explain
) ncw trends in Public i\dmir~istration.
7.6 LET US SUM UP

In this unit, we have examined the significance and the contcxr of N e a Public Administration,
' We have also examined the main features of' New Public Administration. The comments on
New Public Administration and the influence of this concept on ncw developments in Public
Administration are also discussed.
7.7 KEY WORDS

Administrative Accountability : A$countability yf the junior about their decisions and
actions to the seniors-within the bureaucracy, and accountability of the executive branch
. of the 'government to the legislature.
Administrative Capability : Ability of the administrative arrn.of government to perform
or achieve its objectives.
Administrative Effectiveness : The degree or extent of objective/goal achievement by
an organisat ion
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Orgiraisational Equity : Fair tle;~lto all the employees, with particular artontion at lower
I ~ v c I \ of' ;In orpunr\ation.
SociitI Equity : tlclivcry of sprviccs and goods by the ndminihtration shou)d he
directly rcl:~tctl 11~c~l\ of. privileged people on iI priority bi~sih.
7.8 SOME USEFUL ROOKS

Avasthi & Maheshwari, 1985. Public Administration, Chapter-2 6% 3;l Lakshmi Narnin
Aggarwal .: Agra.
s &ha viour, Chapter- 1: The
Bhattacharya, 1987. Public Administration, Structure, ~ o f x s and
,World Press Pvt. Ltd. : Calcutta.
Marini Frank, 1971. Towards a New public Administration, the Minnowbrook prescriptive;
Scranton, pa : Chandler.
-
EXERCISES

i) See Sub-Scction 7.2.2
i) See Section 7.3
' i) See Section 7.4
ji) See Section 7.4
I
i ) See Section 7.5
ii) See Section 7.2

UNIT 8 CLASSICAL APPROACH-

LUTHER GULICK AND
LYNDALL URWICK
A
structure
8.0 Objectives
8.1 Introduction ,
8.2 Importance of Structure . ,
8.3 From Fayol's Elements to POSDCORB "
8.4 Principles of Organisation

.8.4.1 Work Division
8.4.2 Coordinatior~
8.4.3 Unify pf Cornmarid
.. 8.4.4 Line and Staff q,
8.4.5 The Snan of Control
' 8.5 Practical Value of Classical Theory
8.6 Criticism of Classical Theory
'8.7 Let Us Sum Up
8.8 Key Words
, .
8.9 . Some Useful Books
8.10 Answers to Check Your Progress Exercises ' I
, 8.0 OBJECTIVES
. _.
In this Unit we shall'discuss thacontribution of Luther Gulick and Lyndall Urwick to the
study of classical theory of administration. The study of this unit would enable you to:
0 describe the classical approach to administration and organisation, given by Gulick and
Urwick
0 ooint out the short-comings of the universal principlb, formulated by bulick and *
Urwick; and '
evaluate the importance of classical in thc administrative theory. (
,
8.1 INTRODUCTkON
- >
' 4
Systematic study and analysis of,organisation can be traced to the later part of 19th aid early
20th centuries. Taylor, Henry Fayol, Max Weber, Mooney and Reiley, Gulick and Urwick
aie4rominknt among the many who attempted the scientific study of organisation, Based on
his experiments, Taylor formulated his universal 'principles of scientific management' to
jimprove productivity and efficiency in organisations. Henry Fayol, a successful French
'hanager and industrialist, expressyd his ideas in 19 16 in his book "Generqaland lndus~ial
Manc~gernent".Max Weber a German Sociologist, focused on the concept of 'Bureaucracy'
James Mooney, an industrialist with long years of experience with business enterprises.
published 'Onwlar6dIndustry' in' 19 18 co-authoring with Alan Reiley. Luther Gulick and
Lyndall Urwiqk based on their own experience and dtudies and that *ofothers contributed
extensively towards formulating general of administration and organisation. ,
They concentrated on certain aspects of Public Administration with rich experience of

se.wi1rlg the public offices, military and industrial organisations. Both were "indefatigable
publicists, propagandists, and promoters of the gospel of neutral principles directed at
raisirrg the level of organisational efficiency", Gulick was a member of the "Presidents'
Conhmittee on Administrative Management",
~ h k edited
y "Papers pn the Science of Adntirti.~tr.atiw"(1937) which is considered~as
important work in the development of the science of adminipation. It summarised the
principles of administration an@proclaimed that Public Administration suided by efficiency
cou'lldbe&me a science. f
Guilick's other wo,rks include: Adrninistrati\*e Reflrcttiortsfr.ont~ o r - l War.-11,

d Mehopaliran
Problems and Arner.ic.an Ideas, mod an^ Ma,la,qemerrr for the Ciy of New York.
, - -.&
J

Public Organisations: Urwi~k'spublished works include: "The Elements oj'A~lmin~strution", "Munugernent of
Tfie Paradigms
Tomon-ow"."The Making ofsctentvic Munagenrenr" (3 Volumes), "The Patterns of
~ u n a ~ e r n eand
i f Lear/er.ship if? the X X Century 0l;pani.sation.s"
8.2 IMPORTANCE OF STRUCTURE

Although Gulick and Urwick were interested in dealing with administration as a whole, they
dealt mostly with the technical aspects of formal organisation. Urwick was heavily oriented
to forn~alismin organisation theory.
Gulick and Urwick formulated 'universal' principles of organisation. These formulations are
popularly called 'classical theory' of organisation. 'They are also called 'administrative
management' theory, 'mechanistic'. theory, etc. The classical theory is so called because it is
one of the earliest formulations based on systematic analysis of organisations; it is dominant
in the field of administrative theory; and finally because it is long established and generally
accepted in administrative literature. They sincerely believed that a science of administration
can be developed based on some principles and based on the experience of administrators.
Thus, the administration which was considered hitherto an art developed into n science.
In discussing organisations as social groups, Urwick says "the correct analogy must be
analogy with the living organism-the biological parallel.... For this reitson the mech;~nistic
parallel can be very helpful in discussing organisation. Another name for it is the
engineering approach".
It is significant to note that Gulick and Urwick, alongwith other classical theorists, attachctl
more importance to the structure of organisation than the'role of the people in the
organisation. In short, Urwick traces a very large proportion of the friction and confusion in
the society, wiih its manifest consequences in human suffering. to the fiiulty structural
arrangements in organisations. Urwick stressed the importance of design in organisation. fic
pointed out that it is impossible for humanity to advance the knowledge of organisations
unless this factor is isolated. He further considered lack of design as "illogical, cruel,
wastefi~land inefficient".
. Umick in his book ,"Elements of Administration'' defines organisation as determining
activities necessary to any purpose and arranging them in groups assigned to individuals.
The whole arrangement must be undertaken in a "cold-blooded, detached spirit", like the
preparation of an engineering design, without any reference to the individuals in the
organisation. Thus, he,believed that effort must be made to fit people to the structure.
8.3 FROM FAUOE'S ELEMENTS TO

- POSDCORB
Both Gulick and Urwick were heavily influenced by Taylor and Fayol. Gulick used Fayol,'~
five elements of administration viz., Planning, Organisation, Command, Coordination and
Control as a framework for his neutral principles. Gulick condensed the duties of an
administrator into a famous acronym POSDCORB. Each letter in the acronym stands for
one of the seven activities of the administrator. They are as follows:
Planning (P): working our the things that need to be done and the methods for doing
them to accomplish the purpose set for the enterprise;
Organising (0): establishment of the formal structure of authority through which
work sub-divisions are arranged, defined and coordinated for the defined objective:
Staffing(S): the whole personnel function of bringing in and training the staff, arld
maintaining favourable conditions of work;
Directing (D): continuous task of making decisions and embodying them in specific '
and general orders and instructions, and serving as the leader of the enterprise;
Coordinating (CO):The all important duty of inter-relating the various parts of thk
work;
Reporting (K): keeping the executive informed as to what is going on, which thus
includes keeping himself and'his subordinates informed through records, research,
6 - and inspection; and

Budgeting (B): all that goes with budgeting in the form of fiscal planning, accounting Classical Appi-crach-.-1-tither
Gulilck and I.yndal8 Urwirk
and'gontrbl.
This list of activities is an improvement over Fayol's elements of administration. The term.
POSDCORB came into wide use, in the administrative processes. With its merits and
demerits, it served a number of wriie~swell in dealing with different aspects of
administration.
'I
I Check Your Progress 1

i) Explain the significance of structure in organisations.
.........................................!.. ...................................................................................................
ii) what does the acronym 'POSDCORB' stand for?
8.4 PRINCIPLES Q@ORGANISATION

Urwick identified eight principles of administration applicable to all orgaoisatians. The
principles are:
i) The "principle of Objective"-that all orgdnisatioris should be an expression of a
purpose;
ii) The "principle of Correspondence"-that authority and responsibility must be co-equal;
iii) The "principle of Respons;lbilityW-that the responsibility of higher authorities for the
.*work of subordinates is absolute;
iv) The "Scalar PrinapleV-that a pyramidical type of structure is built up in an
organisation;
v) The "principle of span of Control";
vi) The "principle of Specia$rsationW-limiting one's work to a single function;
vii) The "principle of Coordination"; and
viii) The "principle of Definitiion'*-clear prescription of every duty.
kfter stressing the sigfiificaric:e orstructure as a desiining process and identifying the
functions of the executive in Items of POSDCQRB, Gulick and Urwick concefitrated their
efforts on the discovery of principles of organisation based on which the structure may'be I
- --.--
designed.

Public or-gttnisiltion~: Similarly Gulick expounded ten principles of organisation'. In expressing these prlnclples
The lJaradigms G~.tlickwas very much influenced by Henry Fayol's 14 basic elements'of administration.
The principles'of Gulick are:
i) Division of work or Specialisation;

ii) Bases of departmental organisations;
iii) Coordination through Hierarchy;
iv) Dellberate Coordination;
V) Coordination through Committees; '
vi) Decentralisation;
vii) Unity of Command;
viii) Staff and Line;
ix) ~ e l e ~ a t i oand
n;
X) Span of control.
You would now examine some of these Important principles briefly.
8.4.1 Work Division

According to Gulick "work division is the foundation of or;ganisatlon, indeed, the reason for
organisatlon". The other classical thinkers also made the principle of work division as the
I , central tenet of their theory. Work division is necessary because "men differ in nature,
, capacity and skill, and gain greatly in dexterity by specialisation"..
In assigning functions to groups of people, their first principle is homogeneity based on the
identity or simplicity of four factors:
0 The purpose they serve, (function). I,
'The process they use, I
0 The persons or things they deal with (clientele), and

0 The place where they work.
~ h e s e , a r popularly
e known as Gulicks 4'P' bases of departmer,\talisation. However, in
subdividing the work or esdablishing the units of work, a chokte must be made as to which of
'
these principles-purpose, process, person(s) or place are relevant. Realising the limitations 1
I' ofyhe division of Gork, Gulick observed that "division of work and integrated organisation'
are-the bootstraps,by which mankind lifts itself in the process of civilisation".
I
8.4.2 Coordination
+
If sub-division of work is inescapable, Gulick declared.'coordination becomes mandatory.
' Based on his experience, Gulick says that coordination can be achieved'in two primary
1
ways:
' 0 By organisation, that is inter-relating the sub-dibisioni of work by allotting them to
'
persons who are appropriately placed in the Strukture of authority, so that the work may
--
I .
becoordinated by orders reaching from the top to the bottom of the entire organisation.
a* ~i the dominance of an idea, that is, the development of intelligent singleness of purpose
in the,minds of those who are working together so that each worker will voluntarily fit his
task intb thg whqle with skill and enthusiasm.
~ h e s two
e principles of cogrdination, he observes, are not.m~~tually exclusive, but together
both are really effective. Size and time are the great limiting factors in the development of
coordination. Therefore, he pointed out, coordination. must be approached with different
emphasis in small and in large organisations, in,simple and irr complex situations, in stable
and in new or changing organisations. Thus,lGulick maintains that "coordination is not
something that develops by accident. It must be won by btell igent, vigorous, persistent and
+ organised effort". ,'
8.4.3 Unity of Command "

..
Gulick and Urwick believed that "well-managed administrative uniis in the Government are
. almost without exception'headed by single administrators". They were against boards or
comn~issions.Leadership is vested in one rhan a8qinst a plural body. They reiterated Fayol's
maxim of unity of command, knowing that rigid adherence to this principle may lead to
absurdities. They were emphatic that "A man cannot serve twp masters".
* R , . .
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A workman subjected ro https://t.me/Pdf4Exams
order from more than one supervisor https://t.me/Upsc_Zone_Official
will be "confused, inefficient; Classical Approach-Lut her
Gulick and 1,yndall Urwick
and irresponsible", a workman subjected to order from but one superior may be "methodical,
efficient, and responsible".
8.4.4 Line and Staff

.
A special mention should be made of the Gulick-Urwicks principle of staff assistance to the
executive and the relations between the "Line" and "staff officials". They borrowed these
principles from their experience in military administration. However, no management theory
has yet been clear about the meaning of the Line and Staff principle in civilian
organisations.
According to Gulick the staff experts have to "devote their time exclusively to the knowing,
thinking and planning functions". They must not be given any administrative authority or
responsibility but they should get the results by the "authority of ideas" Thus, they
emphasised the necessity of special staff to assist the higher executives. Public officials in
their every day work do not have time to read, think and meet their subordinates; hence they
need assistance in their central tasks of command, control and coordination. Such assistance
should be extended by general staff, coordinating the work of staff specialists. Thus, the
general staff and special staff relieve the top executive from the burdensome details of
administration; they free him to concentrate upon the most important tasks and enable him
to exercise a larger span of control.
8.4.5 The Span of Control

To Utwick, "nasupewisor can supervise directly the work of more than five or at the most,
six subordinates whose work interlocks". The limit of control is due to the limits of
knowledge, time and energy, and different, kinds of works and sizes of organisations. It
raises in part from the differences, in the capacities and work habits of individual executives
and in part from the non-comparable character of work. Thus, the element of diversification
of function, the element of time and the element of space govern the principle of span of
control. The failure to attach sufficient importance to these variables limits the scientific
validity of the principle. Gulick arid Urwick were influenced by Graicudas who furnished
mathematical support to the concept of a narrow Span of Control.
Gulick, suggested further research into the problem, but concluded that the clrief executive
of an organisation can deal with only a few immediate subordinates, The number is
determined not only by the nature of work, but also by the capacity of the exequtive, and the
number of immediate subordinates: the stability and geographical proximity of organisation.
Though, he was less categorical about the number of subordinates, he was nonetheless
confident about the'general validity of the principle.

Note. i) ' IJse the space given below for your answers.
. ii) Check :lour answers with those given at the end of the unit..
i) Expiain the Principles of organisation as discussed by Urwick and Gulick.
......"...... ...............................................................................................
"
I
.....
,.,.,.;,.*.....i........... . 1
1 - ' I
ii) kxplain Gulicks 4 'P' btses of depa~msntalisat~on.

Public Organisatinns:
The Paradigms
..............................................................................................................................................
ill) Discuss any two principles of organisation.
..............................................................................................................................................
. .
.
............................................................................................................................................
,
8.5 PRACTICAL VALUE QF CLASSXCBL THEORY

According to Baker certain specific ideas of practical value have emerged from classical
theory. They are enumerated below:
* The first was the identification of organisation or administration as a'distinct function to
be studied and practised. The practical achievement was to make people think and apply
themselves to the problem of management and organisation.
* Secondly it introduced some clear thinking about authority, responsibility, delegation.
Thirdly it propounded the idea that administration is a separate activity which deserves
intellectual investigation.
8 Fourthly it played a significant role in rationalising and stimulating production in the
industriill organisation, to some extent..
* ina all^, the very limitations of the theory instigated further investigations in
organisational behaviour. Thus, classicai theory despite its shortcomings made signifidant
contribution to the development of the organisation theories.
8.6 CRITICISM OF CLASSICAL THEORY

Herbert Simon attacked some of the accepted principles of administration of classical
organisation theory, particularly its principles of division of functions, unity of command
and span of control. Referring to the.4 'P's, he asserts that division of responsibility and
specialisation can be either by function, or by process, or by objective or by place. Classical
theory, he points ONhas not given any clue as to which basis is preferable in any particular
circumstance. For him the principle of unity of command is also ambiguous in terms of
sphere. Thus, Simon described the "Principles of Administration"as themere "Proverbs of
Administration", each paired with a mutually contradictory proverb--as Span 'of Control
should be narrow, but chains of command should be short,
Gulick's line and staff functions in large and complex organisations are simply out of touch
with realityS1The'spap of control' doctrine is even more confusing and misleading. The
responsibility for this confusion rests mainly with Graicuna mathematical formula of 'five
or niost probably four'. The basic fallacy is the authoritarian assumption that the top
executive needs to have some sort of relationship with every one below him in the
organisation.
The principles of administration,of ~ u l i c kand Urwick were severely criticised as they have
.not made clear as to what they meant by the universal validity of the 'principles'. Simon
considered that'"the pri'nciples of administration are at best criteria for describing and
diagnosing administrative situations". They suggest only working rules of conduct which
wide experience seems to have validated.
It has been pointed out that all the classical theorists have displayed a pro-management
bins in their theories. They were concerned with the problems of manaemefit and not the
I0 other organisational problems that concern the other levels of management and men.
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The theory is criticised as atomistic, which looks a$ the individuals in isolation from the 6'lassical ~ p ~ r c l a c h - ~ t i t h e r
fellowmen in the organisation. It is mechanistic as it fails to explain the dynanlics of (iuiick and Lyndall Uswick
organisational behaviour. It is static and rational. It also does not take any note of non-
' economic incentives.
It is Inore concerned with the work than the hurnan being who does the work. It
underestimated the human element and human behavioz~r.The human being is considered a
mere cog in the organisation mactiine.

i) What is the significance of classical theory? i
ii) What are the major criticisms against the classical theory'?
..............................................................................................................................................
--- -- -- --
'8.7 LET US SUM UP
Though the classical ideas were expounded in the .first two decades of this century, the
classical management thinking is still dorninint among many practising administrators
today. The most distinguishing feature of classical theory is its concern with the fot~nulatiol~
of principles of organisation. The classical theorists attempted to discover the true bases on
which division of work in organisations can be carried on and find effective methods of
coordinating the work for the sake of efficiency. They placed emphasis on the precise
definition of various activiticq and their inter-relationship and suggested the use of authority
through a system of checks and control over the people working in the organisations to get
things done.
Accordingly, classical theory of organisation is a formal structure of design and plan. The
theory advocates a body of principles of organisation in accordance with which organisation
plans are made out to fit into the requirements of selected purpose or function and then
capable men are selected to get the things done as per the preconceived plan. This approach
"bears the stamp of the engineer seeking scientific precision, logical structure, and the one
best way of performing each step, and of relating the parts to a unified whole", Thus, the
theory clearly manifests, four features-Division of work, hierarchy, impersonality and
efficiency.
------- -- ------- -- - - --
8.8 KEY WORDS
---- -.-,----.-- -.-------------- - --..------
1
I 1
Pormal organisation: Organisation in which emphasis is placed on design ar~dstructure
Proverbs O f Administration: Herbert Simon ridiculing the 'Principles of Administration'

Staff and Line: Planners and operators

--
8.9 SOME USEFUL BOOKS -
Avasthi:, A,.& MaheshwariS., 1984:Puhlic ~dministr-;tion:.lakshmi Narain Agarwal: Agra;
Baker, R.J.S., 1972. Arlmini.strurivc~'i'hcot.y and PuhlisAdministr-ation; Hutchinson:
London.
Lf
Gross. Betras. 1964: The Munq&ing ~ r ~ u n i . r u t i o n s ~dminirrrarive
:,~h~ ~ t r u p p l eVo1.l;
.
'rh& Free Press of GlenCoe: London.
Gulick L, and Llrwick L. (eds.) 1937. Pupers on Science of Administration; The Institute of
Public Administration, Columbia University: New York. ' .
Prasad, ~avindra,. D., (ed.)1989: ~dmiiistrutiveThinkers: Sterling Publishers: New .Dell;i.,
'
Rowat, C. Donald: (ed.), 1961. &sic Issues in P ~ h l i c A h ~ i n i s t ~ ~ aThe
t i b nMacmillan
;
Company: New York.-
- - ,

-- . EXERCISES
., . , . -
i ) See Section-8.2
i i ) See Section-8.3

i ) See Section-8.4 ., . -
i i ) See Sub-section-8.4. I
iii) See Sub-sections-8.4.1 *to 8.4.5
Check Vour Progress 3

i) See Section-8.5
i i ) See section-8.6

UNIT SCIENTIFIC MANAGEMENT&

FeVVeTAYLOR
Structure
9.0 Objectives
9.1 Introduction
9.2 Early Works
9.2.1 A Piece-Rate System P
0.2.2 Shop Management

9.2.3 Art of Cutting Metals
9.2.4 Defects' of Management
9.2.5. Tinie and Motion Study , <
4.3 ~ a ~ l o rConclpt
's of ~ a n a g t m e n t
9.4 ~ r i n c i ~ lof
e sScientific Management ,
9.4.1 Developnient of a True ~ c i e n c e ' b f , ~ o r k I $,
9.4.2 Scientific Selection and Progressive Developnient'of the Workmen

9.4.3 Bringing together the Science of Work and Scientifically Selected and Trained men
9.4.4 Division of Work and Responsibility I
9.5 Functional Foremanship

9.6 Mechanisms of Scientific Management
9.7 Mental Revolution
9.8 Criticism'
9.9 An Evaluation of Taylor's Contribution I .
9.10 Let Us Sum Up

9.1 1 Key Words L,
9.12 Some Useful Books,
---
.-- -- --- --- - -
9.0
--
BBJECTPV]ES - ------
!
In the previous unit ob classical approach you have studied the contributions of Luther
Gulick and Lyndall Urwick in synthesisin): the propositions of the classicists. In this unit '
we shill discuss the contributions of Taylor, another classicist'of scientific management,
Arter studying this unit you should be able to:
explain how the scientific methods and approaches were introduced in the management
of organisations
state Taylor's concept of management and explain his principles of scientific
management -
describe the mechanisms to serve the princi~les of scientific management; and
critically evaluate Taylor's contributions to scientific management.
At the turn of the twentieth century, Frederick Winslow Taylor undertook researches in
management of industry in the USA. Although 1le was not the pioneer in the study,?of
management in a scientific way, none of his predecessors were engaged directly in the
analysis of the work methods. Taylor believed thatzthe principle "best management is a true
science," is applicable to all kinds of human activities. Taylor attempted to bring the
precision of science to the analysis and measurement of work, Ile wanted it to be universally
applicable to improve productivity by establishing a rationale for organising work. Taylor%
influence on management has been so profound that his methods are used in most countries.
Therefore, he is generally regarded as the father of scientific management. The fundamental
contribution of scientific management movement was theapplication of scientific method to
discover new knowledge. It is the method of controlled experimentation, with well defined ,
steps in proper sequence, under controlled situation.
During th; latter pan,of the 19th century a new industrial climate began to descend upon
American business gibing rise to the growth of a managerial class, The practices of

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managernen1 began to change from a day-to-day pyoblcm solving approach to a more all-
inclus~ve,con.rprehensive, long-run approach to encounter multiple managerial problems
which were not faced previously. Pronlinent leaders like Henry Towne, Henry Metcalf and
Frederick Taylor tried to develop a unified system of management and Towne called this
new philosophy of management as the science of managemeit. Taylor's contribution to the
dcvelopnient of scientific mailagement was recorded in his papers, 'A Piece-Rate System'
(1845), 'Shop Managemer~l'(1903), 'The Art of Cutting Metals' (1906) and 'The Principles
of Scientific Management' (191 1 ). i
In this unit we shrill examine the principles of manhgement developed by Taylor and
evaluate his contributions to the development of a science of management.
-
9.2 EARLY WORKS i
Taylor's contribution to the development of scientific management was recorded in his

papers. Of these early ones are A Piece-Rate System, Shop Management, and The Art of
Cutting Metals.
Among his early works, Taylor also'discussed defects of management and Time :mi Motion
Study.
9.2.1 A Piece-Rate System

Taylor's first paper on Piece-Katc system was considered a?; an outstanding contributioq to
the principles of wage payment. He proposed anew system consisting of three parts:
(a) observation and analysis of work through time study to set the 'rate' or standard, (b) a
'differential rate' system af piece work, and ( c ) 'paying merl and not positions'. .
i
9.2.2 Shop Markztgernent. '
I
In his second paper ori Shop Mariagemcnt he discushed at length workshop organisation and
~narlagement.He focused attention, in this paper, on his philosophy of management as fiiven
below: '
7
. * The objective,of managenlent must be to pay high dages and nave low unit production
costs to achieve the increased industrial efficiency.
Management has to apply scientific' methods of researcl.1 and experiment to the
management problems.
Standardisation of working conditions and placing theworkers on the basis of scientific '
criteria. -
' * Management must dive rormal training to workers and specific instructions to perform
the prescribed motions with standardised tools and materials.
e Friendly cooperation between workers and management on the basis of scientific system
i
of labour organisation.
Taylor win;ed4todevelop a new and total concept of managenlent. He advocated that, the '
trsditinnal managers, should develop a new approach and change to a rnore comprehensive
'I -" arid broader view of their jobs incctrporating the elements of planning, organising and
corr'trolling. k
t Cutting Metals
9 . 2 . 3 ~ r +P
Taylor expenenced bitter labour-management conflict particularly between foreman afid
workers over the quantity of output. He failed to resol\ie the problems by persuasion and
Curce. Realising that a new industrial schemk was ess'ential'to prevent encounttrs, he began
searching for a aien'ce ni'kork. In the process he conducted'a series of e,xperirnents for .: . '
more t'hafltwo decades. He experimented with machine tools, speed , metals, materials, etc.
His sxperiinents at the Midvale*andBethleham Steel Company led to the discovery of high
speed Ptcel and revolutinnised the ftrt of cutting metals, l#s iaper on "The An pf'culting
Metqls" presented to ~Sh";.has considered as the most rema'rkable piece of research evkr
presented ak a conference. The paper was based on the longest and most exhausti'vc seriles of
about 30:900 experiments conducted over a period of 26'yearrs. at a cost of about $2,00,000.
.The achievements of tnetal cutting experirne~itswere cgnsidered more importan! than .
Taylor;s other contl-ibutions,because they initiated a major bresikthrough in the development
of American industry.
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. r ,
9.24 Defects of Management Scienlific M~l~lhgen~rnt-

F.W. 'Faylor
While at Midvale Steel Company, Taylor made serious observations and study of operations
of many factories, and identified the following major defects in management:
@ marlagenlent had no clear understanding of worker-managernent responsibilities;
@ lack of effective standards of work;
@ restricted outbut because of 'natural soldering' and 'systematic soldering' of work by the
workers;
@ failure of management to design jobs properly and to offer proper incentives to workers
to overcome the soldering;
@ most decisions of the management.were unscientific as they were based on hunch,
intuition, past experience, and rule-of-thumb;
lack of proper studies about the division of work anlo& departments; and
@ placement of workers without consideration of their ability, aptitude and interests.
9.2.5 Time and Motion Study

In his other experiments he studied through molion and tiwe study and analysed how the
workers handled materials, machines and tools, arid developed a coordinated sysrera of shop
management. Taylor set out to detennine scientifically the ability of workers in dealing with
equipment and materials and this approach led to the true beginning of scientific
management.
In the development of his shop system Taylor wished to know thal unties optilnun~~
conditions, how long a rnan or a machine would or should take to perfom iI given fitsk, in a
specified process, using specified materials and methods. I-Ie used scientific fact-finding
methods to determine empirically the right ways to perform tasks with the help of stop
watch. '
Taylor also recognised the need for scientific methbd of selecting the right men for the right
jobs considering their initial qualifications and potential for further learning, Me wanteil.
effective supervision of a worker and his working conditions after piacing the worker in the
right place: Taylor wanted to lay down the foundation for sound personnel management i.e.
to match the worker's abilities to the job.
Check your Progress I ' .

ii) Check your answers with those given at the end of the unit,
i) What is Piece-Rate System'!
ii) What defects were identified by Taylor in rmditionnl rnanag~n~cnt'!
9 3 TAYLOR'S CONCEPT OF MANAGEMENT

Before we.tiiscuss Taylor's 'great principles of minnagement', it is desirable to knuttrhis
',
Public Organisat~ons: views on thk concept of management. Taylor pointed out that management is a true science
'The Paradigms resting upon fixed laws, rules and principles. He argued that management comprised a
number of principles which are applicable to all organisations-both private and
government. The main object of management, according to him is to secure the maximum
prosperity for the employer, coupled with the maximum prosperity for each employee. His
philosophy of scientific management is that there is no inherent conflict in the interest of tbe
employers, workers and consumers. The primary concern of Taylor was that the results of
higher pro,ductivity should equally benefit all people i.e. workers, employers, and consumers
in the shape of higher wages to the workers, greater profits to the management and payment
of lower prices for the products by the consumers.
Taylor observed that management neglected its functions and shifted its burden to the labour
while keeping for itself minor responsibilities. He advised that management should take the
responsibility of determining standards, planning work, organising, controlling and devising
incentive schemes.
. ,
-.--- --
9.4 PRINCIPLES OF SCIENTIFIC MANAGEMENT
Taylor advocated, in the interest of societal prosperity, close collaboration and deliberate
cooperation between the workmen and the management. His philosophy of management was
based on mutual interests and on four basic principles of scientific management:
i) the development of true science;
ii) the scientific selection of the workmeii;
iii) .the scientific education and developn~entof workmen; and
iv) intimate and friendly cooperation between the management and the men.
We shall now examine these four principles in detail. - . 7
9.4.1 Development of a True Science of Work

When science is viewed as an 'organised knowledge' every act of a workman can be
reduced to a science. .in the interests of the worker and management, it is necessary to know .
as to what constitutes a fair day's work. It saves the worker from the unnecessary criticism,
of the boss, and enables the management to get the maxin~umwork from worker. This needs
a scientific investigation of a 'large daily task' to be done by qualified workers under
optimum conditions. 0
The investigation can take the form of collecting infohllation about worker's past and
present working methods. The results of investigation have to be classified, tabulated, and
reduced into rilles and laws to find out the ideal working methods or what is called 'one best
way of doing the job'. Such development of science of work enables the organisation to
produce more; enables the worker to receive higher wages and a much larger profit to the
company.
9,4.2'ScientificSelection and Progressive Development of the Workmen

To ensure effective performance of the work which is developed through scientific
investigation, there is also a need to select only those workers who possess the necessary
physical and intellectual qualities. This needs a deliberate study of the aptitude, nature and
performance of the worker and finding out what possibilities and limitations one has for,
future development. Taylor believed that every worker has potentialities for development.
He insisted that every worker must be systematically and thoroughly trained. Taylor felt that
it is the responsibility of the management to develop the worker offering him opportunities
for advancement to do the job to the fullest realisation of his natural capacities. It is
necessary to ensure that the employees accept the new methods, tools and conditions
willir~glyand enthusiastically. ,
. 9.4.3 Bringing together the Science of Work and Scientifically Selected

and Trained men '
To enable the worker to do his job and to ensure that he may not slip back to the earlier
methods of doing work, there must be somebody to inspire the workers. This Taylor felt is
the exclusive responsibility of the management. He believed that workers are always willing
16 to cobperate with the msnngcinent, but there is rnore opposition from the side of

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maintained Scientific Managerncnt-
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mental
F.W. Taylor
revolution.
9.4.4 Division sf Work and Resprssasibi~ity

In the traditional management theory, the worker bore the entire responsibility for work
while management had lesser responsibilities. But Taylor's scientific insnagernent asssmes
equal responsibility between management and worker. The manager unlike in the past is
equally busy as the worker. This division of work creates understanding and mutual
dependence between them. There will also be constant and intimate cooperation between
' them. All this results in elimination of conflicts and strikes.
Howeuer, none of these four principles could be isolated and called scientific management.
It is a combination of all elements described above. We can slimmarise the philosophy of
these principles as under:
a) Science, not rule of thumb;
b) Harmony, not discord;
C) Cooperation, not individualism;
d) Maximum output, in place of restricted output; and .
e) Development of efficiency and prosperity.
9.5 FUNCTIONAL FOREMANSHIP
Taylor doubted the efficacy af the 'linear' system or the military type of organisation in
which each worker is subordinate to only one boss. He replaced this system with what is
called 'functional foremanship in which the worker receives orders from eight narrowly
1
-
specialibed supervisors. He divided the work not only among workers, but also at the
supervisory level. Of the eight functional bosses, four will be resporisible i'or planning and
the remaining four for execution: 'The gang-boss, the repair-boss, the speed-boss and the
inspector are the four bosses for execution. The order la work and route clerk, the
instruction card clerk, the time and cost clerk, and the shop disciplinarian are the four
planning bosses. Taylor believed that in this functional type of organisation, the foreman can
be trained quickly and specialisation becomes very easy. The concept of division of work
between planning and execution was incorporated in line and staff concept, wit11 line being
the executing agency and staff being the planning agency. Taylor also specified nine
qualities which will make a good 'foreman'. They are: education, special or technical
knowledge, manual dexterity and strength, tact, energy, grit, honesty, judgement and good
health.
9.6 MECHANISMS OF SCIENTIFIC MANAGEMENT

Apart from functional foremanship, Taylor also developed some more mechanisms to serve
his principles of scientific management. They are:
Time study;
Standardisation of all tools and implements used in thettrades and also of the acts or
movements of workmen for each class of work;
The desirability of a planning room or department;
b The 'exception principle' in management;
The use of slide-rules and similar time saving implementb;
Instruction cards for the workman;
The task idea in management, accompanied by a large bonus for the successful
performance of the task;
The 'differential.rate';
~ n e m o n i csystems for classifying manufactured products as well as implements used in
manufacturing;
0 A routing system; and
'0 Modem cost system.
Taylor defined scientific management negatively:
,
i) It is not an effi~iency~device;
I
ii) It is not a new scheme of paying men;

Public Orgnnisations:
Downloaded iii) it is not a new system of figuring cbst;
'Il'hc Paradigm5 iv) It is not a time study or motion study: and
V) It is not divided foremanship or firnctional foremanship.
Cbaeck Your Progress 2

Note: i ) , Use the space given below for your answers.
ii) Check your answers with those given at the end of the unit. L
i) . what is Taylor's concept of management?
...............................................................................................................................................
"......................................................................................................
b................................
ii) Discuss the principles of scientific management. ..
iii) ~ n ~ l ' i functional

in forernanship:
iv) What mechrlnisms were identified by Taylor to serve his principles of scientific
management?
9.4,MENTAL REVOLUTION
Scientific management, in its essence, according to Taylor, primarily involves a complete
mental revolution on I-hepart of workers and managFment regarding their duties, towards
their work, towards their fellow workers, and towards all of their daily problems. It demands
'the realisation of the fact that their mutual interest is not antagonistic; and mutual prosperity
is possible oiily through mutual cooperation. ,
!
According to Taylor, in every organisation a conflict exists between workers and
mqnagernent due to improper divihion of output, toavoid this, it is essential to change the
mental attitude of bbth sides. Thus Taylor propagated the concept of 'mental revolution'.
Taylor was of the view that in an organisation both workers and employers should cooperate
with each other and work together tqwards increasing the productivity. The workers arid
rnanagernenf should concentrate only on increasing output an4 pothing else; they should
continue to d o so until the output increases to such an extent that it becomes unnecessary to
I r division. Increased output would give better wages to worker and high profit
qqarrel o v ~ its
*' to management and this atmosphere of conflict will beieplaced by' peace and harmony.
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Scientific Masagement-
9.8 CRITICISM F.W. Taylor
Scientific management. became something of a 'movement' and offered the hope of

resolving industrial problems. But there were mahy criticisms on Taylor's concept. The
criticisms primarily came rrom:
Trade Unions Bnd Organised Labour
@ Managers
@ Human.Relations Theorists and Behaviouralists.
The trade unions were against the modem methods of increasing output by the introduction
of the premium bonus system. The labour leaders considered ~ a ~ i o r i sasmnot only
destroying trade unionism but also destroying the principle of collective bargaining. They
thought that the system was il menace to the community at large as it-causes continuous
increase in unemployment.
Trade unions felt that Taylor was more interested in the mechanical aspects of work and no1
mlich concerned about the total work situation. A number of agitations by the labour
organisations and their representatioris to the American Congress, led the House in 1912 to
appoint a Special Committee of the House of Representatives to investigate into Taylorism.
Although the report of the.committee favoured neither the labour nor Taylor, the trade
unions in 1915 succeeded in getting an amendment to Army Appropriation Act, forbidding
the use of stop watches or the payment of premiums or bonuses in Army Arsenals.
Trade Union's opposition to Taylorism also led to an investigation conducted by Robert
Hoxie for the United States Commission on Industrial Relations. Professor Hoxie in his
report criticised Taylor's scientific management and Taylor's approaches as they were
concerned only with mechanical aspects and not with the human aspects of production. The
report also stated that the basic ideals of scientific management and labour unionism were
incompatible.
Taylorisrn was also attacked by the managers. Those who wanted quick promotions tb the
high managerial positions opposed Taylor's stand, which advocated training by experts. The
managers "did not appreciate his scornful comments on rule of thumb method. Those who
had fought their way to high managerial positions without the benefit of higher education
were sensitive to Taylor's stand that unless assisted by highly trained experts they were
unqualified to manage". It is very interesting to note that Taylor had to resign from both
Midvale Steel Works anp Bethleham Steel because of the friction with the company
managers.
Among others who criticised Taylor include Oliver Sheldon, a British Management thinker,
Mary Parker Pollett, an American business philosopher, Sam Lewisohn, Elton Mayo, Peter
Drucker and others. They chaeed that Taylor's scientific management was impersonal and
underemphasised the human factor. This criticism led to a series of ekperiments in industrial
sociology and social psvchology. The classic Hawthorne Experiments of Elton Mayo and
other research studies on humarr relations and group dynamics in industry rejected
Taylorism. (More on this in Unit 10.)
Elton Mayo through his classic Hawthorne investigations conclusively proved that it is not
the structural arrangements which are important for increasing productivity and efficiency in
the organisation, but it is the emotional attitude of the worker towards his work and his
colleagues. The Taylor's philosophy that men were generally.lazyand try to avoid work has
also been disputed. It is evident from Brown's analysis that "work is an essential part of
man's life, since it is that aspect of life which gives him status and binds him to the
society.... When they db not like it, the fault lies in the psychological and social conditions of
the job. rather than the worker".
Another criticiim of Taylor is that he did not properly understand the anatomy of the work.
His emphasis on the minute division of work and specialisation was severely criticised on
several grounds. Firstly, the work gets depersonalised'and the worker becomes a mere cog in
the machine. Relations between the worker and manager become. remote as a result the
worker loses the sense of participation in the work. More than anything, the worker finds no
outlet to exhibit his abilities and potentialities. Secondly, it may even lead to automation of
the workers which may have physiological and ne,urological consequences. As has aptly
been put by Peter Drucker the organisation becomes a piece of poor engineering judged by
'
I'uhlic Organisatiuns:
/The Paradigms
the ittindards of hurrtan relations, its well as by tliose of productive efficiency and output.
Thirdly, Taylor's divisio~lof work into planning and executive divisions has severely been
L'riticised. It is argued thrtt in such situations it is tlifficult to develop proper team spirit, and
if plailning is totally divorced From cxecutiorl it is difficult to secure the participation of the
workers in the progress of-the firm. It has also been argued that Taylol: overlooked the fact
that the prirlciple of ilivisi~nand snb-division of work into minutest parts is subject to the
law of diminishing returns. Thus Taylor's philosophy was summarised in the following
words: "First, he confuses the principle of analysis with the principle of action.... Second,
planning anti doing are separate parts of the same job; they cannot be totilly divorced".
Behaviouralists charged that Taylor's methods of scientific management sacrifices the
initiative of the \vorker, his individuitl freedom and-the use of his intelligence and
responsibility. Herbert Simon and March have described the scientifid management as the
'physidlogical organisation theory'. Br:~veman,characterised Taylorism: (a) as abstracting
the craft skill from the worker and housing it in a system of control, and (b) using this
itnowledge s o gained to legitimist control of llie worker.
The second point about legitirnising the managerial control of the worker has been expanded
by Whiteaker. He asserted that i t is :~neffort by capitalist philosophy to'resolvc. the contrast
between represdrltative political democrncy 11nd the ;~pyointednon-responsible authority in
business and industry in rnc~dernindustrial hocieties.
8.9 AN EVALUATION OF TAYLOR'S CONTRIBUTION

Despite the 1imit:ktions - limitations concerning an adequate understancling of human
psychology, sociolopy and the anatomy of work -Taylor's work remains supretnely
,
important. By all accounts Tuylor must be regarded as a pioneer in the study of human
beings at work. Hewas the first person to initiate the quest for better performance at work.
We was also tlie first io apply quantitative techniques to tlie study of industrial management.
Modern scientific management, operations research, method study, time study, systems i
analysis, management by exceptions, etc., are all n part of Taylor's heritage.
Taylor's scientific management became something of 3 movement. In an age of growing
achievement in the physical sciences it offered the hope of resolving industrial problems
through the use of objective principles. For young and imaginative engineers, it provided an,
ethos and a mission in life. After the initial period of resistance. it conquered the citadels of
old fashioned industrial management in the United States and had a tremendous effect on
industrial practice. It spread to Germany. England, France, USSR, and other European
countries. Japanese Industry has used the techniques of scientific management extensively.
during the entire period of its growth to.imirove its unit cost production. Many of the
developing countries have been trying to use scientific management wifh varying effect.
Scientific nianagement was supported in Russia and Taylor's principles were included in the
curriculum s f education and training of the engineers. Ruthlessly exposing the essence
of the ~ a ~ l system
o; as "the last word in re'ckless capital exploitation" Lenin explained "we
must introduce the T:bylor systems and scientific efficiency of labour throughout Russia by
combining the systelii with reduction in working time, with the application of the new
methods of piaoductionarnd work organisation undetri~nentalto the labour power in the
working population"'. Taylorisnl took shape as "Stakl~anovitemovement" in USSR.
F
Check Your Progress 3 % I
~ ~ o t e i:) Use the space given below for your answers.,
ii) Check your answers with those given at the end of the unll.
i) What are the major criticisms against ~ a ~ l o rScientific
's Management?

i i ) Estimate the place of ~ a ~ lino administrative
r literature. Scientific Mnrei!graaeiat;---
F.W. 'Tiylor
9.10 LET US SUM UP

----- - --
'The corltributions of: Tayior to the philo~ophyand principles of Scientific Management have
been highlighted in this unit. We have discussed the four principles of scientific
management propounded by Taylor. Other contributions like functional foremanship. the
different mechanisms to serve his principles have also been highlighted in this unit. Taylor'?
contributions evoked severe criticisms from different quarters even during his times. We
have made,.therefore, a,critical evaluation of his contributions. One of the critlcisrns against
Taylor's principles is that it sacrificed hurnan element for the sake of ~nechanicislefficit:ncy.
Taking clue from these criticisms later scholars developed what is now popularly known as
'human relations approach' to the study of organisations. In the following elnit we would
study the contributions of Elton Mayo.
9.11 KEY WORDS

Functional Foremaa: Specialist supervisor
Hawtlnorne Exberiments: Elton Mayo's research studies which rejected Tdy~orisnl
Mental Revolution: Changing of mental, attjtudes of workers and rnanagcrnent towards
increasingsurplus to S W an~ extent that dlvlslon of olltpul between bllenl is not. nkcessary
Midvale Steel Company: Where Taylor obsenfecl the workers arlci conductetl cxpi.rinicr~~\
Motion and Time Study: Studying the workers handling the jobs
Piece-rate: Prirlciple of wage payment
Shop System: Where the work is done under the optimum contlitions
",-. -. ...-..... ......-...
9.12
....
SOME USEFUL BOOKS -- .-
Prasad, Ravindra, D. et. al, .(Eds.), 1989. Administrative Ilainkers;Sterling Publisllers: New
Delhi.
Pugh, D.S. et. al, 1971. Writers on Organisations;Penguin Bwks: Lords.
Taylor F.W., 1947. Scientific Management; Harper & Row: New York,
9.13 ~ p*;a~7nv
j . "0 CHECK YOUR PROGRESS
."
EXERCISES
Check Your Progress.1
i) See Sub-section-9.2.1 .
ii) See Sub-section-9.2.2

i) See Section-9.3
1-
ii) See Section-9.4
iii) See Section-9.5
iv) See Section-9.6
Check Yorir Progress 3

i) See Section-9.8
ii) See Section--9.9
UNIT 10 HUMAN RELATIONS

APPROACH- ELTON MAY^ ,
Structure
Objectives
, introduction
Meaning and Efaergence
10.2.1 Economi Depression
10.2.2 Capital lntensive Industry
10.2.3 ~ e c h n o l o ~ i c Progress
al
10.2.4 , Reactior~to Taylorism
10.2.5 Class ~nta~onikrns
Early Experiments of Mayo
10.3.1 The First Enquiry
Hawthorne Studies
10.4. I The Great Illumination 1924-27
10.4.2 Human Attitudes and Sentiments
10.4.3 Social Organisation , '
Absenteeism in ~ndustries
Criticism
Let Us Sum Up
Key Words c
Some Useful Books
Aaswers to Check Your Progress Exercises 1 .
10.0 OBJECTIVES
After reading this unit, you should be able to:
@ explain the meaning and content of human relations approah
Q discuss the significance of Hawthorne Studies
@ describe the features of human relations approach; and '
Q critically evaluate the human relations approach.,
----- -.-
10.1 INTRODUCTION - -- d-
In the earlier (Units 8 and 9) we have examined the approaches to organisation r~lnilrlyfrom
the structural point of view. The limitations of this approach led to a search for alternative
approaches to fully understand the working of organisations. The emergence of human
relations approach is the result of such a search. In this unit we will examine various
-
developr-r. x w t w - ' --fs and trials in this field. Since the contribution of Eltoll Mayo is
very important, we kill focus our attention on him and his studies in detail. Finally, we shall
evaluate the theory and thc contribution of Elton I\;layo.
----
!0.2 MEANING AND EMERGENCE --
---*-
--
-
I
INOW let us start with the meaning of the concept of human relations. The term human
relations mostly refers to relations between workers and ekployen which are not regulated
by legal norms. These relations are concerned with moral and psychological rather than
legal factors. However, the term industrial relations which embraces h t h the above-
mentioned concepts should not be confused with human relations. The hzlman relations
concept is concerned with devising concrete metliods for ideological orientation of workers
in the factory,
Human relations approach lays emphasis on people and their motivation^; unlike classical

Public Organi9stions: . theorists who emphasised on structure and principles. It believes in analysing the multi-
'rhu Paraciignlr dimensional nature of human beings iind their interactions, to understand the working of
organisations. It also emphasises on the study of informal organisations to understand the
working of formal organisations.
Several socio-economic factors influenced the emergence of the theory alld practice of
human relatio~is.'The most irrlportant of them are:
Economic depression
@ Capital intensive industry
@ Tecl~nologicalprogress
@ Reacticui to 'raylorism
Class antagonisms
Let us briefly_discuss each of the five factors.
,
The theory look shape in tlie twenties and thirties of this century yhen there was a general
crisis in the capitalist countries. The United States of America ma9 be mentioned as the
most suitable example since it was hit by-the unprecedented economic crisis of 1929-32.
The problem became acute due to increased production as a result of mechanisation.
MechanisatZon reduced physical stress considerably but if had increased mental strain.
Employers found themselves compelled to focus their attention on the psycliological or
human factor in industry. The interest of the employees in their work began to determine the
, .
prc~ductivitylevels to an increasing degree. Growing concentration and specialisatiotr of
production demanded better coordination in the work of all sections of an enterprise.
Researchers and exectitives established dlat the relations between members of production
tearns were irriporiant with regard to the attainment of this end.
1
10.2.2 Capital Intensive Industry
~ ' u r i this
n ~ period, industry was becoming more capital intensive. A breakdown of
e p ~ i b n ~ e nstrikes
t, and high labour turnover used to cause the monopolies enormous losses.
It is thus not surprising that the giants of ~nonopolycapital started showing much more
. intciest in ensuring that the workers showed a 'dedicated' attitude to their work and the
interests o f the col~~pany. I '
10.2.3 Technological Progress

4
Technological progress produced major changes in the workers as well. Their level of
education and professional skills rose considerably. Consequently the worker's sense of
,per.soni~ldignity had asserted itself and their material and cultural aspirations had changed
beyond recognition. Thus the workers started demanding more and more resolutely and
insistently that they be treated ps human beings.
10.2.4 Reaction to Taylorism

The humnrrfelations approach was also pitrrly a reaction lo the one sided nature of the
Taylor system. You are aware that Taylorisrn dominated the scene in the twenties and
thirties. It was criticised as n design to intensify exploitation by raisirtg productivity levels
through in~provedorganisation of production and the maximum utilisation of the wdrker's
'
physical capacities. Taylor openly srated that "each shop exists .... for the purpose of paying
dividends to its owners". He regarded the worker as a0 appendage to t l ~ cmachine blindly
carrying out a specific set of mechanical operations.
Although the Taylor system did result in a certain rise in productivity of labour, eventually
, the system found itself at a dead end. In tlie thirties, apathy among the workers, depression.
. tlcightened irritability nlia a complete loss of interest jn work etc.; became widespread.
These pheno~ncnincould nor but arouse une'asiness among en~ployerssince they led to a drop
. in labour productivity, to absenteeism and high labour turnover. In addition, it led td a
deterioration in relatio~lsbetween the workers on the one hand and the owners and the
' '
I
mSinatr;ementon the other.
24
. ' The worsening of,cla?s antagonisms and the resolutecharacter of the Trade Uniorp
movement in the United Stales accelerated the introduction of the human re~atibhsapproach.
. -

A few critics stated that the interest of the monopolists can be explained largely by the Human Relations Appraach-
Elton Mayu
growth of the labour movement and the expansion of the trade unions.
The emergence and evolution of the human relations approach must be viewed in the light of
the correlation of the class forces in an international context. Here niention must be made of
the influence of the October Revolution of the Soviet Union on the world. In order to retain
their dorninant.position capitalists have found it more and more essential to evolve their own
rrleasures in answer to the challenge of socialism.
-
, Check Your Progress 1
i) What is human relations approach ?
..............................................................................................................................................
ii) Describe the factors which led to the emergence of human relations theory.
The basic tenets of human relations doctrine were formulated by the American Sociologist,
Elton Mayo, in the late twenties and early thirties. His studies on Industrial Sociology and
Industrial Psychology are so profound that he has been considered one of the pioneers o f ~ b
human relations approach to the organisation. Mayo concentrated his attention on the '
behaviour of the workers and their productive capacity. He called this approach a clinical
method. He published a few scholarly articles and a few books on the basis of his research.
10.3.1 The First Enquiry

As we have discussed earlier, at the time of Mayo's research work, the industry in America
was undergoing a crisis. Therefore like his contemporaries Mayo focused his attention on
fatigue, accidents, production levels, rest periods, working conditions etc., of the industrial ;
worker in the factories. He started his first experiment in a teX51e mill near Philadelphia in
1923. In the circumstances prevailing at that time, the mill provided all the facilities to the
labour, was well'organised, and was considered to be a model'organisation, The company
president who had been a colonel in the US army gained respect from the employees since
several of them were under his command before and during the First World War in France.
The management was progressive and human but at the same time it faced some serious
problems in a particular section of the mill. The general tumover of the employees was
estimated at 5 per cent per year in all the branches except in mule-spinning section where
the tumoier was nearly 250 per cent. None was able to find out the reason for this large
turnovrr. All posclhle incentives were introduced to minimise this large tumover but did not
'
yield any good result. As a last resort the matter was referred to Harvard University.
This was the first major research study undertaken by Elton Mayo after joining Harvard and he
named it "The First Euijr;irj.". He studied the problems ot'the mule-spinning department
intensely from various angles and with the help of management started experiments. To
begin with, he introduced rest periods with every team of piecers. The results,were
encouraging. The scheme was extended to all the workers to eliminate the problems.of
fatigue. The workers evinced interest in the scheme and were pleased with the results. The \
symptoms of uneasiness disappeared, the labour turnover almost came to an end, production
rose and the morale generally improvea.

Public Orgonisatians:from:-
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This was the beginning for Mayo to proceedhttps://t.me/Upsc_Zone_Official
further. He suggested a number of new
The Paradigms scheirmes whereby the workers had to earn their rest periods and bonus by producing more
than a certain ptrcentape. Some more new schemes like stopping the spinning section
completely for ten rninutes brought a new change in the outlook of supervisors and
employees and all of the~nwere satisfied with this new work culture. The management had
placedthe control of rest periods squarely in the handsof workers which led to consultations
anlong the workers. A new awakening began whereby the assumptiot~of rabble hypothesis
which assumes "mankind as a hord of unorganided individuals by self-interest" has
gradually given place to group interest etc.
10.4 HAWTHORNE STUDIES

Let us go to the next phase of the experiments conducted by Elton Mayo. The Hawthorne
plant of the Western Electric company which employed 25,000 workers at the time became
3 centre of intense research activity. Beginning from 1924 it was conducted in different
places. At that time it was felt that there was a clear-cut cause and effect relationship
between the physical work, environment, and the wel1,being on the one hand and the
productivity of worker on the other. Therefore, the management assumed that given proper
ventilation, room temperature, lighting and other physical working conditions, and wage
incentives the worker could produce more. The National Research Council of the National
Academy of Sciences decided to examine rhe exact relationship between illumination ant1
the efficiency of the worker. The research began in 1924.
18.4.1The Great Illumination 1924-2'7 I
Two gpups of female workirs each consisting of six, were selected and located in lwo
separate rooms, performing the same tabks. The roorns were equally illurllinated t o cx:urninc
the level of production on the basis of varying levels of illumination. In the beginning. the
working conditions were stahilised. Then slowly the conditions of work were changed to
mark the effect of this change on the output. This research established that regardlesh of
level of iflumination, production In both the control and experimental group5 increased. this
made them to give up the illumination theory. Mayo, established that the test room girl4
became a social unit and because of the increased attention of research team in them they
developed a sense of partjcipat~onin the project.
From 1924 to 1927, various experiments were conducted in the Hawthorne plitril. In 1at.i
Mayo was involved in the experiments after some initial probings by a research f':liled 10
come to any definite cor)clusions.,Onthe basis of the results derived by the team, M a ~ ofelt
that mental attitude of the workers was perhaps responsible in the behaviour of workers.
Ceizain hypotheses were proposed to explain the failure of the original illurninntion project.
Butmallthe hypotheses were rejected.
Mayo felt that work satlsfaction deperlds to a large extent on the infontl:ll social pattern of
the working group. He thought that the supervisor could be trained to pldy a different role
which'would help him to take personal interest in the subordinates and dischurgc his,duties
better than earlier.
Mayo also noted that the worker should be made to come o_ur openly with thcir needs,
,interact freely and without fear with cornpany officials. Improving morale I \ lo be closely
aswirrted with the style of supervision. This link between supervision, morale and
productivity became the foundation stone of the human relations movement: This network of
experiments had been hailed as the "Great Illumination" because it had thrown light on the
new areas of industrial relations.
10.4.2 Human Attitudes and Sentiments

In 1928, rhe ~ a k a r siu'dy
d team conducted an indepth study in the same plaqt on human
attitudes and sentiinents. Thp workers were asked to exprey freely and frankly their likes
. and dislikes on the programmes and policies of the management, working conditions,
treatment by the management etc. AfJer some initial difficblties, it was realised $at there
was a change in the mental attitude of the workers although no reforms were introduced. It ,
appeared as if the workers were involved in the management and also felt that there was An
opportunity to "let off stegm" which made them feel better eventhough there was no
material change in the environmerrL\

Wheri the data was analysed, ~t was found out that there was no correlation between the Human Relations Approacli-
Elton Mayo
nature of complaints ancl the facts. The research teani realised that there were two types of
complaints. They were nlarerial complaints and psychological complaints. The team felt that
[he preoccupation of the worker with personal problem!, many a time inhibited his
performance in the industry.
The study identified the followirig three aspects: First, the workers appreciated the method
of collecting information on the problems of the company from them. They thought they had
valuable comments to offer and felt happy because they were allowed to express freely.
Second, there was a change ir; the supervisors because their work was closely observed by
the research teirrn and subordinates were allowed to talk freely.
Third, the research tearn also realised that they had acquired new skills in understanding and
dealing with their fellow beings.
In 1931-32 Mayo and his team conducted the final phase of the research programme at
Western Electric Company. It was conducted mainly to observe a group of workers
perf'orming a task in a natural setting. Formal methods were discarded. Observation method
was followed by analysis of group behaviour. A number of employees corisisting of three
groups of workmeri whose work was inter-related were selected for tlic study. Theirjob was
to solder, fix the terminals a~rdfinish the wiring. Wages were paid on tht: basis of a group
incentive plan and each rnernbcr got his shhre on the basis of the total output of the group. It
was found that the workers had a clear cut standard of output which was lower than the
target fixed by the management. The workers according to their standard plan did riot ;illow
its members to increase or decrease the output. Although they were capable of producing
more, the output was held down to.maintain uniform rate of output. They were highly
integrrtted with their social structure and informal pressure was usecl to set right the erring
ihembers. A code of conduct was iilso maintained by the group.
Mayo and his tearn 1i)und out that the behaviour of'the group had nothing to do with the
management or general economic condition of the plant. The workers resented the
interference uf the supervisors and teclinologists who were supposed to increase efficiency,
as disturbance. The workers thought that the experts follow logic of efficiency with ii
constraint on their g r o ~ activity.
~p
Further, the supervisor as a separate category represented authority to discipline the workers.
The logic of efficiency did not go well with the logic of sentiments which had become the
cornerstone of the social system.
Thus, the study concluded that one should not ignore the human aspect of organis:ition.
Instead of overemphasising technical and economic aspects of the organisation; the
management should illso concentrate on human situations, motivation, communication with
the workers. 'The concept of authority, Mayo felt, should be based on social skills in
securing cooperation rather than expertise.
-. ~
-. . ,-... -.~..
-. -.
. .. - . . .. . .. .. .- ..... -. .. .- . ,.."--
10.5 ABSENTEEISM IN INDUSTRIES . -. . - --..- ---
The study undertaken by Mayo in 1943 miiy be considered as the final one. Mayo came
across a typical problem faced by an industrialixt during the Second World War. The war
situation created an all round dislocation in all walks of life. lrldustry was no exception. In
this particular situation the turnover of the labour wiis more than 70 per cent and
absenteeism was chronic. The management was perplexed at the situation and approached
Mayo to find out the reason and suggest remedies. Mayo began his work in 1943.
On the basis of thk previous experience, Mayo.and his team found out that in the industry
~ i t alarming
h turnovel ulid absenteeism, there were neither informal groups rror naturitl
leaders to knit the workers into a team. They were unable to form a team bec:iuse of certain
personal eccentricities, as they were not given an opportunity to form an infonnal tenm.
Hence, there, was heavy turnover and absenteeism of the labour. Mayo suggesteci that to the
extent possible the management should encourage formation of informal groups and treat
'
the problervs of the workers with h:lrrran understanding. He stated that the worker should be
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treated as human beings but not as https://t.me/Upsc_Zone_Official
cogs in rhe machine. The labour should not develop a
The Paradigms feeling that they were subject to exploitation by the management.
Thus, Mayo suggested the formation of infomial groups So that the cooperation of the
employees could be developed in organisations. His studies also led to an increased
understanding of the human factor in work situations and a greater degree of communication
system between employers and employees.
we, have reached the final stage in which Ge
After analysing the various studies of M ~ Y O
have to look at his studies critically.
-
10.6 CRITICISM --
Mayo and his research tindings were subject to bitter criticism. First of all, they were
criticised on the ground that the theory tried to substitute human relations-oriented
supervisors for union representation. He was criticised for not understanding the role of
unions in a free society. It was argued that Mayo never tried to integrate unions into his
thinking. Hence, Loren Baritz and others criticised 'Mayoists' as anti-union and pro-
management. In fact in 194Y, United Auto Workers in America lashed out at the Mayoism
with bitter criticism and branded the Hawthorne researchers as 'cow sociologists'. Some
oritics pointed out that sweeping conclusions were drawn from a relatively few studies
which were, full of pitfalls.
Critics like Carey pointed out that the Hawthorne group selected in their first experiment
'cooperative' girls who were willing to participate in the research programme and this type
of research was "worthless", since a sample of five or six could not be taken as a reliable
sample to make generalisations. Carey also observed that the evidence obtained frorn the
experiments does not support any of the conclusions derived by the Hawthome
investigators. There exists a vast discrepancy between the evidence and the conclusions. On
the other hand, the data only supports, according to Carey, the old view of monetary
incentives, leadership and discipline as motivating factors for better performance. He also
criticised Hawthorne investigations for their lack of scientific base.
Peter F. Drucker, the well known management expert, criticised human relationists for their
lack of awareness of economic dimension. He felt that the Warvard group neglected the
nature of work and instead focused on interpersonal relations. Mayo was criticised for his
sentimental concentration on the members of an organisation to the neglect of its work and
purposes, and a general softness and lack of direction. Mayo also has been criticised as
encouraging a paternalistic domination of the private lives and even the private thoughts of
individuals by their employers. The critics argue that there was no place in Mayo's
philosophy for conflict, and he sought to achieve organisational harmony by subordinating
individual and group interests to the administrative elite.
Bendics and Fisher have argued that Mayo's failure as a social scientist arises in large
measure from his failure to define sharply the ethical presuppositions of his scientific work.
Without these pre-suppositions made clear, the knowledge and skill which Mayo finds so
undervalued in democratic societies desewe no higher rating'than they get. Daniel Sell was
one of the bitter critics of the human relations theory propounded by Mayo and his
colleagues. He said the methodology adopted by the Harvard group was defective. Others
pointed out that to think that a conflict-free state and worker-contentment would lead to
success of the company was not tenable'because some tensions and conflicts wkre inevitable
in every human situation. The goal should be to provide healthy outlets instead of indulging
in utopian ideals of conflict-freesociety. Therefore, the critics stated that the team displayed
a lack of total awareness of larger social and technologii.al systems.
J .
i) Explain the First Enquiry. t

Human Relations Approach-
Elton Mayo
............................................................................................................................................... -
......................................................,............................................................*..........................
.ii) Discuss the exgrimenti conducted at the Western Electric Company.
'
..............................................................................................................................................
iii) What are the major criticisms on the Human Relati9ns Theory?
10.7 LET US SUM UP

The contribution of Mayo to adm'tnistrative organisation has been a great innovation of the
modem times. For the first time, he made an attempt to understand the problems of the
industrial labour from an angle different from the traditional approach of scientific
management era. In addition to human relations in the organisation, Mayo critically
examined the employee-employer relations in a capitalist society, stability of the labour,
supervision, etc., of the industrial workers. Although the detailed analysis of work was
conducted by his associates in the Hawthorne Plant and elsewhere, he was the moving spirit
behind all these attempts at various stages. The Hawthorne studies soon became a historic
landmark in administrative thought. The studies as Drucker has put it, "are still the best, the
most advanced and the most complete works in the field of human relations. Indeed, it is
debatable, whether the many refinements added since by the labour af countless people in
industry, labour unions and academic life have clarified or observed the original insight".
The contribution of Mayo is immensely useful not only in the industrial sector but also in
the administrative system of a state, paqticularly in the case of bureaucracy. His work also
paved the way for adequate communication system between the lower rungs of the,
organisation and the higher levels'. His main emphasis was on the individual well being with
the help of social skills in any organisation. Mayo is regarded as one of the founding fathers
of human relations concept in the administrative thought. He was a behavioural scientist
long before the tekm became popular. Taken as a whole, the significance of Hawthorne
investigation was in tdiscovering' the informal organisation which it is now realisect exists in
all prganisations. The importance.of group affecting the behaviour of workers at work was
brilliantly ana1,ysed through these experiments.
110.8 KEY WORDS

Clinical Method: The method which focuses one's attention on the behaviour of the
worktrs and their productive cppacity

iBublicOrga~lisntions:. Great Illumination: Elton Mayo's network ot'experi~r~ents

which had throwrt light o n the
The Paractigms new areas ot' industrial ~.el;~tinns
Industrial Wll~es: Depression, irrilability. :I complere loss o f interest among the workers in
a highly ntechanised f;~ctories
Let-off Steam: Express one's complaints
Material Complaints: CompIaints relilting to rnonetnry matters
Psychological Complaints: Compl;lints regarding mental stress and strain
Robert Owen: Early Socialist who helievcd that social lift and worh arc rn~~tunlly
dependent
The First Enquiry: The first major research s t ~ ~ dundert~ikcn
y by Elton Mayo in n textile
mill near Philadelphia in 1923

Baker, R.J.S., 1972. drln~it~i.s~ruti\~e
T/~eor:\i
and Plthlic Aclnrir~i.srr.ation..Hutchinson
. University Library: London. I
Gvishiani, G.. 1972. Ol-,qoni.sation& Manog-cnlc~t~t; Progress Pi1bl ishers: MOSCOW.'
Prasad, Ravindra, D. (ed.). 1989. Allnlinistruiil~rT f ~ i n k ~ Sterling
rs; Publishers: New be~tji. 1
I

-
EXERCISES
- -- - - - --- -.

i) See Section - 10.2 .
ii) See Section - 10.3,

i) See Sub-sectinn - 10.3.1
ii) See Section - 10.6
iii) See Section -10.8

SYSTEMS APPROACH ---

CHESTER BARNARD
Structure
1 1.0 Objectives
1 1 . 1 Introduction
1 1.2 Systems Approach
1 1.3 Organisation as a Cooperative System
1 1.4 Formal Organisation
1 1 .S Concept of Authority
1 1.6 Zone of Indifference
1 1.7 The Functions of the Executive
1 1.8 A Criti~alEvaluation
1 1.9 Let Us Sum Up
1 1.10 Key Words
1 1. I I Some Useful Books
1 1.12 Answers to Check Your Progress Exercises
--- - ------- I
81.0 OBJECTIVES
-- - -- --
After studying this unit you should be able to:

@ define a system
0 describe the featuies of a cooperative system
@ explain the theory of authority
@ identify the zone of indifference
@ explain the function of the executive; and
@. assess thc contribution of Bprnard to administrative theory.
So far, in this Block you have studied the scientific managemenf, classical and human relations
approaches. In particular you have studied the ideas of thinkers whose contributions have
strengthened the disdpline of Public ~dministration.In this unit you will study the systems
approach; particularly the contributions of Chester Barnard. Barnard is primarily considered
as a behaviouralist as he laid emphasis on the psychological aspects of management. At the
same time he is considered as a systems,theor.ist. He viewed organisation as a social system.
Barnard, who had spent his life-tirne as a pra'ctitioner managing business 'systems', wrote
two books "The Functions of the Executive" (1938) and "Organisation and, Management"
(1948). In these books Barnard presented convincingly,his views on organisktiorl as a
cooperative system.
CI
11.2 SYSTEMS APPROACH

- . ~, . .
A system is defined as a set of arrangement of things so related or connected as to form a

unity or organic whole. 'A system is composed of elements that are related and dependent
upon one another but that when in interaction, form a unitary whole'. By definition any
phenomenon can be analysed from a systems viewpoint. Systems approach is based on the
thesis that all part+of an organisation are inter-related, inter-connected and inter-dependent.
Systen~sapproach by itself is not new. This approach was first developed in natural and
physical bciences. Even in administrative and management literature, systems C0n~ptSwerc
used by Taylor and others during the early pan of this century. Whit is relatively new is the
emphasis given to this approach in social science literature where krrowledge integration is
keenly felt. For example, Talcott Parsons applied open systems approach to the study of
social structures. Similarly psychologists, economists, political scientists and administrative

Public brganisations: analysts have been using the systems approach in the analysis of phenomenon. In
The Paradigms admirtistrirtiveanalysis the systems approach is being widely used in recent years. in this
unit you would study Bamard's conceptu;ilisation of organisations as cooperative systems.
I
The contribution of Barnard to the understanding of organisation phenomenon is one of the

important landmarks in the evolution of administrative theory. The theory which was
developed and published in the late thirties continues to be debated and discussed. This
indicates both relevance of the theory and its intellectual and conceptual potential. Barnard's
theorycomes as both converging and culminating points of the theory of rationality on the '
one hand and the synthesis of formal and informal theory on the other. The purpose of his ,
theory, as stated by Barnard himself, is to provide a comprehensive theory of cdoperative
behaviour in formal organisations. This theory was attempted not based on pure academic or
theoretical exercise but on rich and varied experience Barnard had gained in various important
administrative positions he occupied. It is this combination that makes Barnard's
contribution quite important.
11.3 ORGANISATION
-- -
AS A COOPERATIVE SYSTEM
Bamard seeks to develop his theory around one central question viz., under what conditions
cooperative behaviour of man is possible? For him organisation is a cooperative system. 1Ie
haintains that 'cooperation originates in the need of an individual to accomplish purposes
which he individually cannot achieve'. With the result organisation becomes an enlistment
of other individuals cooperation. As many individuals are engaged in cooperative behaviour
it constantly changes and the complex biological, psychological and social factors are in
(constant interaction. The cooperative organisation for its survival must be "effective" in the
sense of achieving oiganisation purpose and "efficient" in satisfying individual motives.
Thus the individual and organisation become important. The executive should adopt the
organisation to the needs of individual and the general environment. It is these concerns of
"effectiveness" and "efficiency" that form the running thread of his theory of cooperative
behaviour.
Cooperative system needs to be understood in tehns of relationship between individual and
organisadon. To start with Barnard seeks to understand the properlies that an individual
possesses: these are (a) activities or behaviour arising from (b) psychological frlctors to
which one added (c) the limited p w e r of choice, which results in (d) purpose. It is thcse
four premises that ddermine Bamard's analysis. He advances an argument that there is a
tendency to exaggerate the power of personal choice. Further, action is also based on the
belief that individual has a choice: Bamard maintains that such a free choice does not exist.
The individuals failure to conform is mistakenly believed as opposition to the organisation.
In fact, it is not the opposition but a structural limitation where free choice of the individual
cannot be either accommodated or reconciled to the organisational goals. It is this process
which gives rise to training'and other incentives which are intended to facilitate the
reconciliation of individual behaviour and the organisational requirements.
Barnard seeks to understand human beings at two levels: One from inside the organisation
and two from outside the organisation. From inside they are treated as 'participants in
specific cooperative system'. Here they are regarded in their purely functional aspects. Their
efforts are depersonalised and they have to fit into the fomalised roles. From the second
angle a person outside any specific organisation has his ow? distinct qualities. These two
aspects, according to Barnard, are not alternative in ti,me but are simultaneously present.
These.two aspects are always present in cooperative systems. It is from such a position a
situation arises where the activities of the person are nearly a part of non-personal systems
of activities from one angle and from the second angle the individual is outside and opposed
to the cooperative system. 1t.k these opposing and conflicting aspects that require a serious
' examinition to understand the organisation phenomenon as a system of cooperation.
An examination of behaviour of the individuals should start with an enquiry as to how

indhiduals join a cooperative system or an organisation. The individual makes a choice on
the basis of (1) purposes, desires, impulses of the moment, and (2) the alternatives external
to the individual. Organised effort results from the modification of the action of the
individual through contl~olof or iiifluence upon one of these categories. The desires,
impulses, wants etc. are popularly cbaracterised as 'motives'. They form an important'
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dimension expressing his motives that man comes to
of human behaviour. It is ip the process ofhttps://t.me/Upsc_Zone_Official
know of them. The concepts of 'effectiveness' and 'efficiency' are rooted in the motivational Systems ripproiirh-
Chester Rarnardt
processes.
'Barnard observes that when a specific desired end is attained through an action, that action is
said to be 'effective', when the action leads to unexpected or unanticipated consequences fhen
the action is described as 'inefficient'. However, if the unexpected consequences satisfy desires
or motives of.individuals not necessarily and directly pres;med by the'action, the action
becomes 'efficient' but not 'effective'. Thus the unanticipated consequences,may provide
the criterion in judging the action as 'effective' or 'efficient' or both. In oth& words an
ac;ion is effective if it accomplishes its specific aim. It becomes efficient when it satisfies the
motives of that aim, and without helping in attainment of the goal towards which the
activity is directed.
From the above debate it is evident that there are two philosophical propositions about the
human ~~ature: (a) there are philosophies that explain human conduct as a presentation of
universal f~rces,'thatregard the individual as merely responsive, that deny freedom of
choice or of wili.that make of organisation and socialism the basic position, (b) there are
that grant freedom of choice and of will,that make of iridividuirl as an
independent entity, that depress the physical and social environment, to n,secondary and
additional condition. Barnard seeks not a recollciliation of these two opposite pc;s,itions but
wants to understand and explain how these two positio~lsget manifest in the 'cooperative
systems'. From the experience that the cooperative systems throw up, one can understand
how these two philosophies influence human ~ ~ t i 0depending
ll upon the context in which
the cooperative systems operate.
. .
Examining the phenomenon of cooperation, Barnard traces the causes for cooperation in
physical and physiological fiictors. Individuals enter cooperative actic-~nbecause as
individuals they are not capable of realising their goals. It is their physiological liinitations
ihat drive them into cooperative action. The oiher way to look at cooperative phenomenon is
that the nature puts such a constraint on a single individual that he cannot overcome it
except through cooperative action. For instance, there is a stone and man warits to liftit. But
he cannot do so. His inability can be looked from two points; one, he is too small to lift it; two,
. the stone is too big to be lifted. From one angle the limitation, is,physidogical and..ftom the
other angle it is physical. Either way cooperation becomes necessary once a man sets il
purpose of lifting the stone. Limitations always are related to the puipose or goal that one
aims at. . .
In the situations of the above kind the individual characteristics requite to be undcrstood.Biit
the individual faculties by themselves may not mean anything in a cooperative situation
where the faculties of individuals are pooled together. Therefore in all cooperative activity
the objective of action is removed from the individulil and replaced by the collective
objectives. Sincc the ends of cooperative action can be of different kind, each type of action
becomes a limiting cond~tionfor cooperation. Added to it the ob.jectives that man seek of are
never stable as the environment changes resulting in alteration of purposes calling for new
types of cooperative action. Thus the limitations in a cooperative action arise not only
because of the limitations of individuals but also due to the very structure of cooperative
action. ~ h ueffectiveness
i of cooperative action depends upon its capacity to cope with
changing environment and purposes oC cooperative action.
L
The above discussion indicates that cooperation depends upon two inter-related and inter-
dependent classes of processes: (a) those which relate to the system of cooperation as a
whole in relation to the environment; and (b) those which relate to the creation or
distribution of satisfaction among the individuals. The instability and failure of organisations
or cooperative processes arise from defects in each of these classes of processes separately
and from defects in their combinations.
,
--- --- -
111.4 FORMAL ORGANISATION
-- ----- -
It is the cooperative systems that give rise to formal organisations. Barnard defines
organisation as a "system of conscioi~slycoordinated personal activities or forces". The
organisations come into existence when ( I ) there arc; persons able to cornrnunicafe with each
other (2) who are willing to contribute action (3) to accomplish a common purpobe. The
elements of an organisatibn are (1) cor;..vunication; (2) wilringness; (3) common I
purpose. Elaborating this point Barnard points out that vitality of organisation depends on I

Public Organloatlons the willingness of the individuals to contribute forces to the cooperative system: ~ h , s
The Paradigms willingness requires the belief that the purpose can be cm-ied out. However willingness to
contribute disappears when effectiveness ceases. The continuance of willingness also
depends upon the satisfactions that are secured by individual contributors in the process of
c a v i n g out the purpqse. If the satisfactions do not exceed the sacrifices required,
willingness disappeardand the condition is one of organisation inefficiency. If the
satisfactions exceed the sacrifices, willingness persists, and the condition is one of efficiency
of organisation.
Based on the above assumption Bamard observes that initial existence of an organisation
depends upon a combination of communication, willingness and purpose which are suitable
to the external environment. Its survival depends upon the maintenance of an equilibrium of
the system. The equilibrium has both internal and external dimensionsl The internal
equilibrium depends upon the proportion between these three elements. The external
equilibrium has two terms in it; first, the effectiveness of the organisation which comprises
the relevance of its purpose to the environmental situation; and second, its efficiency, which
comprises the interchange between the organisation and individuals. It is in maintaining the
equilibrium at two levels that a formal organisation persists and thrives.
For a deeper understanding of the cooperative systems and the processes, it is necessary to
understand the relationship between formal and informal organisation. Barnard maintains
that it is a part of human nature and a social process that men develop a network of
relationships on systematised interactions. This gives rise to the growth of conventions,
customs and institutions. They have tremendous influence on cooperative systems. Infact
Bamard ernphasises that every informal organisation-a result of social interactions-gives
rise to formal organisation and every formal organisation because of network of
interpersonal relationships gives rise to informal ofganisations. The informal organisation .
becomes necessary to the operation of formal organisations as a means of communication,
or cohesion, and of protecting the integrity of the individuals:
The formal organisations, however, have certain distinct elements which are crucial to the
understqndir~gof the cooperative systems and their capacity to make use of the structural
needs and individual aspirations. In the formal systems of organisation, division of labour
which is described as specialisation or fi~nctionalisationis integral to the organisation. These
two terms, when subject to further analysis, indicate that men specialise but work is
functionalised. In either event, there is division of labour which results in corresponding
division of work. The bases of specialisation of organisation are five: (a) the place where
work is done; (b) the time at which work is done; (c) the persons with whom work is done;
(d) the things upon which work is done; and (e) the method or process by which work is
done. The process of cooperation requires all the five requirements. The efficiency of
organisation largely rests on how these requirements are met.
+
YI
For the purpose of cooperative effort in a formal organisation the question of incentives is
also important, The net satisfaction which induces a rnan to contribute his efforts to an
organisation results from the positive advantages as against the disadvantages. The
incentives are of two kinds; material and non-material. The material incentives include the
conditions of stilary and chances of promotion etc. There are also the nonmaterial
incentives which include the hiernrchy of positions, with gradation of honouis and privileges
and maintenance or pride of organisation, community sense and so on. Both the types of
incentives, Barnard rnainta~ns,are essential. He further emphasises that no organisation can
exist without a combination of these two types of incentives. *
<
Ch'eck YoGr Pxogress 1
Note: i); Use the space below for your answers: "'
i) Define a system.

ii) Why do individuals enter into cooperative action? Systems Approech-
Chester Harnarct
iii) Describe the elements of formal organisation.

.............................................................................................................................................
iv) Explain the bases of specialisation in fbrni:il organisations.
.-- .
II.S-CONCEP'.!' OF AUTHORITY-
.Another irnportalit element for cooperative efforl in a general organisation, which is believed
to be7most crucial, is the element of "authority". Rarnard defines authority as "the character
of-a communication (order) in :I formal organisation by virtue of which it is accepted by a
cbntributor or 'member' of the hrgarilsation as governing the action he contributes". This
, indicates that for Barnard authority consists of two aspects; first, the subjective aspect, the
personal aspect, the accepting of communication as authoritative and second, the objective
aspect-the character In the con~municationby virtue of which it is accepted.
Barnard further'argues that if a directive communication is accepted by one to whom it is
addressed, its iluthority for him is confinned or established. If is admitted as the basis of
action. Disobedience of such a cotnmunication is a denial of its authority for him. Therefore
onder the definition the decision as to whether an order has authority or not lies with the
persons to whom it is addressed and does not reside in "persons of authority", or those who
,i~;ue these orders. H; adds that organisations fail because the authority fails which means
thky cannot secure sufficient contribution of personal efforts tobe effective or cannot induce
them on terms that are efficient. Further authority fails because the individuals in sufti~.ignt .
, . numbers regard the burden involved in accepting necessary orders as changing the balance
of advantage against their interest and they withdraw or withhold the indispensable
contributions. It is for this reason Barnqd emphasises '"he necessity of the assent of the
individual to establish-authority f o r l i h is inescapable". A person can and will accept'!
co~munreati~nas" authoritative only when four conditions simultaneously obtain: (a) h$ can
~ n ddoes understand the communication; (b) at the time of his decision he believes that it is

, Public Organisations: not inconsistent with the purpose of the organisation; (c) at the time of his decision, he
The Paradigms believes it to be compatible with his personal interest as a whole; and (d) he is mentally and
physically able toconiply with it.
*
T h ~ above
s description leads to an important question as to how is it possible to secure such
an important and enduring cooperation as we observe if in principle and in fact the
determination of authority lies with the subordinate individuals. It is possible because the
decisioris of individuals occur under the following conditions: (a) orders that are deliberately
issued in enduring organisations usually comply with the four conditions mentioned above;
(b)there exists a "zone of indifference" in each individual w~thinwhich orders are
acceptable without conscious questioning of their authority; ( c ) the interests of the persons
who contribute to an organisation as a group result in the exercise of an influence on the
subject, or on the attitude of the individual, that maintains a certain stability of this "zone of
indifference".
---- ---
11.6 ZONE OF .INDIFFERENCE - -
We have diskussed in the previous section that the acceptance of authority in organisations
depends uponsthe zone of indifference. What then is the Zone of Indifference? If all the
orders for action reasonably practicable are arranged in the order of their acceptability to the
person affected, the range may consist of a number of orders which are clearly unacceptable,
that is, which certainly will not be obeyed. Another group may be somewhat neutral, that is,
either barely acceptable or barely unacceptable. A third group may be unquestionably
accep't3ble. This lasttgroup, Bamard says, lies within the "zone of indifference". The person
affected will accept orders'lying within this zone and is relatively indifferent as to what the
order is so far,as the qllestion of authority is concerned. The zone of indifference will be
wider,or narrower depending upon the degree to which the motives exceed the burdens and
sacrifices which determine the individuals adherence to the organisation.
, If the inducements are not adequate, the range of orders that are likely to be accepted by the
' members of the organisations would be limited. In o t h e ~words, you may say that the zone
4
would be short. The executive, therefore, should be conscious of the zone. He should issue
I
only those orders which wopld fatt within the zone and are acceptable. If the executive is not
conscious of this. Barnard says, that the.executive either does not know how to use his
I ' authority o r he is abusing the authority. +.
0
11.7 THE FUNCTIONS OF THE EXECUTIVE

From the above processe.i and considerations, the functions of the executiGe arise, The
I essential executive functions, as stated by Barnard, are first, to provide the system of
communication; second, to promote the securing of essential efforts, and third, to formulate
I , , . . . and define the purposes.
The first function of maintenance of organisational communication has two phases. The first
is definition of organisational positions and the se6ond is maintaining a person~lelsystem.
The forfner requires organisational charts, specification of duties, divisicin of work, etc. The
latter includes recruiting men who liave appropriate qualifications, offer-ing incentives, etc.
These two phases-are complementary and depend on each other.
The second function of securing essential services from individuals a l s has
~ two main
aspects. The first is bringing perssl!s into cooperative relationship with the organisation and
the second is eliciting services and contributions from such people. These can be achieved,
according to Barnard, by maintaining morale, education and training, incentives, and
supervision and control.
The third executive,function is the fom~ulationof organisational objectives and purposes,
. These pudoses must be widely accepted by all the members of the orginisation. .
The abbve three functions arise basically from the need for cooperation among various
h'uman beings as every organisation is basically a cooperative system, the cooperative effort
requires to be consciously coordinated, It is in this area of organisational process the
executive has td perform the role in realisir~gthe goals and purposes of a cooperative
36 system. '
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11.8 A CRITICAL EVALUATION Chester Barnard
Kenneth Andrew~who wrote introduction to the book 'Functions of Executive' observes

that Barnard was on his subjective experience. While it makes his analysis insightful, it also
works' as a constraint. The theory does not provide a clue as fo how this theory can be
extended to the various facets of organisations of different types. He further observes that
Barnard has not dealt about the institotions of top management.
Barnard emphasises on purpose as a central question but pays no attention to the choice of
the purpose in a changing world or to the processes of formulating goals and objectives for
the organisation. h fact what is important is the participation of individual in the conflict
and the way he seeks to integrate it. Also he had not paid adequate attention to the day-to:day
problems that arise In the organisation of human beings. The lack of attention to the goals
could be on account of the fact that the organisations that he held charge of had constant
goals, with the result he did not give full descriptive or prescriptive attention to the
processes of tbrmulation.
Barnard's theory while focuses its attention on cooperative effort, it does not adequately
' deal with the creative development of our individual. Nor does it deal with the question as to
a
under what conditions individuals develop colnrnitment to the organisation and how such
commitment gets strengthened.
The definition of author~tyunderestimates the objective conditions and deals with the details
of subjective factors as acceptance of the individuals and not on the persons of authority
who exercise it. Authority, infact has an economic dimension. Economically the subjective
dependence depends on the market structure. In a society where the range of alternatives is
large. there individuals may enjoy relative freedom. But where the opportunities are
restricted, the individual has no freedom to reject authority. In other words in a capitalist
society while his interpretation'is valid, in feudal or. underdeveloped societies such freedom
does not exist.
The socialisation process, the family structure, the educational processes deterpine
individuals attitude towards authority. Infact it is these processes which shape the value
system. Barnard has not taken the larger context into account, to that extent his theory
suffers.
0

; Note: i) Use the space below for answers.
i ) Define authority and explain its subjective and objective nsp;cts.
ii) "Authority lies with the persons to whom it is addressed and not with those who
issue ord&rsV.Explai,n,

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Public Organisations: from:- https://t.me/Pdf4Exams https://t.me/Upsc_Zone_Official
The Paradigms
.............................................................................................................................................
iii) Describe the concept of 'Zone of Indifference'.
iv) What according to Bapard are the functions of the executive?
.".
- 111.9 LET US SUM-UP
i
In this unit you have studied the contribution of Chester Barnard. He laid emphasis on
organisations as cdoperatiye systems. This conveys,the very essence of group effort. He
expounded the nature of fohnal (structure) and infotmal organisation (relationships) and
their mutual inter-dependencies in a lucid way. ~e iaid emphasis on the acceptance of '
authority by others. Barnard has also explained the existence of a zone of indifference. If the
orders fall within this zone they are unquestionably accepted. All these penetrating insights
into the cornplex nature of organisation and its working would enable you to understand
organisations better. > .
,
11.10 KEY WORDS

Authority: Legitimate exercisk of pow&
Communication: Inter-change of information between different levels of organisation
Converge: To approach from different directions iowards the same point
Prescriptive: Laying down' rules
7
-

Barnard. Chester 1, 1938. The Funcfifionsof rhr Executive; Harvard ~nivcrsit; press:
Cambridge.
Bhattacharya, Mohit. 1987. Public Administratidp; The world Press Private Limited: '
Calcutta. r
Luthan S. Fred, 1 9f 7. Orga~isationalBehalsioldr.; McGraw-Hill Book Company: New York.
Prasad, Ravindra D.,et. al, (eds.), 1989. ~dm'inistt~ati\~c
Thinkers; Sterling Publishers: New S$stemS Apprnach-
~ h ~ s t Barnard
er
Delhi
Pugh, D.S., et. al, 1977. Writers on Orgqt~?i.sutio~?;
Penguin Books: Lords.
EXERCISES

i) See Section-1 1.2
ii) See Section-1 1.3
iii) See Section-1 1.4
iv) See section-11.4

iv) . . 1 1.7
See Section-

BEHAVIOURAL APPROACH -
HERBERT SIMON
Structure
12.0 Objectives
12.1 Introduction
12.2 Classical Theory : Simon's Criticism
12.3 Place of Decision-making in Administration
12.4 Choice and Behaviour
12.5 Value and Fact in Decision-making
12.6 Hierarchy of Decisions'
12.7 Rationality
12.8 Programmed and Non-Programmed Decision
12.9 Decision-making and Administrative Process
12.9.1 Specialisation
12.9.2 Coordination
12.9.3 Expertise
12.9.4 Responsibility
12.10 Modes of Organisational Influence
12.10.1 Authority
12.10.2 Organisational Loyeltiea
12.10.3 Criterion of Efficiency
12.10.4 Advice und Information
12.10.5 Training
12.1 1 Critical Evaluation
12.12 Let Us Sum Up
12.'13 Key Words
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12.0 OBJECTIVES ..~ _. . _ . . . . . __.__.._.I_.. _._" ..

explain the importance of behaviouralism in Public Administration
explain Simon's criticism of classical theory
0 describe Simon's views on decision-making
0 discuss the meaning of rationality and its relation to behaviouralism; and
critically evaluate the behavioural approach'. s
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12.1 INTRODUCTION
We have discussed in unit 8 that the classical approach to the study of administration
emphasised the importance of the structure-the formal dimensioi~of organisation. The
human relations approach, on the other hand emphasises the informal dimension of the
organisation. While the formal and informal dimensions of organisation form an important
component of organisation phenomenon, the human behaviour-the'value disposition of the
functionaries-determine their attitudes and working style of the organisation. ?he human
relations and behavioural approaches broadly deal with the man in the organisation. While
the former deals with the relationships among the people working in an organisation, the
latter deals with the 'inside' human being with a focus on the place of his values and
rationality in the working of an organisation. An understanding of 'inside' the man is as
important as 'inside' the organisation. in this unit we shall focus mainly on the views of
,Herben Simon on behavioural approach ih PublicAdministration.
Herben Simon analysed the human behaviour in terms of its value preferences in decision-
making process. It is this central concern that is significant to the understanding of
organisation and its working, Human behaviour being comppx and dynamic, as a student of
PublicAdrninistrationyou should understandand appreciate: these facets of organisation.
This would help you to widen the horium and dwpen your understanding of the discipline.

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Public Organisations:
The Paradigms 12.2 CLASSICAL THEORY: SIMON'S CRITICISM
You have studied in unit 8 how Simon waged a frontal attiick on the structural approach. He
-criticised the pririciples of organisation and rlnqcribed them as mere proverbs. ~e poir~;:d
out that the principles are coniradictory a!!(? ; ., tnally inconsistent. He also noted, that they'
are not sciehtifically valid and do not :uvc clr~iversalrelevance. It is on these grounds Simon
question?;their thioretical basis to analyse or exl~lainthe orgranisationrtl phenonienon. Any
theoretical construct shouldpossess a frame of reference whicl>should have tmiversal
validity. It is this investigation tliat led to the growth of the-:itudyof administrative
behaviour with a focus on authority and decision-making. Unlike the principles which have
a contextual relevance, the decision-making, iiccording to Simon, is !i universal process and
can form the base for. wider orga~lisationalanalysis.
192.3 'PLACEOF DECISION-MAKING IN

ADMINISTRATION
To Simon, administration is the art of "getting the things done". He lay\ emphasis on the
processes and methods that ensure action. He says that in adnlinistrative analysis not
sufficient attention is paid to the choice which precedes action. Determination of 'what to
do' rather than 'doing actually' did not receive proper attention. Decision-making deals with
the process of choice which leads to action. Simon points out without an adequate
understanding of this dimension, which is rooted in the behaviour of man in the
organisation, the study of administration would remain large1y in:idecjuate.
In the behavioural approach, the question that is to be understood is the process that
precedes action. This is popularly known as decision-making process. The need for taking
decisions arises when there are several alternatives or courses of actiorl open to an
individual. But one has to choose only one alternative by a process of elimination.
Therefore, decision-making is defined as a process of reducing the alternarives to one.
Rationality of human being lies in selecting such an alternative which c;in produce
maximum positive results and mirlirnuni negative results. The efficiency of any group effort
, does not depend only on organisation that ensures effective thing of ;I job. It also depentls
on the existence of principles which would ensure correct decision-making which in turn
determines the effectiveness of doing the job.
In an organisation people above the operative level are considered important as they arc
entrusted with more crucial functions of decision-making. They have a very important role
to play in realising the orgarlisational goals. They have greater role in influencing the
behaviour of t6e operative staff. For example, in a war the soldiers fight in the battle field.
They take many decisions at their own levels. But the overall strategy that is formulated by
the Generals, who are not engaged in the actual battle woulddcterminc the outcome of the
battle. Similarly in an automobile industry, the car is produced by the mechanics on the
assembly line and neither by the engineer nor the executive. Yet the latter occupied a crucial
place. Again, the fire is extinguished by a team of firemen and not by the fire chief. In
administration operative staff are important. The success of organisation depends on them.
The men above the operative level are equally important. They have an essential role to play
in achieving the orgarlisational goals. The supervising staff have greater influence upon the
outcome ofan organiiational effort, than the lower levels. These supervisory staff have
'
greater influence on the operative staff. They decide, plan and direct the operative staff.
In smaller organisations, the influence of the supervisory staff is direct, while the influence
is indirect in the big and complex organisations.Simon, therefore, says that effective
organisation involves setting up of operative staff and above it, a, super imposing staff
capabie of influencing the operative staff towardn a coordinated and effective behaviour.
He also says that the working of organisations depends on the manner in which decisions and
behaviour of employees are influenced. It is for these reasons that the behavioural approach
ernphasises that "insight into the structiire and function of an organisation can best be gained
by analysing the manner in which the decision and the behaviour of such employees are
influenced within and by the organisation".

;heck Your Progress 1 Behuviourat Approach-
I -
Herbert Simon
ii) Check youranswers with those given at the end of the unit.
i) What 1s the focus of Simon's behavioural approach?
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i i ) On what grounds Simon criticised classical theory'?
iii) Why is decision-making inlportant in administration?

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12.4 CHOICE AND BEHAVIOUR.

Human behaviour involves conscious or unconscious selection of particular alternative
which is physically possible and organisationally effective. The selection of a choice refers
to preference of ;I course of action over other courses of action. In any mechanical action,
the choice and the action are directly related. You would noticc this in case of a typist. He
hits a particular key wilh a finger because a reflex has been established between the latter on
printed page and the particular key. Here the action is rational but no element of
consciousness is involved. It is, therefore, a conditioned reflex action. In other cases, the
selection will have to be a product of a complex chain of activities called planning or design
activities. This can he noticed in the construction of a bridge where an engineer designs and
the rest of the activities will have to be tailored to the design. Decision-making process
involves three important phases as activities:They are intelligence activity, design activity
and choice activity. Intelligence activity irlvolves finding occasions to take decisions. For
this the executive has to analyse and understand the organisational environment. He has
also to identify the conditions that need decision. The second phase is design activity. This
involves developmen1 of alternatives to do a particular jab. The executive should also
identify the merits and advantages as well as problems involved in each of the alternatives.
The final phase is the choice activity. In this the decision maker should choose or select one
of the alternatives or course of action, keeping in view the organisational goals.
112.5 VALUE AND FACT IN DECISION-MAKING

The ell'ectivencss of a course of action depends upon the capacity of that decision to attain
the goals that are set. The choosing of ;t corj-ect choice is related to the individual's

Public Organisationsifrom:-
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values. The effectiveness depends upon the
The Paradigms infomation available at a given point of time. This is related to the question of facts. Value
is expression of a preference. It chn only be subjectively asserted as valid. Fact, on the other
hand is a statement of reality. It can be proved by observable means. Choice or decision
involves both facts and vaihes. They clarify the criteria in analysing the ethical and factual
elements involved in a decision.
Simon argues that the behaviour of members of an organisation is partly determined by the
purpose of the organisation. It is the purposiveness which brings integration in the pattern of
behaviour. Absence of purpose renders an organisation meaningless.
The purpose provides the direction and a frame of reference and determines the things that
are to be done and the things that should not be done. In the process, even a minute decision
governing specific action is necessarily an application of broader decisions related to
purpose and to method. Simon gives the example of a man walking. He describes the
process as follows: "A walk contracts his leg muscles in order to make a step; he takes a step
in order to proceed towards his destination; he is going to the destination, a small box, in
order to mail a letter, he is sending a letter in order to transmit certain information to another
person and so forth". Each decision involves the selection of a goal and behaviour relevant
to it; his goal is not an end in itself. It may lead to a distant goal and so on, until a
relatively final aim is reached. Simon maintains that in so far as decisions lead toward the
selection of final goals, they are called "value judgements". And if they involve the
implementation of such goals they are called "factual judge~nents".For instance in the
budgeting of a local body the council has to decide on what items the amount should be
allocated . This'depends on the priorities. The decisions whether to allocate more amount to
roads or parks, education or health are inter-linked with the 'value judgements'. Once the
priorities are decided, then the implementation mostly depends on 'factual judgements'. For
instance, the length of the road, the connecting points, the type of road, etc., are the
decisions related to factual judgements.
There do not exist value decisions and factual decisions. Values and facts are only the
premises and components which are inter-wined. Problems do not come to us as value
decisions or factual decisions.
12.6 THE HIERARCHY OF' DECISIONS

The concept of purposiveness involves the notion of a hierarchy of decisions--each step
downward in thehierarchy consistirig in the implementation of the goals set forth in the step
immediately above. Behaviour is purposive in so fa'r as it is guided by general goals or
objectives of the organisation. It is rational in so far as it selects alternatives which are
conducive to the achievement of the previously selected goals. Although, theoretically this
looks as a neat arrangement, operationally this is fraught with a number of difficulties. The
difficulties arise because no organisation pursues a single goal. The governmental agency
seeks to achieve many goals. It is the complexity that makes perfect integration extremely
difficult. However, certain amount of integration will have to be achieved in reality, without
which no purpose can be achieved.
The above discussion, you would notice, unfolds two important dimensions of behavioural
approach: (1) the policy making and the implementation; (2) the involvement of facts and
values in the decision-making. It highlights that the decisions at the lower levels involves
more of factual judgements. In the decision-ma kin^ process, choosing of ends~involves
selection of an alternative based on value judgemeht and in selection of means to achieve the
.
I
end, it b the factual judgement that are invqlved. Rakionality in the decisibn-making proc&
1argely.dependsupon the correct choice of Y t h the 'galue judgement' and 'factual
y udgement'.
12.7 RATIONALITY IN DECISION-MAKING

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As you know decision-making is a very complex process involving a chain of unending
decisions. In the simpler situations analysing the sequence is easier and, therefore, a better
and rational decision-making is possible. In complex situations which involve a large
.network of decisions at different phases, the rationality in the decision-making is bound to

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emphasises that all decision-making should be based on rational https://t.me/Upsc_Zone_Official
choices. lehaviowal Approach-
Herbert Simon
He defines rationality as one6'concernedwith the relation of a preferred behaviour
alternatives in terms of some system of values whereby the consequences of behaviour can
be evaluated". This requires that the decision maker should have; knowledge about all
available alternatives. The decision maker should also be able to anticipate the consequences
of each of the alternatives.
Simon explains that there are six different types of rationality viz., objective, subjective,
conscious, deliberate, organisational and personal. Simon rejects the concept of total
rationality as it is based on totally unrealistic assumptions. Toial rationality is based on the
belief that decision makers are omniscient and they have knowledge about all available
as well as their consequences. Secondly, the assumption is that the decision
maker has unlimited computational ability. Finally, it believes that the decision maker has
the capacity to put in order all the possible consequences. These assumptions, Simon says,
are fundamentally wrong. There are several limitations in the decision makers in terms of
skills, habits, values and conception of purpose as well as the extent of knowledge relevant
to.his job. Therefore Simorr says that organisations should not start with the concept of total
rationali~y.Instead, they should work on the basis of 'bounded rationality'.
I t is in this concept of' bounded rationality, Sirnon develops the concept of 'satisficing'. The
term satisficing is derived from the words satisfaction and sufficing. As total rationality is
inconceivable, the executive 'satisfices' with a good enough choice. The decision maker
tries :o arrive at either optirnal or fairly good solutions. Such solutions or decisions may or
may !lot lead to maximisation of organisational goals.

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Public Organisations: 1") What is meant hy the notion of hierarchy of'dec~\ioiv,?
The Paradigms https://t.me/Upsc_Zone_Official
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V) Explain the concept of rationality.
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vi) What is bounded rationality'?
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12.$ PROGRAMMED AND PION-PROGRAMMED
DECISIONS
1
Simon makes a clear distinction kxtween prograrnn~edand non-programmed decisions. The

former are those which are repetitive and routine in nature. For such decisions definite
procedures can be worked out. Each decision need not be dealt with separately. In
programmed decisions, habits, skills and knowledge about the problern is imponant. In such
decisions, mathematical models and computer can help the decision makers to arrive at
rational decisions. Non-programmed decisions, in contrast, are new, novel and unstructured.
No cut-and-dried methods would be available and each question or issue has to be dealt with
separately. Training in skills relevant to the job and innovative ability bect~rnerelevant and
important to develop capacity to take proper and relevant decisions.
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12.9 DECISION-MAKING AND ADMINISTRATIVE

PROCESS
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Bchavioural approach has certain unique characteristics wlricll require to be appreciated.

Administrative activity is a group i~ctivity.In organisations, decision-making is more
systematic unlike in tile case of an individual clr a family. Adrninistralive process as you
know, is a decisional process. This process, according to Simon ir~volvesthree important
steps, They are segregating tile elements in .the decision-making process, establishing
procedures to select and determine these elements and communication of these clernents to
the members of the organisation. The organisation tslkes away from the inclividual a part of
his decisowal autonomy and substilutes it with organisational decision-makin$ process.
Organisalional decision-makirlg process specify the filnctions of individuals, allocate
authority imd also set limits to his choice.
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some of the practices that emerge from the structuring of Behaviuural Approach-
behavioural
Herbert Simon
choice.
ciatis ti sat ion is a characteristic of organisations. In this particular practice tasks are allotted
to different levels in the organisation. The specialisation may take a fonn of vertical or
horizontal division of labour. Simon emphasises on vertical :<pecialisatian.He argues that
there is need for specialisation between operative and supervisory staff.
12.9.2 Coordination
~ r o u pbehaviour requires not orily the adoption of correct'decision,but also adoption of the
ame'decision by all members of the group. In the decision to coalstruct a house, several
j~ldividu;llsart. involved. It' each has his ow11 plan arid tliey do not communicaretheir plans,
ch;lnces of a good house construction are very hleak. 'l'hey worrld be able to achieve better
results if they adopt a dcsign,'and execute it.
12.9.3 Expertise
There is a need for specialised skill at thc Operative level. The work in the organisation rnust
be sub-divided so that all thc processes requiring o porticuiar skill can be perl'ornmed by
persons possessing those skills. Iaikewisc. to gain the advantage of expertise En decision-
making, the responsibility for cleoision must be llocaretl that all decisions requiring a
particular skill can be rnade by persons possessing that skill. .
The adrninistralive organisation seeks to e~mfi~rce

conformity of the individual to nomls laid
down by the group. The discretion given to the subordiniire pcrsolincl is limited by policies
determined by top administrative hierarchy. Thus, autonomy in the decision-rnakirig is
restricted at v:rrrous levels.
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12.18.MODES OF QRGANISATIONABIJ BINFLBJENCE
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An adrnir~istrativeorganisation devises its own nlodes and niethods to influence the

decision-making process. In other wortls. the organisation seeks to rchtric! the behavioural
choice and reduces decision-rniikinp autonomy. This is done partly through structure and
partly through a systematic influence on individual's behaviour. The modes that are used to
influence the behaviour are, autllority, organisational loyalties, criterion of efficiency, iidvice
an8 information, and tniining.
12.10.1 Aulhority
- P
Chester Barriard devoted considerable atletition to the concept of authority. The
organisational culture. as pointed out earlier, builds the myth of iiuthoriiy in such a way that
subordinates carry out the order coming from above without questioning them. The sqperior
does not seek to convince the subordinate but expects acceptance of the orders readily.
Barnard, however, maintains that authority lies with the subordinate who is accepting it and
nor with !lie superior who is exercisitlg it. The myth4of authority is able to influence to a
large extent, the behaviour. , )
12.10.2 Organisational Loyalties
In any organisation its mcmbers tend to identify themselves with that group. This is an
important characteris~icof human heliaviour. They take decisions keeping in view the
interests of the organisations with which they have identification. The organisation good
always dominates thc consciousness of the member. It is this conception of good that makes
him loyal and enable him to take decisions which would be in conformity with the good of
the orgadsation. Thus. the behavioural choice is narrowed down by the organisational
loyalties and facilitate homogeneity of behaviour rendering group work possible. Each
member of the organisation would also have a limited range of values which is essential to
ensure accountability. But the problem in organisational loyalty is that each individual takes
a narrow view of the organisation \nd ignores the broader organisational interests. Simon

' Puhlic Organisations: opines that as one moves higher
Downloaded from:- https://t.me/Pdf4Exams in the organisation, greater would be the neeo tor broaaer
The Paradigms outlook.
12.10.3 Criterion of Emcieney

The exercise of authority and the development of organisational loyalties are the important
means through which the individual's value-premises are influenced by the organisation.
But in every decision-making there are also factual judgements. They are intluenced by the
criticism of efficiency. The concept of efficiency involves shortest path, the cheapest means
in the attainment of the desired goals. The efficiency criterion is largely neutral as to what
goals are to be attained. The order "be efficient" is a major organisational influence over the
decisions of members of any administrative agency.
12.10.4 Advice and Information

The communication flow in an organisation is also important in shaping the decision-
making process. Advice and information available to an individual is an important input in
making factual judgements. The organisation which is capable of facilitating effective
communication can not only condition the behavioural choice but ensure uniformity of
judgement and action.
12.10.5 Training
Training is a device which prepares members of an organisation to take satisfactory
decisions. It equips an individual in methods of using his discretion in conformity with the
design and thegoals of the organisation. This is also a device through which the information
and the necessary goals are transmitted to an individual so as to enable him to make right
type of choices in the organisation.
12.11 CRITICAL EVALUATION

In the foregoing discussion you have studied how behaviour influences administrative
organisation, it has its unique characteristics. The discussion indicates that for the'putpose of
organisational analysis. it is neither the structure nor the human r~lationsbut it is the
decision-making that should be the frame of reference. The discussion highlights how some
of the principles such as hiqrarchy, coordination, division of work, specialisation are
associated with the decision-making process. The discussion also shows what efforts go into
making of an organisation structure. The determinantsof the structure such as authority,
loyalty, efficiency and training are mainly intended to restrict the behavioural choice and
facilitates group effort. Ifevery individual in the organisation is permitted to behave the way
he wants to, then no group efforts would be possible. It is for this reason that the
organisational structure is built. Thus human behaviour and its inter-connection with the
structure and group effort form the substance of behavioural approach to the study of
organisation. lnspite of its valuable contributions, the behavioural approach has come under
considerable attack. It is criticised mainly on the following graunds:
i) Tlrc conceptual framework is not adequate. While the behavioural approach criticiseci
the classical approach as inconsistent and internally contradictory, the behavioural
approach itself has lot offered an adequate framework ro explain the organisation
phenomenon. It confitled its a~lalysisto only"ipside" the man in a0 organisation. It has
not taken t k c~alcesocial setting in which an organisation operates, Ignoring the social,
historical, politicql. cconoulic, geographical and culturul factors is virtually delinking
the organisation.fionl ils widcr setring. This puts a major constriint on the explanation
of organisation phcnornenon.
ii) It is apolitical. Administrative system is a sub-system of a political system. It is the
politics and the political power that set the goals of an sdlcinistrative organisation. It is
largely influenced by the political process. The behavioural appmach, like classical
approach, took a political view giving an impression that organisations are autonomous
from the political environment. An approach wllicll Iiq s emphasis on 'value judgement
should not have ignored the political process which also determines the value premises
of the public organisations.

Behavioural Appt-oach-
iij) 'Value free and neutral approach is not helpful. While the approach sought to analyse the
Herbert Simon
value judge men^, the concept of,rationality did not touch any ethical questions. For the
approach maintains that rationality lies in picking up appropriate means to achieve the
goals. A theory which ignored the larger questions sf what is desirable and what is
undesirable in the larger interests of the society, wo~lldnot be able to set pace to right
types of development, nor can it proviiie a correct perspective. A thief comniittiing theft
by highing up appropriate niealts would be within the rationalist frame, although what
he does may not fit into a socially desirable ethical framework. Such danger, involved
in ;he value free and neutral approach is not realised by the behavioural approach.
iv) The approach is general arid not of practical relevance. Another criticism against the
khavioural approacli has k e n that it offered orlly ii generinl explaniition to the
understanding of organihation at an abstract level. It hardly helps a practitioner as to
how the working of an org:?nisation can he improved. It tends to be highly general in
explanation. Therefore. it has no concrete suggestions to offer for either better working
of the organisation or to iniprove the decision-making process in an organisation.
\.) The concepts of authority arid ratioi~alityseek to explain liun~anbehaviour from an

idealistic point of view. The material cortditions and concrete historical situation which
govern hulnan behaviour have not been taken into account. Organisation rnan is
compared with econo~nicman. 'The contrast between these two view points is very wide
a\id striking. The entire disc~lssior~
on economic man cieals with his material behaviour.
This factor does not figurein the discwsion on administrative man at all. The
productive processesand the general Piuman relations that determine the value judgements
31id cli~iceof behaviour is totally ignored in this approach.
~'ihcckYour 19rogress3
Sate: i) Llse thc space below for your answers. '
ii) Glitch your answers with those given at the end of the unit.
i Distinguish between prograrnltleti and .non-progra~iimed'decisions.
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. i i ) :\dmi~listrativeprocess is a decision-making process. Explain.

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i i i ) Discuss how authority and training are rnodes of organisatiwnal influence.

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Public Organisations: iv) CriticaIly evaluate Simon's bebavioural approach.
The Paradigms
12.12 LET US SUM UP

The behavioural approach marks a significant break-through in the gro'wth and evolution of
organisation theory. Its contribution to the study of organisation is quite substantial.
Behavioural approach has taken the organisation study beyond the principles and structures
which are of technical nature. It provided a new angle to look at organisations and offered a
new frame of reference, viz., the decision-making. It also brought in concepts of value and
facts and rationality into administrative discussions. The principles enunciated by the
classical thinkers are presented in a new light. The lengthy discussion on tlme determinants of
organisation-both the structural and behavioural-and the modes of organisation
influences add to the rich understanding of the administration. In fact, Sirnon's subsequent
devotion to the study of economic organisation is considered as a loss to the discipline of
public administrative organisation. Critics think that had he pursued the same line of
enquiry, the study of administration would have gained enormously. Finally, behavioural
approach, widened the conceptual framework and contributed richly tb the lively debate on
I
organisation in general and organisation behaviour in particular.
12.13 KEY WORDS

Bounded rationality:' According to Siwon, human behaviour is neither totally rational nor
totally non-rational. It has its limits
Horizontal division of labour: Where there is.divisionof labour at the same level
Vertical division of labqur: When there ii hierarchical division of labour based on skill
and knowledge required at different levels
12.94 SOME USEFUL BOOKS I
Banerjee M. 1984. Organisation Behaviour., Allied Publishers (Private) ttd.: Yew Delhi.
Berelson, Barnard and Steiner, Gary A., 1964. Human Behuviour-: Brace and World; New
York.
Hicks Herbert G & Gullet C Ray, Organizations: Theory and Brhavioyr; McCjraw-I-Iill :
New York.
Prasad, Ravindra D. et. a1 (Eds.), 1989. Administrative Thinkers; Sterling Publishers: New
Delhi
Sirno11H & March James, 1957. Orpanisations; Jo11n Wiley and Sons: New York.
Simon, Herbert 1957. Admiriistrative Relzaviour; The Free Press: New York.
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12.15 ANS'676rERSTO CHECK YOUR PROGRESS
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EXERCISES ,
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Check Your Progress P

i) .See Section-12.1
ii) See Section-12.2

iii) See Section-1 2.3 Behavioural Approach-
Herbert, Simon
Check Your Progres's 2
.
i) ,See Section--12.4
iii) See Section-] 2.5
iv) See Section-12.6
V ) See Section-12.7
vi) See Section-12.7

ii) See Section-] 2.9
iv) See Section-1 2. I I

UNIT 13 SOCIAL PSYCHOLOGICAL

APPROACH-
DOUGLAS McGREGOR AND
t
ABRAHAM MASLOW
Structure
13.0 Objectives
13.1 lntroduction
13.2 Maslow's Theory of Motivation
13.3 Need Hierarchy Theory
13.4 How the Need Hierarchy Works
13.5 conditions for Need Fulfilment
13.6 Need Hie~orchy:An Evaluation
13.7 McGregor's Theory 'X' : A Traditional t i e w df
Management
13.8 Theory 'Y': A New Theory of Management
13.9 Theory 'X' and Theory 'Y' : An Evaluation
13.10 Let us sum up
13. I i Key Words
13.13 Answers to Check your Progress Exercises
this unit you should be able to :

t\fltr rJi~diildin~
Q descfibe the social psychology approach
@ explain the assumptions behind Theory 'X' and Theory 'Y'
describe the need hierarchy theory; and
critically evaluate rhe contributions of Maslow and McGregor to the social psychology
'approach.
In the previous units.you have studied the classical, human relations, systems and behavioural
dppboaches to the study of Public Administration. In this unit you would study about the
social psychological approach.
Social psychologicai approach is a tool to understand the relationships between man and the
organisation. Since long time, the most intriguing questions are: Why people work in
organisations? What are the conditions that enhance the performance of people at work in
organisations? Answers to these and several interrelated questions can be analysed from a +
social-psychological point of view. The belief is that an analysis of human beings with
reference to their psychological factors provides answers to many questions relating to their
behaviour in organisations. This is mainly because, in organisations people work
.individually as well as in groups to accomplish tasks and purposes, Basically this approach
..
places ernpha$ison the &man side'of the organisation. A belief in man and his contribution
to organisationsis central to this approach. Several thinkersand writers have~ontributedto this
approach.'hmong them the contributions of Abraham Maslow and ~ o u ~ l a s ' ~ c 0 rare e~or
phenomenal. In this unit, therefore, we would be studying their contributions. In particular
we will study McGregor's heo or^ 'X'and Theory 'Y'and Maslow's ',Hierarc@+jtbf Needs'.
Chronologically Maslow's studies come fint an$ ~ c , b r e ~ o r1ater.Masluw's
's
contributions became popular only during sixties when Herzberg, McGregor and other

~ u b l i cOrganisations: social psychologists used his analysis in their motivation studies'. We will first study,
The Paradigms
Maslow's 'Ned Hierarchy' and then McGregor's https://t.me/Upsc_Zone_Official
"Theory 'X'and Theory 'Y?"
13.2 MASLOW'S THEORY OF MOTIVATBTIBK

Maslow 'in his classic paper 'A Theory of Human Motivation' published in 1943 outlined an
overall theory of motivation. He a'nalysed the relationship between the human beings and
organisations from the stand point of 'human needs'. Human beings become members of
organisations to fulfil their needs. These needs arise in several areas. Fulfilment of these
needs motivate the human beings to a higher level of performance. Non-fulfilment of needs
will have adverse effect on the motivation of individuals to contribute t o the organisation to
realise the oiganisational objectives.
13.3 NEED HIERARCHY THEORY

Maslow arranged a person's motivational needs in a hierarchical manner. According to him
there are several needs of human beings which explain human behaviour in organisations.
These needs have a hierarchy. The needs are: physiological needs, security needs, social
needs, esteem needs and self actualisation needs. Physiological and security,needs are lower
order needs in the hierarchy. Self-actualisation need is the highest in the hierarchy. In
between comes the social and esteem needs. Maslow believed that unless the need at the
lower level is satisfied, it will not motivate a person. Let us see what is the meaning of each
of these needs. I
.PhysidogicaI needs:
Basic things necessary for human survival are hunger, thirst, shelter, etc. The human being,
has to satisfy these needs first. After they are fulfilled he no longer strives hard to obtain
them. They no longer motivate him.
Security needs:
Job security or safety in the work place gives psychological security to human beings
Maslow stresses both physical and emotional safety. Human being is a safety seeking
mechanism. Once safety and security are ensured, they no longer inotivate the human being.
I
Social needs:
This represents the relationships between and among groups of people working in the
organisation. 'This need provides emotional security to people. This gives a sense of
belongingness and association. Every human being needs friendship'with others. If these
social needs are not met,the employee decomes resistant and hostile.
Esteem needs: I
This represents higher level needs ofhuman beings. At this level human beings strive for
power, achievement and status. Esteem connotates both self esteem and esteem from others.
Self-actualisation:
This higher level rieed represents culmination of all other needs. The fulfilment c9f this need
gives a high degree of satisfaction to,the individual in work and life. 'This will further
improve a person's 'performance in an organisation. A self-actualised person has fulfilled all
his potential. This represents a person's motivation to transform perception of self into
' reality.
13.4 HOW THE NEED HIERARCHY WORKS -

The need hierarchy has five levels: (See the diagram).
Each need, according to Maslow,,is a goal to a person at a point of time. If a person's basic
requirements, viz., physiological nGeds are not fulfilled, he concentrates all his energies to
achieve satisfaction in that area. Once he gets satisfaction in that need area, he moves to the
' next oider 'need. This process continues in the daily life of all human beings. Non-:
achievement of a particular goal in a need area motivates a person to achieve it. Once it is
achieved, it no longer motivates or dnves,a person to work further in that area. This is one of
54 the main,foundati~nsof Maslow's theory of need hierarchy.

Diagram I : Showing Maslow's Need Hierarchy Framework Social Psychological
Approach -.
Douglas McGregor and
Abraham Maslow
The lowest in the hierarchy are the physiological needs like hunger, thirst, shelter etc. Such
needs call for contributions from the organisation in the form of salary and other amenities
to the members of the organisation. Once a person's needs in physiological areas are
satisfied by the contributions from the organisation. he moves up in the hierarchy and the
next higher level needs become important to him. He strives hard to satisfy himself in that
need area. Fulfilment of physiological needs drives one to pursue satisfaction of his security
needs. Security need dominates and motivates his behaviaur. Once security needs are
satisfied, social needs come to the surface. Human beings are social beings and they value
affiliation and association. Social needs include fulfilment of psychological needs like
acceptance in the organisation. Social needs drives people to improve their interpersonal
relations. Once the need to affiliate is fulfilled, human mind searches for the autonomy and
prestige in organisation and freedom to work with and through people as described under
esteem need. The fulfilment of esteem needs gives self-confidence to people and prepares
them to take up leadership positions, guiding others and appraising the performance of
people. The highest and the final level in the need hierarchy is the self actualisation need.
This is described as achieving the meaning and purpose in life through personal and
professional growtk. This is expressed by achieving higher performance in a role, be it a
worker, or a supe'rvisoror a manager in an organisation. This is the spirit of excellence
, found in all societies and organisations. We have examples of high performers in all walks
of life all over the world. Self actualised people search for meaning and purpose in all their ,
endeavours and contribute their energies for the development of the organisation. According
to Maslow, this need arises only when all the needs lower to it, viz., physiological, security,
social and esteem, are fulfilled.
113.5 CONDITIONS FOR NEED3FULFILMENT

All orgianisation's culture, history, policie8, procedures.environmentand its ability to attract,
I
develop and retain people play an important role in the need fulfilment of its members. We
come across excellent organisations which believe in people. We also witness o~ganisations
which hardly think about human factor, ink.,about its members. Qrganisations, which
belieye in people and [heir ability to perform, provide for the fulfilment of the needs of their
m-nbers. Organisationswhich are not people orikted, make it difllcult for the members to fulfil ,
their needs. Such organisations, will face negative consequences of non-fulfilment of needs
of their members. This would iitleast be the case in the long run! Conversely, people without
a work ethic, self'control' and performance orientation become negative forces in an
o~ganisation.'They cannot' fulfil their higher order needs like esteem and self-actualisation.
Nwd fulfilment in an organisation requires self control, goal orienthtion and work ethic
fro111the organisat ion an well as t'roni. its members. i

Downloaded Maslow clnrified thal the
from:- https://t.me/Pdf4Exams hierarchy is riot as rigicl as il is irnplied theoretically. His argunlent
The Paradigms is that the t~ierarciiyis a framework which helps in understanding the human motivation in
or.ganisutions. In other words the hierarchy need not necessarily operate in a fixed order and
there is scope for deviations.
113.6 NEED HIERARCHY:

-__ _ AN
-
EVALUATION
-- _I__ ~
-.
Maslow's theory, in bpite of its in~porcancein underhtandinp human behaviour, is subjected

to criticism. Several empirical studies concluded that Maslow's model is open m question ds
an overall theory of wprk motivation. These studies f ~ u n dabsence of correlation between
&i"tisfaction of needs at one level and activahon of needs at the next higher level.
Modem managemen1 theory is influenced by Maslow's writings to a great extent. Some of
the later researchers like Heriberg developed on Lhlaslow'stheory and contributed to the
enrichment of the discipline. Though there :ire several limitations in Maslow's
conceptualisation, his theory is helpful in predicting human behnviour on a low or high
probability basis if not in absolute ternls.
Check Your progress 1
Note; i ) Use the space below for your answers.
ii) Check your answers with those given at the end of the unit .
i) What is social psychological approach?
.........................._1........1......................... ...............................................................................
...........................................................................................................................................
ii) Discuss the importance of Maslow's Need Hierarchy theofy.
'
iii) Explain iny two needs of Maslow's Need Hierarchy.

Social Psychologlcel
I
iv) How does Need Hierarchy operate?
Approach -
Douglas McCregor and
Abraham Maslow
13.7 M C G R E G O ~ THEORY
~S 4X9: A TRADITIONAL
VIEW OF MANAGEMENT
~ & ~ l MEGregor
as is a behaviouralist and social psychologist of repute. He is a strong
beli'ever in the potentialities of human beings in contributing to organisational performance.
His work, "The Human Side of Enterprise" (1 960) opened new vistas in organisation and
management theory by providing answers to some of the intriguing questions. Later he
published another book "The Professional Manager" (1964). His focus is on utilising human
potential in organisations and getting the best out of people by creating a conducive and
harmonious environment. He felt that the theoretical a&umptions about controlling men
determine the character of the enterprise. Accordirlg to McGregor, the failure to bring the
best out of human beings in organisitions can be attributed to our conventional view of
organisation and man. I-Ie call. this view as 'Theory X'. According to 'Theory X' oriented
thinking, managemtnt i$ viewed'as the master of an enterprise in directing economic activity
and allocation of resources. Management, io them, is getting work done through other
people and hence a manager needs to control the behaviour of other people in the
organisation. They feel that the organisation can suitably intervene in the process of
direction. controlling and motivating people to accomplish the purpose of the organisation.
Behind these views there are a few assumptions about human nature.and human behaviour.
These assumptions are so pervasive that one can see them in most of the literature on
organisation and rnafigedent. The assumptions are :
1 ) "The average human being has an inherent dislike of work and will avoid it if he can";
2) "Because of this human characteristic of dislike of wbrk, most people must be coerced,
controlled, directqd, threatened with punishment to get them put forth adequate effort
towards the achievement of organisational objectives", and
3) ."The average human being prefers to he directed, wishes avoid responsibility, has
relatively little ambition and wants security aboveall." !
'Theory X' assumes human beings as lazy, lacking in ambition, resisting change, non-
creative, capable of being deceived easily, etc. In such a case rlianagement has two strategies
to adopt, viz., hard and soft. Hard strategy implies the use of techniques like close
supervision, tight control, coercion and threat. Soft strategy, on the other hand, is more
permissive, meets the dkmands and attempts to harmonise the demands f~r~organisadon and
that of employees. But both these strategies have problems. For example, if the management
is hard, it may lead to militant unionism, sabotage, and antagonism. On the other hand soft
management in its anxiety to purchase harmony may abdicate itself. McGregor notes that
this conventional management approach is inadequate as it creates more problems than it
solves. He emphasised the need to study the motivational factors to understand the
organisational behaviour. For, he believes, deprivation of needs has behavioural
consequences at all levels. Hostility and passivity among employees are not inherent in
human nature. They are only symptoms of deprivation of human needs. 'Theory X' explains
the consequences of management strategy and it does not explain human nature. The
assumptions on human nature under 'theory X' are unnecessarily limiting. Such assumptions
prevent the management from seeing possibilities in.other strategies. Even when we use
techniques like decentra1,isation and cnnsultative supervision, their implementation would be
based on inadequate assumptions of human nature. Finally McCregor emphasises that the
assumptions of 'Theory X' would not discover human potentialities in their entirity.
I
'Theory X' which represents classifical admi~iistrativetheory, as you know, lays stress on
1

Public Organisations: efficiency and economy. As the human being tries to avoid work, this inherent human
The Paradigms tendency should be counteracted by the management. Therefore, 'Theory X' emphz-ises on
directionandcontrol. .
'Theory X' only explains the management strategy. It does not explain as to which factors
motivate the employee. This also lays emphasis on manager and makes his job more .
difficult and complex. He cannot expect cooperation from his employees if he continually
distrusts them. Manager also has to spend a great part of his time on direction and control.
This leaves very little time for policy making and planning. McGregor felt that this
traditional view is helpful neither to achieve the goals nor to motivate the employees to
accomplish the goals.
You have studied in unit-10 how Elton Mayo has showrthat analysis of human factor and
infonnal organisation are important to fully undersland the organisations. In unit-12 you
have studied that according to Simon values of individuals influence the decision-making
process in administration. But unfortunately 'Theory X' assumptions do not explain human
behaviour in its totality. McGregor, therefore, proposed an alternative theory called
'Theory Y'
13.$ 'THEORY Yy:A NEW THEORY OF MANAGEMENT

-.
McGregor holds the opinion that 'Theory X' assumptions about organisation, management
and man are obstacles to performance,and productivity. They are inadequate to realise all
the human potentialities. Therefore, in place of 'Theory X' McGregor proposed a new
theory broadly known as 'Theory Y'. This new theory gives a new look to the relationships
between human being and management. According to this theory the management is
responsible for coordinating the activities in an organisation and for accomplishing its
purposes.
i
In &is new theory McGregor replaces direction and control by integration. The assumptions
about: human nature under 'Theory Y7are :
1) The expenditure of physical and mental effort in work is as natural as play or rest. The
average human being does not inherently dislike work. Depending upon controllable
conditions, work may be a source of satisfaction (and will be voluntarily performed) or
a source of punishment (and will be avoided if possible).
2) External control and the threat of punishment are not the only means for bringing about
effort towards organisational objectivts. Man will exercise self-direction and self-
control in the service of objectives to which he is committed.
3) Commitment to objectives is a function of the rewards associated with their
achievement. The most significant of such rewards, e.g., thp; satisfaction of ego and
- self-actualisation needs, can be direct products of efforts directed towards
organisational objectives.
4) The average human being learns, under proper conditions, not only to accept but to
. seek nsponsibility. Avoidance of responsibility, lack of ambition, and emphasis on
security a n generally consequences of experience, not inherent human characteristics.
5.) The capacity to kxercise a relatively high. degree of imagination, ingenuity, and
creativity in the solutioniof organisational problems is widely, not narrowly, distributed
in the bopulation.
6) Under the conditions of modern industrial life, the intellectual potentialities of the
average human being are only partially utiliskd.
McGregor suggests that there is a need for a new management strategy which is more
dynamic than static. This strategy should provide for human growth and development. It
should discover the human resources who have substantial potentialities to contribute to the
organisations. 'Theory Y' underlines the importance of maintaining an organisation where
people feel confident and motivated. It ~emphasisesdeveloping and improving performance
orientation of the people working in the organisations. It involves lot of leadership skills on
the part of the managers to achieve these objectives. The cornerstone of McGregor7s
framework is self-restraint, self-direction, goal orientation and human v ~ l u e in
s the
organisajion.
.
McGregor says that 'Theory Y7is an invitation to innovation.'~heinnovative ideas

consistent with 'Theory Y' assurnptions me delegation and decentralisaticpn of authority and Swlal Psychological
responsibility; making jobs more and mare appealing by job redesign; participative system
Approach -
Douglas McGregor and
of involving more and more people in decision-milking process; and developing appropriate Abraham Maslow
performance appraisal systems.
McGregor's 'Thecry Y'eri~phasisesintegration. % him integration means, "creation of
.conditions such that, rlle mernbcr,~of orgmisation can achieve their own goals best by
iirecting their efforts towzrds the success of the enterprisei'. In this, both organisational
needs and individual needs are identified and integrated. It implies both management and
employees working together. This approach is also known as management by integration
and self control. The major steps involved in this process are :
Determining job requirements
The manager has to understand the purpose and productivity indicators of his job, so that he
can guide his associates towards the achievement of key resiilc areas.
Goal setting '
Once the manager knows the purpose of his job, he has to formulate goals with reference to
quantity, quality, and time. This is normally done in consultation with one's associates and
supervisors. Once there is an agreement on desi'red and committed goals, it will be easier tb
evaluate objectively at any point of time in the future. .
In between.period
In between the period of goal setting and its final evaluation in performance appraisal, a
manager has to use his self-control and direction to develop his associates. ?'his requires
leadership skills on the part of managers.
Self appraisal
A manager ha's to evaluate his own performance against the goals set and agreed. While
doing this analysis he has to measure each of the performance indicators as against the
agreed targets. This gives an objective picture of targets and achievements of the manager
with reference to quality, quantity and time. It also provides an opportuniiy to analyse the
set-backs and short-comings and helps in goal setting in the future. The importance of this
step is that it enhances the understanding between the organisation and the individual.
13.9 'THEORY X" AND 'THEORY Y' : AN EVALUATION

McGregorls 'X and 'Y'theories are based on diametrically opposed assumptions of human
i
nature. The latter theory holds that man is positive with potentiality to development. This has, , ,
implications for management. McGregor observes that if eniployees are lazy, indifferent,
unwilling to take responsibility,stubborn, noncreative and noncooperative, the cause lies with
management's methods of control. Theories 'X'iind 'Y' should not be takeh as neat
categories of human relationships. They are only analytical tools through which behaviour
can be analysed, predicted and corrected. After McGregor, marly scholars have gone beyond
'Theory Y' in analysing the hurhan nature and its implications to ~rganisation.This, a
however does not reduce the importance of ~ c ~ r e ~ ocontributions.

r's

~ o t c : i) Use the space below for your answers.
'
ii) Check your answers with those given at the end of the unit.,
i) What is theory 'X"?
, .
i i ) What are the assurnptions of human iature under'.'Theory Y'?
,
.
............................................................. ...................................................................................
'

Public Organisatiuns:
The Paradigms
-- - ----- --- .
13J0 LET US SUM UP

- -
- -
-a
-
To sum up Maslow and McGregor are believers in the human side of organisation.
Maslow's theory of need hierarchy has the distinction of demarcating between rhe self-
internalisation need and all other needs which satisfy sorne deficiency. McGregor's views
and the framework he propounded opened new vistas in management thought. The social-
psycholcgical theorists provided a new technology to understand the age old question of,
understanding human beings in organisations.
13.16 KEY WORDS

Decentralisation: Dispersal or distribution of authority throughout all levels cjf
management
Esteem : Think highly of
Hierarchy: Presence of number of tiers or levels, one above the other in the organisation
with authority flowing from higher to lower levels.
1
Motivate: Stimulate interest
Need: Want, requirement
Performance Appraisal: Assessment of how an employee is doing hislher job
Supervision: Act of overseeing or guiding the activities of subordinates by superiors
Strategy: Plan of action
--
13.12 SOME USEFUL BOOKS --.-- -
Chandan J.S., 1987. Management Theory & ~ r a c t i c eVikas
; Publishing House Pvt. Ltd. :
Nt.w Delhi.
Dwivedi R.S., 1979. Human Relations and Organisational Behaviaur; Oxford & IBH
Publishing Co. : New Delhi.
Hersey Paul and Blanchard Kenneth, 1980. Management of Organisational Behu~iour:
Uiilising Nrrman Resources; Prentice Hall of India: New Delhi.
Luthans Fred, 1977. O~~ga~isationalBehaviour; McGraw Hill Book Co.: New York.
Mathur B.S., 1977. Principles oj Management; National Publishing House: New Delhi.
McGregoiDo~glas,1971. The Human Side of Enterprises; Tata McGraw Hill: New Delhi.
Prasad Ravindra D,et. al., (Eds), 1989. Administrative Tl~inkers;Sterling Publishers: New
Delhi.
Vroom Victor H., 1980. Work and dfotivation; Wiley Eastern: New Delhi,

EXERCISES -- --
i) See Section 13.1
, ii) See ~ e c t i b n13.2
iii) See Section 13.3
iv) See Section 13.4

i) See Section 13.7
ii) See Section 13.8 .-.-
1 UNIT 14 ECOLOGICAL APPROACH-

FRED W. RIGGS
Structure
14.0 Objectives
14.1 Introduction ,
14.2 Meaning of Ecological Approach
14.3 Fred W. Riggs' Views
14.4 Ideal Models
13.4.1 Fused Model
14.4.2 Diffracted Model
14.4:3 Prisniatic Modcl
14.5 Prismatic Society :characteristics .
14.5.1 Hetcrugcneity
13.5.2 Formalism
14.5.3 Ovcrl:~pping
14.6 Sala Model
14.7 ~aznar-CanteenModel '
'
14.8 Theory of Prismatic Society: Reformulated
1.4.9 Criticism
14.10Letussurnup .
1.4.1 l Key Words ,
14.13 Answers to Check Your Progress Exercises .
In thts unit, we shall discuss the meaning ;md importalice of'ecological np'proiicli and the
views of Fred W. Riggs on tlie influence of cnvironmenial t'iictors o n r~cimiiiistrativesystem
with particular reference to transitioni~lor developing societies.
After going through this unit, you wo,uld be able to:
describe tlie me:lning and importance of ecologici~lnpprouch lo [lie ~lndersti~tidinp 01'
, administrative syste~rl. '
* explain tlic enviranmental influences-sociiil. economic and poli[icalim the ,
ndministrotive system wjth.pilrticulilr reference lo tl.i~nsitionnlsocieties', 'and
explain the views of Riggs on iidnii11istra[ivcsys~ctnoftr;cnsitional socie~icslikc It't~li;~.
14.1 INTRODUCTION
--- -- -
In recent years modern Governments hiivc experienced a great chungc in rbcir funcrions und
rcsponsihi lilies. In the cl1;11ipc.dcoritext. tlie role ofQPublicAdrninistrationl~nshecome ill1 the
more crucial in fulfilling the goals of the government. Consequently, administrative
tllcories :\lid morlels liuve become all [lie 111orci~llp(~rti~llt
10 tlle ~~t~derst:~tldi~fg
01' it. The )
ccologicnl.approach tc;'the stildy of adininistratioti has been suggested when Western

. orgtinisation theories hitve been found inadequate for the study of the problems of
administration in the Third World Countries,
I
Al'icr the 'Second Wodd W L ~m:rny S co~~ntriesin Asia, Africa and Latin Arnerjc.:~were
liberated from colonial rule. Thcy were filced with thd t ~ ~ of s knation-building and socio-
ccc)noniic transfor~iptiovto fitll'il their people's aspirations. The Wcs?ern scholars. who
acted as consulttiri~a1 0 niitny of these countries found thi~twestern orgiil~i~:~tin~~itl
morlcls
fai.led to explain tlle reulity'i~lThird World Societies. This realisation resulted in the .
develbpment of new concepts 2nd approilches inclbdinp the ccologiciil the. In this itnil we
a shan discuss the views of Fred W. Riggs on ecological approach to the study of Public
Administration. It would beAiielpfulto you if you readagain unit 5 on C6inparative Public
Administration before ieading this unit. In Unit 5 we have mamined biiefly the ecological
approach.
I
_~ ....... . --
.
Public Organisntiuns:
The Paradigms 14.2 MEANING_ ECOLOGICAL APPROACH
- ..
.
'Administration does not fun&on in isolation from its environment. It influences it nnd is
influenced by it. The understanding of the dynamics.of this process of interaction between
the two is necessary for. the l~nderstandingof the adniinistrntion. The approach adopted is
known as the ecological approach. Ecology is a term borrowed from Biology. It is
concerned with the science dealing with the inter-relationship of organisms and their
enviionment. It is a study of the interplay of living organisms and their physical ant1 sdcial
environment. It is concerned with the question of how a balance involving organisnls and
environrnent is rtchieved for survival. In Biology, it is established that ;I particular plant
requires fir its growth a particular climate. soil, humidity, temperature, etc. A plant that can
grow well in a particular ciimate cannot do so under a different climate. Likewise the growth
o r develo p ment bf each society is conditioned by its own history, economic structure,,
values, political system, etc. The characteristics of its social systetn and its physical ,
environment shape the ideas and ins~itut,iosis.Just as a plant canraot grow in a different
environment; so also all institution cannot thrive in a dirferent social setting. Thus to
ullderstiind the ecology of PublicAdministratior~.i.e. the inaeractibn of administration and its
environnient,it is necessary to have an ilnderstanding of the society and the various* fi~ctors
affecting its functioning.
Check Yuur Progress 1

Note: i) Use the space below for your answer.
ii) Check your answer with those givep at the end of the unit.
i), What do you understand by Ecological Approach?
.......................................................................................... .....
---
. .- - .-- . --- -- .
14.3 FRED W. RIGGS'
-- -
VIEWS
- -- ---. -- - -.- - --- - - - --. - ---
The ecological approach to the study ~FBublicAdministrationwas initiated by J.M. Caus,
Robert A. Dahl arid Robert A. Merton long before Fred W. Riggs. But it was Riggs who
made a significant contribution to this approach: Fred W. Riggs, a distinguished American
scholar and consultant to many developing countries, developed the ecolopical concept
based on his studies in Thailand, Philipprnes and India. In his study of the administrative
systems of developing societies Riggs nnalysed the relittionship between the administration
and the economic, social. technological, political and comrnunicntion factors from a wide
perspective. He has explained with il1ustratio:is how environmentnl tonditiotis influent:
administrative systems on the basis of his 5tudies in Thailand and Philippines.
Riggs raised the basic quesrions about the relevarice of Western organisation theories to the ,
developing countries. He pointed out that each~societyhas certain unique characteristics
which influence .the working OF its sub-systems. He found that most of the Webtern theories
look "inside" rhe system. The "outside" refers to the general socio-economic environment.
As you are aware the socio-economic environment in Western developed countries 1s not the
same as that in the Third World Countries. That is why, as observed by Riggs, the theories
o r models developed for the former seem inapplicable to the latter. The findings of Riggs,
therefore. are considered a significant contributiori to the understanding of administrative
systemsalnthe Third World Countria, Sdsed on them he has broadened the analytical
frame for the examination of the administrative systems in Third World Countries.
- ---- -_ -- --- ---- - -- -v-
---- FDEAL MODELS

14.4 ---A- - - - -- - -
The concept of ecological approach adopts a systen~sapproach to the understanding of the

phenomena. The systems app~~oach refer< to the method of treating the phenomena as an
Downloaded
integrated wholefrom:- https://t.me/Pdf4Exams
consisting of interdependent parts. In spite of Ecological Approach: -.
concentrating.on https://t.me/Upsc_Zone_Official
one aspect
Fred W. Riggs
of the society, the ecological approach takes the wholistic view of the organisation. This is
fhe reason why Riggs has categorised the broad systems at the macro level and attempted to
apply those categories to the m~cro-sub-systemssuch as administration. He took the global
systems as a frame of reference for his catcgorisation and develop~dthree ideal models viz.,
Fused, Prismatic and Diffracted to explain the change in the transitional societies. The
ideal models of Riggs are hypothetical assumptions aimed at analysing pre-historic,
developing and developed societies.
The process of trimsition of a ray through a prism is taken symbolically to explain the
process of transformat~onof a society. The starting point of the ray is taken as fused, the
process of vibration of the ray within the prism is called prismatic and finally the process
where by the ray coriles out ot'tlle prism to project a rainbow is called diffraction. Likewise,
'
various social systems in the early stages of the process of development would be fused;
prisrni~ticin the tri~nsitionulstnge :tnd finitlly diffracted'at the end, as explained by Riggs.
Riggs created titodels 1111 [lie basis of structural und functional :ipproaches. Accordingly, in a
,
f ~ ~ s socie~y
cd d single structure ci~r.:;:!sout various functions. In contrast, in a diffracted
society separate structures are c ~ ~ ; L ItoLcilrry
" ~ out specific functions. But between these two
there exist u number of societies in which the characteristics of both fused and diffracted
societies are found side by side. Such societies are called prismatic societies. However,
Riggs aiipl~;tsisesthat no society can be exclusively called either fused.or diffracted, all
societies arc generally prismatic in nature. The clinracter of a society be it fused or diffracted
depends on the n:lture of its various structures and the functions carried out by them.
14.4.1 Fused Model

Riggs selected Imperiol China i ~ n dthe pre-r.evolutior-rarySiamese Thailand as examples of
his concept of fused sociery. These societies had no classification of functions and a single
structure carried out ;I number of I'unctir~ns.These societies heavily depended upon
agriculture. knowing no ~ndustrialisittionor modernisarion. Their economic system was
based on the law of exchange an8 barter system which was called a 'redisttibutive model' by Rig@.
The Roy;~lf:lmily played ;I very in-rparti~ntrole in the administration of the country. The
King ancl the officials nominated by him carried out all administrative; economic and other
activities by the~nselves.No sepnrilte structures existed to manage the economic and
;tdministriitive affairs. The relation between the government and the people were generally at
low ebb. People showed respect to the King by offering their services and presenting
material goods to him without expecting anything in return. The government was n i t
responsible and accountable to the people though the public had an obligation to obey the
dictates of the government.
The family played a prominent role in the Siamese Kingdom. It used to carry out a variety
of economic, political and social functions. Apart from providing the base to the social
structure, it stood at the apex of the administration. As a resu!t, the administration in these
societies strove to protect the special interests of the family and certain sects rather than aim
at universal happiness and development. Indeed, the administrative system was based on the '
structure of the family and special sects and helped to preserve the system, Generally, these
societies tended to be static'with no developed communication systems. People would have
no demands and never raised any issue with the government. The King and his nominees
enjoyed absolute power which they generally used to protect their own personal interests.
These societies did not differentiate between formal and informal set-ups, governmental and
non2governmental activities.
Ascriptive values played a predominant role in the society, and the behaviour of the people
was highly traditional. Age-old customs, beliefs, faith and traditional ways of living enabled
the people to live together and control their behaviour.
14.4.2 Diffracted Model

These societies are based on universalistic principlesqdth no differentiation in treatment.
There 1s a high degree of specralisatlon and each structure carries out a spcicialised function.
Ascriptive,values cease ro exist, giving way to the attainment values in the society. The
society would be highly dynamic and diffracted, There exists in these societies open class
structures represented by various associations which play a prominent role ir( achieving
rational results in the society. All organisations and structures in the society are created and
based on scientific rationale,
*

The econorni,. :;ystem is based https://t.me/Upsc_Zone_Official
on market rnech;mism. 7‘hc inl'lucncc ol'nli~rkcthas hoth
'L'he Paradigms direct and illdirect effects on the other Facets of the society. Riggs called it 'mnrketise~l.
society'. Various associations discharge various functions. Communications and t e c h ~ ~ o l o
are high[:, ycloped and governments give top priority to the innintcnanceof cordial puhlic
s:t
relauon:,. C:...;rnments would be responsive to the needk of the people and protect human
rights. People would bring pressure on the governmenr to get thtir things donc nnd control
its behaviour to a great extent. Government officers have no cocrcivc.and absolute powc1:s.
The public pays attention and gives respect to the laws of the nation o n their own. Thisi
facilitates the implementation of the laws and the discharge of its responsibilities by the .
government without any difficulty. There would be a general consensus arnong thc'peoplc
on all basic ispe'cts of social life.
14.4.3 Prismatic Model

Riggs focused on the prismatic model-the focal point of his models. According to Riggs.
the prismatid society is one which has achieved a certain level of differentiation; the
specialisation of roles necessary for dealing with modem technology, but has failed to
integrate these roles. The prismatic society shares the value-patterns of both fused and
' *fracted societies.
Check Your Progress L

Note: i) Use the space below for your answers. - "
ii) Check )/our answers with thpse given at the end of ihe unit.
i) How did Riggs develop his ideal modeis? , ::I
............................................... ........................................................................................
..........................................................................................................................................
I
i i
.- ii) Describe the features of a 'Fused ~odel'?;
...................................................................................................
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. . . ,
-' iii) How doesthe diffracted model differ from the fused model? .
................................................................................................................................
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i
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14.5
-
PRISMATIC SOCIETY ;CHARACTERISTICS -
% ? > i
.The intermediate society between two extremes, i.e., fused and diffracted, is called prismatic
society. In his analysis Riggs used fused and diff~actedmodels as tools to explain the
,'prismatic phenomena of developing countries, According to ~ i g g sthe , prismatic society h a '
three important characteristic features, viz., a) heterogeneity, b) formalism, and c)
I
;overlapping. . -\
\

14.5.1 Heterogeneity
The existence of a high degree of heterogeneity is the main characteristic feature of a
~rismaticsociety. Heterogeneity refers to 'the simultaneous presence, side by side, of quite
different kinds of systems, practices and view-points'. Owing to the parallel co-existence of
diametrically opposite view-points and practices, the social change in a prismatic society
would be inconsistent, incomplete and unresponsive. The heterogeneity also influences the
There are in a prismatic society urban Teas with a 'sophisticated', ~ntellectualclass, western
style offices and modem gadgets of administration. There also exist a well developed
communications system, sky-scrapers, airconditioners, the existence of specialised agencies
to discharge various social, political, economic and technical services. On the other hand, in
the rural areas, people lead a highly traditional life with no facilities for modem living like
telephones, refrigerators, etc. The village 'elders' combine various political, administrative,
social, economic and religious roles. Heterogeniety exists in a prismatic society in all wales
of life presenting a paradoxical picture, In the field of education, society pays a great
emphasis on the western type of education while upholding traditional G u N ~ u ~Hospitals
~s.
with all modem facilities giving allopathic treatment co-exist with Ayurvedic, Unani,
Homeopathic and Naturopathic centres. Such a co-existence of contrasting systems pulling
the society in different directions makes it difficult to make generalisations.
In the prismatic societies political and administrative offices enjoy enormous influence,
poker and prestige and help in making money. Although equal opportunities exist for all,
only some people are privileged enough and hope to get the jobs in higher echelons. Those
who fail to get jobs would waste no time in forming 'pressure groups' against the
government and start agitations on some pretext or other. Though elected through
democratic processes, the government would not be in a position to control the people. The
; people in power tend to make all efforts to protect their interests and stick to power. Thus,
there cquld always be 'misunderstanding and misrepresentation of facts giving rise to

lensions and instability in the society.
The problem becomes much complicated in a poly-communal society where different
communiti .i try to pull the society in different directions in furtherance of their own
sectional icterests. This is evident in almost all the developing countries of Asia, Africa and
Latin America. Lack of integration thus forms the basic feature of a prisrnatiq society.
' All these disparities. differentiations in almost all aspects of life not only influence the
working of the administrative system and condition its behiviour but also create a number of
problems for the administration. The ruling class would normally try to protect the interests
of 'haves' and ignore the interests of 'have nots', which, accarding to Riggs, would create
\
conditions conducive to the outbreak of a revolution in society.
14.5.2 Formalism
~ormalisrnrefers to 'the extent to which a discrepancy exists between the prescriptive and
the descriptive, between formal and-effective power, between t j e impression given by the
Constitution, laws and rygulatjbns, organisation charts and stat~sticsand the actual practices
and facts of government and society'. In.other'words, it means the degree of difference
between the formally prescribed and effectively practised norms and realities and the
existence of gap between the 'stated objectives' and 'real performance'. The greater the.
difference between the formal and the actual, the more will the formalism be in a system.
. The fused and diffracted societies have relatively a high degree of realism in comparison
with a prismatic society where there is a high degree of formalism.
Though the liwi, rules and regulitions prescribe the style of functioning for the government ,
officials, there are wide deviations in their actual behaviour. The officers sometimes stick to
the rules and sorrietirnes overlook and even yiolate them.'~hisformalistic behaviour is
., caused .by the lack of pressure on the government towards the,proatamrne objectives, the ,
, weakness:bf the social power to influence'the bureaucratic performance and a great degree
; of permissiveness for arbitrary administration. Thus,;the behavioyr of the government

.: officials and bureaucrats would be highly.unpredictable, inconsistent and depends on the
1 situational variables, The reason for such a type of behaviour may be ascribed either to the
,
'I
. natural inclination of the employees towards collecting easy nioney.or t'o the existence of 1
'
ances for maladministration. Thus, generally formalisp in administratiop paves the,way

.
..
,
r corruption in'.society. . '

Public Orpnisations: Formalism exists in all aspects of social life. Generally, the laws relating to social and
. The Paradigms cultilral aspects of fife are not respected and adhered to. They exist only in the record rooms
of the government, and the government also is not serious about their implementation. To
quote a few instances in India, prohibition laws are respected more in breach than in .
observance thereof. The town planning regulations are more violated than observed. Such
hypocrisy in social life is, generally, found to be the rule rather than an exception in almost
all the developing countries.
While explaining the dimensions of formaliqm Kiggs also considered Constitutional
formalism. Constitutional formalism refers to the gap between the Constitutional provisions
and their actual implementation. This can be found in India. For instance, according to the
Constitutional practice, the Chief Ministers are to be eleccted bv the members of the majority
party in the State Assembly. The Council of Ministers are to be chosen by the Chief
Minister. But in practice, in most cases the central party leadership plays a decisive role in
their selection. The Constitution legally vests the governance in the hands of the elected
represenratives of the people but in practice the real governmental power and influence may
be wielded by some individuals or groups of people outside the Parliament.
The Constitution entrusts law making responsibility to legislators but in reality they spend
only a little time on law making. They may be engaged more in power politics than in the
discharging of their legislative responsibility. This helps the bureaucracy, in the prismatic
societies, to play a major role in law-making. The bureaucrats may even form groups or
align themselves with various politicql leaders owing to the presence of factions within the
ruling party or the Councii of Ministers. Thus formalism exists in all aspects of social life in
a prismatic society.
14.5.3 Overlapping
'Overlappipg' refers to 'the extent to which formally differentiated structures of a diffracted
society co-exist with undifferentiated structures of a fused type'. In administrative systems
administrative behaviour tends to be influenced by non-administrative criteria, i.e., by
political, social, religious or other considerations. In a fused society, traditional structures
perform almost all kinds of functions and the problem of overlapping does not arise, because
in such a society whatever is formal is also effective. However, in a prismztic society,
although 'new or modem' social structures are created, in essence the old or undifferentiated
structures continue to dominate the social system. Though formal recognition is given to
new nonns and values which are generally associated with a diffracted structure, in reality
they are paid only lip-sympathy and are overlooked widely in favour of traditional values
associated with undiffrac'ted societies. Thus, in a prismatic society, the Parliament, the!
Government offices, market, schools, etc., perform various administrative, political, and
economic functions. In reality, their behaviour is influenced by certain traditional
organisations like fam'ily, religion, caste, etc.
Check bur itogress 3

Note: i) Use the space below for your answer.
ii) Check your answer with tho~egiven at the endof the unit.
i) Does the Indian social reality represent the characteristics of prismatic society?
Explain with illustrations.

Ecological Approach: -c
I 14.6 SALA MODEL Fred W. Riggs
Prismatic society is characterised by various economic, social, political and administrative

sub-systems. Riggs called the administrative sub-svstem 'Sala Model'.
In a diffracted society its counterpart is called 'Bureau' or 'Office' and in a fused society
'Chamber'. Each of them has distinctive features of its own.
The Spanish word, 'Sala', has a variety of meanings like a government office, religious
conference, a room, a pavilion, etc. The word, 'Sala', is also g~nerallyused in East Asian
countries more or less with the same meaning. Sala has certain features of both the
diffracted 'bureau' and the fused 'chamber'. However, the 'bureau' features of Sala do not
well represent its basic character. The heterogeneous value system and the traditional and
modem methods of the prismatic society are reflected in its administrative rationality and
efficiency found in the Bureau is absent in Sala.
In a prismatic society, family welfare, nepotism and favouritism play a significant role in the
making of appointments to various adrnir~istratitepositions and in the performing of certain
administrative functions. In a diffriicted society, the considerations of kinship are kept out of
~ n administrative
e behaviour and the exercise of,governmental power. In a fused society the
politico-administrative system has a patrimonial character, and therefore, attaches
importance to kinship or family. In a prismatic society, on the other hand, apart from the
super-imposition of new formal structures on family and kinship, it disregards the
universalisation of laws. Though patrimonialism is officially prescribed, in reality it is
widely practised and it is retlected in all administrative practices. The 'Sala' officer gives
priority to personal increase in power and wealth rather than social welfare. His behaviour
and performance are influenced by parochialism, and as a result, the rules and regulations
are not made uiliversally applicable. A few people get more benefits from the governmental
programmes than the others, resulting in the ignoring of the interests of a large number of
people.
Further, the poly-communalism also creates certain administrative problems. Theoretically
speaking, the government officers have to implement the laws impartially. But a government
official may be found to be more loyal to the members of his own community than to the
government. As a result, a dominant minority community may gain a high proportion of
representation in the matter of recruitment etc., thereby creating dissatisfaction among the
[urger numbers of peopre. To present such a situation asld to protect the interests of other
rinorities, the 'quota' or 'reservation' system may be adopted to provide some sort of
p qmrtional representation to all communities in the administration. However, such an
arrangement might lead to compartmentalisation and mutual hostility among various
communities, which might further aggravate the tensions prevailing among the different
communities working in various governmental agencies. This situation, howeer, is not
peculiar to developing countries alone. The 'Whiteman-Negro' relations in Southern
America, for instance, illustrates it.
Thougti family, community and caste play decisive roles in a prismatic society, there is a
simultaneous growth of new groups in the society. Riggs called them 'clects'. A 'Clect' is a
typical prismatic group, 'which makes use of modem, associational methods or organisation,
but retains diffuse and particularistic goals of a transitional type'. Thus the clect combines
the features of 'sect' of the fused society and 'club' of the diffracted society. 'Clects'
represent exclusively the people of a particular community or group, and government
officials belonging to that category serve only the members of their respective 'clects'
effectively by ignoring others. Sometimes the sala-orone of its agencies develop close
rcllations with particular clects or starts functioning like a clect.
As a result, the clect maintqins close links with a particular group and functions primarily in
interest, and pays lip-service to achievement and universalistic norms.
In a pnsrnatic society the traditional behaviour pattern coexists with 'new' sets of norms. As
a result of overlapping of the 'formal' and the 'effective' standard of conduct, the prismatic
society's social interactions are characterised by a lack of consensus on the norms of.
behaviour.
Sala officials may enter service by virtue of higher educational qualifications or through
success in competitive examinations but in respect of their promotion and career
Public Organisations: development, they depend largely on ascriptive ties, and also on the basis of seniorily or on
The Paradigms the influence of senior officers. These officers may claim to be guided by modern n o ~ m sin
their behaviour, while actually being indifferent or rejecting all inconvenrent norms in their
? day-to-day functioning. The public also follows the example of Sala officials in respect of
observance of rules and regulations. But when their personal issues are involved they would
either try t o b r e ~ kthe rules or plead for exemption rn the~rfavour.
While referring to overlapping In the powcr structure of a prisrnatic society. Riggs observes
that it consists of a 'highly centralwed and concentrated author~tystructure overlapping
control system that is highly localised and dispersed. There exists a separation of 'authority'.
(officially sanctioned or legitimate power) from 'control' (real, but unofficially permitted or
illegitimate power). In practice, the de jure 'authorrty' succumbs to the de facto 'controls'.
The authority of the Sala overlaps the society's control structures which are based on poly-
communalism, clects and poly-nornativism. A number,of structures at times behave in a
peculiaifashion and many a time even act against the very purpose for which they have
been created. Sometimes, structures lacking primary orientation towards administration
carry out administrative functions along with other concrete structures responsible for it.
Such overlapping influences the relationship between politicians and administration.
Riggs has termed the prismatic society an 'unbalanced polity' in which bureaucrats
dominate the politico-administrative system, despite the political leaders' Constitutional
powers. As a result, the Saia officials play a more dominant role in decision-making
processes in a prismatic society than the officials in a diffracted society. Owing to such a
concentration of powers in the hands of bureaucrats, there would be lack of response to the
people's needs and wishes: In such a situation the strengthening of the EublicAdministration
in developing societies is likely to impede political development. He has further pointed our
that such a weak political system marked by leadership failure to control the bureaucracy
would lead the rendering of the legislature, political parties, voluntary associations and
public opinion ineffective.
The strength and weakness of any political leader in power varies with his ability to reward
and punish the administrators. A weak political leader may fail to recognise the services of
an efficient official and reward him suitably for achieving the organisational goals, and at '
the same time an inefficient qfficial may escape punishment for his failures. As a result, a
talented Sala official tends to spend most of his time for increasing his power and for the
promotion of personal interests and in the process inefficient officials may go scot free.
. since the perforrriance of the government depends on the level of output of the Sala official,
'
Riggs says,.there is a close link between bureaucratic behaviour: and .administrative output;
the more powerful a bureaucrat is the less effective he is as an administrator. As a resuit, the
Sala is characterised by nepotism in recruitment; institutionalised corruption and
ineffi~ien~y'in the administration of l&s on account of its being governed by the motives of
gahing-power for protecting its own interest.
cheek ~ { u r~rogr$s4
fiote: . j) ' Use.the space below for your answer. ?
,
ii) Check your answer with those given at the end of Be unit. '
" '- ' *
- '. ' " b " ;
ij Summarise the features of sala model of administrar~on:

Ecological Approach:
14.7 THE BAZAAR CANTEEN MODEL .. Fred W.Riggs
Riggs called the economic hub-system of prismatic cconomy-'Bazaar Canteen Model'. In a

difl'racted society. the economic systcm operates depending on market factors of supply and
tlemand and economic considerations alone govern the market. In a fused society, religious,
social or familiar factors guide the economy, a kind of barter exchange system exists in such
uconomies ilnd question of price very rarely arises The prismatic society has the
characteristics of both market economy and traditional economy. Under such circumstances,
it is not possible to determine cornmon price for a commodity or service.
In the bazaar canteen model. .a small section of people enjoy all benefits with control over
economic institutions and exploit a large number of people. Bargaining, rebates and bribes
~ t are
c common features of this model. There is discrimination and favouritism at all levels,
price of the services is determined by the reliltionship between public official and people,
price varies from place to place, time to timc and person to person. The price of any
commodity or service depends on family contacts, kinship, individual relationship,
bargaining power and politics. Such a state of afFairs encourages b'lack marketing, hoarding,
. adulteratiort, inflation etc. 'Market factors' in prismatic society are developed without ,
proportionate increase in the capital, the busirtessmcn try td extend their influence to
political and administrative spheres to achieve their personill ends. Exploitation, poverty and
social injustice, therefore, become the major features of the bazaar canteen model.
14.8 THEORY OF PRISMATIC SOCIETY:

REFORMULATED
Riggs, realising the limitations :jf 'one dimensional qpproach' of his models reformulated' I
them in his later work 'Prismatic Society Revisited( 1975). As mentioned'earlier, his models
of fused. prismatic and diffracted were built on the variations in the levels of differentiation.
'In his new formulations, Riggs h'as introduced the second dimension of levels of integhtion
among the societies that are characterised as differentiated and prismittic.
Riggs by introducing two dimensional approach of riifferentii~tionand integration arranged

the societies on the scale of integralion and mill-integration. The diffracted and prismatic
tnodels are further subdivided on the basis of degrees of integration. Accordingly,
diffracted societies are rcconceptualised as eo..diffracted, artho-diffracted and neo-diffracted.
Prismatic societies also are, reconceptualised as co-prismatic, artho-prismatic and neo- .
prismiitic. .
The new formulation of two dimensional appro:tch means that a diffracted model refers to a.
society that is differentiated and intcgratcd and prismatic model refers to a society that is
. . models suggest different
differentiated but mal-integrated. The prefixes attached to both . <
relationships between differentiation and integration.
--
Riggs used the refbrmulated tnodcls to explait1 ~ h social
e tensions in developed societies like
America. In his opinion thc social tensions in developed nations like urban crisis, racid
violence, student uprising are a result of mahdjustments in the differentiation and
integration. More stable and peaceful conditions in underdeveloped countries may be an
indication of less gap in thc differentiation and integration in prismatic societies. These
reformulations of Riggs are more uscful to understand the specificities of developing and
developed societies. i
I
14.9 CRITICISM
-
"You would find many criticisms on the ecological approach of Riggs. Mainly the criticisms
are on the grounds of:
Difficulties in using the language:
@ Lack of charlge orientation;
Absence of quantitative indicators;
@ Negative orientation of the concepts; and
1
Ethnocentricism i I
69
Public Organisations: We shall 'discuss these critici!;rns in some detail.
The Paradigms
DiMiculties in using the language: Riggs liberiillj, coined new words to explain his
concepts,ln addition, he also gave different meanings to a number of words already in use.
There is no hann In coining new words when the existing vocabulary fails to cpnvey the
meaning and clarify the cdncepts. There is also nothing wrong if one interprets a term in his
.own way for the effective expression of his views. But a free use of new words, and of
,
words already hiving different meanings may create confusion instead of'clarifying the
concepts. Riggs in his enthusiasm to give a scientific character to his models, borrowed rnost
of his tcnninology from Physical Sciences. But the use of certain new words borrowed from
Physical Sciences .:r analyse aclminisrration cannot make it a science.
Lack of change orientation: Hahn-Been Lce doubts the utility of the prismatic and Sala
models in view of the developn~entadministration's focus on social change. Lee feels that
Riggs' models are not helpful to the analysis of the process of social change and
development. He considers Riggs' n~odels;is equilibrium models. Equilibrium models
would help in preserving the system but not in introducing any change in the system. Lee
thus i.oncludes that the models of Riggs are not useful when the objective of the
administration is to change the system r:lther than maintain it.
Absence of quantitative indicators: In applying Riggs's ~iiodels.toparticular societies, the
problem of nieasurement arises. In the absence of a measuring scale, the identification of
prismatic or diffracted societies becomcs very difficult. The reitder, following Riggs's
analysis, lnay tend to associate prismatic conditions with every situation he knows.
Similarly, when the fused and diffracted societies are imaginary, Daya Krishna says, all the
societies are to be classifietl as prismatic at various levels-low, rniddle or high. But when
scales to measure the levels of 'prismatisni: are lacking,such a classil:ication will have no
reievance. The filct is that Riggs's models are nlostly based orcertain assumptions. But in
the absence of ;my empirical evidence the validity of such assumptions is questionitble.
Negative Orientation of Concepts: Riggs did not give as much importance to the posittve
character of s prismatic society as to its negative character. He projected fom~alismas a
nbgative aspect and highlighted its bad effects only. But it is also true that sometimes the
people might stand to gain if the rules and regulations are not strictly followed. Fur instance,
administration may move fast if certain rules are not strictly observed. In countries like
India, if there is proper leadership, formalism becomes dysfunctional in most or in all
circumstances and represents a 'nor)-ecological' view point. To counter-balance the
Riggsian concept of negative fqrmalism, Valson has presented-a new concept of positive
formalism.
'.
It is undeniable that fonnalism is bound to be present in any situation where an attempt is
made to achieve a higher level of performance. This can be interpreted as the desire of the
. people to reach a new higher level of performance. All institutions and individuals can
improve their performance when the goals set and when the norms fixed are of a higher
order. Instead of considering formahsm as a gap between good intentions and the struggle to
achieve it, it is described as a negative characteristic.
Ethnocentricism: The categorisation of the societies into fused, prismatic and diffracted
ones a based on the values inherent in a capitalht'system. The ctiaracteristics of the
diffracted model are entirely those of a capitalist system. Riggs's analysis clearly establishes
the superiority of the diffracted model over the other models. To that extent, this approach
suffers from ethnocentricism:
QI
Check Youp: Progress 5

ffote: i) &$the space below fopyour answer.
ii) ~ h & kyour answer with tfiase given at the end of the unit.
i) " ~ i ~ecological
~ s ' approach is non-ecological"Discuss,

............................................................................................................................................... E:colr~gichlApprouch:-
Fred W. Rigis
..............................................................................................................................................
14.lp LET US SUM UP - ,.-
Classical organisationih theories nini,lly emphnsisc orp;~nis:~tionalstiuctures and principles.

and b'ehavioural theories concentrate on human behnviour in the organisation. But ecological
theories emphasise the interaction of adrninistrt~tionwith its environdent. Both in content
, and in analysis, Riggs's ecological approach extends the horizons; and assumes an
integrated approach to the administrative system.'His approach and modcls help us in
examining the administrative process in developing countries. A l t h o ~ ~ in.g l practice
~ his
administrative models are difficult to find, they help us in appreciating the realities. The Sala
model provides an opportunity to unalyse and understand the administrittive system in
developing countries. It also facilitates to further such studies that are based on empirical
and ecologic+ approaches.
14.11 KEY WORDS

Ascriptive values: Values derived by"birtI3, ..
Attainment values: Values derived by one's own efforts.
Barter exchange: It is a characteristic feature of traditional economy. In such an economy
there is an e'xchange of goods and services without the use of money.
Bureau: Bureau or office refers to administrative sub system ~na diffracted society.
Chamber: Refers to administrative sub-system in a fused society.
Differentiation: Existence of a situation in which every function has a corresponding
specialised structure for its performance.
Formal: The official norm, the theory, what ought to be dgne, as expressed in constitutions,
laws, rules and regulations.
Integration: A process to tie together, to coordinate the various kinds of specialised roles
in a society.
Market Exchange: It is the buying and selling of goods and services at mbney price
according to law of supply and demand.
Nepotism: Favouritis~nshown to relatives in conferring offices.
Poly-communalism: It is the nanie given by Riggs to plural society where we find the
simultaneous existence of several ethnic, religious and racial groups.
Puly-norrnativism: Displacement of traditional values by new ones, it leads to increase in
opposed values in a society.
Patrimanialism: Patrimonial political system comprise of specialised p~liticalelites such
as kings, suFhiefs and specialised officialdom, all offices are h a t e d in ruler's household.
Refracted: Refracted society ?s one where there is high level of structural differentiation
and functional specialisation. ,
Structure: Observable regular activities which make up the political system.

Arora, Ramesh K, 1972. Comparative Puhlic*Administratiotr: An Erological Approach;
Associate Publishing House: New Delhi.
I
Bhattacharya. Mohit, 1987. ~ u h l i ~ ~ ~ d m i n i . y f r u r i o nworld
; ' ~ h ePress Private Lfd: Calcutta.
Prasad, Ravindra D., et.al. (Eds,) 1989. Administrative Thinkers; Sterling Publishers: New
Delhi.
Riggs. Fred W., 1964. A.!;;;:,,;..;, ofion in Dcoelopin,q Courrtalr.~. The ~ h e o rof
i prismatic
Society; Houghton Mifflin: Botson,
Riggs, Fred W., 196 1. The Ecology (clfPuhIic3Adn~inistru~inn; Asia Publishing House: Nev!
" Delhi.
*
I -
V m a , S.P. and Sharma. S.K. (Eds,) 1983. ~ ~ v e l o ~A~lminim~ation; n~~th IIPA: New Delhi.

Public ~r~anisations: '
The. Paradigms 14.13 ANSWERS TO CHECK YOUR ~ R O C R E S S
i) See Section-14.2
~ h e c k . ~ o uProgress
r 2
i ) See Section-14.4
' ii) See Sub-section-14.4.1
iii) See Sub-sections-14.41and 14.4.2.
)
i ) ' See Sub-sections-14.5.1, 1415.2 and 14.5.3

'i) See Section-14.6

i) See Section-14.9.

UNIT' 15 MEANING OF BUREAUCRACY
Structure
Objectives
Introduction
Origin of the Term
Meankg of Bureaucracy
15.3.1 Bureaucratic Policy
15,3:2 Burenucrars in Power
15.3.3 Office Holders
15.3.4 Bureaucracy as an Ideal Construct
15.3.5 Bureaucracy as Organisation
15.3.6 Bureaucarcy as Society
15.3.7 Bureaucracy and Rationality
15.3.8 Dictionary meaning of Bureaucracy
1.5.3.9 Critics' view of Bureaucracy
Types of Bureaucracy
15.4.1 Guardian Bureaucracy
15.4.2 Caste Bureaucracy
15.4.3 ~atrona~h~ureaucrac~
15.4.4 Merit Bureaucracy
Maladies of Bureaucracy
Let Us Sum Up
Key Words
Some Useful Books
Answers to Check Your progress Exercises
15.0 OBJECTIVES
After studying this Unit,.you~houldbe able to :

explain the origin of the tern1 bureaucracy
describe different meanings with which bureauqacy is being used
point out different types o'f bureaucr&cy,,and
i
') explain the maladies of bureaucracy.
15.1 INTRODUCTION
As a student of Public Administration you must be familiar with the term 'bureaucracy'. It
is a term with strong emotional overtones and elusive implications. Bureaucracy is also a
much researched area by Public Administrationists, Political Scientists, Sociologists and
many others. As a result, there is no terminological accuracy about the concept of
bureaucracy. To some, it is efficiency and to others, it is inefficiency. To some it is a term
synonymous with civil service and to others it refers t6 a body of officials. It is this that
has made one scholar to comment that 'bureaucracy is a notorious word of our age'. It is,
therefore, necessary to know what is the origin of the term and what are its different
meanings. It would enable you to gain familiarity about the different meanings. In this
Unit you would study its meaning, types of bureaucracy and maladies of bureaucracy;

Bureaucracy
15.2 ORIGIN OF ' F ~ TERM
E
The term bureaucracy is derived from the Latin term 'bureau'. Bureau means a writing
table or desk. In French 'La Bure' means a clojh used on tables of public authorities. From
* . table cloth, the table covered by cloth got the name 'bureau'. Later 'bureau' began to be '
used for the office room where table is kept. Thus by 18th century the term began to be
used to refer to a place where officials work. The suffix 'cracy' in Greek means 'rule'
Thus bureaucracy refers to rule of officials. During 18th and 19th centuries, the term was
used consistently. It meant power of officials in Public Administration. It'was also referred
: ' to the authcrity or power which the government departments claim t~tkiemselves.
r
> It was a Frenchman De'Cburnay'who first coined the term bureaueracy in the middle of the
'eighteenth century. He used the term to complain agalnst the bureaucracy. He said that 'we
, have an illness in Frank which plays havoc with us, thisit ness is called bureaumania'.
I
This means de'Gournay used the term in a comp1;iining tone. This is evident
when he said that 'officials are not appointed to perform public interests, but'public
interest is established so that offices might exist . lY'rqs-de'Gbumayhas identified a new
group of rulers and methsds,of governing wherein the governing became an end in itself.
e some who believe that the term originated in ~ e r m a n yand was later
~ h e i were
popularised in France. This was mainly because German newspapers used the term whhe
reporting about the French Revolution. Eversince its originiit rapidly became part of the
international vocabulary of Political Science and Public Administration. In France, the
term was first popularised by the novelist Balzac. Later the French bureaukratie became
I
the German bureaukaratie, the Italian Burocrazia and the English bureaucracy. Twenty
five conceptualisations, however, took place at the hands of Mosca, Michels and Max
\
Weber.
0 -
-
15.3 ' MEANING OF 8UREAUCRACU
The term 'bureaucracy' is being used with different meanings to signify diffcrent things. :
This made Fred Riggs to comment that the term 'can now be used without much sense of
: strain for about forty marginally differentiated senses, falling under ten headings'. It is,, '
therefore? necessary for us to understand what these different meanings are.
. . 1
After the term bureaucracy was coined by de'Gournay, it has attracted atterition from a
number of scholars from different disciplines. It has its admirers as well as opponents. Max
Weber, the Sociologist had almost "intemalised" this concept;' whereas writers like ' '
. Warren Bennis condeldnned the behavioural aspects of bureaucracy And even predicied'its
demise. There are also other writers who. took a balanked view of the concept.
4.
Bur~aucracy,however, was originally conceived as a negative or perverse concept. It was
' Mdx Weber, a German sociologiqt, who gave it a respectable ,and positive implicat,j,on. ,
Bureaucracy, in its simplest form, $an be seen as "officials in power" or "a class of
,, . officials" or "bureaucrats exercising their power to carry on their constitutional duties and
. . obligations". The need,to use'it as an equivalent to the term "officials" or
'
"administrators", has forced the writers to pojnt out its negativ"eonnotatio~+s.,Peg~ps, no

9
other term is as appealing as bureaucracy to describe officials or officialdom. In what
follows, you would study the different ,meaningsof the term burkaucracy.
4
15.3.1 Bureaucratic Policy

- Atdthe time of its genesis. when delGournpg coined it, burtaucrky was linked to a type .
, . system in the way, terms like "aristocracy", "monarchy", and "democracy"
I ' were linked up with different political systems. J.S. Mill used the term bureaucracy to ,
denote the professional govemors~ofthe government in _a society. Harold Laski also used it
, in a similar sense. To him bureaucracy is rule of the officials in a system of government. 1
~ b tLaski
, Mded that the "rule is so complete, that it jeopardies the (liberties of ordinary
? citizens". Heqnan Finer, a political scientist also described bureaucracy as rule by
'
government officials. Lasswell and Kapfan viewed it as a government where the elite are ,
-6 , I
officials. However. in course of time. bureaucriicy in this form, has lost this connoption.
<
, ,
15.3.2 Bureaucrats in Power Meaning of Bureaucracy
A number of writers and scholars described the tenn bureaucrats to denote power
managers in a system of government. 1.S. Mill, for example, denoted bureaucracy as a
ruling class of officials. Mosca described bureaucracy as one class of ruling elites whose
, rule is absolute. Michels, has expanded the concept of bureaucracy to include salaried
professionals in government and non-governmental agencies such as political parties.
Writers like Ramsay Muir viewed bureaucracy as pdrmanent officials and professional
administrators. The growing power and influence of bureaucracy was also recognised by
' later writers.
15.3.3 Office Holders

Bureaucracy is also used synonymously with office-holders with or without power. J.S,
Mill, for example, hinted at the possibility of a non-dominant bureaucracy: It is used in an
administrative context 'to complain abour its inefficiency rather than its abuse of power.
Max Weber referred bureaucracy as a positive, non-dominant body, when he said, 'no
exercise of authority can be purely bureaucratic', That is how a simplistic notion of
bureaucracy developed and it is seen in the writings of ~ a y l oCole
r and Joseph
Lapalambora. The latter used the term to encompass all public servants.
15.34 Bureaucracy as an Ideal construct

Max Weber's conception of an ideal type bureaucracy is a theoretical form which in its
true form may. or may not be found in the real world. Idealist conceptions have at-least a
degree of difference from their real world entities, Max Weber, one of the earliest to
conceptuaiise, in his ideal type bureaucracy attributed the following features to the
bureaucracy: impersonality, hierarchy, specified duties, contracts, professional
qualifications, salary, full-time careers, separation of office from ownership; and
, centralised pow&. Eowe*, 9..tHe characteristics of the ideal bureaucracy are not
I
accepted by the followers of.Weber. For instance, Robert C. Stone described bureaucracy,
as a type of organisation characterised by "rationality in decision making, impersonality in
social relations, ratiorlalisation of tasks and'centralisation of authority". By this
description, Stone offered a second definition of bureaucracy.
15.3.5 Bureaucracy as Organisation

Sociologists used 'organisation' in a micro and limited sense, synonymously with the tenn
'bureaucracy'. Thus, in their view, bureaucracy is an apparatus (as used irtPhysical
&kc-&,~he word organisation is mostly used by the sociologists and next by the business
administiation writers. They use it in a total or holistic sense. which covers the
organisation and its members as one,,and the same and are inseparable. Thus organisation
sind'bureaucracy have become synonymous terms as used by many writers including
, Talcot Parsons, Hyneman, and Caplow. It is used to mean not just a class of office holders
but rather the organisation in which they work. Thus the term is used to denote both the
organisation as well as its members, In the same sense bureaucracy is identified with
government at macro levels, where the entire system of government is referred to as
bureaucracy.
15.3.6 Bureaucracy as Society ,' c ~ '

Some writers have extended the scope of this term under refercnke to societies, hence the
usage of the term bureaucratic society.'Perhaps this is in tune with the expressions such.as
communism, capitalism and socialism, which denotes a kind of social system as well as a
political and .economic structure, The idea is that in a society where bureaucracy plays a
dominant role, it can be referred as a bureaucratic society. More.clearly in such a society,
sodial alationships are influenced by t h e bureaucratic behaviour. Mention of such
,, societies can be found in the writings of Karl Wittfogel and James Burnham. Wittfogel
argues that the ruling officialdom in pre-industrial societies dominate the peasant masters ,
and hence the term 'bureaucratic society' is appropriate to describe the social *
phenomenon. Burnham's view is that in a nuclear society managers as a class dominate the
polity and society. A look at the business war games, and corporate battles in today's
U.S.A., J a p p and other nations would explain the case. Presthus, on the other hand, holds
an $together different view from Wittfogel and Burnham, wheo ii comes to the ' .
interpretation of from:-
Downloaded the term bureaucratic society. According to Presthus, a large organisation
,
is a symbol of the society in which it is an integral part, in terms of life styles of its
members. In countries like the USA we can see real life examples of large organisations
carrying on the essential features of the society at large. Based on this, Albrow, concludes
that it is not out of place to think of bureaucracy as a type of society. Perhaps we can see
such societies in other industrial nations as well.
15.3.7 Bureaucracy and Rationality

The Weberian concept of rational legal bureaucracy has led to an unending debate. There
is hardly any opposition to his idea oq legality linked to bureaucracy. What is questioned is
his concept of rationality of bureaucracy. Perhaps, in administration, rationality means
cost-effectiveness, productivity and purpose. Peter Blau, believes that bureaucracy as an
organisation maximises efficiency in administration. G.R. Francis and R.C. Stone endorsed
the same opinion when they said that bureaucracy maintains stability and efficiency in
organisiations that are large and complex. Peter Leonard also holds similar view when he
says that 'bureaucracy refers to rational and clear cut activities that are directed towards
fulfilling the purposes of the organisation. In other words, today's concern with
productivity of the government and officialdom, managerial and organisational
productivity have their origins inatheterm 'bureau-rationality'.
15.3.8 Dictionary Meaning of Bulreaucracy

Apart from Weber's ideal type definition and subsequent definitions by his followers, some
dictionary meanings of bureaucracy are .available. Webster's Third International
Cambridge Dictionary defines bureaucracy as 'systematic administration characterised by
specialisation of functions, objective qualifications for office, action according to fixed
rules and a hierarchy of authority. In the Encyclopaedia of Social Sciences, Laski
maintains that the term is used for a system of government the control of which is so
completely in the hands of officials that their power jeopardises the liberties of ordinary
citizens. Robert C. Stone in the Dictionary of Social Sciences uses bureaucracy as a type of
organisation characterised by rationality in decision-making, impersonality in social
relations, routinisation of tasks and concentration of authprity. Thus bureaucracy is
characterised in the dictionaries and encyclopaedias possessing both negative and positive
features.
\
15.3.9 Critics' View of Bureaucracy

Critics of bureaucratic behaviour (i.e., negative behaviour) have attributed a number of
characteristic features to the term. One of Robert C. Stone's definition includes-red tape,
rigid rules and procedural emphasis, as fdatures of bureaucratic organisations. Reinhard
Benedix, has mentioned some of the negative characteristics of bureaucracy, such as
(1) failure to allocate clear cut responsibilities; (2) rigid rules and routines; (3) blundering
officials; (4) slow operation and buck-passing; (5) conflicting directives; ( 6 ) empire
building; and (7) concentration of control in the hands of a few. Webster's Dictionary
enlisted several negative characteristics of the term. They are (1) constant striving for'
invested functions and power; (2) lack of initiative and flexibility; (3) indifference to
human needs and public opinion; (4) tendency to refer decisions to the superiors; and
(5) block action through red tape. Though, social scientists in general have n& ustd the
negative connotations ofthe. term
-. - frequently, somehow the negative connotations and
. -
meanings have become popular. ..- t -
Check Your Progress 1 .

Note : i).Use the space below for your answers. '
ii) Check ybur answers: with those given at the end of the unit.
1 Explain the origin of the term bureaucracy.
......................................................................................................................................

: 2 Explain the different meanings of the term bureaucracy. Meaning of Bureaucracy
-
15.4 TYPES OF BLTREAUCRACY
Bureaucracy is shaped by environmental influences including social. cultural, economic

and political factors. ,At different points of time in hivorp. the bureaucracy has taken
difimnt shapes and forms based upon the socio-political influences. Broadly, the
bureaucracy is categorised into four types by Morstein Marx viz., Guardian Bureaucracy,
.Caste ~uriaucracy,Patronage Bureaucracy, and Merit Bureaucracy. We shall now
discuss each of these types briefly.
15.4.1 Guardian Bureaucracy

Plato's guardians have the capacity to personify in their ,actions, the essence of public
interest. They were considered the custodians of justice and welfare.of the community.
These guardians were'selected on thebilses pf their education. Such' bureaucracy existed in
China before 960 A.D. and in Russia between 640-1740 A.D. Chinese government which
conducted its business based-ppon Confucious'teeachinps of righteousness is supposed to be
a platonic blue print. Duty of officials'is to demonstrcite-exemplary life and they were
selected on the basis,of their scholastic achievements and trained in right conduct
according to classics. These guardians were expected to develop a moral fortitude and
they can exert influence upon the exercise of power subject to righteousness.
The guardian bureaucracy is apt to idealise absolute practices and thus become
traditionalistic and conservative, They are also likely to become aloof from the affairs of
the community and political problems of the day, THey become authoritarian %
unresponsive to public opinion.
15.4.2 Caste Bureaucracy

This bureaucracy is the result of class connections of those-in power. In this.recruitment is
made only from one class. This means persons belonging to higher classes or castes are
only drawn to the civil services. For example, in ancient'india, only Brahmins and
Kshatriyas.could become higher.officials. F.M. Marx notes that the caste bureaucracy
manifests id another form, i.e., linking the qualifications in the higher posts with
al'rangement's that amount to class preferences. In Enkland, for example, aristocratic
classes were preferred to the civil service positions, Appleby commenting on the Indian
Civil Service, observes that the personnel are arranged self-consciously in two firm classes
and two forms and too many special services with barriers between classes and services,
too high ..... There is too much and too constant consciousness of rank, class, title.and
Bureauerl~ey service membership, too little consciousness of membership in the public services. Higher
, the i~itellectualresourcys of the bureaucracy, greater the likelihood of class or caste
a s p . Sdcial hes will% drawn between service grbups. It could even bc bbserved that.
mobility of civil servants,'&ll not act as an antidote to caste mentality. Instead, the
climber is expected to cGnform to the mentality of the higher group. The civil services
during the early Ron~anEmpire, Japanese Civil Services under Majie Constitution, French
Civil Sewices in 1950's are a few examples of the caste bureaucracy.
15.4.3 Patronage Bilreaucracy . , , . .
This type of bureaucracy is also called spoils system. Patronage in this is seen as a means
of political control. Under this system, the proteges of the ministers or the elected
functionaries are nominated to the civil .service. The public jobs are distributed as personal
or political favours to their supporters. In Britain, before 19th century, the system sewed
the aristocracy to gain enhy into the civil services. In United States, which is the
traditiorhl home of patronage bureaucracy, it was considered that no one has any more
right to offici'al status than the others and that was how the patronage was distributed. But
the system of patronage bureaucracy was condemned as an anachronism for its lack of
competence, for its careless discipline, its concealed greediness, its irregular ways, its
partisanship and for its absence of spirit of service.
I
15.4.4 Merit Bureaucracy

. .
',
Merit bureaucracy is 3 responsegtothe maladies of other &,pes of bureaucracjes which we
.. have discussed ewlier. In this bureaucracy,,dtmeat is tiasedori qualifcatio~and is
. . r iy, statl.ls and stability are ensured. 1; modern
govemed by objective,standards. ~ f t ient
. .
times. merit bureaucracy puts strong emphasis on political control over the administrative
system which was not the case in, other forms of bureaucracy. This,bureaucracy has ii
distinguished advantage over others due to its sense of ratioliqlity in administrative
behaviour;
.
1 0
5 .
> ' I
.
, , , .
,I
Bur= ~craky, have discussed etirlikt.;has both positive and negatiee connotations. The
cr!tics argue that bureaucracy is an ai!rnent of organisarion. It givesrise to certain
tendencies which may pervert its very performance. For example. hierarchy.discourages
'initiative, 1 t 2ivides organisation into layers and 'leads to red-tapism and inefficiency. It is'
often criticised as having adetrimental+'influenckupon the performance and behaviour of
the civil se,wants,. ~ h u s bureaucracy
: apart frgm'being considered as an aspect of modern, ';
1
admiaistration and rational structure, also has ~ r t . a i nnegative features. some of
these crit'icisms are that it is unrespp*sive to popu-lardemands and desires, undue
%malism;.self-aggrandisement. ern:pire hiritding,-conservatism,etc. Other maladies
attributed are arrogance; self-satisfaction, obsession with rules and routine, rigidity,
.indiff&eice to,democratic processes
. - and ignoring the human k~emt-intin administrative
....
- behaviwr - .:.. ,.
I'
.....C h ~ Youp
k mqgress I .
. - Niit;': -'' ij.~se;tiie
space belbw-f&
, , y6tir ahdweh.
. .
., . . .
I
,
?,
:Check your answers with thoie giJeh at the end of the uqit.
. .
~hatislguardianbureaucracy 1. . :
' I 1
'1 .~ .

3 What ,anethe maladies of bureaucracy 7

.......................................................................................................................................
I
'
J In'this Unit we have discussed origin of the term bureaucracy and its varied weanings. It is
used to signify a polity, as an organisation, as a saciety, as office holders, as inefficiency,
as rational organisation, as an ideal construct and as an exercise of power by a body of
officials. We have distinguished between four types of bureaucracy viz., guardian,
patronage, caste and merit. We have also seen that bureaucracy suffers from many a
maladies like.unresponsiveness, inflexibility, obsession for precedents and emphasis on
rules'and regulations to the neglect of societal demands.
- 7 .
15.7 KEY WORDS

Elusive : Difficult to catch
Encompass : Surroufid or contain
Genesis : Origin or mode of formation or generation 5
Maladies :Ailments
Perverse : Deliberately deviating from what is regarded as nonnal
Protege :.A person to whom anotheris protector or patron
Self-aggrandisement: increasing one's power, rank or wealth
15.8 .SOME:USEFUL BOOKS I
1 Albrow, in, 1970. Bureaucracy: ~ i c r n i l l iLondon.

: ,
2 Avasthi, A. and Maheshwari, S.R., 1980. Public ~dministration;Laxmi ~ a r a y h
Aggarwal: Agsa.
3 Bhattacharya, Mohit, 1987. Public ~drninistration;World Press: ~alcuiia, .
4 Encyclopaedia of Social Sciences, Vol. 111. '

5 International Encyclopaedia of Social Sciences, Vol. 11.

6 Marx, F.M., 1957, The Administrative State; University of Chicago Press: Chicago.
7 Weber, Max, 1947, The Theory of social and Economic Organisation; Free Press:
Glencoe.

EXERCISES
1 See Sec. 15.2
2 See Sec. 15.3 .
Cheek Your Progress 2
1 See Sub-sec. 15.4.1
2 See Sub-sec. 15.4.3
3 See Sec. 15.5

UNIT 16 MAX WEBER
16.0 Objeotives
16.1 Introduction
16.2 Theory of Domination
16.2.1 Traditional Domination
16.2 2 Charismatic Domination
16.2.3 Legal Domination
16.3 Characteristics of Bureaucracy
16.3,l *Divisionof Labour
16.3.2 Hierarchy
16.3.3. Written Documents
16.3.4 Expertise
16.3.5 Career System
16.3.6 Money Salaries
16.3.7 Rules
16.3.8 Impersonality
16.3.9 Efficiency
16.4 Causes of Development of Bureaucracy
16.5 'Consequences of Bureaucracy
16.6 A Critical Evaluation
16.6.1 An Authoritarian Theory
16.6.2 Dysfunctions of Bureaucracy
16.6.3 Domination of Bureaucracy
16.6.4 The Function of Contml
-16.6.5 Bureaucratic Neutrality
16.6.6 Weber's Dilemma
16.7 Let Us Sum Up
16.8 Key Words
1 5.9 Some Useful Books
5.10 Answers to Check Your hogress Exercises
t6.O OBJECTIVES
In the previous Unit we have discussed the meaning of the term bureaucracy as well as its
types. You would have noticed that this term is used to signify different things to different
people. Max ~ e b e islone
r of the first and foremost social scientists who have
systematically analysed the concept of bureaucracy. In this Unit we would discuss his
confflbutions.
After studying this Unit ypu should be able to:
explain Weber's concept and types of domination
* explain the causes, characteristics and consequences ~Fbsmauuracy,and
make a critical evaluation of we&rts contributions.'
.16.1.INTRODUCTION
..
Ma& Weber is considered to be one of the foremost social scientists of modern times. He
has made valuable contribution to several disciplines, particularly Sociology, Economics.
History and Political Science. He is specially known for his theories about the rise of
.capitalism in Western Europe, and bureaucracy.
Downloaded from:- https://t.me/Pdf4Exams 13
\
Max Weber's name, however, became synonymous with bureaucracy. Weber's influence
on the modem thinkers on administration is enormous. Most of ty studies on bureaucracy,
are considered "as either'differcnt +edons of Webrim model or attempts at
contradicting it". Weber's bureaucratic model, theories on legitimacy and domination
formed the basis for a number of further studies. In this Unit, therefore. we will study
Weber's contribution to the theory of bureaucracy.
16.2 THEORY OF DOMINATION

Weber's theory of bureaucracy is a part of his theory of domination. Domination means the
authoritarian power of command. In oher words, he raised the question as to how one
person exercises power over others. His answer was that the exercise of power becomes
acceptable if it is justified or legitimised, in some way. Legitimation in one way leads to
one type of domination; legitimation in another way leads to another type. He thus laid
down three types of domination: (i) traditional domination, (ii) charismatic domination and
(iii) legal domination. Bureaucracy falls in the thir4 category. However, we shall examine
other types of domination before coming to the thir&one: this will help us to make the
tk nature of bureaucrac~trrou@uomp~on and contrast.
16.2.1 Traditional Domination

Traditional domination is based on the belief that what is customary is right. It is '
exemplified by the rule of kings in olden days. If it'was customary that only persons of a
certain high caste should.bk appointed to high positions, this principle was accepted as
just. In other words, the merit of an individual was given les's importance than the caste to
which he belonged. All employees had to be personally loyal to the king; if an employee
was competent but not loyal to the king, he would be removed. These principles of
administration were based u p a the general belief system in the socikty. Thus in India,
status in the society'as a whole, and not only within the administration, was determined on
the basis of caste. Since caste is based upon the accident of birth, and not upon individual
achievement, ihe competence of a person of high caste can be low. Hence the efficiency of
administration in a traditional society is likely to be low.
16.2.2 Charisnhatic Domination

Charismatic domination is found where people accept somebody as a leader due to a belief
that he has'superhuman or extraordinary qualities. Thus a person who is cons'idered to be a
prophet, mahatma, or guru may come to have a number of disciples or followers. The
leader. then; exercises power over his follbwers: they are willing to carry out his wishes
Since administration in such a systeq also is not based upon any rational principles, but
upon the fancies and caprices of the leader, it is likely to lack efficiency.
16.2.3 Legal Domination

Law is another name for a rational principli. Hence legal domidation is based upon belief
in the desirability of rational principles. The application of redson leads to efficiency.
hence a system of legal domination is the most efficient. Legal domination is'best
exemplified by bureaucracy. '
16.3 CHARACTERISTICS OFBUREAUCRACY
The term bureaucracy refers to the employees of a modem large-scale organisation, such'
as a government, a joint stock company or an armed force. While the objectives of
organisations may be different, their bureaucracies have certain common features. We
shall discuss these features, as mentioned by We,ber, one by one.
16.3.1 Division of Labour

The work of the organisation is divided among the employees in swh s way that r a r h '
employee has only a certain part of the work to perform. In this way he reptihtedl\ ,
performs a certain job and becories efficient at it. Since every employee ~ i m i l a r l ~
.__ * . - 1 .
. ._"

, becomes efficient at his particular job, the productivity and efficiency oft the organisation
as a whole are high. ,. .
In an office we find that when a case has to be dealt with. a certain employee has theduty
to find out precedents (earlier cases of the same kind). another has the duty ta examine the
rules, a third one has to take$ decisipn. and so on. Thus each case is dealt with by several
persons instead of being dealt with by one person only. Such fragmentation. or division, of
work makes for efficiency. i
' 16.3.2 Hierarchy

In every bureaucracy there is a chain of command. or hierarchy, so that officials at lower
levels are supervised by those at higher levels. Officials at a higher level have a broader
mental horizon; they can take into account the problems at various,levels. Since orders of
superiors have to be followed by subordinates, difficulties are avoided. In other words,
hierarchy makes for vertical coordinition. Such coordination makes for efficiency.
16.3.3 Written Documents (
'The.management of the modem office is based upon written documents, or Files, The
executive office is separated from the private affairs of the ruler. the entrepreneur and the
'
e!mployees. Since nothing concerning the office is private, every transaction. decision and
order is recorded. Files, punch cards or computer tapes, then, constitute the 'memory' ,of
the organisation, and help in efficient decision-making in the future.
16.3.4 Expertise
Employees are selected on the basis of technical qualifications. Recruitment is made
through a competitive examiilation, or (as in the case of doctors or engineers) is bnsed
upon examinations already passed. Officials are appointed, not elected, since election does
.+ not test technical qualifications.
16.3.5 Chreer System

b, Employment of a member o'f a bureaucracy constitutes a career. The employee expects to
$ 1
be promoted from. lower position to higher position.within the hierarchy of the
organisation. Promotion is based upon both merit and seniority. Promotion by seniority
ensures that the employee comes to consider the organisation as his own: this makes for
both; security for the employee and efficiency of the organisation. Promotion by merit also
ensures efficiency as employees with talents are promoted to higher levels.
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16.3.6 Money Salaries
, . Employees are remunerated by fixed salaries in money. This is different from the payment
niade in kind in older1 days. In addition to the salary, there is ggnerdya prokisionifor.a'.
pension or a''grovidentJfundto take care of the employee when he grows old and retires
from service.
16.3.7 Rules
Management follows a set of rules, which are made known to all employees, and partly
also to clients. ~ u i e prevent
s arbitrariness, since they are equally applicable to everyone.
They also make for efficiency, since they help to avoid mistakes.
>
. ) I
16.3.8 Impersbnality
Officials are expected to carry out their duties without allowing themselves to be
' influenced by their personal likes and dislikes. Thus an employee may like one client and
dislike another; however, he must still treat them similarly, insofar as he acts on behalf of
the organisation. a
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16.3.9 Efficiency I
' The bureabcratic organisation is the most efficient form of organisation, Just as a machine
is more productive than any other mode of production, so a bureaucracy is more efficient.
Both, the machine and the bureaucracy, have the advantage of technical supekiority. Their
efficiency derives from rationality. All the characteristics of bureaucracy mentioned above
,lead to rationality and hence efficiency.

a.
+..
Bureaucracy Cheek Your Progress II

Note: i) Use the space below for your answers.
1 What is the difference between traditiclnril and charismatic domination?
2 What is legal domination?
3 Discuss the ch'aracterktics of bureaucrat>+
Bureaucracy is a hodern phenomenon. It has been caused by seGernl factors which are
given below:
Money Economy
* Increase in Organisational Size
?' Nature of Administrative Tasks
' @ Requirement of Efficiency
@ ~ a r k e tcon om^
I
@ Rule of Law
@.
Goncenfation of the hieans of Administration
Levelling of Social Differences '
.
* ' ~ e k a n e n t ' ~ h a r a & ofe r the Bureaucratic Machine
I I ' i
-I&,I '
.
Noy we shall discuss these factors one by one.
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Money Economy https://t.me/Upsc_Zone_Official
Max WeNr
Weber maintains that a developed money economy is necessary before a bureaucratic
administration can come into belng. A bureaucratic administration requires a stable system
of taxation; the latter in turn requires a money economy. No proper bureaucratic
'administration could develop in olden days due to the prqvalence of barter system and the
absence of a money economy.
I
8
Increase in Organimtional Size

The large size of the modem nation state, the joint stock company and the industrialised
factory gave rise to bureaucratic administration. A large size necessarily requires division
of labour. Technical efficiency requires expertise. Coordination requires hierarchy and
rules. Hence bureaucratic administration tends to grow up in every large-scale
organisation.
.-.
Nature of Administrative Tasks
The increasing complexity of civilisation and the consequent demands upon administration
also led to bureaucratisation. Thus the growing wealth of the influential strata and the
desire for the possession and consumption of goods and services of various kinds led to
the performance of new functions requ.iring new expertise and widespread networks. The
increased emphasis on law and order and the demand for functions of social welfare give
rise to new agencies and development of old ones. Modern means of transport and
communication, such as highways, railways, telegraph and telephone, facilitate the
functionhg of bureaucracies and help bureaucratisation.
Requirement of Efficiency
Capitalist market economy is based upon competition; and competition compels increasing
efficiency among all competitors.
Since efficiency requires bureaucratisation, modem capitalist enterprises are unequalled
models of strict bureaucratic ~rganisation.
, ' Market Economy

A mar~retfunctions without regard for persons. Hence a market economy necessarily leads
to impersonality, which in turn helps bureaucratisation.
Rule of Law
The emergence of thc conception of the rule of law in modern times has also led to
bureaucratisalion. The rule of' law means equality before the law, or lack of arbitrariness,
which is ensured by bureaucratisation to some extent.
However, it is notable that the bureaucracy is the'instrument of dictatorshipas well as
democracies. Also, "propertyless masses especially are not served by a formal 'equality
before the law'."
Concentration c;f the Means of Administration

The rise of the bureaucratic structure has been associated w ~ t hthe concentration of the
means of management in the hands of the master. Thus the bureaucratisation of the army
took place after the transfer of army service from the propertied to the propertyless.
Earlier, the soldier was himself the owner of his weapons, horses and dress. It was only
after the chief of the company became the owner of the material means of warfare that the
army took a bureaucratic form. The same applies to civil administration. Before the rise of
the nation state, feudal vassals and tax farmers owned the means of admivistration. In the
nation state these means came to be owned by the central authority resulting in
bureaucratisation. .
I Levelling of Social Differences

Bureaucracy has mamly resulted from modem mass democracy, which has involved the
levelling of economic and social differences. Mass democracy makes a clean sweep of
feudal privileges in administration, and replaces these with equality before the law.
Permanent Character of the Bureaucratic Machine

Wgber points out that once it is fully established, bureaucracy is among those social
structures which are the hardest to destroy. It is a powerful instrument of the fir%order, and

Bureaucracy hence is used to fulfil societal objectives and the objectives of thye who happen to capture
power. https://t.me/Upsc_Zone_Official
16.5 CONSEQUENCES OF BUREAUCRACY

?
Weber maintains that the permanent character of the bureaucratic machine makes
revolution technically more and more difficult. While the political master may be changed
in a coup d'etat, the bureaucracy continues to rule. In developed countries, party
organisations have also become bureaucratised.
Burbaucratisation has "very frequently benefited the interests of capitalism". Often
bureaucratisation has been carried out in direct'alliance with capitalist interests. .However,
bureaucratisation may also help the interests of shopkeepers and small farmers.
Bureaucratisation may also support a state socialist policy that strangles opportunities for
private profit.
A bureaucracy is like a precision instrument that can be used by anyone who comes to
control it. t i
Bureaucratisation inteiferes with democracy: while the former is ruled by appainted
officials, the latter is ruled by elected representatives of the people.
A bureaucracy comes to have power of its own. The political master is an amateur, while
officials are experts. Apart from expertise, the basis of bureaucratic power is secret
information. The bureaucracy even prevents the parliament from obtaining information
which is in its possession.
While on the one hand, concentration of power and wealth leads to bureaucratisation, on
the other hand, bureaucratisation itself em hasises;~entralisation.Thus once the
bun@ucratic state comes ihta Peipg it be&tofinqce and ~ o n t r obodies
l of
local self-government. The central authority exercises control over local w i e s through
the central bureaucracy.
More and more experts are needed in bureaqcratic administration. They also enjoy a
distinct social esteem as compared with the governed. Hence more and more people want .
to get the qualifications necessary for entry into the bhreaucracy. The demand for degrees
leads to proliferation of examinations. The demand for degrees indicates, not a quest for
knowledge, but n hunger for bureaucratic jobs. However, since higher education is costly,
the rich are more likely to get hjgh level jobs than the talented ones. ' I t
1
In the past, the end sought by education was the 'generalist' rather $an the 'specialist'.
Since' bureaucratisation leads to an increasing demand for specialists, expert and
specialisad knowledge tends t~ gain in importance.
According to ~ e b emorer and more bureaucratisation is likely in the future. This wodld be
J
. sp both ih a market economy'and a centrally planned economy. The increasing divisiop of
labour and the use ofispecialskills would
p
lead to "dictatorship of the bureaucrats\?.~a€het
then *,dictatorship of the proletariat .
'
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Weber exp~ssgsthe fear that increasing bureaucratisation is likely to interfere with the
?.
, autonomy of the individual. More and mare people'are likely tb take up jobs in large-scale
organisations and thus get reduced to an abkomrita. . \ ,
1 .
16.6 A CRITICAL EVALUATION

i
Weber's theory of bureaucracy may,be said to be classical..It has ,come to be widely
'
accepted. In particular it has come to be adopted by bureaucrats in justification of their
hhaviour. However, it bas been subjected to much criticism also. We deal with sope of
the cribcisms'below:
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16.6.1 An Authoritarian Theory - 1
'18 Weber flils to t i e into account the soeial systeA, or informal organikikion. which
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g the objectives
thp onganisation. @is criticism hhs been levelled mainly by the 'Huahan Relations'
school. Weber maintains that afficiedcy results from rationality deriving from features
such as hierarchy, division of labour, rules and impersonality. He fails to refer to the
creative urge andfellow feeling of human beings, which are also important factors in any
group enterprise. Weber's overemphasis on the formal aspect gives an authoritarian'tinge
to his theory. Now-a-days, much importance is attached to the self-actualisation of workers
and to their participation in decision-making. Both morale and productivity are likely to
rise with these new emphasis. Weber has ignored these factors.
16.6.2 Dysfunctions of Bureaucracy

Weber maintains that % bureaucratic organisation is more efficient than those of other
types. However, he fails to notice that it also suffers from certain hjtndicaps. Marx had
pointed out earlier that every exploitative relationship leads to alienation of both, the
exploited and the exploiter, resulting in the loss of their freedom, creativity, humanity and
morality. After Weber had enunciated his theory; he was criticised by Merton, Gouldner
and Selznick for overlooking what are called the dysfunctions of bureaucracy. In other
words, the very element3 which lead to efficiency in general produce inefficiqncy in
8 2
specific instances. Thuf,&cording to Merton he rigorous discipline of bureaucracy
"induces fear, conservkism, and technicism in the bureaucratic personality. According
to Gouldner, work rules increase knowledge about minimum acceptable behaviour, thus
.rkducing performance to the mifiimum level, According to Selznick, the demand for
control by the top hierarchy leads to increased delegation of authority to sub-units,
resulting in more emphasis on sub-unit goals than on the total organisational programme.
16.6.3 Domination of Bureaucracy

. .
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1
According to Weber, the efficiency~&f-lhveadcracy ie,$erived,mainly fro* the
: specialised knowledge of officials. Hence h&expect$d th9 the expert &odd supersede the
i generalist at high.levels. However, hi~-~rediction has not been fulfilled: the generalist
official continues to' dominate over specialists in almost all large-scale organisations.
1
16.6.4 The Function of Control I
, For Weber, all the employees of an organisation, including both managers and productive
wdrkers, constitute its bureaucracy. He talked of the division of labour and yet failed to
notice its most important aspect, namely the distinction between productive work and the
exercise of control over it. When we note that the function of administration consists
mainly in the exercise of control over specialists and productive workers, we also come to
understand the reason for the pre-eminent position of generalists in the organisation. In
short, then, Weber failed to distinguish bureaucrats proper from other employees.
' 16.6.5 Bureaucratic Neutrality?

Weber's theory suggests that the bureaucracy is a neutral instrument which can be used by
anyone who comes to gain control over it. However, experience has shown that the
bureaucracy tends to function in the interests of the ruling classes. Weber notes that the ,
bureaucracy comes to. have a lot of power of its own, and that recruitment to
bureaucracy is often made from among the rich, since it is only the rich who can afford the
necessary higher education. All this leads to the inference that the upper levels of the
I
bureaucracy belong to the upper classes and tend to function in their interest: the
bureaucracy cannot be said to be neutral.
On the one hand;JVeber maintains that the bureaucracy is an efficient instrument of

development, on the other hand he fears that increasing bureaucratisation will interfere
to ~ f f ear
with individual autonomy,,He is unable to resolve the dilemma; nor is he able -,.
.._
' --L..w
solution to thi'problems like1p to be caused by bu~aucratisatirm.--.
.. . .I,
- ,3. r
q CheCk X ~ u Progress2
r 2,
' Note: i) Us13the .spade below for your answers.
4i) Check your answers with thosc given at the end of the unit.

Bureaucracy 1 What are the causes for the growth of bureaucracy?
..........................................................................,...........................................................
..............................................................................................
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How does growth of bureaucraq,,effectdemocracy $
3 What are the dysfunctions of bureaucracy? 9
......
i.......................................,..... ..p..................................................1.............................
, In this Unit we have discussed Max Weber's conceptualisation of,bureaucracy. He

distinguishes between three types of ,domination. mey are traditional,.charismatic and
legal. Weber idenlifies bureaucracy with the third type of domination i.e., legal. We have
' also discussed the characteristics of bureaucracy as explained by Weber. Finally we have
made a critical evaluation of Weber's contribution.
16.8 KEY WORDS

Arbitrary : Despotic or dictatorial
Automata : Machine
Caprice : Whirnsical or unaccountable change of mind or conduct ,
Entrepreneur : The owner or manager of a business enterprise who by risk and initiative,
attempts to make profits.
Feudalism : The legal and social system that evolved in Western Europe in the 8th and 9th
centuries in which vassals were protected and maintained by their lords, usually through
granting of property, and were required to serve under them in war.
Marketmoney Economy : Economy where exchange of goods and services takes place with
the use of money.
precedent : An example or instance used to justify later similar occurrences
1 Albrow, Martin, 1970, &realrc.racy; Macmillan: London.

2 Merton, Robert K., et al., (eds), 1952, Readings in Bureaucracy; Free Press: Glencoe.
3 Prasad, Ravindra D., et al., 1989, Administrative Thinkers; Sterling Publishers: New
Delhi.
4 Weber, Max, 1969, The Tl~eoryof Sociul and Econonzic Organisution, ed. Talcott Parsons;
Free Press: New York.

EXERCISES

1 See Sub-sections 16.2.1 and 16.2.2.
2 See Sub-section 16.2.3.
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3 See Section 16.3.

1 See Section 16.4.
2 See Section 16.5.

UNIT 17 KARL MAR%
Structure
17.0 Objectives
I .I Introduction
17.2 Rise of Bureaucracy
17.3 Role of Bureaucracy
17.4 Bureaucratic Power and Military Dictatorship
17.5 Characteristics of Bureaucracy
17.5.1 Division of Labour
'17.5.2Hierarchy
17.5.3 Training
17.5.4 Rules
17.5.5 Alienation
17;6 Sharpening of Conflict between Capitalists and Workers
17.7 Administration ii Marx's Socialist Society
17.8 Critical Appraisal .
17.9 Let Us Sum Up
17.10 Key Words
17.1 1 Some Useful Books
- 17.0 ?BJECTIVES.
I--
After going through this Unit you should be able to:
uqderstand the significance of Marx's views on bureaucracy
2
explain the characteristics of bureaucracy identified by Karl Marx, and

* discuss the criticism of Marx's views on bureaucracy.
17.1 .INTRODUCTION
Karl Marx was a great social revolutionary as wtll as a social scientist. His influence
continues to be felt not only in s ~ i asciences,
l philosophy and literature, but also through
revolutions in countries like Russia, China and Vietnam. His thought is being interpreted
and re-interpreted in different ways by several schools, such as the Frankfurt schooj, the
existentialists, the structuralists, Russian communists. Chinese communists, Trotskyists. .
and so on. The combination of revolutionary thought and action.in Marx's work is of
special significance for underdeveloped countries where revolutionary movements are
growing.
Marx was born in Germany in 181.8. He did his PhD. inAncient Greek philosophy. His
, revolutionafy views prevented his appointment as a university Jeacher, and led to his exile
from country after country. He wrote voluminously but always remained poor, which
resulted in much suffering for his family. He participated in the revolutionary movement
in.France which led to the short-lived Paris Commune in 1870. He died in 1883,,leaving
most of his'works unfinished.
Marx's ideas on administratibn are spread over his numerous works. He has dealt with the
rise of bureaucracy, its role in developed and developing countries, its dysfunctions, its
destruction in the course of the socialist revolution, and its supersession in the new
non-exploitative society. In this Unit, we shall describe Marx's views on ~ u r e a u c r a cand
~
examine the criticism on his views.
,
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17.2 RISE OF BUREAUCRACY

harx points out that, bureaucracy,arose with capitalism a@ the nation state in vestern -
Europe around the sixteenth century. The concentration of wealth and power in the hands
of merchant capitalists and absolute monarchs led to the need of an instrument for the
management of wealth and the etercise of power. This instrument was the bureaucracy.
With its help capitalists competed against other capitalists and monarch curbed feudal
lords.
In medieval soc'iety trade was 10cal,~thatis. within .the village or between nearby villages.
The invention of steamships made it possible to trade with distant places. The merchant
adventurers, who had to go to thele distant places, werkj however, insecure. Their security
could be ensured only through a state which exercised sway over a large area. This need of
far-flung trade gave rise to the nation state. It is notable that in earlier times there were
either city states or empires. Nation states arose for the first time around thesixteenth
century. However the king could not administer such a large area except through a large
number of officials. controlled from the centre. These officials constitute the bureaucracy.
Hence the bureaycracy is associated with capitalism and the nation state. This also
suggests that if'capitalism and the nation state could be superseded, bureaucracy would
also become obsolete.
I 17.3 ROLE OF BUREAUCRACY
Feudalism continued in part for about two centuries even after the coming into being of the
nation state. In Prance, the Revolution of 1789 did away with some of the relics of
feudalism; however, it was only the Revolution of 1830 that led to the transfer of
power from the landlords to the capitalists. Similar changes tobk place in other countries.'
h e didsolution of feudalism and the ripe of capitalism m w t thd more arid more people
were now taking up jobs in factories owned by capitalists. Since handicrafts could not
compete with industry, artisans like weavers, shoemakers, blacksmiths, carpenters, and so
on, were thrown out of employment, and had to seek jobs in industry. The introduction of 1
newer and newer technology has always maintained some unemplqyment. Due to
'unemployment and poverty, workers in a capitalist society can be forced to pkrform
back-breaking labour, for long hours, at low wages. Marx has described in detail how even
childwn were exploited in the factories of England in the nineteenth century. While
working conditions in Western countrie!~improved due to the wealth Shey obtained from \
the colonies, and also due to unionisation of labour, capitalist exploitation can now be seen
in underdeveloped countries like India.
According to Marx, all value is produced, by human labour. b o w e ~ w o r k e r receive
s only
a poition of the value produced by them in the form af wages. The other portion, which is
retained by the capiklist, constitutes their exploitation. Hence exp16ita$on, which can be
measured in this way, is always present in capitalist relations of production,
The huge profits of capitalists are derived from the exploitation of a la& number of
workers. A capitalist cannot manage so many workers all alone. He has to employ
m.anagers for this purpose. 'These managers, and officials associated with them, constitute
the bureaucracy. Hence, according to Marx, bureaucracy consists of officials who
coatrol the workers on behalf of the owners or rulers. Its function is to get work out of the
workeys'under the exploitative conditions of capitalism.
The governmental bureaucracy has a,similar function in regard to workers empatsed by the
government. here are large number* of workers in government owned railways,
roadways, power stations, arid other undertakings. Large number of workers are employed
by the government in non-industrial occupations also, such as postmen, nurses, teachers,
'mechanics, and so on. Somc of the workers have a higher status than others; thus .
engineers, doctors, architects and scientists are also involved in productive activity, and
4
hence are workers with a high status. All these workers have to be kept under check. For .
%
t. :
this Purpose, control is exercised ov& them by the bureaucracy. Bureaucracy corkists .
of administi-atorsand managers whoado not perform the productive activity themselves, but
Bureaucracy only control workers. Thus members of the Indihn Administrative Service and also those
of State Administrative Services advise ministers and in consultation with them, direct,
supervise and control the workers involved in productive activity. In recent days in India,
doctors, engineers, teachers, nurses and other workers demonstrated for better working ,
Conditions and even went on strikes. Some of them were punished: the punishments were ,
administered by administrative officers, such as a Director or a Secretary to the concerned
government. On behalf of the government,if necessary, negotiations with the workers were
also conducted, b i administrative officers. These administrative officers, then, constitute
the bureaucracy: their function is to control the workers on behalf of the government.
Another function of the governmental bureaucracy is to help in maintaining capitalist
relations of productiop in the wider society. Thus,if workers in a private firm go on a
strike, the capitalist can get the help of the polkg for keeping them under check. The
government provides protection and assistance to private industry and trade in many ways.,
Thus it protects domestic industrialists from competition by foreign industrialists through
the imposition of import duties. It manages the economy through fiscal and monetary
policies so as to maintain effective demandfor goods produced by industry. It provides
means of transport and communication, electric power at cheap rates, and key goods for .
industry and agriculture. All these services to the private sector are channelised through
governmental bureaucracy. Ths governmenhl bureaucracy implements labour laws so as
to keep the wheels of industry moving and maintain the profits of the capitalists. Thus the .
governmental bureaucracy performs the important .function of maintaining and developing
capitalism. . I
According to Marx, the path to socialism lies, mostly, through capitalism. Hence, while on
the one hand the development of capitalism accentuates exploitation, on the other hand it
prepares the way.to socialism.
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117.4 BUREAUCRATIC POWER AND MILITARY

DICTATORSHIP
In the course of functioning as the instrument af-maintenrilSQeaRd d l e v e h p t ~ f

caiitalisrn, !he bureaucracy acquires power of its own The basis of its powkrls detailed
infomaticin, particularly secret information. That is why it jealously guards secret
information, not only from the people in general, but also from legislators and even from .
ministers. Ministers are busy with political affqirs and have to depend upon the
bureaucracy 'for information and adviw. Thus,the bureaucracy comes to save an important
role in policy formulation also. If unions and Dosociatioris of the people, and political
parties areaweak,they are unable to communicate the needs and grievances of the people
to the govkrnment. In this situation of political underdevelopment, the bureaucracy
becomes the main channel of communication between the government and the people.
Since the bureaucracy is better informed about the problems which the people face, than
9 even the so-called representatives .of the people, dependence upon it increases, thus giving
it .more an'd more power, Hence,in normal times also,fhe bureaucracy is quite powerful due
to the possession of secret inforktion; its power is'greater in underdeveloped countries
due to the weakness of unions of the people and of political parties. ~ d d e dto these is the
factor of the power hunger of the bureaucracy. Marx says that, "The bureaucracy Ltakes
itself to be the ultimate purpose of the state.... it comes i ~ t conflict
o everywhere with 'real'
objectives,"'~n other words, it attaches more imprtance to serving its own interests than
those drpeople and so becohq . 'a ~~arasitic
I
body ,
, There are ckrtain special siiuations in which the%ureaucracy itself comes to rule. This is
thd situation of a military dictatorship. i'he military is also a bureaucracy. Now-adays
there are military dictatorships in many underdeveloped countri~es,such asHig&a
,
and Brazil. ' ~ a r xprovides an explanation.for ~ u c hrule by the military rtnd-cim
bureaucracy, He suggests that when two powefful classes with conflicting interests k o t i t s
, bqually balanced in power, they let the bureaucracy rule to avoid continuous warfare .
F ,. . between themselves.
1
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Check Your Progress 1 Karl Marx

~ o t e : ' i) ~ s e ~ t tspace
i e below for your answers.
ii) Chwk your answers d t h t k ~ given
q _at the Cnd 6f the- unit.
1 -'Mentify the causes for the rLe of bseaucracy as- identified by Karl Marx.
... .. ,
.........................................
1 - - -
......................................................................................................................................
2 Explain the role af bureaucracy..
*
1 .. $ 3 What is the bastis of bureaucratic power?
I 17.5 CHARACTERISTICS OF BUREAUCRACY
We shall briefly discuss some of the features that characterise the bureaucracy as described
by Karl Marx.
-
17.5.1 Division of Labour ' I.
, Marx agrees that the division of labour makes the organisation of capitalist society highly
productive. However, he points our that the basic division of labour, which we tend to
overlook, is betw&n "intellectual and m&erial activity". While the workers perform the
, ' pyoductive activity, the capitalists and bureaucrats perform only intellectual activity.
Hence all the hard work falls on the workers in the name of the division of labour. Further,
the gains of higher productivity go mostly to the capitalists, who share these to some extent
With the bureaucracy, as indicated by-e bureaucracy's high salaries. So far the workers
are concerned, highh productivity tends ta!lead to higher unemployment among them, as it
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Bureaucracy happens when high technology is introduced. Increased unemployment tends to lower
wages also. Hence. increased pruductivity,due to heightened division of labour may lead to
I
little gain for the workers.
17.5.2 Hierarchy
Marx notes that hierarchy is one of the characteristics of bureau.cracy. He says that while
Hegel maintains that hierarchy prevents "arbitrary domination" by bureaucrats, the fact is
the very opposite. In his view, it leads to "inevitable" sins. Thus if an official does some
wrong to citizens, the tendency of his superiors is to protect him. However, if an official
stands up against a wrong being committed by his superiors, he gets punished.
Marx makes another interesting criticism of-hierarchy. He says, "The top entrusts the
understanding of detail to the lower levels, while. the lower levels credit the top with
understanding of the general, and so all are mutually deceived". Thus!the complaint of top
administrators often is that a good policy has been badly implemented; on the other hand,
officials at lower levels often complain about thefaultiness of the policy itself. This is
what has happened in regard to land reforms in India: the policy makers and those
responsible for implementation have been bla.ming each other for their failure.
,
17.5.3 Training
Marx notes that it is said, for example by Hegel. that liberal education humanises civil
'servants. He, however, maintains that the mechanical character of his work and the
compulsions of office lead to the.d&umanisation 07' the civil servant.
Marx is also critical of the recruitment of members of the bureaucracy through competitive ,
examinations. He says that members of a bureaucracy need statesmanship which cannot be
, I I
tested through an examination: "One does not hear that the Greek or R q ~ a nstatesmen
passed examinations".
Marx's class analysis would indicate that the main function of examinations is to ensure
that only persons of the upper class who can afford the costly higher education are able to
enter the bureaucracy. Apart from being costly, higher education inculcate's values and
:
attitudes which are supportive of capinlism. Higher education tends to create social
distance between the rich and the poor: highly educated pe~plegenerally think that they
are a class apart from the uneducated poor. Hence if a highly educated person is appointed
as a manager, the exploitation of workers does not hurt him. ' *
17.5.4 Rules
'Marx points out that bureaucratic minds are so bound in subordination and passive
obedience that they come to think that adherence to rules is an end in itself, and not merely
a means to an end. They come ,to attach more importance to rules than to human beings:
'
"Actual knowledge,seems devoid of-content, just as actual life seems dead".
The concept of alienation is one of Marx's important contributions to social science, and
1
particularly to administrative theory. It refers to the consequences of exploitation for man.
Since exploitation is inherent in the.administration of large-scale organisations in capitalist
society, they suffer from Mienation in an acute form. Alienationlhas four main aspects: i-7
I,' I
G loss of freedom, loss of creativity, loss of humanity, and loss of morality'.
<
Loss of Freedom
According to Marx, wherever there is exploitation, the exploivr Bs well as the exploited) .
suffer from alienation. Hence all the members of the organisation suffer from alienation.
"l'hus workers are under compulsion to take up jobs: they can no longer function as
independent artisans. Once they have accepted the jobs, they are und'er the authoritarian
command of the management. They are cderced, controlled and Jhreatened with
punishment. The managers also suffer from alienation because they are themselves
employees. The capitalist also loses his freedom. Marx points out that the capitalist is not
free to eat, drink, buy books, or to go to the theatre of dance hall, or even to think, love,
'
theorise, sing, pain1 etc., as he wishes. He is constrained by the nature of his business. To
increase his capital he must save; he cannot spend as he likes. .

b s s of Creativity Karl Marx

The characteristics of bureaucracy interfere with the creativity of workers. Such
interference is sometimes called a dysfunction. Thus division of labour interferes with
creativity. Because of division of labour,no worker produces the whole product. Hence the
worker has lost the creative satisfaction of an artisan or an artist. Hierarchy has the result
a
that do worker can say that he independently produced anything. The worker himself
becomes a mere tool. Rules ensure that workers are all the time under detailed control. The
administrator also loses his creativity. Thus the administrator in public administration is
anonymous. Even policy making has to be done jointly; even if an administrator is
responsible for drawing up a certain policy, he cannot take credit for it. The capitalist loses
his creativity because of the big risks involved in a large-scale organisation.
Loss of Humanity
In modem large-scale organisations,workers tend to function like machines, thereby losjng
their humanity. Due to division of labour most workers have no part in deciding the
objectives, or how these are to be fulfilled. The office is also structured like a big machine.
The workers, whether they are in a factory or an office, function like automata. They have
to repeatedly, and monotonously, perform a job without taking into account its
significance, or lack of it, for human beings. The managers are in a similar situation too;
for, they are also part of a machine-like structure. The kapitalist, or political ruler, algo
finds himself manipulated by impersonal market or political forces, and responds to these
without fully taking into account human values.
Loss of Morality
~ccordingto Marx, the loss of freedom, creativity arid humanity necessarily leads to loss
of morality. Thus,it is immoral to take away the freedom of workers and convert them into
near animals. Loss of creativity also leads to immorality: if engineers or doctors are more
interested in making.money than in building safe bridges or in curing patients, they
become immoral. Loss of humanity, in the sense of being insensitive to the suffering of
others, is certainly immoral.
Capitalism is based upon competition between nation states, business firms, political
parties, and so on. Since competition endangers survival, resort to all means, including
immoral ones, is often made for ensuring srlrvival in capitalist society. Hence, according to
Mar~immoralityis inherent in capitalism.
17;6 SHARPENING OF CONFLICT BETWEEN

CAPITALISTS AND WORKERS '
According to Marx the "class struggle" has been going on between the exploiting and
exploited classes th'roughout human history. In capitalist society also,the interests of the
capitalist class and the working class conflict with each other, and so their struggle goes
on. Marx maintains that while on the one hand, bureaucratisation helps the development of
capitalism, on the other hand it also prepares for the latter's overthrow. The formation of ,
large-scale organisations brings workers together. "Their concentra~ionin industrial.
locations helps them to organise. The development of the means of transport and ,
communication helps them to expand their organisation. Their unions thus become
countrywide and powerful. After struggling through demanstrations and strikes, their
struggle begins to bring fruit such as higher wages and the shortening of the working day,..
Finally, the organised strength of the workers is able to overthrow the exploitative
capitalist system through a revolution. With capitalism goes bureaucracy also, for the main
function of bureaucracy, namely controlling workers, no longer needs to t)e performed.
Capitalism, which really was the dictatorship of the capitalist class, is now replaced by the
dictatorship of the proletariat. The dictatorship of the prolekiat is a short-lived period for
the ushering in of the new socia,list society. The new society is classless, and so has no
need for the state, since the function of the state is the maintenance of the domination of
one class over another. Hence the state &tidually withers away.

Bureaucracy
17.7 ADMINISTRATION IN MARX9SSOCIALIST
a ,SOCIETY
Marx did not ny to describe in detail the nature of the future socialist society, since that
would be utopian: It will be what we make it to be. Instead of speculating, Marx examined ,
the nature of the Paris Commune which had been. set up after a revolution. The
administration of the Paris Commune can give US some idea of the possible nature of the
adniinistration in the socialist society of the future, as follows:
* There would be "self-government of the producers"; in other words the new society
would be wholly democratic.
* The standing army would be disbanded; the people themselves would take to arms
when need arose.
There would be communes at rural, district and national levels.
3
The central government would have only a few important functions: there would be
decentralisation.
The system of election would be indirect and based upon universal suffrage; all the
elected members would be subject to recall at any time.
@ The commune would be both, an executive and legislative body.
@ The police would be stripped of its ~oliticalattributes and turned into respo'nsible and
revocable agents of the commune..
@ he public drvice would be done at workmen's wages.
Education would be free and accessible to all.
Judges would be elected, responsible and revocable, so as to be free from control by the
government.
17.8 CRITICAL APPRAISAL

Marx has been criticised by various writers on a number of grounds. We shall Consider
some of the criticisms.
It has been said that Marx's hope of ending class domination is unrealistic since
domination has always been there. In response to this criticism, however, it can be said
that what has not happened in the past can happen in future. Human beings are free to
make their own future, despite constraints.
Another criticism is that Marx's hope that large-scale organisations like the nation state
can be done away with is unjustified. And if large-scale organisations are there,
bureaucracy will also be there. However, it is notable that the nation state arose only with
capitalism. Capitalism makes for largeness of organisations because of competition. In a
society where competition is no longer so important, largeness may be avoided. New
technology also seems lo be leading in the same direction. Thus the use of solar, water and ,
wing power is likely to reduce the need for large power grids. Electronics also makes for .
smaller machines. Smaller machines make for smaller organisations.
It is sometimes said that equality can never be achieved in practice, since human beings
are born unequal. However, the fact is that every human being has some creative potential.
The reason why only some people seem to be capable of big achievement is that many
people get no opportunity for the development of their potential.
It is held that competition and inequality of rewards are necessary for providing
, modvatiotl.' The fact,.howeyer, is that the greatest achievers like great artists and scientists
of the past never competed, except with themselves. 1'n a normal person motivation is
mostly due to the creative urge; competition makes for unnecessary tension leading20
diseases.
- Aggression, it is sometimes Held, Is natural to human beings; hence wars and standing
28 ' armies cannot be abolished. However, the view that aggression is natural to human beings
I
is considered to be obsolete. Now it is considered to be associated with abnormality, if it is Kay1 Marx
in an acute form.
Marx is sometimes criticised for supporting dictatorship. We have noted above, however,
that Marx stood for self-goveminent of the workers. The short-lived dictatorship of the
proletariat is needed only to deal with the prevailing dictatorship of the capitalist class. .
- -
Check your Progress 2
ii) Check your answers with the answer given at the end of the unit.
1 What, according to Marx, are the characteristics of bureaucracy?
2 Describe the facets of alienation of bureaucracy as identified by Karl Marx.
3 Explain the features of administration of Paris Commune.

......................................................................................................................................
.......................................................................................................................................
4 What are the major criticisms on Marx's anaiysis of bureaucracy?
......................................................................................................................................
.............................................................................................................
......a<.
......................................................................................................................................
1

.--.. I
Bureauciacy
17.9 LET US SUM UP
In this Unit we have discussed about the views of Karl Marx on bureaucracy. He"provides
a serious criticism of Marx Weber's ideal type of bureaucracy. His'explai~ationof
bureaucracy and its characteristics provides an alternative perspective on the nature of
bureaucracy.
17.10 KEY WORDS
City-State : A State consisting of a sovereign city and its dependencies.

Commune : An association whose members own everything in common, including the
product of their labour.
Trotskyism : The Theory of Communism of Leon Trotsky (1879-1940), Russian
revdlutionary and writer, in which he called for immediate worldwide revolution by the
proletariat.
Utopia : Any real or imaginary society, place, state etc., considered to be perfect or ideal.

- - - - - -
1 Albrow; Martin, 1970. Bureauo.acy; Macmillan: London.

2 Bbattacharya, Mohit, 1987. Puhlic Administratiorr; The World Press: Calcutta.
3 Prasad Ravindra, D., et al., (eds), 1989. Administrative Thinkers; Sterling Publishers: .
New Delhi.
4 ~eshadii,K., 1982, Marxist Interpretation; Administrative Change, Vol. 9, No. 2
Jan-June, pp. 175-203.

EXERCISES
..
1 See Sec. 17.2.
2 See Sec. 17.3.
3 See Sec. 17.4.
1 See Sec. 17.5.
2 See Sub-sec. 17.5.5.
3 See Sec. 17.7.

UNIT 18 'REPRESENTATIVE
BUREAUCRACY
Structure
18.0 Objectives
18.1 Introduction i
18.2 Meaning of Representative Bureaucracy
'18.3 W y Representative Bureauc~acy? I
18.4 ~it"ationin U.K. and U.S.A.

18.5 Situation in India
18.6 Limits to Representativeness
18.7 Conclusion
18.8 Let Us Sum Up
18.9 Key Words
18.1 1 ' Answers to Check Your Progress Exercises
18.0 'OBJECTIVES
' ,
After studying this uliit, you should be able to:
explain the concept of Representative Bureaucracy
' je explain. the grounds advanced in favour of Representative Bureaucracy; and
gra.$'the'prrctical di~c'ultiesin the way of the realisation of representative
, , bureaucracy.,
I .
18.t INTRODUCTION
. s
~ u r e a u c r a cis~an instrument and a means of Public Ac!tninistration. But -because of its

duqble, stablenature and expertise, it becomes a repository af autHority ahd power in the .
state,.The political executive cannot do without the help of .bureaucracy. Thexitizens have
more contacts with it than with the members of the politicil executive, I
Political democracy entails the attributes of responsiveness, responsibility and

representativeness for the bureaucracy. The first two attributes have been realised, bbt the
representativeness is difficult to realise. n e factors in the sociological composition and
economic structure of the society underline the environment for its realisation.,
Bureaucracy, as an organised, systematic institution of the state as a part of the democratic ,
politiqal structure, has come'into existence first in the West and later in other polities. In
this unit we shall Ascuss about the concept of representative bureaucracy.
I
8
18.2 MEANING+OFREPRESENTATkVEBUREAUCRACY
.7
. L 1
. . \
<,
~ i k gavernment,
e bureaucracy in modem times is expected to be responsive, responsible
and representative innrelationto the people of the country. It has to be responsive to the ,
desirqs of the people. The functions assigned to it by the government, (that is the executive):
have to be performed by it to theirsatisfaction, Modem bureaucracy has to be responsible
.to .the peoplk through the ministers who are responsible to the people, being duly elected
every five years to the parliament or legislature. These two features of modern
'bureaucracy have been realised in democratic political systems as in 1ndia.The feature of.
,bureaucracy being representative of the sociologikal composition of the population in a
Country has been difficult of realisatiog. In Western countries like Britain and France. the

C
Bureaucracy
Downloaded various economic strata or divisions
from:- https://t.me/Pdf4Exams of the population, particularly the lower classes, are
not represented properly in the composition of the higher level bureaucracy or civil
services.
The meaning of representative 'J~reaucracyis not verq. clear. It is understo0d.a~a civil
service representing proportionately every caste, class and religious groups of the
population. It is also interpreted to m e a ~that it is a bureaucracy consisting bf all social, ' -
religious and racial groups of the society.

Concept of representative bureaucracy is that broad social groups should have spokesmen
and represenktives in administrative as well 'as political positions. The term representative
bureaucracy was coined by Donald J. Kingsley in his book 'Representative Bureaucracy' j
' !
published'in ,1944. He argued in his book on the need for liberalisation of social class
'
selection for the bureaucracy in England. He argued that only representative bureaucracy
would respond to changes in political currents whereas a non-representative burkucracy ,.
would sabotage the demand of a party whose policies may'be at odds with the class from
which bureaucracy is drawn. Kingsley's argument is that representative bureaucracy is
necessary because there must be-some administrators sympathetic to the policies of the
party in power. In a dernocracy;he fel't competence itself is not enough. He also argued that
.public service must.be representative:if the state is to liberate rather than to enslave'.
Thus the concept of representative bureaucracy was evolved toargue for a less elite
oriented and less class biased bureaucracy.
The term representative is not new; it was evolved through history. For example, Max
Weber suggested a typology of representation viz., ( 1 ) Appropriated Representation~itis
an anc;lent form mostly based on hereditary rights; ( 2 ) Representation on the basis of
socially independent groupings. This would be a socially privileged group asserting the
right to bind others; (3) Instructed Representations; and (4) Free Representation. The first
three forms of representation are fairly known in early times and the fourth i.e., the free
representation is unique and is on the rase in n~oderntimes.
18.3 WHY REPRESENTATIVE BUREAUCRACY ?
'The plea for represelitative bu&aucracy is advanced on several grounds: Firstly

bureaucracy is an instrument or organ of government. A genuine democracy ought to have
a repiesentative tegislature or parliament, a representative executive, that is ministry, and ,
. also a representative bureaucracy i.e., civil service. Without the bureaucracy being
representative, the country's political system would not be entirely democratic, because.al1
the laws and rules and polices of the government are finally put into action by the
bureaucracy or civil service.
The second ground for bureaucracy to be representative is that the welfare and
. ' development fpnctions meant for the poorer or disadvantaged sections of the societ-. would
not b$'.filfill& to the satisfaction of these sections of the society unless the elemerits
belonging to tde poorer section handle those functions. This is the same ground on which a
modern legislature or a modern executive is constituted to be essentially representative of
the entire adult population in the country,
Another ground for representative bureaucracy, advanced in Britain, during the inter-war '
and post-second World War years and in India after independenct, is based on the need
' for a harmonious or at least congenial, relationship between the political elements
including ministers, and the' higher level civil serv-ants.The ministers and legislators in a
democracy tend to cume from lower economic or social sections in larger numbers
progiessively at successive elections to parliament,or legislature or local governments,
Further, their advice to the political executive would be narrow in range. A crisis of
understanding arising out of lack of identify of views and outlook might develop between tl
political executive (and a ~ s drepresentatives) and the civil servents. The possiblity of
disloyalty of the higher civil serants to the political executive may be for away, but occasior
, of differences of opinion,. and at times of conflict, are a distinct possibility. The
political and administrative literature both in ~ r i t a i nand India has recorded sev8a1

instances'of such disharmony between the political e ~ e c uve

f and the Representative Bureaucracy
higher civil Servants.
I
Check Ymrr Progress 1

1 What is representative bureaucracy ?
......................................................................................................................................
; 2 €xplaih the need For repreientative bureaucracy .
18.4 SITUATION IN U.K. AND U.S.A.
Situation in U.K.
The social camposition ot tne administrative class in Britain is elitist though the working
class and lower middle class entrants to it have increased in number with the spread of
higher education among them. Philosopher Bertrand Russel, therefore, wrote about the
public school as the "appropriate educational ins@umentl'of the ruling oligarchy. But the
progressive diffusion effect of the Education Act of 1944 is now in evidence in the pupils
of the working classes receiving university education in growing numbers. Some of the%
recent university graduatg, from working classes. are now entering the higher civil service through
open competition, besides being promoted from subordinate grades.
It is true that during the post-war years even scholars of working class origin were
educated at these prized universities with the help of state scholarships. The scholars from
other universities also failed to appear at the competitive examinations either because their
courses did not equip them for this as well as Oxford students or they felt less confident at
the interview in the competitive examination. An analysis of the applicants for
appointment as administrative trainees in the 197 1-75 period has shown that a fifth of all
applicants but half of the successful applicants possessed Oxbridge degrees. To an extent,
the Oxbridge lead in the open competition to the administrative class does imply denial of
Bureaucracy representation towthe other universities and their students in the most prestigious civil
1 service of Great Britain. In 1966, a significant component of the total membership of the
, administrative class to the extent of 40% were promoted from lower ranks, compared with
only 13% of the permanent secretaries and deputy secretaries. This factor of the situation
has also somewhat lessened the elitist heights of the administrative class in Britain.
In Britain the representativeness of bureaucracy or higher civil service is affected or
reduced by two factors : (i) Predominance in the higher civil service of the honours -
graduates of the universities of Oxford and Cambridge (of Oxford after the Second World
War) among whom there is a large percentage of students from select public schools, to the
neglect of honours graduates from other British Universities. (ii) Over representation of the
upper and higher middle classes in the higher civil service in comparison with their
proportion in the country's working population resulting in the under representation of the
lower social strata of the population. I
Situation in U.S.A.
Even in the United States of America with its more egalitarian educational system the
bureaucracy is not representative. In U.S.A. jabs iit,Public Adminisiration,at three levels*
Federal, State and Local, have not been as attractivk as thejobs in the private-'sbctor.
Self-employment in business, industry, shopkeeping and independent professions has also
been favoured as being in keeping with the independent spirit of the Americans. Further, a
unified career civil service in U.S.A. is of recent origin, and even now it engages a very
small percentage of the total number of middle 1evel.jobs in Public Administration.
Specialist and technical jobs in Public Administration are in majority, and officials holding
these frequently move in and out. In Britain and U.S.A. there is under-representation of the
manual workers in public administrative higher level services in comparison with their
share in the total working population of the country.
18.5 SITUATION IN INDIA I
The researches conducted on the sociological profiles,of the higher civil services,
particularly the Indian Administrative Service, are very few. But by and large, these
studies have brought out that the higher civil services-generalist as well as
specialist-contain a large repiesentation of upper castes, higher income level families and
urban dwellers. The lower castes and classes, and rural dwellers are represented in them in
smaller numbers. The principal reasons are three. Firstly, the spread of higher education
among the lower castes and classes is slow, although after independence it has picked up in
extent and pace. Secondly, the proportions of drop-outs from primary to secondary, and
from secoiidary to university level have still been high mainly due to economic reasbns.
Thirdly, the minimum educational standard for eligibility for the competitive examinations
at the higher services is graduation. But the preparation for the competitive examination
takes a~coupleof years more after the passing of the first graduation: B.A., B.Sc., B.Com.,.
etc.
Several concessions have been given to the scheduled castes and tribes by the central and
state governments. The normal age of recruitment for various services is relaxed by a few
years in favour of these weaker sections. Application and examination fees are exempted
for them. Migration Certificate is issued to the SC/ST persons irrespective of whether the
state to which they have migrated has or has not recognised their caste as scheduled.
Coaching classes have been set up by government and universities at various places in the
c o u n i to prepare the candida~sof these sections for appearing at the competitive
examinations conducted by the union and state governments, nationalised banks and other
public guthorities. Scholarships are liberally granted to the candidates of these
communities to enabk them to avail the coaching provided at these classes. Arrangements
have been made for orien~tion/app~,ciation training for their knowledge of the safeguards
in regard to recruftment prescribed by various governments. 1nsekice training is also
imparted to them for the improvement of their efficiency in service. Machinery has been
set up for the redressal of their grievslnces in these respects. The Commission for
Scheduled ~a;?tesand Scheduled Tribes set up by the Government of India in 19.78 has
established field oficers to investigate into and report the status in this regard all over the
country. These field offices have been authorised to establish contacts with the various
government departments and agencies to ensure the observance of the reservation and
other safeguards, concessions and facilities by them in regard to services, social, economic Representative Bureaucracy
k d legal treatment and execution of development schemes and
18.6 LIMITS TO REPRESENTATIVENESS

Though in principle the ptea for representazive bureaucracy has been accepted, a number
of practicaSdifficultiesstand in way of its realisbtion. The Generalist service
personnel are selected on the;basis of educational qualification, say a bechelor's
degree of a university, and within an age limit preferable at a young age of
twenties. For specialist services, requisite specialist, i.e., technical, professional or
scientific, qyalifications are necessary. In cases of senior posts, experience in respective
areas, say engineering, statistics, computer programming, etc., is called for. The membtirs
of the lowers classes in society are not in a position to receive university education, mostly
because their parents/guardia$s cannot afford to send their childrenlwt~dsto the colleges/
uniuersities. In some cases the drop-out of pupils belonging to backward sections is due to
age-old social and cultural backwardness. In reskct of specialist posts it is still more
difficult for the socially and gonomically backward sectib;nsto compete because they
have not been able to receive specialist degrees, as for example in engineering, medicine,
agronomy, etc. If they could not receive specialist degrees, acquiring experience in such
specialist positions is not possible for them.
The govemment se,wicerequires skills and training,different from those needed by the
society. Chester Bernard, for example, has argued that the introduction of technological
innovation requires managerial capability. Managerial functions are not routine and cannot
be undertaken by anyone. It needs the ability to act under pressure, and officials must
assume responsibility under conditions of risk. These skills are not developed in the
society. The administrators also require greater training in the specialised functions like
the police or public enterprises or welfare programmes, etc. It also requires special
qualities and attributes like possessing prescribed height which is a pre-requisite for police
service., These skills and attributes are important to carry out the assigned tasks which put
limits on the representativeness of bureaucracy. The governments may make 'adjustments
and give relaxation in these skitls and attributes, but one has to acdept that limits exist in a
bure'aucracy qnd total representativeness is not possible.
rn a plural society, the representative bureaucracy will have adverse consequences.
Insistence on representation of different social, ethnic or geographical groups is but an
invitation to parochial and narrow mindedness. The bureaucracy in such a case wobld
' represent devisive forces than becoming a homogeneous and integrated system. Again,
merit bureaucracy is the result of limitations in the recruitment based on ascriptive
# considerations. If bureaucracy is to be representative it is an invitation to ascriptive groups
which undermine rationality and logic on which the present system of merit bureaucracy is
based. Bureaucracy is dased on professionalism, rationality and homogeneity. Introducing
representativeness is 'to introduce heterogeneity into the bureaucratic system. Thus
representative bureaucracy, by definition, becomes a contradicti6n in terms.
Representative bureaucracy is a concept associated with the realisation of the political
ideal of representative democracy. In both the popular democracies of the world polity,
Britain which is the mother of parliamentary democracy and the United States of America
which is the largest democracy in terms of geographical extent, the concept of
, representative bureaucracy is not fully realised. Even in the Soviet Union,marked for the
extension of'economic and social equality, the idea1,of representative buteaucracy.has not.
been fully realised. The realisation of economic and social equality among individuals in
society in a political system would not wipe out varying intellectual abilities and mental
aptitudes of different persons ,arnonR the aspirants for.the administrative positions at
various levels of government and administration. In,a counuy like 1ndia and tribal
communities an secluded from the kivilissd gtgmnts of the political community, resulting in
their cultural, social, economic and educational backwadness.
Along with the attribute of npnsenrlng the material aspirations of the society, the
burnewracy has to be efficient and effective in the performance of its varied functions

l?ureauerncy towards the different sections and strata of the society. The efficient and effectne
performance of administrative functions requires selection of bureaucracy on the basis of
merit and aptitude. This also brings in another constraint on the full realisation of the
concept of representative bureaucracy.
118.7 CONCLUSION
Representative bureaucracy makes a modest contribution to the stability of the political

institutions by ensuring that the general feeling and interests of all groups are taken into
consideration by the bureaucracy while formulating policies and implementing them. But
the fact that bureaucratic responsiveness to the public is influen& less by the represqnfative
character and more by other factors should oot be overlooked. What is important is that
bureaucracy should be responsive, responsible and efficient in every ~ountry,more so in
developing countries regardless of whether it is representative or not.
There are two important assumptions behind the concept of representative bureaucracy.
Firstly, every group has equal political rights in accordance with their proportion.
Secondly, civil servants carry the attitudes and prejudices of their class into the
bureaucratic positions. But both the assumptions are questionable. Firstly, in no society is
political power equally shared by all groups. Similarly the behavioural patterns of
individual civil servants ,are not found merely based on his location in a social group.
Behaviour, it is generally agreed, is shaped-by the dominant influences like experience,
education, socialisation, etc. This is evident from what V. Subramaniarn says on the
subject:
"We are familiar with aristocrats and rich heirs who have passionate sympathy for the
working class. On the other hand, the proportion of deviants among' the members of the
lower classes who work their way up is held by many observers to be high .........It has
been suggested that the men who climb out of the lower classes, the upward-mobiles, '
under present conditions anyway, shed their class sympathies either at the beginning of the
climb itself or halfway through. The proven existence of deviants from class nonns and the
probability of their high proportion among recruits from the lower classes shakes the
foundations of the basic argument for representative bureaucracy."

Note:. i) Use the space below for your answers.
ii) Check your answers with. those given at the end of the unit.
..
. .
, 1 How representative is the bureaucracy.in U.K. and U,S.A ?
................................................................................................................................
.. ,
......................
i.;:... ...:. a;..............................................................................
., ,
>..................
2 How representative is the bureaucracy in India ?

. What are the consmints ia achieving total representativeness in bureaucracy ? Representative Bureaucracy
18.8 LET US SUM UP
Like Govemment, bureaucmy in lnodem times is expected to be responsive, responsible

and representative 'of the people of the country. Unlike the first two features of
bureaucracy, the feature of representativeness in relation to the sociological conlposition
of the population in the country has been difficult of realisation. Withaut'the bureaucracy
being representative, the country's political system would not be entirely democratic.
Further, the welfare and'development functions meant for the poorer or disadvantaged
sections of the society would not be fulfilled to the satisfaction of these sections unless the ,
elements belonging to the poorer sections handle these functions. Representative
bureaucracy would also bring about congenial relations between the political elements and ,
the bureaucracy.
The realisation of economic and social equality among individuals in society would not
wipe out varying intellectual abilities and mental aptitudes of different individual persons.
The requirement of administrative efficiency and effectiveness brings in another constraint
on the realisation of representative bureaucracy. If every individual person in a political
system is assured of an equal opportunity to seek and get into a post at any level, even the
highest, in Public Administration, the concept of representative bureaucracy would be
nearer satisfactory realisation.
18.9 KEY WORDS
Egalitarian : Upholding the doctrine of the equality of mankind

Elite : The most powerful, rich or gifted members of a group, community etc.
~ o r n l ~ e n e o :uConsisting
s of similar parts
, Oligarchy : Govemment by a small group of people
Plural Society : A society having groups of distinct ethnic origin, Cultural forms, religion
etc.
Repository : Place where things are stored or may be found
1
1 Bhattacharya, Mohit, 1987. Public Administration;World Press: Calcutp.

2 Hill, M.J., 1972. The Sociology of Public Administration; Weidenfeld and Nicolson:
London.
3 Kingsley, J, Donald, 1944. Representative Bureaucracy,"Antitoch Press: Ohio.
4 Krislov, Samuel, 1974. Representative Bureaucracy; Prentice Hall: Englewood Cliffs,
New Jersey.
5 Singhi, N.K., 1977. Bureaucracy: Positions and Persons; Abinav: New,Delhi.
6. Subramaniam, V., 1971. Social Background of lndia's Administrators; Publication
Division, Government of India: New Delhi.

Bureaucracy
EXERCISES
1 See Sec. 18.2
2 See Sec. 18.3

1 See Sec. 18.4
2 See Sec. 18.5
3 See Sec. 18.6

ISSUES IN BUREAUCRACY
Structure .
19.0 0~jectives . I
19.1 Introduction ..
19.2 ~ e n ~ r a l i sand
t k Specialists
I 19.2.1 Relations between Generalists and Specialists
19.2.2 ~xpkrienccin U.K.and India
19.3 . 'Anonymity
19.4 Commitment
19.5 Let Us sum Up
19.6 . ICiywords *.
19.7 some Useful Books . .
19.8 Answers to Check Your Progress Exercises: .

* distinguish between generalists and slycialists and identify the problem areas in their
* explait] #he concept ~f anonymity; and
.* examine the concept of commitment.
k
You are aware that Public Administratioq.as an academic discipline,has(come into

existence with .themimportantp a s r of Woodrow Wilson on the Study of'Administrafion.
Eversince a hukber of thedries; a'pproaches and concepts'in administiation have been ,.
developed. In recent'years, administration is increasin&'alongwith the growing.functions.
In fact, there has been'a changk in the very natuie,of the state which is .reflected in.' 4
increasing functions. whi6h the governmerits are' undertaking. Another manifistation in this
change is the rapid'gro~thof civil services.',~ou .have seen in an earlier,unitfiow -, ,
F.M. Marx has called the modem state as'an admini$trative..statethereby signifying4he .-
role the civil seivice or bureaucracy play in the.,hodem state. This expanSi6n in the
bureaucracy as well as"increased role in the governance.'' thrown out several issues. The
'problem of relations'between generalists aild specialkts,,cammitment and neutrality of
.civil services, anonymity; corruption, inefficiancy,'iepresentati'k charycter of the , ,
bureaucracy, etc.,, are But a few issues. Intha previous unit we have discussed'about the
concept of representative biireaucracy and in this 'unit we will examine three i b i - t a n t
issues'of bureaucracy viz., relations between ger;eralists and specialists, concept of
anonymity and commitmeit of divi~services. ,
. . ... .. . ( ' .
.. .
8
19.2 GENERALISTS AND SPECIALISTS ' .*, .

.! In modern timesthe functions of Public Administcation are becoming varied and complex
due to its new re~~onhbilities as the executive organ of welfare state. In modem times,
particularly af.jer the First World War, the 'state has undertaken numerous functions like
relief to the unemployed; conduct of basic industries .like steel, rnachine'building, mining, .
nuclear energy, air transport, care of thcpersons suffering from deadly diseases like '
cancer, etc. To look after these and other diverse funktions .specialists are apeinled in
growing numbers in qublic Administration at various levels. The administrators,
I , ?

particularly g'higher levels, are classified as generalists and specialists. Specialists are
those who have specialised in terms of their educatipn and experience in administration in
specific subjects or disciplines of study. Engineers, medical doctors, statisticians,
scientists, chemical technologists, computer programmers are some of the examples of
specialists.
Generalists are not specialised in the course of their education and/or further training. An
entrant to the civil service might have graduated in literature or history. By virtue of his
graduation he is not specialised to be posted in'a particular department or job dealing with
a specific subject of Public Administration like agriculture, health, social welfare. He
might have graduated in Chemistry or Biology, but in his administrative career i t is likely
that he does not perfonn duties in a department or a job concerned with a sector of Public
Administration mentioned above. ~ J w e v e rif, he is offered aq administrative career
iqvolving supervision, control or direction per se and not connected in content with
administration of a science subject of his'specialisation, he would be a generalist. A
district collector by his education might be a scientist. engineer or historian, linguist or
social scientist. His duties are generalist in nature covering functions such as collection of
land revenue, maintenance of law and order, etc.
In any administrative institution as we go higher and higher in, the level of responsibility. -
functions become more and more generalist in nature. Even in technical departments.the
heads of the departnient are engaged in the ,generalist functions of policy-making, control
of the administrative machinery, direction, supervision and control of the employees,
coordination within and outside the organisation in his charge, and public relations. No
doubt these functions have substantial content of the subject matter of the respective
departments. The issue of generalists vis-a-vis specialists has come up in recent times for
discubsion and debate' on account of the organisation and responsibilities of their cadres or
classes in public or civil services. In the first place,they are organised in separate
hierarchies i.e., groups having supervisor-subordinate relations between various lewls.
Secondly. the tasks of policy-making. control of adm'inistrative machinery and
management at highest levels are assigned largely to t h ': generalists in preference to the
specialists, barring few exceptions. Thirdly, generalists are moved from one department .to
another. one type d job to another, a department to a public enterprise or a local
government and 'back. without hindrance or obstacle. 'The specialists, on the other hand,
are transferred or promoted within their respective departments. Posts o%secretaries to
government deparfments and even of heads of most executive departments are reserved
for the generalists. This privileged position exercised by the generalists ha*a tendency to
offend the self image of the specialists, and in consequence,their morale and confidence.
The idea of the generalist civil service was based on three components: one, the entrants to
the civil service could occupy any post at higher levels of any of the executive (fidld)
departments and the secretariat of th'e government headquafiers with distinction yithout
inservice training. Two, they would advise the government ih policy-making, formulating
decisions-the basis of government's executive orders-operating the administrative
machinery, and putting the executive orders into effect. Three, the actual expert, tech~ical
advice in subjects like agriculture, heahh and medicine, forestry and so on, would be given
by the subject matter technical officers and scientists (the agricultural scientists, doctors,
forest officers, engineers, etc.) in the functional departments (agriculture, health and
medicine. etc.'). Such expert technical advice could be grasped and absorbed lnto policy
making and decision-making processes by the generalist civil sentants. Unlike in
other countries Such as France, in Britain and India the Secretariat departments in at the
government headquarters are headed by the generalist secretaries which areseparate from
the executive 'departments like industry, transport; home, agriculture, health and medicine, '
education, industries, cooperatives, mostly headed by technical officers (but in few cases by
the generalists).
19.2.1 Relations between Generalists and Specialists

The issues relating to the relationship between the generalists and the specialists need to
be dealt with in slightly.greater detail.
Two arguments are advanced with regaledto the generalists being elevated to highest
positions of the administration, important from the points of view'of rendering advice in
policy-making by the ministers and direct control of the executive machinery. First]? 'he
liberal educition enables the graduates who are selected on merit by an indepeneent and
impartial Public Service Commission, to have broad outlook, intelligent mind and
flexibility of approach in regard to administrative problems and issues irrespective of theit :
subject matter content. The second ground relates to the mobility of the generaliq entrants
in the civil service. .As they move from one department to another atld from one position

to another, their ability to adjust to and assimilate different experiences-functional,

public and political-increases and their qualification to hold higher positions in any
department and post is strengthened.
Arguments in favour of the generalists are put in various statements, but they are
essentially based on one or the other of the above grounds. The generalists perfom the
role of a mediator, a referee between the expert and the politicia11, the people and the
government, the pressure groups and the public interest represented by the parliament and
the executive, with conflicting points of view. The generalists are close to the "Minister's
mind". They act as an antidote to the rule by the technocrats ("the technocracy"). The
two roles of the technocrat who has a function or an aspect to plead for, and the generalist I
who is a mediator, coordinator and integrator can never be fused into one administration or
a single hierarchy. The specialists are also not sufficiently cost-conscious, they identsy too
closely with the clientele of their own department.
I
The specialist's case for being placed on an equal footing with the generalist in the matter
of appointment to highest positions in administration is advanced on the grounds of default
of the generalists who have occupied highest positions in different departments and of the , I :
special merit of the specialists for occupying highest positions in their own functional
specialities.
During the nineteenth century the specialised knowledge required in Public Administration
was not clear: The generalist discharged the role of a night-watchman over the limited
functions of law and order of the state of the nineteenth century. The generalists, due to the
absence of the necessary education or post-service entry training, have not developed the
essential professionalism, nor the adequate knowledge in depth in any one aspect of
department's work and "frequently not even in the general area of activity". ~ h e s e
deficiencies have led to improper policy-making and has prevented a fundamental
evaluation of the policies framed by them. The result is also visible in the ineffective
methods adopted to execute policies. The generalists have not acquired the necessary
knowledge for changing policies or charting altogether new policies. The generalists are
engaged mostly in planning and are away from execution. This results in unrealistic policy
decisions. Staff and line functions can be segregated in Britian, but not so much in India.
Generalists have not received post-entry training to make them suitable for specific a
functional or positional responsibilities. Generalists "misunderstand (technical) advice or

do not obtain it at all". The generalists cannot undertake forward planning firstly because
they are not equipped with necessary knowledge of the developments in paTii'cular subjects
like en ineering, agriculture, education, health, medicine, forestry, industry, etc., and
f
second y tbey move from qne department to.anofher ind at times even out of a
department to a public enterprise or to a semi-governmeni institution like university.
It is actively canvassed on behalf of the specialists that, on the one hand the generalists
become better qualified to hold higher positions in administration in different departments
at all levels because they themselves have fashioned the system in their ewn favour, and
on the other the specialists in spite of they being better equipped are deprived from
occupying high, nay highest, positions like secretaryship in their own departments.
Scientific training inculcates an objective spirit in the specialists which"1essens the alleged
functional b'as with them. The generalists are neither completely free from (personal) bias
d
in the cou e oVthe administration. Similarly, the criticisms of the specialists not being
cost-conscious and identifying too closely with the clientele of own department, may be
shared by the generalists. Education per se has nothing to do with the administrative
ability. A case for broadening the technical and professional courses can be made
independently. Such brbadening would stand in better stead in the service career of tbe
candidates at the civil services competitive examination qualified in these courses. The
dual hierarchical structures,comprising the generalists and the specialisrs respectively,not
only mar administrative efficiency but also breed discontent among the specialists. The
gains from the abolition of these dual structures would be various. Frustration among the
specialists would be avoided. This would result 'in easier and more effective
~ommunicationbetween the two groups-the generalists and the specialists. Better expert
advice would come forth from the specialists. ,Administrative work handled by them would
be simplified and speeded up and wastage would be avoided, .
?'he 'inte~li~knt
amateur' theory prevalent in Britain during the nineteenth century does not
seem to be applicable to the recent times, particularly dfter-the Second World War.
Beyond drafting, more knowledge and other skills would be called for incthe civil servant.
A welfare state Came into existence in Britain after the Second World' War, and in free
, India, a democratic socialist state based on the concept of planned development is in the
!
process of realisation. The functions and responsibilities of the administrator have not
merely increased but also growri in complexity. Progress of science and technology has '
affected the content as well as methods of Public Administration. The introduction of the
computer has changed the nature of administration in respect of not only information
storage, retrieval and communication, but also the nature and pace of decision-making and
the relations between the citizens and the administration. The individual state is no longer
isolated but is a part of wider network of the international community. The selection
process of the generalists in Britain was biased in favour of the graduates of Oxford and
Cambridge Universities doing injustice to those of other universities.
Career planning is necessary both for the generalists and the specialists in the interest of
the development of both and the greater efficiency and effectiveness of the public
administrative system. Both have to be trained in the managerial functions and the
managerial techniques such as qualitative methods and economic analysis and common
body of knowledge needs to. be taught to bpth in the course of the post-entry training.
Communication and cooperation between these two components of Public Administration
have to be encouraged and built within the administrative systemand in the interstices of
the network of administrative relations.
19.2.2 Experience in U,K. and India

Different countries have approached the problem differently keeping in view the
administrative and political environment within which they operate. In the context of the
growing public criticism,of the inadequacies of the civil service structure in Britain
dominated by the generalists at the top, the British government appointed in 1966 an
inquiry committee chaired by Lord Fulton. The Fulton Committee proposed that the
scientists, engineers, economists, etc., with requisite competence should be absorbed in a
senior management group, from which higher positions in the administration should be
filled in'. I
In lndik the generalist and specialist controversy,wasdealt with by the Administrative Reforms
Commission's study teaim on Personnel Administration. It recommended,eight.
professional groups viz.. (i) Personnel and Manpower; (ii) Economic Administration
(including planning); (iii) Financial ~dministration;(iv) Agricultural Administration; (v)
Industrial Administration; (vi) Social and Educational Administration; (vii) Internal
Security and Defence; and (viii) General Administration. These groups would form the
basis for the selection from the different services of the personnel for (cases)
'consideration' as well as 'policy formulation' levels. The implication of the eisht-fold
classification drawn up by the Administrative Reforms Commission's study .team on
Persgnnel Administration was spelled out by the Administrative Reforms Commission. It
was that the Indian'Administrative Services shall no more be a generalist but shall have
purely functional role of Revenue.Admirlistration[Administrative Reforms Commission
I Report on Personnel Administration (April 1969), page 241. The Administrative: Reforms , '
. Commission was right in asserting that the constituents of these new professionalised '
groups would be contributed by different services including the Indian Administrative
Seryices ,and the specialist services. This professionalism could be developed only through
approptiate schemes of recruitment, training and career planning.
Similarly other countries like France, West Germany, Sweden, U.S.A., etc., which have
- distinctive,political systems, social conditions and civil semice systems of their own have
' formulated mechanisms to deal with this problem.
" .
. .
r T - , j ,:
. Check your Progress 1 -. .
; Note: i) Use the space given below for your answers.
! ii) Check your answers with those given at the end of the unit. _. ...,.....
1.1.. ..-.Wat.are .the.major issue? in 'bureaucracy'?
g . *:.....................*......................;.
L
.............................,,...........,,....,...,........,..................,.....
,,
.... , ... I
..

2 Why is the modern state called.'administrative stale"! Issues in Bureaucracy
......................................................................................................................................
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...................................................................... 2
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.......................................................................................................................................
...................................................................................................................................... '.,
\
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3 Explain the relation between generalists and specialists in Administ~at~on.
The rule or norm of anonymity of the civil service is the counterpart or the other side of
the coin of ministerial responsibility. The principle of callective responsibility in the
United Kingdom ensures the responsibility and accountability of the executive, that is
cabinet, to the parliament, to be precise to'the House of Commons. The minister's
individual responsibility m&es sure that for every act or wrong act or oversight in his
departmeiit a minister has to answei to the parliament. TQe rule of anonymity requires that
,for the official's actions or inactions their minister alone has to answer before parliament. ,
The official concerned, who canriot defend &pelf in parliqent, is thus protected from
criticism of parliamept. This does not mean that the official guilty of criminal acts'or
excesses under law or abuse of authority and power for personal ends cannot be held guilty
under the law.
The follbwing are different situaiions calling for different actions the minister in by
relation to the official: I
1) Arninister is to protect a civil servant who has executed his definite order.
12) 'A minister has to support a civil servant who has acted correctly in keeping with the
policy of the minister. . , /

Bureaucracy 3) The minister accepts the respolisibility for an action or delay of the official when the
issue is not an important matter of policy and in which individual rights are not
involved. The minister in these situations offers to take corrective action in his
department.
4) A civil servant's action is disapproved by the minister who does not know about it,
the action being worthy of blame. The minister in such case does not support the
wrong action of the official or defend the official's error. The minister in this case is
responsible to parliament for the wrong action of the official. The minister, however,
retains his power to co~itroland discipline his civil servants.
The above situations explain the principle of ministerial responsibility or the norm of
anonymity of the civil servant. The ministers are not in a position to excuse the failure of
their policies by pointing to expcrts or civil servants who have given the advice or to the
officials they have employed.
The principle of anonymity is to be distinguislied from the rule of neutrality and that of
impersonality. The rule of neutrnl~tyexpects the civil servant to be politically neutral.,He
has to give loyalty to the minister irrespective of the political party to which his
government belongs. The doctrine of impersonalily expects the civil servant to follow the
prescribed laws, r ~ ~ l and
e s regulations irrespective of tiis own person in case he has taken
up the charge of his particular post from another civil servant or irrespective of the person
to whom the case pertains.
The rule of anonymity operates in the case of legal and proper acts of the civil servants.
They are not required ro come out in p~tblicor face parliament in case of such acts; it is
the minister who then faces the people of the parliament. For illegal personal acts both the
civil servants and the ministers can be held guilty.
The civil servants in Britain are often given the simile of the fountains in the Trafalgar
Square (London) who are silent observers of the political events in the cabinet and the
parliament whose sites are located nearby. Similar nornis are applicable to the rdationship
in India between the ministers and the c ~ v i servants.
l The Indian Constitution does not
spell out the temls and conditions of this relationship, this is left to the conventions to be
evolved since the inauguration of the Constitution. The Indian Constitution gives security
of tenure to the service of the members of the ltidinn Administrative Service, other All-
India and Central and State Civil Services and those holding civil posts under the union
or a state, except for reasons of criminal charge, reasonable practicability or security of
the state (Article 3 1 1). The relevant rules issued by the executive define the terms 'civil
servant' and 'civil post' in terms of the master-servant relationship marked by the method
of empioyment and .the mode of removal from scrvice. The normal relationship between
the minister and a civil servant is based on tputual satisfaction of obligations to each other.
Civil servants are to render advice lo the minister in respect of policies, plans and
programmes as well as Iaws and rules to put these into action, on the basis of their
expertise. They are not to act in these respects to suil their advice to the personal or
partisan ends of the minister. Once the advice is given, the civil servant's function in this
behalf is over, He has then to implement the po~iciekand programmes and the laws and
rules as framed by the executive whether his advice has been accepted by it or not. The
minister in turn is not expected tn interfere in the execution of the government's policies,
plans, programmes, laws and rules. The All India Services (Conduct) Rules, 1968
prescribe that the civil servants have to avoid occasiolls of self-publicity, entertainment,
association with a political party-or its activities, etc., so that their anonymity is preserved.
19.4 COMMITMENT I
The term committed bureaucracy' appears in public and political debate from time to
time. To the extent the debat: indicates a stir in thinking among the vocal, articulate world
of politicians and the intelligentsia, it is a healthy sign of an alive public opinion ready to
rise to the occasion, when certain new programmes of development and a new social and
economic order have faltered in execution and need to be given a big push.
What does 'commitment' mean? It means engagement on the part of a human being that
restricts his freedom of action. If I, for example, engage to be honest, then such an
engagement would restrict my freedom to be dishonest, 'Commitment' when so defined
might appear as an individual phenomenon. However, commitment on the part of an
individual is a product of the value system of a given society in time and place. Of course, Issues in Bureaucracy
no society is so uniform and so homogeneous as to be informed and motivated by a single
and unique value system. But there is always a dornir~antvalue system. Some sections of a
society might wish to conform or agree with it; others might revolt against it.
Another fact about the value system and the commitment related to it might be noted. At
no stage of the evolution of human society from the most simple and primitive to the most
complex, would one find its members free from the constraint of a value system and its
concomitant commitments whether accepted because of social compulsions or because of
attainment of higher corlsciousness of rights, obligations, prohibitions and inhibitions.
While commitment is thus inextricably bound up with the value system in a society, the
origin of a value system itself and changes within it are intimately connected with the
socio-economic and political structure of that society.
The question is whether civil services ought to be committed or not? The answer to the
question is that the civil services are in fact committed. They are committed, first of all, to
themselves and their nuclear family. It is the nature of their commitment which requires
examination both in its origins and in its evolution.
These concepts need to be examined in a larger perspective of the provisions of the
Constitution, the framework of the political system contained in the Constitution, and. the
long term effects on the morale and efficiency of the elements involved, in this case the
civil servants and the judges. We are here concerned with 'committed bureaucracy'.
The Indian Constitution embodies the values of democracy, secularism and socialism
which are to be realised keeping intact the fabric of national integrity. The ideals of
liberty, equality and brotherhood have also to be given actual shape in the lives of the
people. The Preamble, the Directive Principles of State Policy ahd the Fundamental
Rights, in the Constitution, have to be kept in view in understandjng tile meaning,
connotation of the term 'committed bureaucracy'. Moreover, the frame of parliamentary
democracy and the federal structure of the country provide the mechanism in which the
concept is to be realised.
'Committed bureaucracy', obviously, is not a bureaucracy loyal to a particular political
party. The Constitution envisages free and fair periodic elections to the Lok Sabha and the
State Legislative Assemblies. At the union and in the states under the democratic regime
since the making of the constitution different political parties have come to powe; in the
past three and half decades. The federal structure laid down by the Constitution provides
for a contingency of political parties ol' different colours with different political ideologies
and programmes coming to' power at union and in states. In different states, different
political parties-national and regional-or their coalitions, may be installed in power.
The bureaucracy has therefore to serve under varying political parties' regime. Their
loyalty cannot be to a specific political party.
'Committed bureaucracy' also would not connote civil servants owing loyalty to particular
individual political person or leader. The frame of parliamentary democracy prescribed by
the Constitution involves the possibility of election of different persons as Prime Minister
at the centre and as Chief Ministers during a term of the Lok Sabha and State Legislative
Assemblies and also from one term to another. 'Committed bureaucracy' therefore would
I
not imply its loyalty to particular persons, but to'whosoever is elected as the leader of Lok
Sabha or Vidan Sabha. The civil servants have to give advice to ministers as secretaries in
making policies, and execute these policies in the field. Sir Warren Fisher, a noted civil
servant in Britain, delineated the minister civil service relationship, in the following
words. "Determination of policy is the fimction of ministers and once a policy is
determined it is the unquestioned and unqlrestionable business of the civil servant to strive
to carry out that policy with precisely the same energy and precisely the same good will
whether he agrees with it or not. That is axiomatic and will never'be in dispute. At the . =
same time it is the traditional duty of civil servants while decision' are being formulated to
make avail$ble-to .their political chief all;the information and expSienck at the?r-disposal,
arid to do tbis without fearjor Yavour, irrc$ective of whether the advice thus tendered may
accord or nbt wirh the minister's initial view. The preservation of integrity, fearlessness,
and the independence of tl~oughtand utterance in their private commission with ministers
or the e~perienced~officials, selected to fill the top posts in the service is an essential
principle in enlightened ~ O V ~ Z E Z Z ~ " .
'Committed bureaucracy' would therefore connote bureaucracy committed to the
. objectives, ideals, institutions and modalities contained in the constitution; the policies and
Programmes of the government; and the laws, regulations and rules issued by the
executive. The civil servants have to carry out the development and anti-poverty
- https://t.me/Upsc_Zone_Official
Bureaucracy
programmes in right earnest; if they fall short in this they would be better shifted tor,
regulatory depabents to which they may be attuned.
-Check Your Prbgress 2
'Noter' i) Use the space below for your answers.
1 Explain the concept of anonymity.
.....................................................................................................................................
.- ................................................................................................................................
2 Distinguish between anonymity,and neutrality.
3 Write a note on committed bureaucracy.
-- * . - -
19.5 LET US SUM UP
In this Unit we haye examined three important issues in administrktion viz., generalists
specialists controversy and concepts of anonymiiy atd cc~mtr~itment. We have examined
the nature of generalists and specialists, arguments in favour of generalists and specialists
and the nature of their relations. The concept of anonymity is examined in the context of
minister-civil servant relations in general and in India in particular. We have also
discussed the need for commitment on the part of civil servants to implement the welfare
programmes efficiently, and to realise the values of democracy, secularism ,and socialism.

Issues in Bureaucracy
1y.6 K E Y WORDS
Cadre: A basic unit or structure
Executive Department: Department responsible fdr carryiqg plans, orders, laws into
efffect.
.-
Moraie: Degree of mental or moral confidence of individual or group. I
Secretariat Department: Department responsible for makinglframing or policies etc.

1 Avasthi A. and, Maheshwari, S.R., 1980. Public Administration; Lakshmi Narayan
Aggarwal: Agra.
2 Administrative ~ e f o k Commission,
s 1969, Report on Personnel Administrdtion;
Government of India Press. New Delhi.
3 Muttalib, M.A., 1980. Democracy, Bureaucracy and Technocracy; Concept Publishing
Co,: New Delhi.
4 Sharma, P.D., "Generalists and Specialists in Administration" in Ramesh K. Arora
(ed.) Administrative Change in India; Aalekh Publishers: Jaipur.
Journals
(
5 Chaturvedi, M.K., "Cohmitment in Civil Service", The lndian Journal of Public.

Administration, Vol. XVII, No. 1, pp 40-46.
6 Dubashi, P.R., "Committed Bureaucracy", The lndian Journal of Publir'
-.I
Administration, Vol. XVII, No. I .
i 19.8 ANSWERS TO CHECK YOUR PROGRESS

I EXERCISES
f check Your Progress 1

1 See Sec. 19. I .
2 See Sec. 19.1
53: See Sec. 19.2
I ,
Check ~ o u r , . ~ r o ~ &2s. s
d
1 See Sec. 19.3
2 See Sec. 19.3
3 See Sec. 19.4

UNIT 20 FO AL AND INFORMAL
, .
Structure \ . , .
20.0, Objectives. ,
20.1 Introduction .
20.2 : Organisation: Meaning and Definition
20.3 Formal Organisation . . .
20.4 Characteristics,of Formal Organisation
20.5 Functions of Formal Organisation
. , I .
. 20.6 Informal Organisatioh I

20.7 Why Informal Organisation?
20.8 Characteristics of Informal Orgahisation I t
20.9 Dysfunctions o'fInforrna1 Or~anisation . .
20.. i0 Interdependence of Formal and Informal Organisation

20.11 Let Us Sum U p
. 20.12 Key Words
,
20.13 Some Useful Books ,
20,14 Answers'to Check Your Progress Exercises
. , . . . .
~ f ' t e f ~ have
o u read thii,bnit,. you
, . should beable.tp; ,,
.,
.
comprehend the m'eaning of organisation
'0 \ t
idenfify types of organisation, their functions and ch'aracteristics
i distinguish between formal and informal organjsation, and
* explain relations between the,formal and informal organisations,
..
'2Q.1 INTRODUCTION ,
Ofganisation is the framework. It facilitates proper utilisation of rnen;mat~rial and

money for the achievement of the goals. You will come across organisations in the;
pursuit of every day activities. The post office, the municipality, the bank, the officeof ,
the agricultural extension officer, the panchayat officje, the railway station, etc., are. .
' examples of gfganisations Which serve the community. When certain goals have to be-
achieved and when individuals have to come together and share the work and act with.
' understanding over a pefiod of time, an organisation is formpd. In this unit, we will
, examine the natureand importance of organisation, formal and informal organisations
and their characteristics and the relationships betweep the two types of organisations
for effective delivery of services.
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T@eeailiest form of organisation was the.family and over the period of time other fd&s
of organisatidns also came up. The industrial revolution ushered in the era o'f,mass
production of goods., Machines replicecl men and factories became centres of
production ushering in an era of big organisations. ' b
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Concepts in Orgnnisation-I The term organisation is viewed differently by different authors depending upon the
emphasis the author would like to lay upon. When you read a few definitions you will
come to know the significance attached by different authors. Morstein Marx defines
organisation as structure developed for carrying out the tasks entrusted to the chief
executive and his administrative subordinates in the government. The emphasis in this
definition is on structure. J.D. Mooney on the other hand, defines organisation as the
form of human association for the attainment of common purpose. The family, the
mahila mandals, the youth welfare associations, etc., can be cited as examples. In this
particular definition, the author lays stress upon the cooperative endeavour of human
beings. According to L.D. White, organisation is the arrangement of personnel for
facilitating the accomplishment of some concrete purpose through the allocation of
functions and responsibilities. The working of a public transport system can b e cited as
an example. The maintenance staff are entrusted with the responsibility of t h e upkeep
of the vehicles. The movement of vehiclesis the sole responsibility of the running crew
and the support servlces are provided by the auxjliary staff consisting of the clerical;
stores, personnel, finance, etc. It would be evident that different units are assigned
specific responsibilities and are held accountable for the purpose of specific task.
Gladden defines organisation as the pattern of relationship between persons in an
enterprise s o arranged as to fulfil the enterprise's function. The functioning of an
organisation depends upon the formulation of policy, preparation of plans in accordance
with the policy and their implementation. In an organisation the top management is
responsible for policy formulation, the middle management for programming atid
planning and the rank and file for implementation. The principle of hierarchy ensures
that the rank and file is accountable to middle management and middle
m&hgement is accountable t o the top management. Thus the superior subordinate
relationship mad; possible through hierarchy ensures the tasks are assigned and
responsibilities are fixed for different levels that facilitates the smooth achievement of
goals.
It would be clear from these definitions that organisation consists of structure, working
arrangement between the people who work in the organisation dnd the relationships
between them. In today's world one's life is inextricably interwoven with organisations
whether it be governmental, church, army, scPTool, club, public or private. It is in fact
very difficult to think o f organisations without persons and vice versa. Peopl'e in fact
work in organisations, derive benefits from organisation and are influenced by them.
Some times, the organisations may even produce frustrations and oppression.
We have noticed that organisations have been in existence from time immemorial. T h e
nature of organisation has'undergone modifications and with the passage of time, we
find that there are different types of organisations. Based o n the number of people
working in an organisation, they are classified as small or big. A school, with a single
teacher, can be cited as an example of a small organisation. On the other'hand, the
Indian Railways which employs over twenty lakhs of personnel is a good example of a
large organisation. Base'd upon the nature of relationship, organisations are also
categorised as simple o r complex. The family, where the nature of relationship is direct
and the activities are few is good example of a simple organisation. On the o*er hand,
the defence ministry, which is responsible for safeguarding the sovereign interest of the
nation, renders a wide spectrum of services traversing land, sea and air csveripg
different sectors both public and private is a good example of a complex organisation.
Organisations are also classified as formal and informal based upon the significance
attached to the structure or the human side of the enterprise.
For a proper understanding of working of the organisation, it is imperative t o
understand the characteristics and the functions of formal and informal organisations.
20.3 FORMAL ORGANISATION

O n e of the areas in the field of organisation t h e o v that has engaged the attention of
scholars is the role of formal and informal organisations. Formal organisation is o n e
which is deliberately planned and designed and duly sanctioned by the competent
authority. I t is the organisatiob as shown on the organisation chart or as described by.
manuals and rules. It is an organisation as it appears to the observers from outside. I t
is customary foiany organisation to prepare a chart forming the structure, T h e
foIlowing chart would serve as an illustration.

DEPARTMENT OF FOOD & AGRICULTURE Formal and Informal Orga~lisntions

1
Minister
4
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Secretary '
4
Joint Secretary
4
Deputy Secretary
4
AssistantIUnder Secretary
4
Section OfficerlSuperintendent
4
Senior Assistants
4
Junior Assistants
U
According to Chester Barnard formal organisation is a system of consciously

coordinated activities or forces of two or more persons. Barnard explains that
individuals agree to work in an organisation because they are prepared to contribute
their services and receive in return certain benefits. The working of the postal
departmertt can be given as a good example. The delivery of mail depends upon certain
intei-related activities like sorting of the letters, distribution of mail to the concerned
postmen and delivery at the door step of the individuals concerned. Louis Allen defines
formal organisation as "a system of well defined jobs, each bearing a definite measure
of authority, responsibility and accountability, the whole consciously designed to
enable the people of the enterprise to work most effectively together in accomplishing
their objectives". i
Thus formal organisation enables designing of an organisation, idefitification of various

levels for decision-making, all~cationof duties and responsibilities and ensuring
smooth performance. -+ a
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26.4 CHARACTERISTICS OF FORMAL ORGANISATION

Formal organisation is the frame through which organised effort is directed for
achieving the goals. It has certain distinct charact~kistics.They are:
0 Legal Status
Division of work
Primacy of structure
Permanence
0 Rules and Regulations
A study of these characteristics would enable you to understand the nature of formal
organisations.
.
Legal Status
A distinctive feature of formal organisation is that it is bpcked by legal Sanctions. The
establishment of any organisation at the government level requires the enactment by
padiament o r legslature: The Incometax Department owes its existence to the Income
Tax Act. The Municipal ~orporationsof Bombay, Delhi or Hyderabad have come into
existence on the basis of legislation enacted by the respective state legislatures. P~nblic
sector organisations like Life Insurance Coiporation, Food Corporation, etc., were
established on the basis of enactments by the union parliament.
The law which enables the organis tian to come into existence also confers authority.
2
The personnel Wyrking in the vari us departments in the discharge of their official work
are backed by the authority of law, For instance,, various enforcement agencies
which regulate the activities of either individuals or organisations do so only through
the exercise of authority vested in them: Legal status, is an important feature of formal 7
~rganisation.
I

Concepts in organisation-I Division of work
Sivision of work, which is the very basis for organisation to come'into existence', is
made possible through formal organisation. Formal organisation which indicates the
levels of management, the designation of officers and their area of operation makes it
very convenient for: the division of work. This enables, as we would see in a later unit,
the,organisation t o specialise in certain tasks or activities and realise the goals
effectively. For example, the managing direytor of an organisation is r7sponsible for the
achievement of the overall objectives of the organisation. However, ~twould be
impossible for him to accomplish the task without dividing the work amongst his
colleagues. When there is division of work, there is also specialisation because each unit-
concentfates on the specific task and the officials acquire expertise.
Primacy of Structure
In formal organisation, the'emphasis is laid on the design and structure. As Unvick has
noted that "absence of structure is illogikal, cl4uel,wasteful and inefficient". The
structure is clearly defined and the roles of individuals working in organisations is
clearly spelled out. The structure also describes the communication flows and the
relationships between members.'
Perrhanence
Forrrial organisations @rerelatively permanent than others. Though they adopt t o
environmental conditions and change the structure and even objectives, they are
generally created to last a long time. The formal organisations not only last long, but
they also grow over time. >
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, Rules and .kegulations
,
Another important feature of a formal orga"isation is that it functions in accordance
with well-formulated rule's a n d regulations. Officials working in formal organisations
cannot act as per their likes and dislikes but should function within the framework of t h e
stipulated rules and reg,ulations. For instance, if the hank has 'to sanction a loan to an a
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entrepreneur, the rules and regulations regarding the sanction of the loan should be
followed and the entrepreneur has to fulfil every dondltion laid down. The officer
incharge of sanctioning loans strictly follows these rules and regulations. Rules and
regulations limit thediscretion of the officials who exercise authbrity and ensure
$
objectivity.
2 0 3 FUNCTIONS OF FDRMAL ORGANXSATION -

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Formal organisation undertakes several functions. In the first place, it facilitates
. : determinationof gbals and objettives in the absence of which it would be&difficultto
I , direct skills o'f men and women to accomplish the stated goals. For inktance, the
I! . gbje~tiveof the postal depar'tment is to ensure speedy and efficient delivery of mail t o
the citizens. The objective of the defence ministry is to prbtect the sovereignity and
integrity of the country against any form of external aggression.
I .
Formal oiganisation spells' out the nature and scope of the activities of different units
within fhe oiganis~tion.In the case of the defence ministry ,"thearmy, navy and air force
6 ,
r are assigned sprtific roles to guard the land, sea and air. . L .
Formal organisation also facilitates the fulfilment of another importai;t function,

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I . namely, coordination. For ihstance, the sub-inspector of a police station coordinates a
,. the:activities of several &ad constables. The circle inspectors coordinate the activities
&
of several police stations each under the control o f a sub-inspector. Every higher level
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functionary coordinates theactivities of the officers imwediately below him.
~ c c o r d i tno~Allen, fdrrnal organisation sets up boundaries, sign and pathways
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which must be:followed. It provides basic structure through which government o r any .
other enterprise functions..The dis!inctive feature of formal organisation is the
impersonal relationship. Impersonal relation contributes to objectivity and
dispassionate examination of isshes involved so that the decisions can b e taken on-the .
8 ', meritspf the case. For example; in a cour$'bf law, judgements are delivered on the basis
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of evidence presented before the judge rathern than on an) other extraneous rrtal and l~~formal
Orfi,?nis~tir*r~s
consideration. In financial matters, an auditor who is exanlining the Elnancisl
traneactions should beguided by theafinancial rules, receipts iind vouchers iirmd
documentary evidences.

Note: i) Use tile space below for your answers.
ii) Check your answers with those given at the end of the u11it.
1 What is an organisation?
2 Define a formal organisation
3 .Explain the characteristics of a formal organisation.
4 Describe the functions of a formal organisation.

20.6 INFORMAL ORGANISATION

To obtain a total picture of any organisation, we must :ilso consider the i~iformal
structure. This is found in those aspects of structure which, while not prescribed by
formal authority, supplement or modify the formal structure. As in case of formal
organisation, Chester Barnard also highlights the significance of informal o~anisation.
According to him, informal organisation is the aggregate of personal contacts and
interactions and the associated grouping of people. Informal organisation is also *
defined as the pattern of actual behaviour of people working in an organisation. While
the forma1organisation emphasises on the structure, informal organisation emphasises
on personality and human emotions. The superior-subordinate relations between .
important officers niay be influenced by the commanding personality or the powerful
connections of the subordinates.
Most of the administrators are fully aware of the inevitability of the informal structure.
Adnlinistrators at all levels normally associate themselves with one or more informal
groups "buddies" from inside or outside the organisations. Presidents and Prime
Ministers have kitchen cabinets to aid and assist them. Members of this group may be
more influential than the more visible and formally established cabinets and their
committees. In any organisation, in addition to the formal channelsof ctsmmunication,
the .executivesalso rely upon informal communication lines. The 'grapevine' provides
very important information to the administrators about what the official actually feels
about the tasks and responsibilities and vice-versa.
Thus informal organisations are often viewed as shadow organisations and as silhouette
of formal organisations. They are ill-defined and difficult ta determine. They do not
have definite organisational goals. The relations between members, therefore, are not
specific. Spontaneous, unofficial and unstructured relations lead to favourable
sentiments which'in turn increase the interactions and strengthen the bonds of
identification. Because of informal nature, absence of goals and unstructured
relationships, the formal system of controls do nqt operate in informal organisations.
20i7 WHY INFORMAL ORGANISATION?

We have discussed in Block 2 that the individuals have needs and requirements which
they wish to satisfy. The formal organisatians do not satisfy all the needs of individual
members. Therefore, the members try to seek'satisfaction of their needs through other
sources. This results in the formation of informal organisations.
--
Hicks and Gullett identified several factors that cause the emergence of informal
organisations. We will now discuss some of these factors. Firstly, the individuals join a n
informal organisation to satisfy their social needs. As we have discussed in u n i t 13 :
individuals desire affiliation, relationships and desire companionship. If these needs ."
are not satisfied, he feels isolated~andgets dissatisfied. Similarly we have seen in Unit
10 hodMay0 explained that individuals when working in groups derive greaer
satisfaction. Thus, informal organisation comes into existence to fulfil social needs of
individuals.
Secondly, as Ch.ester Barnard has noted, individual derives personal comfort in soiial
relations whiclr is called solidarity, social integration or social security. Through social
contact, individual satisfies a need for identification and belonging. Infornlal
organisations provide greater opportunities for the individuals to prove their
capabilities which the formal organisations cannot provide.
Thirdly, every individual expeiiences tensions and frustrations in the drganiFations
while performing their jobs. T o overcome this, they seek compassion and
understanding. These are provided by the informal organisations. They serve as
'ielease vhlves' and in them indi\;iclua.ls find sympathetic friends who had similar..
experience. '
Fourthly, informal organisations enable the inember6to get assistance in meetifig their ,
organisational objectives. As a student gets assistance of his fellow students, members
of organisations get the assistance and guidance from.their colleagues and co-workers
t o fulfil their organisational objectives. - .. . . .
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Fifthly, informal organisations provide opportunities \O individuals to release thc:ir Fap ntnl nnd bndirrsral orrani.-ntii fa*
creative talents. Spontaneity is encouraged and even protected by the informal

organisations.
Sixthly, every organisation has certain values, preservation of which is dearer to the,
group. These values have to be developed and perpetuated.'~na formal system this is
not possible as the values of the individual may not be in consonance with the values of
the organisation. But informal organisation provides such opportunities.
Finally, members of an organisation always want to know what is going on ir! thcil
organisations. 'The formal channels of communicatiori are always slow, sometimes the
information is poorly transmitted and even blocked. The informal organisations
develop systems or channels of communicationwhich travel very fast. This has the
advantage of enabling the members of the organisation to know about the forthcoming
events and adjust themselves to the reqtriTiements.
--
, ORGANISATION -
Informal organisationhas several unique characteristics. Firstly, in these organisations,
members think and act alike. Their continuous association leads to shared values. Any
violation of these shared values results in group pressure and even ostracism. Thus,
infomal organisations, standards of behaviour are enforced.
Secondly, informal organisation brings pressure on the members to conform to the
standards of behaviour accepted by the group. Since members of the group desire
satisfaction from their association, they tend to conform to the group pressures. As we
have noted earlier any deviation from the accepted standards of behaviour results in
punishment and even ostracism. 7-'
Finally, in informal organisations, one finds a different style of leadership. In formal

systems, members follow the leader because of their formal position or exercise of
authority. But in informal organisations members follow the leader because of his
influence. As Mary Parker Follett has noted that leaders emerge out of situatit?xlsand
they lead as long as situation warrants. But in informal organisation, leader must live
up to the expectations of the group. If he fails he is thrown out which is nor possible in
formal systems.
20.9 DYSFUNCTIONS OF INFORMAL B RGAN~FC

Informal organisation no doubt, helps the formal organisation in many ways. It
contributes the missing elements to tbe members of the formal organisations. But it has
a few problems and dysfunctions as well.
We have seen earlier that the inforyal organisation provides much faster modes of
communications. This is no doubt a more constructive role. This communication
system, which is often called grape vine, is vulnerable for spreading inaccurate,
incomplete and distorted information. Spreading of such rumours creates confusion
and consequently several prqblems to the organisation.
Second!y, we have seen that informal orgqnisations come into exir;fenceto ierpetuatc
., certain values, which in other words may mean perpetuation of status quo. It is
,-.
generally believed that formal organisation always reslsts change. In the guise of custom
and convention in formal org'anisation quitk often measures which are in the interest of
the organisation are resisted. Thirdly insistence of confirmity to group standards has
also its own dysfunctionalities. Quite often, this may lead to pressure on the individuals
to restrict their productivity. Taylor called this 'systematic solde~jng,;T~is
drslunctionality is not in 'the hterest of the organisations.

Concepts in Organisatinn-P
20,410 INTERDEPENDEN.GEOF'FORNBALAND
INFORMAL ORGANISATION
For a'proper understanding of the working of organisations, a thorough knowledge of
formal and informal organisations, their inter-relationships and the supportive roles
need to be properly understood and appreciated. Formal organisation and informal
organisation are two opposite sides of the same coin. A society is structured by formal
organisations and they are vitalised and conditioned by informal organisation. What is
asserted is that there cannot be one without the other. No organisation can be fully
understood b y the study of its formal structure only. A meaningful insight into the
personalities of its key men and the roles they play are equally necessary to understand
the dynamics of a working organisation. Management in future must be able to
understand the goals and aspirations of individuals, group dynamics, informal aoles,
etc. Theinformal communication or the grapevine provides important leads to the chief
executive in any organisation which may enable him to take appropriate decision as the
situation warrants. Any result-oriented administrative system should be able to achieve
-a proper blend of both formal and informal aspects of organisation so as to perform
effectively. I
heck Your Progr6ss 2

. *
~ t e :i) Use the space below for your answers.

1 What is an informal organisation?
....................................................................................................
...................................................................................................
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2 Why Informal organisations are created?
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....................................................................................................
3 What are the characteristics of an informal organisation.?

...:,........................................... .: ...................................................
. . . . . . . .r ......................................................... ................................

.....................................................................................................
....... , Formal und Infaripal Orparisations
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4'What are the dysfunctions of an informal organisation?.
......................................................................................................
5 How do formal and informal organisations supplement each other?
...............I . . . . ............................................................................
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20.111 LET US SUM UP
organisations come into existence to undertake certain functions to reqlise cerkain
objectives. P q . ,. , wll*il or big, simple or complex or formal and informal. Formal
organisafions ale clkacterised by legal status, primacy of structure, division of work,
permanence and rules and regulations. 'They facilitate determination of goals, nature
of activities and ensure coordinatidn. Informal organisations, on the other hand, satisfy
social needs of its members, act as a 'release valve' and provide opportunity for the
release of creative talents. In Informal organisations there is identity of views and type
of leadership which is different from formal organisations.
20.12 KEY WORDS

Auxiliary: Additional
Cuordination: Bringing about cooperation and terrm work among employees of an
organisation by rcmoving conflicts and overlappirig from administration.
Extraqeous: External https://t.me/Upsc_Zone_Official
Grapevine : B ~ i d formal
e communication channels, every organisation has an infbri~lai
commur~icationchatlnel which is referred to as grapevine.
Ostracism: To exclude or banish from a particular group or society.
&lease valve: Outlet
Sibomlette: The outline of a solid figure as cast by its shadow.
--
USEFUL BOOKS
20.13 ~ O M E
Avasthi A. 62 Maheshwaki, 1985 Public Administration; Lakshmi Narain Agarwal:
Agra:
Barnard Chester, I., 1954. The Functions of the Executive; Harvard University Press:
Cambridge.
Brech, E.F., 1957. Organisation: The Framework of Management; Longman Green &
Co. Lid. : London.
Gladden, An Pns"rodurtionto Public Administration; London Staples Press: London
Herbeyt G. Hicks & C. Ray Gullett, 1975. Organisations: Theory and Behaviour;
McGrawHill International Book Nouse: New Delhi.
John Id. Peffner and Frank M.Sherwood, 1968. Administrative Organisation;
Prentice-Wall of India : New Delhi
~ e i t ~h a v i s1981.
; Numan Bohaviourat Work: Organisation Behaviour; Tata McGraw
Hill Publishing Company: New Delhi.
Louis A. Allen, 1958.Management and Organisation;McGraw Hill Kogaku@J.,td.:
Eondon.
Sharrna M. P., 1983. Public Administration Theory and Practice (14th edition); Kitab
Mahal: Delhi.
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20,14 ANSWERS TO ~ H E C KYOUR PROGRESS
- EXERCISES
Check Y ~ u Progress
r I
1 See Sec. 20.2
2 See Sec. 20.3
3 See Sec. 20,4
4 see Sec. 20.5
Check Your &ogress 2

1 See Sec.'20.6
2 .See Sec. 20.7
3 See Sec. 20.8
4 See Sec. 20.9
5 Sce Sic. 20.10

UNIT 21 DIVISION OF WORK AND

COORDINATION
Structure
21.0 0bje.crives
21.1 Introduction
21.2 Why Divide Work?
21.3 Bases of Work Division
21.3.1 Organisation By Purpose '
21.3.2 Organisation By Process

21.3.3 Organisation By Persons
21.3.4 Organisation By Place
21.4 .Advantages of Division of Work
21.5 Limitations of Division of Work
21.6 Meaning and Definition of Coordination
21.7. Why is Coordination .Necessary?
21.7.1 To Eliminate Conflict
21.7.2 1'0Eliminate Unhealthy Competition
21.7.3 1'0Ensure Economy and Efficiency
21.7.4 1'0Achieve Goals
21:8 Techniques of Coordination
21.8.1 'Planning
21.8.2 Consultation
21.8.3 Conferences and Comniittees
21.8.4 Standardisation of Procedures
21.8.5 Written Instructions -
21.9 Hindrances to Coordination
21.10 Let Us Sum Up
21.11 Key Words
21.12 Some lJseful Books . .
21.0 OBJECTIVES
After the study of the Unit, you should be able to:
explain the need and bases of division of work
describe the importance of coordination in public organisations. and
discuss the techniques of coordination and limitations in achieving coordination. .
. :21.1 INTRODUCTION ---

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i:n mod;r,. +. ..-is=< ,5nd the emergence of organisations - both large and small - .
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where multitude GC men and womeiwork together to realise the goals for which the
organisationswere created. In these organisations. you woulcl also find division of work
and specialisation. Division of work becornes inevitable in any group activity. In fact,
this can beconsidered as an indispensable foundation of group effort. Division of work
is the only way for transforming a mob of people into a cohesive, constructive and
organisation'. Though, the importance of divisibn of labour was emphasised by Adam

!;mith in his 'Wealth of Nations', this has been a neglected aspect of admirlistratio~zand
management.
If divisi0.n of work is necessary and inevitable for the performance of functions
c.fficiently,their integration and coordination become mandatory. Only through
coordination, ~ntegrationand synchronisation of efforts become possible SO that,
-objectives of the organisatiorls can be realised. Only through coordination,-conflicts
,an be removed, differences ironed out ant1https://t.me/Upsc_Zone_Official
goals realised. Because of the importance
~fcoordination in organisations, James Mooncy called it 'the first principle ot
)rganiiation'. Thus, in modern organisations, you find division of work and
:o,>rdlnationof divided work. In this unit, you will study the need, importance and the
xocess of division of work and importance, methods and problems of achieving
:oordir,ntion in modern organisations.
21.2 WHY DIVIDE WORK?

Dlvis~onof work has become inevitable because of the limitations of both physical and
rnerital capabilit~esof individuals. The earliest division of work-was witnessed in the
family where the man went out in search of food and provided security and the women
cooked food and looked after the children. With the passage of time, the nature of
production underwent modifications. The onset of industrial revolution and
introduction of machincry accentuated the need for division of work.
Digision of work becomes necessary because of several reasons. In the first place men
d~ffcrin t h e ~ capacity
r and skills. No two individuals are similar in capacity either
pllyvcal or mental. Some individuals are endowed with immense physical strength and
tbcy are capab!e of undertaking the work requ~ringphysical stamina. The m i ~ e r
working rn the cold mines. the unskilled labour working on the construction site, and
thc armcd jawan guard~ngthe frontier require considerable amount of physical
capac~tv.e n the otherhand, policy makers, scholars in pursuit of basic research,
\c~cntistsworking in research laboratories require mental abilities of a very high order.
'Fhat way dlffercnt types of tasks require different types of skills either physical or
mental. Hence in an organisation, division of work in accordance with the capacity of
the individa~afsbecan~esnecessary.
Divis~onof work also becomes necessary because the same man cannot be at two places
at the same time. An individual is not in a position to manage different activities
arone. A petty shop keeper could attend to all the tasks like that of the manager, the
cashier and the store keeper. However, in large scale organisations there is need for
deployment of people at different places. The example of the Commissioner of Police
in a city can be cited as an illustration. The Commissioner of City Police has jurisdiction
over a large area covering say 100 square miles and also population running into
n~i!lions.The comn~issionerprovides broad guidelines. Deputv commissionern.
assi:jtant commissioners, circle inspectors and the constabulary implement his
decisiuns operating froin different police stations. Thus the policy decisions of the state
governments are taken by the cabinet and the council of ministers, but they are
implemented by thousands of officers who are posted in different offices of the state
govcrn~nentsat the district, taluq and village level.
One ma11cannot do two things at the same time. Every individual is endowed with
certain rmntal capacity which enables hfm to concentrate on one aspect of work at a
given point of time. You know that a 5tenographer can take dictation first and then only
will be able Lo type. Me cannot do both the things simultaneously. A telephone operator
manr;ing the boarci can attci~dlo one call at a time and not several calls.
The range of knowledge and skills are expanding very fast. No individual can galn
mastery over all facets of knowledge. The field of medicine, for example, is so vast that
it 1s not possible for the doctors to gain mastery over all branches of medicine.
Consequzntly, they co11ccntrate on a specific aspect like surgery or pathology, or
biochemistry. Within surgery itself they concentrate on neuro surgery, cardiac:urgery,
etc.
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21.3 BASES OF WORK
--- DIVISION --
Approaches to the divisilm of work is a much debated subject, but no theories or

clear-cbt so:iations have emerged. As a result. a wide variety of methods are adopted
for the divisicjn of work. The), only provide broad guidelines rather than exact
technique-s to help the execufzve. Broadly, while dividing work, consistent methods
have to be kept in mind. Several authors have explained several ways ofhttps://t.me/Upsc_Zone_Official
divid~ngthe Dtvi+ionnf Work and Ccnrdlnstiaa
work. For example, Luther Gulick suggested the '4 Ps' bases of departmentalisation,
whercas, Ncwman suggested products, location, customers, prcrccsses and functions as
the bases tor dividing the work. More or less, following Gulisk's bases, Millet praposed
purpose, process, products, persons and places as the bases .of dep;rtmentalisation.
As there is no accepted method of work division, needs of organisation and situations
determine the bases to be followed and work to be aivided. Similarly, each of the bases
will have-its advantages and disadvantages and keeping in view the advantages, the
work should be divided. In Public Administration, the most important problem is how
to divide the governmental work so that, the functions of government can he carried
out efficiently, effectively and economically. Though there is no accepted bases,
Gulick's '4 Ps' bases, namcl y, purpose, process. people and place have generally been
accepted by all writers. In what follows. we would study the four bases of departmental
organisation.
21.3.1 Organisation by Purpose

One of the well accepted bases for division of work is purpose or function. A function
can be defined as a Lrge block of inter-related activities fulfilling a certain major
objective by the Government. The Department of Defence can be cited as an example.
The major purpose of the defence department is to ensure the protection of the country
against the external aggression and defend the cuuntry's frontiers. All the inter-related
activities connected with the achievement of this major purpose are located within this
particular organisation.
There are a few advantages in division of work or establishing organisations on the basis
of purpose. It makes possible for the satisfactory accomplishment of the given
objectives since all the inter-related aspects of the activity are under the imqediate
control of the head of the organisatioo. It enables the people also to understand the
working of different departments or the government. It also encourages the full-time
attention being paid to achieve the results. However, there are certain disadvantages
also.
It is not possible to eliminate overlapping of functions because the work of one
department may Also be found in another department. For example, the functions of
education overlaps with the health and vice-versa. It may also result in centralisation of
authority and each department trying to emphasise its own function leading to
unnecessae conflict. This approach also may not encourage the updating of skills
because the department concentrates only on the major purpose.
21.3.2 Organisation by Process

Organisation can be established on the basis of skills needed or the process. For
example, typing is a skill and in ~everal'or~anisationsthere is a centralised pool of
typists. The nursing tepartment in a hospital is based on professional expertise in
nursing p~afession.The department of civil sngineering in the government is tonne,::.!
with the planning, design, construction, maintenanze and other phases of civil
engineering work.
Jnan era of prufessionalisation, organisation on the basis oS process ensures not only
tipdating of skills but also maxirniSes utiliqation of technical skills. Proceqs&
encourages use of labour saving devices and contributes to an increase In production.
The concentration of talent in a single agency also enables the tackllng of problems in a
sustained manner. Organisation by process, facilitates career planning and
development. But this approach may lead to over emphasis being laid on specialisation
forgetting the needs and requirements of the general public. It 1s also possible that
organisatio~sbuilt around a profession or skill show resentment In acceptirlg
democratic control.
21.3.3 Organisation by Persons

The major goal of Public Administration is t o serve the community. Organisat'zon:.
be established on the basis of persons to be served. The Directorate of Child ~ r r d
Women Welfare, the Commissioner for Scheduled Castes and Scheduled Tribes. tha:
Directorate of Tribal Welfare are a few. examples of this principle.
Concepts b OrgnnLwtion-I Creation of departments on the basis of persons to be served contributes enormously
to the improvement of the conditions of such people. The basis ensures proper
appreciation and full time attention on the problems of the target groups like scheduled
castes, scheduled tribes and the handicapped, which otherwise would not have received
the much needed attention. But this basis of organisation does not encourage
specialisation. Secondly, there may be considerable amount of duplication and conflict
in this agency. It is also possible that the pressure groups may become over active and
favour seeking individuals may try to influence the decisionmakers.
21.3.4 Organisation by Place

Finally, the organisations can also be established on the basis of area to be served. The
zonal railways, the areal divisions within the ministry of external affairs, the Damodar
Valley Authority, etc., are good examples of agencies established on the basis of area
to be covered.
'The major strength of organising departments on the basis of area is that immediate
attention can be bestowed on the problems of a particular area. Areal approach
encourages decentralisation and flexibility. On the other hand, the weakness of this
particular mode of organisation is that the uniformity may have to be sacrificed and
integrated approach would be difficult to achieve.
21.4 ADVANTAGES OF DIVISION OF WORK

Division of work in any organisation;esults in certain advantages. In the first place, the
efficiency of the organisation will improve because officials are deployed on the basis
of their capacity, aptitudes and skills. It is customary for the chief executive of any
organisation to distribute the work on the basis of the aptitude of different individuals.
It is possible that Mr. A may be very good in dealing with confidential matters and is
entrusted the task of handling delicate security matters. Another ingividual may be
very communicative, articulate and has a capacity to listen and that individual may be
made use of in the public relations department. A third individual may show an aptitude
for doing analytical work and his services can be utilised in the research department. In
the ultimate analysis division of work results in the deployment of individuals on the
basis of their aptitudes.
Division of work also leads to increase in production. The adop~ionof assembling line
technique in an automobile factory can be cited as an example. ' h e production of
various components of an automobile are taken up in different units in a factory, the
components are assembled together and the car rolls out of the factory. Since each unit
concentrates only on the manufacture of a particular component, efficiency is likely to
increase and speedy output made possible. Division of work within reasonable limits
also ensures economy as it would encourage the optimum utilisation of the time,
resources and skills.
21.5 LIMITATIONS OF DIVISION OF WORK

-
Even though division of work is inevitable in any organisation, it cannot be practised

beyond certain logical limits. Certain norms are to be followed in the division of labour.
One of the important requirements is that the division of work should be confined to
such a level so as to require the full time attention of a single individual. Any further
division may lead to dispersal of energy and effort. Division of work is also influenced
hv the level of skills, volume of work. time. space and technologv. peculiar to a
particular branch of activity. If division of work is inevitable, it is equally necessary to
ensure integration of the efforts of different individuals. This is achieved through
coordination.
Division of work is an important managerial tool. This is fundamental to modern Public

Administration. In fact with the growth of kmwledee and professions, there w~llhe
greater need for specialisation and much more spcc~alisationin work division. As work
division increase; the need for coordination a150 increases. Therefore, in the remaining
18 part of this unit. we will discuss about coordination.
I . --
Check Your Progress 1 Division of Work and Coordinalinl
Note: i) Use thk space below for your answers.
1 -What are the reasons for division of work?
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2 What are the bases of division of work?
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Coordination has both positive and negative connotations. In the negative sense,
coordination aims at removing conflict or ironing out differences of opinion in relation
to particular goals to be achieved.
In any organisation, where work is divided among different groups of.people, the
outcome will depend upon cooperation extended. For instance, In any factory. the
personnel division should ensure the availability of skilled manpower. the stores
division should be able to supply the raw material and the finance division should be
able to provide funds. Each unit should be able to cooperate with other and ensure
the timely availability of the various inputs, so that production does not suffer. Thus.
coordination involves removal of obstacles as well as instilling n sense of team spirit.
"Coordination is the integration of the several parts into an orderly whole to acb~cvt
the performance of the undertaking". Thc zlassir-al example of a rilusical orchestra
would indicate the meaning of this definition. In an orchestra, difterent instrurncni%at e
played by different artists. However, the synchronication efforts of each rnt~\ic'll
instruments to produce pleasant music depends upon the coordination ensured through
music director or the conductor.
Coorciinaaion har been defined by Seckler Hudson an "an important duty of
inicrrcelating the various parts of the work." The General Manager of Zonal Railway
presidles over a network involving different types of activities. The maintenance of the
locosn~otivesand the rolling stock is the work of the Mechanical Eng~neeringstaff. The
r;:aint enance of track is the work of the Chief 1nspectc.r of Permanent Ways. The
nlovelment of differeilt trains is controlled by the Traffic Controller. The Station
Superintendent and his staff ensure the proper arrival and departure of trains as well as
lookir~gafter t3ine requirements of passengers.The s a r e s department provides supply of
raw m laterial, the finance department looks after flnance inputs, the personnel
department looks after the work force. The General Manager, after dividing the work
amon15 different groups also has to integrate the different parts in such a manner that
the tirnely movement of trains is ensured.
21.7 WHY IS COORDINATION NECESSARY?

I n any enterprise wherein more than one individual is working, coordination becomes
n~cr.s\ary.Administration is essentially a group activity involving hundreds of officials
t l ~ ~ h ; t r g different
~ng types of activities, Differences may arise because of the different
perceptions about a problem or the emphasis that is being laid upon by different sectors.
Within the organisatisa, the importance attached to timely disposal of business differ
between the head of the organisation and the rank and file. While the head of the
organisation may give great emphasis on quick disposal of files, the officials who are
de'aling with the files may complain that quick disposal becomes difficult for want of
concerned data, related papers and cooperation from other sections:
While the afore-mentioned aspects are generalisations, coordination in an organisation
becomes necessary for the following reasons.
26.7.1 To Eliminate Conflict

You may wonder as to how conflicts arise in the course of day-to-day administration.
I n a welfare state, administration caters to the multiple needs of different sections of
society. The classic example of rational use of land in a growing metropolis highlights
the conflict of interests. The Town Planning-Department and Urban Development
Authorities may have zonal plans. However, the real estate operators, builders,
industrialists and the traders have their own priorities which may run counter to zonal
plans.
The use of water flawing througl~rivers is also a matter of conflict between different
states. The governments of Maharabhtra, Andhra Pradesh and Karnataka have their
own view points regarding the use of the water to be used by eachof them from the river
Krishna. These conflicts have to be resolved.
The location of a nuclear power plant can become an issue. Objections may emanate
from the Department of Environment, Society for the Protection of Environment, the
people who would be affected by the decision because they have to sell land.
21.7.2 To Eliminate Unhealthy competition

Competition within limits ensures better performance among the participants. But if
the competition becomes unhealthy, leading to deadlock, it would result in delay in the
execution of work. There is an usual tendency in the government departments that they
should spend more money than the previous year; and their budget estimate should be
more than any other sister departments. The classic example of the department of food
asking money for importing foodgrains and the department of agriculture requesting
nlassive investment to boost agricultural production in the same year speaks about
carnrpetition between the two agencies within the sirigle Ministry. The competitiori
bctwcen diflelent district health officers to achieve the target of family planning some
rimes. results in sterilisations being conducted on old people and even children. The
unhealthy competition between different airlines to offer attractive tour package may
result in losses to certain companies. There should not be unhealthy competition
between railways and road transport and the more important objective should be
20 ensuring speedy and safe transportation of goods and services.
D i r i!,io~~
01 Wurk and C'u~,rdinaIkon
21.7.3 To Knsure Economy and Etliciency
.4n important aspect of efficient management is that the goals of a n orgarrisation ;uc to
be achicved within stipularcd time and cost. Any delay results in the itpv\;;irdrevision of
cost. This ca:i be achicved only if there is direction from the top to ensure timely
progress of work with men, material and money heing available at tire right place and
at the correct time. 'The erection of machinery in the Hliarat H e a ~ yElccericals L iniited
at Bhopal can be cited as a classic example of the lack of coordination r.e!;ulaing in the
delay and increased cost. T h e factory was coming up at Bhbpal and Aerrvy machirlery
was imported from the continent. From Bombay Port. it had to hc rnoved to !3hcpal by
train. When the machinery arrived at Bombay, it was realised that the available wagons
could not transport tlie same over the Western Ghats. Hence, the ship was divertcd from
Bombay to Caicutta Port. This meant extra expenditurc: as well as delay. Since the
South Eastern Railway did not have adequate wagons of the stipula~edsize, tlne ships
had t o wait for another four wceks resulting in the payment of deniu~-ragcch;crges.
Anticipating the arrival of the machinery, labour war, ernployeci ant1 they could iaot he
sent back because of the delay in the arrival of the machinery. With the rcsult, not nnlv
was there time lag but also extra expenditurc. This can be attributed to bad planning
and lack of <.oordinatiorr.
21.7.4 To Achieve Goals

In any e n t e q r i s e , achievement of goals is conditioned by coordination. 'I'he example of
a general hospital would illustrate the necessity ftir coordination to achieve thc
objective of providing timely health and medical attention to the patients. 'I'he hospital
, administration is essentially an example of team work of surgeons, doctors, riurscs,
pathologists, bio-chemists. lab technicians. class IV employees, administrabors,
pharniacists, etc. T h e team needs t o be provided direction and coordination by the
superintendent of the hospital s o that services are avaiiahli t o the ncedy patients.
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21 -8 TECHNIQUES OF COBRDINATICJN
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By nowl yo:^ sliip~ldhave o.~nderstoodthe impcrr~;~lace of conr:iimati:m in group effors.

While coortlinaiiorl is inevitable it is i n p o i t a n t t o know that v a ~ i o u strckniqucs arc
followed to achieve coordination in administration. The fol!~.:~~~i?,~,g are the variou\
techniques 3f cool dinatiorl.
21.8.1 Planning
Planning is considered to bc an irnport:irat technique to ensure coordination. Phanraivg
can bc defined a:. "adv:ince preparation for futurc action wherein d~i'rercri;aspects of
work are identified. scheduled for orderly implementation". Tile irn;)ortqnce of
planning is to enseare optirnurn~returns from the available resources within the stipulated
time frame,. ?'ht constrajctlon of a gigantic thermal plhrit t o generate elecaricity tail be
cited as a n example, Once the decision is taken to 6:onstruct a thermal plant, plann~ng
exercises bcsgm. In this process: ciiflerer~tphasec of work are identified like acqrsisit~oir
of sites, covlstruction ok biiirding, fahricatjorr of indigenous components, inlpoi'cinf? of
machinery: b i ~ c . A .. or .*: plant, appointment of technic;~ipersolanel anci the
cornmissiorrir~gct'trle plant. -Tine work has to proceed itn t h ~ particular
s sequencc
whereia dilTerent rinits conrpiete tile task as<;igneiB.Ih there is propri planning. tirc
char~cesof delay arc minirnised.
21.8.2 Consultalion
Consultation is yet ancther device to erl'surecno,i.linnlinn. If a decision taken by the
department would irtkringe 3pon !.he \w3rkiug of Ei?:$ iil her iff.p:)~C,a~c;:;!lt, ;1 ;5 a!v:a>i
better to consult. in advatlce and emu:? proper dsc:i!:.:.:n. Pince Inrlst of the aiirrii!i~::.ati.~:c
decisicns have financial implications, is i c ; custorrsahy ft9r ; m y (I~:,:p:irtn.~;.l~t
to rr. f:r t o tRc
finan&<d e p r t n i e n t .sny file involvirlg extra e,spei:diturcl (sil~cczdditi.:~slalsniirley Is
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,.
required) :o get advance c!eas.ance. Iile absence of corrss.~l:stisrralso c:sn be j!Slsstratetl
when the noads arc where very oftcn tile roLxdsarc: iit.:g up eitiler bv Ixater iiupplq'
department, electricity department o r t e l e p h o ~ tlepar~r layirlg ot the roa.ls
i~.:~.:r:i. '[kt:
could havc been postponed or bskerm rJp after the cs-iriccrnrd departmrlrit completed tlie
work. 21
21 3 . 3 Conferences and Committees

Confcrenccs, committees and inter-departmental committees are constitution.al
drviccs tofacilitatc coordination. The annual conference of Health Ministers provide a
forum of cxchange of opinion of the Ministers from the states and the Union
Government and it facjlitates a common programme of action. The conference of the
(.ierleral Managers of Railways and the Members of the Railway Board serves as a.
forum for the discussion of mutual problems of providingfast transportation. Another
important device to ensure coordination is the inter-departmental committee to
facilitate smooth flow of business. The enforcement of traffic regulations is reviewed by
an inter-tlepartmental committee consisting of representatives of Police Department,
Department of Roads and Buildings, representatives of Municipal Corporations and
the Department of Municipal Administration. The Cabinet Secretariat, the General
Administration Department, the National ~ e v e ~ d ~ mCouncil
e n t can be cited as
exan~plesthat ensure coordination at the Government of India level and the state
government level. The National Development Council facilitates coordination between
the Central and the State Governments in respect of planning. The Zonal Council
presided over by the Home Minister and attended by the Chief Ministers of the
respective regions is yet another example of an institutwn that ensures coordination.
2 1 3 . 4 Standardisation of Procedures
Standardisatioil of procedures and methods facilitates coordination. Standardisation of
procedures stipulate the common course of action to be followed by different agencies.
The procedure for purchase of various requirements for all the ministries are stipulated
by the Director General of Supplies and Disposal. The standardised procedure
ellminates confusion and ensures conformity in respect of purchase by different
departments. Centralised house-keeping activity also promotes coordination.
Centralised printing, auditing and maintenance of equipment and building can be cited
as examples. The advantage of centralised house-keeping is that it avoids duplication
of efforts and ensures timely availability of inputs.
21.8.5 Written Instructions

In an organisation, it clear i~vstructionsare issued from the headquarters, the work goes
on smoothly. For instance, the district collectors are givcn clear instructions as to the
measures they have to follow in case of floods and famines, etc. The district
ad~ninistrritioninitiates remedial measures without delay.
21.9 HINDRANCES TO COORDINATION

While the importance of coordination has been made dear. unfortu~lately,it is difficult
to ensure cffective coordination. Coordination in any organisation may suffer because
- of uncertainty about the future, lack of knowledge and experience, poor planning. the
size of the organisation and the number of variables that need to be integrated. T o sum
up, thc success or failure of an organisation depends upon the effective: measures
initiated to ensure coordination, for coordination is the cementing force that binds the
ihdividuals together to reach the goals effectively.

1 What is coordination and why is it necessary'?

2 Explilin the techniques of coordination.

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3 What are the hindrances to coordination?
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21.10 LET US SUM UP

Division of work is necessitated since individuals are endowed with varying degrees of
physical and mental capabilities. Changes in the modes of production necessitated
division of work resulting in specialisation. Whilc division of work is essential.. an equallv
important principle of organisation is coordination. Coordination enables the
synchronisi~tionof efforts of individuals and institutions to achieve the goals with
economy a nd efficiency.
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21.11 KEY WORDS-
Accentuate: Enphasise
Connotation: Implicatioil
Emanate: Originate
Synchronisation: Operating simultaneously and at the same rate
-- -
Avasthi A . and Maheshwari, S.R., 1985. Public Adrniriisrrariorz (13th rgv. Ed):
Lakshmi Narain Agarwal: Agra.
r Urwick I-, 1937. Papers on :Iic Sczence of Adrninrsrrarion (Eds);
Gulick L u ~ h e &
Public Administration Service: New York.
Monney, .I.l). , 1957. Principles of Orpanisafiorr; Harper: New Y ork.
Pfiffner John M & Sherwood, Frank M. 1968. Adrni~:i.rrriztivcOrpa:zi,,arion; Prcutice
Hall of India Private Limited: New Delhi.
Simon, Herbert, 1957. Adminisfrtid~vfirhaviorir. A StirJy o;'Decisron :l.lakijy;
Process in Administrative Orgnnisatiorr: The Free Press: N t x I ork.
Sharma. M.P., 1983. Public Adnunl.stratior1 in Tl~eot-yurrd P r a c f l c ~,.... -..
, --..-.
Mahat: Atlahabad.

UNIT 22 HIERARCHY
Structure
22.0 Objectives
22.1 Introduction
22.2 Meaning and Definition
22.3 Importanre
22.4 Basic Features
22.5 Level Jumping
22.6 Advantages
22.7 Disadvantages
22,8 Practical Usage
22.9 Let Us Sum Up
22.10 Key Words
.22.12 Answers to Check Your Progress Exercises
22.0 OBJECTIVES
e explain the meaning of the concept of hierarchy
% understand the importance of hierarchy
% describe the basic features of hierarchy; and
e discuss its advantages and disadvantages.
22.1 INTRODUCTION
In this unit, we shall be discussing one of the important principles of organisation ;.e.,
hierarchy. The hierarchy integrates the variou~~units of an organisation, which are
divided on the bases of specialisation, through an interlocking system of superior and
subordinate relationship from top to bottom. The meaning, definition, basic features
and advantages and disadvantages of hierarchy are discusdd.in this unit.
' 22.2 MEANING AND DEFINITION

Literally, the term 'hierarchy means the rule or control of the higher over the lower.
7
In administration, hierarchy means a graded organisation of several successive steps or

levels which are interlinked with each other. It is a method where the etforts of various
individuals in an organisation are integrated with each other. In every large-scale
organisation, there aie a few who command and there are others wwo are commanded.
This leads to the creatior of superior-subordinate relationship through a number of
Je~clsof respondibilij reaching from rhetop\down ta the bottom ok an organisatbn. A
pyramidical type of structure is built up in an organjsation which Mooney and Reiley
7
call the 'Scalar Process . In organisation, scalar means the grading of duties according
to degrees of authority and corresponding responsibility, According to Mooney, this
scale or scalar chain is a universal phenomena. Wherever we find an organisation of
people related as superior and subordinate, we have the scalar principle.
'dnrious people have defiixd hierarchy in different ways. L.D. 'VUhitesays: "Hierarchy
consists of the universal application of the superior-subordinate relationship through a
number of levels of responsibility reaching from the top to the bottom of the structure".
In other words, hierarchy means control of the'higher over the lower. In administration,
hierarchy means a graded organisation of several successive steps or levels. It is also
known'as the 'Scalar Principle7. This is derived from the word 'Scale' which means
ladder. Just as there are steps ir, a ladder there are successive levels in hierarchy.

Mooney and Reiley have, therefore, called it as "The Scalar Process". Earl Latham has
defined hierarchy as "an ordered structure of inferior and superior beings in an
ascending scale. Th,e good chief dwells at the apex from which, with his terrible eye, he
can search out the hearts of his lowest subordinates and mould their deed to his
command". Ilierarchy means the grouping of units into a large unit for direction and
control of activities. It is the method whereby the efforts of various individuals are
geared together t o achieve a goal through a system of inter-locking superior-
subordinate relationship from top to bottom. J.D. Millet defined hierarchy as a method
whereby efforts of different individuals are geared together"
Every organisation has a purpose. In order to achieve that purpose, it divides its jobs
into various functions or units. These units are further divided into sub-units until one
reaches the base. In an organisation, which is arranged hierarchically, authority descends
from the top to the bottom step by stepor level by level. In hierarchy, one has to goup
or down step by step. There are several levels of authority and responsibility. Every
employee has to obey the orders of his superior and issue orders t o his subordinates.
Thus, hierarchy heconles a rneans of communication and a chafn of command among
various levels of authority. The principle of hierarchy demands that no intermediate
level be skipped over or jumped while dealing with higher or lower levels. This is known
as functioning 'through the proper channel'. Hence, all communication should come
from the immediate superior o r the immediate subordinate whichever is relevant.
Every officer retains the necessary authority with him and delegates the rest to his
subordinates. Hierarchy, thus, gives rise to different levels of decision-making. Because
of hierarchical set-up the chief executive can issue orders to any level in the organisation
and allocate responsibility.
22.3 IMPORTANCE
It is difficult to think of an organisation without hierarchy. Organisation is essentially '
the division of functions among a given number of persons. The distribution of functions
and responsibilities is both horizontal and vertical. An organisation structure grows '
both vertically and horizontally. When more and more levels are added in an
organisation, it is called vertical growth. But when more functions o r more positions are
added without increasing the number of levels, it is called horizontal growth. Vertical
distribution creates levels like top management; middle management, supervisors and
the level of specific performa~~ce. Strictly speaking, these levels do not denote inherent
superiority o r inferiority. However, due to the difference in the nature of responsibility
of various levels, the difference in the salary scales and the difference in the
qualification andqualities of the personnel working at.various levels, superior
subordinate relationship does emerge in the organisation.
The need for the scalar system is realised because of two reasons, viz.,
i) The division of work into its most economic parts with a view t o pursuing the ideal
of task specialisation so essential to managerial philosophy.
ii) The patterns of integrating the voluminous behaviours and actions of the
specialisations into one combined effort.

1 What is the meaning of hierarchy?
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2' Explain the importance of hierarchy as a principle of organisation.

22.4 BASHC FEATURES

The following are some of the important features gf hierarchy:
o The entire administrative function is tjivided into tmits,aaad sub-units.
o These units are organised in the formof a pyramid owe below the other
e Authority is distributed to various levels.
e Hierarchical organisation observes the principle of 'through proper channel'.
@ All commands and communications should come bhaoagh proper channel. No
intermediate level can be ignored.
o A person receives orders only f r m one superior officer ahd hot from anybody elSe.
This means the principle of unify of command is obsewed.
@ Authority and responsibility are adequately combined. Authority without
responsibility is dangerous, while responsibility without authority is meaningless.
The principle of hierarchy can .be illustrated as follows:
In the above diagram, A is at the apex ofthe organisational pyramid. He is the head of
the organisation. B is A's subordinate. C is the immediate subordinate of B and also
subofdinate to A. Thus, if we go down the line, F is the immediate subordinate of E and
. also subordinate to A. Thus orders flow from top to bottom, namely, from A to B, B
1 to C, C to D, D to E and E to Fand communications from bottom to top, namely, F to
, E, E to D and sozln, The same is true on the other s ~ dof
e the triangle A.K. 1f'Auwants
, to ispue an order to F, it has to travel through IP. C, 0,E and if F has to communicate
to K, it has to travel through E, D, C, B and A and descend from A to K step by step.
'. ,
F.A.K.in this diagram represents the line of authority linking the entire organisation.
The travel of orders from A to F step by step in a descending order, and the flow of
communication from F to A in an ascending order is called conimunication "thropgh
proper channel".
.This principle also can be explained through the following example:
2 Section Officer J,
2 Superintendent $
9 Head Clerk 4
Communications Clerk Orders
If the Section Officer wants to issue an order to the clerk, it should go through the
Superintendent and Head Clerk and then only to the clerk. Similarly a proposal from
the clerk to the Section Officer should travel only through the Head Clerk and
Superintendent to reach the Section Officer.
22.5 LEVEL JUMPING

In actual practice, short cuts are found to avoid delay without violating the essential
principle of hierarchy. There are two ways of doing it. Henry Fayol suggests that a
bridge can be thrown across the formal lines of authority of the hierarchy so that
subordinate officers in one departmentinay contact their opposite members in other

Concepts in Orgaaisatinn-1 departments directly. F and
K in the above diagram may deal with each other directly
without following the rule of through proper channel. It is shown in the dotted lines.
Before short circuiting the procedure, they should obtain the permission of other
superiors t o do so. Or, in order to expedite the work, they can also contact each other
without the prior permission of their superiors. But, they should keep their superiors
duly informed of what transpired between them.
Secondly, one o r more intermediate levels may be jumped to establish direct contact
between officers and quicker1 the pace of work. This is known as 'level jumping'. A can
deal directly with C if C tells B what was discussed by him with A. A few years back,
the government of India started what is known as 'file-jumping experiment' to skip over
the intermediate levels in the hierarchy and make the files reach directly to the decision-
making authority.
Hence, with proper confidence and loyalty between superiors and subordinates at each
level, the delay of the hierarchical organisation can be very much reduced, if not
altogether eliminated. Both the short-cuts discussed above play a significant part in
reducing delay. As Urwick rightly observes, "Every organisation must have its scalar
chain just as every house must have its drain but it is unnecessary to use this channel
frequently as the sole means of communication, as it is unnecessary to pass one's time
in the drain".
_ - a -- ."

1 What are the basic features of hierarchy?
2 What is IeveI jumping?
I
......
_ - I
-- . .
22.6 ADVANTAGES
The following are some of the advantages of application of hierarchical principle in
organisation:
1 ~ v elarge-scale
r ~ organisationshould have a unity of purpose, which can be achieved
only through hierarchical system.
r
.' i . - , 2 Hierarchy integrates various units of an organisation into an unified whole. As
*
1 observed by M.P. Sharma, "It is an instrument of organisatiorlal integration and
, coherence. It is to the organisational structure what mortar or cement is to building
28 structure".

3 It serves as a channel of communication, both upwards and downwards in an / Hierarchy

organisation. It makes clear to every official as to with whom he is to deal with. !
4 It enables us to fix responsibility at each level and at each post in the organisation.
Every employee knows what his position and responsibility are in the organisation
and to whom he is accountable.
5 The scale of 'throgh proper channel' created by the, principle of hierarchy ensures
strict adherence to procedure and avoids short-circuiting or ignoring of the .
intermediate links.
6 Hierarchy lessens, the burden of work at the highest level and decentralises decision-
making. It establishes a number of subordinate levels below the top executive. Each
subordinate level acts as a centre of decision for specified matters delegated to it.
Every employee of.the organisation is trained to take de'cisions and guide his
subordinates. A t the same time, it relieves the chief executive from the burden of
work and promotes a sense of belonging among the subordinates.
7 It simplifies the procedure of movement of files because of strict adherence tothe
rule of 'through proper channel' and makes it easy to know where a particular file is.
The following are some of the disadvantages of application of principle of hierarchy in

organisation:
1 In the hierarchical system, directions flow from above to down below. Those down
below are expected to carry out mechanically the instructions of their superiors
without any initiative and drive.
2 It brings about rigidity in administrative organisation and is not proper for the
development of dynamic human relationships among its members.
3 The success or failure of this system vcry much depends on the personal likings of the
head of the organisation. If he can bring life and personal touch in the organisation,
it is bound to be a success. Othenvisc, it is bound to be a failure.
4 The most serious disadvantage of the hierarchical organisation is that it causes i'
inordinate delay in the disposal of work. In the above diagram, we saw how according
to the strict rule of through proper channel, a communication from F to K must travel
through E, D, C , B, A , G, H, I, K and b&k again, in all 20 steps. This may mean
inordinate delay.
22.8 PRACTICAL USAGE

It is necessary to examine whether authority is exercised through the principle of
hierarchy or not in day-to-day matters of administration. According to some critics like
Earl Latham, it is wrong to think that superior officers exercise authority over the
subordinates indiscriminately. It may be said that subordinates obey the orders of their
superiors because the latter possesssuperior knowledge due to their rich experience.
Sometimes, it is true that.the subordinates possess more information due to their
handling of the problems than their superiors. It is exactly because of this reason, the
decisions of the subordinates would be accepted by their superiors.
It may be stated that in practice an organisation does not work only on the formal
principle of hierarchy, As you have already studied in Unit 20, informal relationships
exist in each and every organisation. In the words of Nigro: "An organisation is more
than its structure and its official relationships as spelled out in its organisation charts
and manuals. .... .Organisation is also a social system in which its members develop
patterns of behaviour which ;~ctuallymay deviate from official directives. This is called
the informal organisation and an appreciation of its role is indispensable to the
undcrstanding of any agency".

Concepts in ~rganisntian-I Check Your Progress 3
1 What are the advantages of hierarchy?
........................................................................................... .
2 What are the disadvantages of hierarchy?
.....:..............................................................................................
3 Can you suggest some measures to overcome the disadvantages of hierarchy?
22.9 LET USSUM UP

Hierarchy is a uni~ersallyaccepted principle of organisation. It emphasises the need for
organic relationship between superiors and subordinates. The rule of 'through propcr
channel' is the essence of hierarchy. It is apyramidical type of organisation with an apex
at the top and base at the bottom'and in between there are several successive levels
which are both vertical and horizontal. In other words, it is a ladder of authority with
various steps. Communications and orders should go up or come down from each step.
Any violation would result in confusion and distrust. As a principle of organisation, if
serves as a channel of communication both upwards and downwards, ensures adherence
to procedures, decentralises decision-making and lessens the burden of the chief
executive. Delay is the most serious disadvantage of this principle. But, two short-cdts
have been devised to reduce delay viz. 'throwing of bridges across the formal lines of .
authority and 'level jumping' in urgent matters. The advantages of hierarchy overweigh
the disadvantages associated with it. By arid large, organisations do not function only
on formal lines. Informal relationships exist in each and every organisation. The
superiors and the subordinates work together in an atmosphere of harmony and
comradeship because of informal relationship between them and not because of only
formal ties. Hierarchy is a built-in device to achieve consensus and realise the goals for
which an organisation is established.
22.10 KEY WORDS

Adherence: Sticking to
Communication: Flow of information upwards, downwards and sideways in an
organisation
Consensus: General agreement
Expedite: To facilitate speed up the progress

22A 1 SOME USEFUL BOOKS

Avasthi A and Maheshwari. S. R.. 1985. PublicAdministra~i6rr(14th rev. Ed); Lakshrni
Narain Agarwal : Agra.
Bhattacharyz. Mohit. 1974. Public Administration; The World Press Private Ltd:
Calcutta.
Dimock, Marshal Edward and Dimock, Gladys Ogden, 1975. Public Administration
(Third Ed); Oxford & IBH Publishing Co: New Delhi.
Gulick Luther & Urwick L. 1937. Papers on thescience ofAdministration (Eds); Public
Administration Service: New York.
Mooney J.D., 1957. Principles of Organisation; Harper: New York.
Mooney J.D., 1970. The Scalar Principle in William Lexton ( E d ) Organisation
Theories; Charles Marrel Co. Columbus. Ohio,
Simon, Herbeft, 1957. Administrative Behaviour: A study of ~ e c i s i o nMaking Process
in Administrative drganisation; The Free Press: New York.
I '
Sharma, M.P., 1983. Public Administration in Theory & Practice 14th ed; Kitab Mahal:
Allahabad.
Tyagi, A . R . ,1981. Public Administration: Principles & Practice (6th rev. ed), Atma
Ram & Sons: Delhi.
22.12 ANSWERS TO CHECK YOUR PROGRESS '
EXERCISES
1 See Sec. 22.2 and 22.3
2 See Sec. 22.2

1 See Sec. 22.4
2 See Sec. 22.5

1 See Sec. 22.6
2 See Sec. 22.7
3 See Sec. 22,8

UNIT 23 SPAN OF CONTROL

Structure
23.0 Objectives
23.1 Introduction
23.2 Meaning
23.3 Importance of Span of Control
23.4 Relationship Between Span of Control and Hierarchy
23.5 Factors Affecting Span of Control
23.6 Graicunas' Formula
23.7 Span of Control Under Revision I
23.8 Let Us Sum Up i \*
23.9 Key Words
After studying this unit, you would be able to:

@ explain the meaning and importance of the concept of span of control
r discuss how the concept works in practice; and
e describe the factors influencing span of control.
23.1 INTRODUCTION
We have seen in the previous unit that a hierarchical system of organisation involves a
number of tiers or levels one above the others. The question is how many successive
tiers or levels should there be in an organisation? Each superior in a hierarchical set-up
is supposed to supervise the work of his subordinates. The answer to the question posed
above depends upon the the total number of employees at the lower level to be
effectively supervised by the superior officer. In other words, what is the span of
attention of a normal human being? In Public Administration, what is the span of
control of a superior officer i.e., how many subordinates can be effectively supervised
by him? We shall now try to understand and evaluate the implications of the theory and
practice of the principle of span of control in this unit.
As you have studied in Unit 22 (Hierarchy), hierarchy means control of the higher over
the lower. It is a graded organisation of several successive steps or levels headed by the
chief executive. Every employee obeys the orders of his superior and issues orders to
his subordinates. But how many subordinates can be efficiently and effectively
supervised by a superior officer? This is an important question which we shall try to
answer in this unit. Your knowledge and familiarity of this topic will also enable you to
understand the next Unit 24 (Unity of Command) where it is stressed that the
commands or orders should come from only one source. For each employee, there
should be-onlyone boss whose orders he is expected to obey. While span of control
limits the number of subordinates to be supervised by a superior officer, unity of
command restricts the number of superiors for each employee to only one to avoid
confusion and misunderstanding.
23.2 MEANING I
I
Literally, the word 'span' means distance between the tip of a person's thumb and the
little finger when stretched out, while the world 'control' means power or authority to
.direct, order or restrain. In Public Administration, span of control refers to the number
of subordinates whom an officer can effectively control. It also means the number of
subordinates an officer can direct. It may be also said, that the spa? of control means,
simply, he number of subordinates or the units of work that an ~dministratorcan
-- a
-
personally direct. In the works of Dimock, "'1'Ple:span of coaltrolis the number of rshgk
of direct, habitual corv~nmunicaaioracontacts between the chicf executive of an enterprise
and his principal fellow-officers". This concept is related to the principle of 'Span of
Attention', described by V.A. Graicunas, in psychology.
Span of control is dependent upon .span of attention. None'of pas can attend $0more
than a certain number of thiilngs at i,tjrne. ~i~r:lhilo~i~ks hawe conducted many
e : , ~ y e r i ~in~the n of 'Attention' and have conaae to else esnclonsispn that nolmmall8y a
, ~field
person can att.eiad to only ;!'certain number of things at a time and not beyond a
particular limit. Since span sf colatacsl in Public ,4&iministsationis related to span1 of
attention in psychology, it foliows rlaae there is a limit to the number of persons
which a srlperior officer can conatlrcrl effectiveiy. Tt is harmfall Y"3r the organisiatiotl if the
n~urnberof subordinates to b e sul~eavisedby a siiperior officer is increased heyonmd that
limit.
These are limits to klunnan capacity both physical anld mental. So, it is vaniversally
believed that no supervisor, however competent he'may beAcan supervise the work of
urllimited number of persons. There is 11oagreement annsng the wlitkrs of Public
Administratiorn about the exact limit of tlac span ofcorltrol.~ii]La? IBaariitrori put Fh6
limit at 3 to 4. Haldane and Grahart~.Wallace felt that a supervisor could supervise
10 to 22 subordinates. Urwia:!: drew a difference in regard to span of confrlol between
higher and lower levels. According to him. a sa.~picrvisorcarknot aapervise directly more'
than5 to6 subordirlates at the higher level, whereas at rYne Iswer levels, where the work
is simple and routine in'nature, the span ca$eontrol varies from 8 to 12. According to a
survey conducted by Wallace in 1957, the sppa o f control of a chief executive differed'
from country to country. A chief executive in Japan llad 13 departments under him, in
Casada, Gern~anyand Italy 14, in France 117, in Russia I!) or 20, in EGland 25 and in
U.S.A. about 60. Though the number was not uniform, nowhere did the adnlinistration
breakdown.
According to some writers, the span of.dontro~in gove~.nmerrtai'or~~qnisatik of
America is large becir~sseof the followink reasons (1) there: is n tendency towards a.
large nantnber of departtrrer~tsbecause the 'empire builder' type of depart~nenthe&
wants to be answerable only to the chief executive or governing body, (2) each pressure
grolip desires its own pet administrative activity to be set up irs an indegenderat
depsrtrnerirI a17d(3) every Euracticsnal chief desires access to the seat uf authority without
, going thrmlgh inter-vening Izierarc8rical steps. ?be Hoover Comrr~issic~n ina 11649 critieised
the hugel span of c o ~ ~ t rexercised
ol by the President of the United States. Thc
~ori~munication listed 65 departme~~ts or agencies (exclzrcfing the independent
regraiatory commissions) falling within the span of control exercised by the President.
However, ihere has beer1 general agreenment among all the writers that the sliortcr tile
span, the greater will be the contact and cont;eqnently, morG effective control. On the
oiher hand, as Seckler.+Hudsonsays "There are dangers inherent in excessively 1irnitt:d
span of control, such as, rhc risk of detailed supervision of the few reporting, the
, resultant failure to stirnulate subordinrater; o r to fully use the capacities of them. It is
, possible also that stmi-t spans of control mean I s ~ chains
g of cominands". Hence, various
i writers have, by and large, felt that the span ofcontrol can] be between 3 l 0 IS. Though
attempts have been made by the w;itcrs tu search for the 'ideal number' of persons a
supervisor can supervise, they !lave not succeeded itm doing so because of many factors
which are discussed later.
23.3
-- IMPORTANCE OF SPAN o$'Lbi0;NT'ROk
---..-,.------.------,- -.------*
The problern of span of control i:j a natural extension of the principle of hierarchy or
scalar system. As we know eal-lier, li~icrarehicalorg~nisaticdriinvolurcsa ralsrnberoltiers
or steps one atsove the other in an organisation, each step being headed by a single
person. How rnarny such levels an organisatibn have depends upon the total
number of employees at tile boeeon~to be napervised iind t l . r~uartber
~ of subordinates
each superior officer can effectively supervise. This shows that there is a close
relationship b e t w e n hi't..rarchYarid span of. co~ltrol.Hence, the levels or tiers in
hierarchy should be established after taking into accorrnt the span of controkof a
superior officer. If a superior officer i s expected to cslitrol a large number of\~ersons?
Illan lne car1actual!y corstsol, the result is delay and inefficiency. The quality o'f the tvorlr
.of an organisation depends r~poneffective control and supervisiort. Hcnce, there is a
.

strclng need for the principle of span of control. No organisati~ncan ignore it. I f the
exceeds the capacity of an individual. it results in the breakdown of the
organisation.

N@k: i) Use the space below for your answers.
ii) Check your answers with those given at the end o f the unit.
1 Explain the meaning of span of control.
...................................................................................................
2 Discuss the importance of span of control.
23.4 RELATIONSHIP BETWEEN SPAN OF CONTROL

AND HIERARCHY
As we have already discussed the levels of an organisation should be decided keeping
in view the spar1 of control. To take an illustration, suppose that the number of police
constables in a State like Madhya Pradesh is 20,000 and ane superior officer can
effectively supervise the work of 5 subordinates. The number of levels or steps required
in the case would be 7 as shown below:
1 Inspector General of Police
6
I
Deputy Inspe~torsGeneral of Police
160 Deputy Superintendents of Police

I
800 Inspectors of Police
I
20,000 Constables (distributed in groups of. 5. among 4.000 police

stations each under as~b~inspector).
Here ~ , W constables
O divided by 5 give 4.00 sub-isspectors at the next level. The -
Igtter divided by 5 again require 800 inspectors to supervise them who similarly require
160 supervisory officers called Deputy Superintendents of Police. These have to be
placed, on the same basis, under 32 Superintendents of Police and they in turn under 6
Deputy Inspectors General. Finally, the 6 Deputy Inspectors Generals have to be
placed under pne'~nspectorGeneral as their immediale superior, whose quota of
immediate subordinates is a little more than the standard one i.e. 6 instead o f 5.
If the number of constables is increased to 30,000 and the number which could be
effectively suftervised by any one officer were still 5, the nutnber of levels would
increase to 8 as shown below:
1 Inspector General
2 Deputy Inspectors General
10 Assistant Inspectors General
48 Superintendents of Police
240 Deputy Superintendents of Police
1280 Inspectors
6CW Sub-hspectors
30000 Constables

Here we see that a new level of Assistant Inspectors General had to be introduced Spnn of Control
because the number of total personnel to be superviseti at the, bottom is larger and
supervisory capacity of each officer is limited t o 5 ZiTn the prdvious illustration, If each
person could svpervisc 6 subordinates instead of 5, the number of levels required would
be 7 again.
In thc same way, if tiac number of ertiployees is 1,000 and the span of control is 10, the
r ~ ~ ~ r nofb elevels
r would be 4 as shown below:
Chief Executive q
10 Supervisors
100 Supervisors
0.n tlie other hand, in the same organisation if the span of.contro1is 5. the organisation
-
should have 6 Lewis as.follows:
Chief Executive
2 Supervisors
8 Supervisors
40 Supervisors
208 Supervisors
1000 Workers
Like tlie principleof hierarchy, span of control is also an universaliy accepted principle
of organisat'ion. The n~umberof subordinates one shouJd have under him is
questionable, but not the principle itself.
There are two opinions on the number of levels an organisation should have. If the
number of levels is more;'the span control will be less and supervision will be more, But,
the number of supervisors will increase resulting in an increase in the expenditure. It
also increases the distance between the chief executive and tlae work-place. Since
communications have to pass through many levels, they may undergo change in form
and content and thereby make the decisibn-making process difficult. ,
On the other hand, if the levels of an organisation are less, the work may'be expedited.
The number of supervisors will decrease resulting in saving of expenditure and the
delegation of authority will be more. The morale of the employees also increases and
they may work with more interest. They also get trained in shouldering responsibility.
Ilowever, coordination beconres a prohiem. I-lcnce, in many organisations, the span,
of control is kept at a minimum and the levels are increased.
23.5 FACTORS AFFECTING CAN

OF CONTROL ,
It is not possible either for administrative theory o r practice to lay down the ideal
number constituting the span of control. There are, however, certain general points of
agreement regarding this problein which you have to note. Firstly, it is agreed that a
span of control does exist a t each level ofsupervision and it cannot beexceeded without
the danger of a breakdown. In this connection, L. Urwick quoting V.A. Graicunas
points out that if a superior adds a sixth to his five subordinates, the additional
assistance he can obtain is only 23%.but increase in the sGervision may amount to
100%. The reason is what has t o be supervised is not only the individual subordinates,
but also the numerous permutations and combinations of tlreir mutual relationships.
So, span of control universally exists and it cannot be exceeded without the danger of a
breakdown. You may be interested to know that sometimes back the University Grants
Commission in India studied the problem of span of control and attention in the college
C~SS-rooms. I t came to the conclusion that a teacher can teach and'supervise only 10to
12 students in a class-room most effectively and not beyond that limit.

Concepts in orgnaiplltion-a Secondly, it is recognised that span of control depends on certain factors. It varies ~ i f h
some factors viz., i) Function, ii) Tirne, iii) SfpBce, iv) Personality of supervisor and of
the subordinates; v) delegation of authority, and vi) techniques of supervision. We shall
discuss about each of these factors.
Function refers to the nature of the work to be supervised. WPnere the nature of work
is of a routine, repetitive, measurable and identical character, the span of control is
more than when the work isof differentcharacter. For example, it is easier to supervise
a large number of typists because of the measurable nature of their work but this will
not be so if doctors, engineers and typists etc., have to be supervised simultaneously,
Time refers to the age of the organisation. In old and established orgaarisations,
practices become perfect and things get stabilized. Such organisations run themsely,q
well through rapid supervision and greater span of control. But in newer orgarmisations,
precedents will be few and new problems constantlydemand reference to tRa supe~iiors.
Hence, subordinates depend heavily upon their superiors and the span of control will
be less.
Space refers to the place of work. If tare subordinates are under the same roof along with
the supervisor, supervision becomes easier and quicker. Pf they work Bt different places,
supervision becomesdiffictnlt as they escape his personal atttntion. %m this conatext, it is
worth noting the distinction drawn by Urwick between 'direct supervision' and kcce:s'
to the boss. Ilt means that while an officer can directly supervise only a limited number
of persons, he can introduce flexibility in the organisation by permitting large number
of subordinates to have 'access' to him.
Personality is 'The sum total of all the kraits of human behaviour'. It includes physical
and intellectual qualities of a person. If the supervisor is comgetent, energetic arnd
intelligent, he can supervise the work of a large number of subordinates. Qtherwise. hc
can supervise only a'less numbgr of subordinates. Similarly, it is easier to supcrvise the
work of a large number of subordinates if they are competent, energetic and intelligent.
Otherwise, only less number of subordinates can be supervised by a supervisor.
Delegation of authority alpo influences span of wntrol. Some supervisors keep only a
f.ew functions for themselves and delegate the rest to their subordinates. By doing so
they can supervise a iarge number of subordinates. There are some super-visars who
keep all the functions for themselves and do not delegate them at all: Soch supervisors
cannot control a large number of subordinates.
Techniques of supervision adopted by the superior also influence the span of control,
If the techniques of supervision are standardised, the spad of control will be more
because subordinates do npt need close supervision. Where the direct supervision of
the supervisor is required, the span of control will be less.
23.6 GRAICUNAS9FORMULA
W.A. Graicunas gave a mathematical formula to explain the complexity of span of

control if more subordinates are added to the executive. Every executive'always
measures the burden of his responsibility to control the subordinates in terms of single
relationship between himself and hts subordinates..Graicunas feels that in any group
the relations between executive and his subordinates cannot just be calculated based on
single relationship alone. According to him, there also exists cross relationships which
increase in mathematical proportion. The direct single relationship always increase in
the same proportion as the number of subordinates. In such a case each addition to t h ~
group would only create a single direct relationship. But according to Graicurras there
also exists direct group and cross relationships which increase very rapidly than the
increase in the number of subordinates. This is n~ainiybecause the addition of each
\
individual results in many cross and drrett group relationships as there are persons
already in the group. Therefore, the number of relationships increases in exponential
proportion. Based upon his studies, Graicunas develops a formula to calculate the
number of relationships to enable the executives to-examine the complexity of span of
control. This is given in the following table.
Table: Direct and Cross Welatioasl~ips Span dContr
SI. Relnticanship Formulae

No.
- -
1 * direct single a = n
IX(2"-
- 1)
3 direct group .C =
2
Note: 'n' srands.for the number of subordir~ates.
According to these formulae, in any organisalion if there are three subordinates direct
single relationships would be three, cross relationships six and direct group
relationships nine. But if one more member is added there would nor be any change in
the direct single relationships which would be four, but the cross relationships would
increase to 12 and direct group relationship@, however, rise exponentially to 28. This
explains that addition of each member to the group under the control of the executive
would increase the number of direct group relationships to such an extent that direct
controibecomes difficulk;in some cases even impossible. Graicunas also added that for
fo~brsubordinates it is clhite easy to grasp and remember ewry ?ombination of groups.
But from five on, it is not possible to remember because the relationships bec~me&ore
of confusion.
Whethex the principle enunciated by Graicunas is valid or not, whether the formulae
has empirical validity or not, the problem that any increase in the number af
subordinates would lead to complexity in the relationships between the individual and
groups has aptly been brought out by Graicunas. It is this'fat;€orthat needs to be
carefully considered in any discussion on how many subordinates an executive can
effectively control.
23.7 SPAN OF CONTROL UNDER REVISION

The whole idea of span of cor~tralhas come under revision during recent years. The
increasing use of automation in administration, the information revolution and the
growing role of the specialists are chiefly responsible for such a change. Automation
and mechanical processes have resulted in simplification and expediting of
communications. Thus, delay in paper Gork has been considerably solved due to the
conquest of time and distance. Morever, mechanisation has been made Qseof in
tabulating, accounting, purchasing, sorting and computation work. Automation has
improved inventory, record keeping, billing and pay role book-keeping activities. We
are in the age of computers and other electronic devices which supply plenty of
information and accurate data to the administrators at a very fast rate which would have
normally required the operations of large number of persons. Thus, the length of span
of control has conside~ably'increasedand it has become possible for the supe&isa~te
control more subordinates.

Note: i) Use thg space below for your answers.
1 Do you think that the principle of span of control is an extension of the
principle of hierarchy? Explain their relationship.

2 Explain the factors that effect the span of control.

..............................................................................................
.....
...................................................................................................
.................................................................................................
..................................................................................................
3 "Span of Control is an exclusive concept". Explain.
4 Explain Graicumas' formula.
.-
23.8 LET Us S W UP
The principle of span of control is good as a general guiding principle in administrative
organisation. It means the number of subordinates an officer can effectively control. It
is related to the span of attention of a superior officer. There iq no doubt that the quality
and efficiency of work in.an organisation improve considerably if the superior officers
exercise effective control over their subordinates. But control can be exercised only
over a limited number of sub~rdinates as span of human attention is limited. Hence, it
cannot be rigidly applied in practice. There is no 'ideal' number of pers0ns.asupervisor
can supervise.Span of control varies with factors like function, time, space, personality
of the supefiorand subordinates, delegation of authority and techniques of supervision.
The number of levels in the organisation depends on number of employees at the lowest
level. As the number of employees at the lowest level increases, the number of levels
in the organisation has to be increased.
Because of rapid scientificand technological d6velopments, time and distance are no
longer causing any problem. The evergrowing number of specialists is also posing a
challenge to the old administrative set-up and well-known concept of superior
38 subordinate relationship. Hence, the wbole idea of span of control is under revision.

-
23.9 a Y WORDS
Evnentid: Expliination
Combina~on:An arrangement of numbers of a set into specified groups without regard
to order in the group.
Pemubaon: An ordered arrangement of the numbers of a set into specified group.
A superior cannot effectivelypay attention on a large number of
$pan oPa60e~~ltieon:
subordinates as there are limits to humail capacity;
23.10 SOME USEFUL %POOW

Avhthi, A. and Mahcshwari, S.R., P%5. Publio A d d m i o n , 14threv.d;
L&shmi Nmdn A g w a l : Agra.
Bharnbri, C.P.1972. Public Administration (Theory and Practice) 5th ed;J a h
Prakash Nath & Co: Meerut.
Bhattacharya, Mohit, 1974, Public Admim'strarion; The World Pmss Private Ltd.,
Calcutta.
Dimock, M.E., and Dimock, 6.8,1975. Pub& Admiraiskation; Oxford $ PWM
Publishing Co: N. Delhi.
Sharma, M.P. 1983. Public Administration in Theory and Practice,14th ed; Kitab
Maha!: Allahabad.
John M. Pfiffner and Frank M:Sherwood, 1968. Administrative Otganisation;
Prentice-Wall of India Pvt. ktd. New Delhi,
.23.11 ANSWERS TO CHECK YOUR PROGWSS

EXERCISES
Check Your Pmgress 1
1 See Sec. 23.1 and 23.2
2 See Sec. 23.3
Check Your Progness 2

1 See Sec. 23.4
2 See Sec. 23.5
3 See Sec. 23.4 and 23.5
4 See Sec. 23.6

UNFF 24 ILIIWTY OF COMMAND
24h Objectives
24.1 Introduction
24.2 Meaning
24.3 lrnportance
24.4 Unity of Command in Practice
24.5 Factors Effecting Unity of Command
24.6 Exceptions to the Principle
24.7 Arguments in Favour of Unity of Command
24.8 Arguments Against Unity of Command
24.9 Let Us Sum Up
24.10 Key Words
After studying this unit you shodld be able to:

@ explain the meaning and importance of the principle of the Unity of Command
understand how the principle woiks in practice as well as the exceptions to the
principle; and
* discuss the merits .and demerits of the principle.
2 4 1 INTRODUCTION
In earlier units you have studied two important concepts of organisation viz., hierarchy
and span of contr~l.In this unit you would study an equally important concept -unity
of command. You have secn earlier that organisationsizre structured hierarchically and
the relationship between superiors and subordinates are clearly laid down. In such
orsanisations one finds vertical differentiation of work. It is axiomatic that in such
organisations the subordinates receive orders from their immediate superiors. Unity of
command which is compfeme~ltaryto hierarchy ernphaslses this. But as the modern
organisations are very comgliex and due to reasons of specialisation it would be very
difficult to receive both technical and general orders and supervision only from one
immediate superior, But any violation of this hasic nonn goes against the concept of
unity of command. In this'Unir you would study the meaning and importance of the
concept, exceptions in practice and the paobfeinsin its operation,
24.2 MEANING
One of the important problems of P~lblicAdministration is to secure cooperationaand
team work so that people in organisation do not work at crosspurposcs. This is ensured
through unity of command wherein authority for decision making and to issue
instructions is clearly located in the organisational hierarchy at different levels. Unity
of command implies that in organisations, employees should rcceive orders only from
one superior. According to Henri Fayol, an ardent advocate of this principle, it means
that 'an employee shauld receive orders from one superior-only'. Similarly Pfiffnerand
Presthus observed that the concept requires 'that any member of an organisation
should report to one and only onc leader'. This will protect the employee from the evils
of contradictory commaads. If a person receives orders from more than one superior
officer in an organisation, there is a possibility of conflicting orders. This creates
confusion in the employees' mind about what to follow and whorn to follow. With the
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employees to befrom:-
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command Unity of Command
leads to lack of role clarity and goal clarity. Therefore, unity of command becomes
importa~ltfor the employees to be effective in organisations.
Let us see how unity of command is important in an organisation. If an employee

receives orders from more than one superior officer, there is scope for confusion and
conflict rather than clarity of purpose. In such a situation, an employee finds it difficult
to pexfol-m his job with a clarity of purpose. As we have seen earlier duality and/or
multiplicity of corrnmand keeps an employee in a dilemma about 'whom' to follow and
'what' to fo!lo\s. This is one possible deficiency, when there is no unity of command in
an orgnraisation. Another possibility is that an employee with manugulative skills rnay
avoid his work by using one superior against the other. In this plocess such an employee
plays with his supcriors and thus undermines the purpose of an organisation. Absence
of unity of command leads to either confusion o r gives room for manipulation in
organisations. Receiving two contradictory commarlds may result in inefficie116~ and
may even lead to organisational paralysis. Both these things are not in the interest of an
organisation. The concept of unity of command is, thus, important to avoid these
pitfalls and problems in organisations.
24.4
-
UNITY OF COMMANPRACTICE
DN
The next question is whether unity of command is practical in real organisational life.
Let i ~ examine
s this point with illustrations.
A district collector is the head of all departments and functional activities like
agriculture, animal husbandry, cooperation, law and order, education, medical and
health services and a host of other departments at district level. If district administration
is taken as an organisation,.ail the employees in a galaxy of departments have to take
their orders directly from the district collector only. But in practice, they take their
orders from their departmental heads and also from the district collector. The heads of
the departments take their orders from their superior in the state administration and
also from the district collector. Hence, the unity of command is difficult in practice.
Similarly in industrial organisntions, there are practical difficulties for a single person
to give orders directly to all those below him in the hierarchy. Because, employees work
with and take orders from general as well as technical superiors at different levels in the
organisaiton.
Thus, either in the case of district administration or in an industrial organisation, an
employee receives orders from more than one superior. As long as there is no conflict
in the orders the employees d o not face any problem. What is more important is the
unity part than the command part. The unity part refers to homogeneityin an
organisation's purpose. The conilnand part refers to superiors or generalists and
technical experts giving orders to an employee. As long as there is no conflict with the
unity part of an organisation's purpose, the number of people giving commands or
orders becomes secondary. In case there is confusion or conflict in the orders, an
employee has to bring it to the notice of the superiors and resolve the conflfct.
.-- ---
24.5 FACTORS EFFECTING UNITY OF COMMAND
As you are aware the organisations are increasing both in terms of size and complexity.
With the result the staff aljd auxiliary agenczies manned by specialists are increasing in
' number and their power and influence is growing substaritially. These agencies have
started giving instructions of different types, viz., administrative, technical, legal, etc.,
directly to the officials of the executive agencies. This is seriously undermining the
principle of unity of command. An employee is placed in a dilemma as to whom t o
f ~ l l o wwhat
, t o follow and when to follow This is quite a baffling situation. Conversely,

Concepts in org~isrttion-I this gives rise to a situation where an employeehttps://t.me/Upsc_Zone_Official
enjoys n ~ o r discretion
e and powers with
more and more people issuing him orders. A person with manipulative skills can play
with the purpose of an organisation. How to check such tendencies? 'Though, an
employee receives commands from different superiors, his work is evaluated by a single
superior in the organisation. Hence, the comnland lies in the superior officer, who
evaluates his subordinates' performance. Thus the superior with powers of
performance appraisal holds the key to unity of command.
24.6 EXCEPTIONS TO THB PRINCIPLES

Theoretically the principle of unity of command appears unassailable. But in practice
there are many exceptions in view of the growth and complexity of modern
organisations. There are situations whcre the employees are under the technical control
of one superior officer and administrative control of anothcr superior officer. This is
true of all technical departmentslike medical and health, agriculture, etc. In such cases,
it is almost impossible to avoid receiving orders from more than one superior.
F.W. Taylor, the father of scientific management movement, rejected the principle of
unity of command. In its place he substituted functional direction and supervision
which is popularly termed as "functional foremanship". In the ultimate analysis thc real .
unity of command lies in the person who evaluates the performance of an individual1
individuals in an organisation. Thus the power to evaluate one's perforn~anceis the
single largest factor effecting unity o f commar~din our organisation. For example in an
industrial organisation an employee works with a project team o r a group of people with
different technical functions, but, his work evaluation is done by the personnel
manager. Similarly, in state administration, an employee, say, in comn~ercialtaxes
department receives orders from the local body regarding collection of entertainment
tax. But his work evaluation isdone by the commercial taxes department. This IS based
on the assumption that a worker can benefit if he gets specialised supervision on each
of his functions from the experts. Accordingly, Taylor had recommended eight
supervisors or foremen for each worker. Each one of the eight supervisors givespecial
directions to the workers in their functional area. Thus the eight supervisors are (1)
Gang Boss; (2) Speed Boss; (3) Inspector; (4) ~ e ~ aBOSS;i r (5) Order of work arid route
clerk; (6) Instruction card clerk; (7) Time and cost clerk; and (8) Shop floor
disciplinarian. The first four of these supervisors work in the Eactory and issue directions
and commands in their particular functional area. The latter four are planning bosses
issuing instructions. Taylor believed that multiplicity of command ensures division of
labour and facilitates specialisation. As no individual can be an expert in all the
specialised fields, multiplicity of commands contributes to expert supervision.
This innovative idea of ~ a ~ lwaso r adopted in Public Administration. Thus, we have
different technical experts side by side with the general administrators in present day
Public Administration. They both exercise supervision over the subordinates. But .
Millet has noted that there is need for reconciliation betwen the two. Technical
supervision should be concerned with Ijrofessional competence in the performance of a
job and t h e administrative supervision with efficient utilisation of the human, material
and other resources.

i 1 What do you understand by unity of command?.

............. Unity of Cammsnd
2 What is the importance of unity of command in Public Administration?
3 What are the exceptions to the principle of unity of command?
. .
....................................................................................................
.
......................................................................................................
-..
'4 ~ h is'functional.
& supervision? How does it violate unity of command?
.........Io.,...,.....
!;
..............................................................................
.............
-
24.7 ARGUMENTS IN FAVO.UR,OF UNITY OF
COMMAND
The advocates of the concept argue that this concept exists and it works too, According ,
to them, thoughmore than one superior issues larders to an employee, thece is a unity
in the direction of these commands. According to Seckler Hudson, 'Yrorn one he may
receive policy orders, from another personncl, i!rom a third budget, from a fourth
'supplies and equipments". As long as there is no conflict in these commands and orders,
the principle of unity of command stands good.
th-I Another importarlt feature is that the technical experts who issue orders are only
suggesters and helpen to an employee. An employee has to ultimately follow the
orders of the immediate superior, in case there are conflicting orders. This again
supports the view that there is unity of command that exists in organisatiotls. In certain
organisations like the armed forces and intelligent agencies there is more unity of
command when compared to other o~ganisatilons.That means unity of comnnand is a
necessary feature in certaip kinds of organisations.
Dimock and Dimock have noted that in organisations someone nwst be a boss, multiple
direction is a confused directiod, and clear lines of relationshipsand authority are
.'essential for proper cooperation'. Otherwise, they argue, that the signals are not clear,
, wires get crossed, a proper flow of comnaunication throughout the prograrnrne is lacking
and all elements necessary for the performance of a unified task remain scattered.
Explaining the importance sfthis concept GuQickovserves that any rigid adherence to
the principle of unity of command ,nay have its absurdities. But they are unimportant
incomparison to,tfic certainty of confusion, inefficiency and irresponsibility which arise
from the violation of the principle. Thus the significance of the prir~ciplelies in building
a structure of coordination in organisatiorls. The other advantages of unity of command
are: absence of conflict in instructions; exercise of effective supervision over the
employees; and clear fixation of responsiblIity. Henri Fayol warned against the dingers
if the principle is viplated in practise. Me wrote that "should it be violated, authority is
undeimined, disciGli6eis in jeopardy, ordkidisturbed and stability threatened". If two
persons exefcise a&t&i'ity over the same person, be further observed, uneasinless
makes itself"felt anddisorder increases.
. , --
24.8 ARGUMENTS AGAINST UNITY OF COMMAND .
The principle of unity of command implies rfiat an employee should receive orders and
instructions from only one superior. But it poses several difficulties in actual
implementation in real administrative situations.
The principle is criticised by many, Seckler Hudson, for example, observed that in h.
complex governmental situations the concept of one single boss for each person is
seldom relevant in practice. According to the author many interrelationships exist
outside the straight line of c ~ m m a n dwhich require working with and reporting to many
for purposes of effective and orderly performance:Seckler Hudson argues that
the administration in government has many bosse? and he can neglect none of them.
Unity OT command, like other priticiples, is more a theoretical proposition than a
practical idea in organisations. This princi~lahardly has any relevance to committees,
commissions and autonomous organisations. Moreover, in organisations like research
laboratories, thk principle will be counter productive. In a fast changing society, with
technological innovations and change such concepts, have hardly any relevance. In
Development Administration,one has. to work with different technical as well as
gtneralist functionaries by taking orders and instructions from both. yence, concepts
like one man, one boss leads to administrative resistance in development
administration. As John D. Millet,observcs: the concept of unity of command needs
to be reconciled with a recognition that supervision of any activity may be dual -
technical and also administrative, The two types of supervision may be exercised by
different individa~als~
One type may be concerned with professional competence in the
performance of a jhb, while the other is chiefly interested in the efficient utilisation of
-
the resources men and materials - available far the job. Even a classicist like
Luther Gulick recognised that any rigid adherence to the principle of unity of command
w{uld lead to absurd'itics.
f, I

Note: L) Use the, space below foi your answers.
ii) check yobr answers with those given at the end of the unit.
1 What factors affect unity of connmand?

unity of Command
2 Explain the factors in favour of unity of command.
...................................................................................................
3 biscuss the factors against unity of command.
24.9 LET US SUM UP

As long as there is no conflict and confusion, there is no danger if an employee receives
ordefs from more than one superior. In case there is confusion or conflict in orders, an
employee has to bring it to the notice of his superiors. In the ultimate analysis it appears
that the administrative head or the senior officer having powers of administrative.
supervision holds the key to ensure that unity exists in the issue of commands.
Axiomatic: Self evident truth

Performance Appraisal: Assessing the capabilities of a person in terms of the
contribution towards the achievement of organisational goals
Unassailable: That which cannot be attacked or questioned.

Avasthi A and Maheshwari S.R. 1985. Public Administration (14th ed); Lakshmi
Narain Agarwal: Agra.
Dimock Marshal Edward and DimockGladys Ogden, 1975. Public Administration
(Third Ed); Oxford &.IBH Publishing Co. New Delhi,
Cunccpts in organisatinn-I Fayol, Henry, 1957. General and Industrial Management; lssac Pitman: London.
Gulick Luther & Urwick Lyndall (Eds), 1937. Papers on the Science of
Administration; Public Administration Service: New York.
Pfiffner John M & Sherwood Frank M, 1968. Administrative Organisation; Prentjce-
Hall of India: New Delhi.
, Seckler-Hudson, C, 1957. Organisation and Management: Tlieory and Practice;
The American University Press: Washington D.C.
Sharma M.P., 1983. Public Administrution in Theory and Practice (14th ed);
Kitab Mahal: Allahabad.
Simon Herbert, 1957. Adnzinistrative Behaviour: A Study of Decision Mnking Process
in Administrative Organuation; The Free Press: New York.
Taylor, Frederick W, 1947. Scientific Management; Harper, New York.

EXERCISES -
1 See Sec. 24.2.
2 See Sec. 24.3
3 See Sec. 24.5
4 See Sec. 24.6
8 -
1 See Sec. 24.6
2 See Sec. 24.7
3 See Sec. 24.8

UNIT 25 CENTRALISATION AND
Structure .. . .
25.0 Objectives
. ,
25.1 Introduction
, . 25.2 Meaning of Centralisation
25.3 Meaning of ~ecentralisation
25.4 Types of Decentralisation
25.5 Factors Affecting Centralisation and Decentralisation
25; Merits and Demerits of Centralisation . .I,.
25.7 Merits aid Demerits of Decenti.alisation

25.8 ' Let Us Sum Up . .
25.9 Key Words , .
25.10 Some Useful Books . .
25.11 Answers to Check Your Progress Exercises, ,
25.0 OBJECTIVES
After studying this unit, ypu should be able to:
s explain the concepts of centralisation and decentralisation and the relationship
between the two
e analyse the facmrs that lead to the adoption of either of the two concepts or a
.: . combination of both in an organisation; and

,discuss the merits and demerits of centralisation and decentralisation.
Centralisation and decentralisation are very important concepts of prganisation. They

explain the manner in which the decision making authority' is distributed or delegated
among various levels of the organisation. In this unit, we shall discuss the meaning,
importance and factors affecting centralisation and decentralisation in organisations.
The merits and demerits of centralisation and decentralisation are also examined.
25.2 MEANING OF CENTRALISATION

. Centralisation means the concentration of formal authority at the top levels of an
organisation. It is a tendency aimed at centralised performance. Hence, it is the '
opposite of dispersal anddelegation of authority: It has an important bearing on the
processes of policy form.ulation and decision-making. ~ h e s two e major areas of
management or administration are the!reserves of the top management in acentralised
organisation. The lower levels of the organisational hierarchy always look upwards for .
direction, advice, clarification, interpretation, etc. ~ v e n ' t hfield
e units or agencies of
the parent organisation do not,enjoy any authohty of decision-making and hence are
fully dependent on the central authority, The fieldunits are reqaired tb implement the
decisionsin accordance with the pre-determined guidelines as handed down to them by
the headquarters operating as the central authority. Centralisation acquires its acute
'I form when an organisation operates from a single location i.e., when it does not have
any field agencies. In the words of Harold Koont!!, "Centralisation has been usid to
describe tendencies other than the~dispersalof authority,.... ~t'oftenrefers to
' departmental activities; service divisions, centralised similar or specialised actifrities'in
a single department. But when centralisation is discussed as an aspect of management,
it refers to delegating or withholding authority and the authority dispersal or
, conceiltration in decision-making?'. Therefore, centralisation can be regarded as
. 3

Concepts in organisation-I concentration of pllysical facilities and/or decision maldng authority. Limited and
restrictive use of delegation is, in other words, centralisation. Henri Fayol, while
talking of decentralisation and ccntralisation, observes, "everything that goes ro
increase the importance of subordinate's role is decentralisation, everytliing which goes
t o decrease it is centralisation"
25.3 MEANING OF DECENTRALISA'FION

The term decentralisation is understood differently by different individuals or groups.
Louis A . Allen refers to it as one of the most confused and confusing of the
administrative techniques that characterises the art and science of professional
management. To quote Pfiffner and Sherwood, ''In some respects decentralisation has
come t o be a 'gospel' of management. Firstlyit is regarded as a way of life t o be adopted
as least partially o n faith; secondly, it is an idealistic concept, with ethical roots in
democracy, thirdly, it is in the beginning a more difficult way of life because it involves
a change in behaviour running counter to historically-rooted culture patterns of
mankind. That is why the new literature of decentralisation dwells o n how t o bring
about change in organisation behaviour. Men find it difficult to delegate, t o think in
terms of the abstractions required by long-term planning, to 1isten.rathcr than to give
orders, t o evaluate other men and their work in terms of overall results instead of
irritations and tensions of the moment. Yet this is the very key t o the behaviour recluired
of leaders in a decentralised organisation". It is amply clear that decerltralisation is not
only a device for the delegation or dispersal of administrative authority, hut it is also a
democratic method of devolution of political authority. Further, in a decerltralised
organisation it is also esscntisl to adopt t!~edemocratic norms. Such norms help the
various levels of the administrative organisation to develop a reasonable capability for
the exercise of authority t o reach the most desired decisions. Moreover, they help to
assimilate in them the virtues of greater interactions hot o11ly among the various
organisational levels but also between the organisation and the clientele [among the
general public.
It has been opined that decentralisation refers to the physical location of fiicilities and
the extent of dispersal of authority throughout an organisaticrn. Hence, it is an
arrangement by which the ultimate authority to command and the ultimate
responsibility for results is localisedin units locatcd i r different
~ parts of the country. It
is argued that assigning of functions and responsibility, for their efficient and eflective
performance, to the subordinates or sub-divisions is the essence trf derentrttlisation.
We may say that in a decentralised organisation lower levels are allowed to decide niany
matters and a few cases involving major policies or interpretations are referred t o the
higher levels of the organisation. However, in commonphraseolugy the t c nl ~
decentralisation is interchangeably used with terms like deconcentration, devolution
and delegation, though they have different connotations. Devolution has political and
legal authority ramifications, deconcentration and delegation refer only t o
administrative authority. Decentralisationcovers the political, legal and atimini4trative
spheres of authority.
25.4 TYPES OF DECENTRALISATION

Four different types of decentralisation can be identified viz., administrative.
functional, political and geographical. Administrative decentralisation refers to
decentralisation of authority to the lower officials in the administrative hierarchy of'
organisations. It may also mean decentralising powers o r functions t o the subordinate
units. Functional decentralisation implies that the functions are decentralised to the
specialised units or departments like,education or health. Political decentralisation
involves that the political powers and functior~sconcentrated in the hands of higher
level political organs are decentralised to lower [evel political organs. You are all :]ware
that panchayati raj agencies are units of decentralisation wherein political powers of
decision making are decentralised from state ~ovcrninentto ~anchnvntr;.s:lmi~isand
zila parishads. Finally, in geographical decentralisation. the powers and functions oi'
headquarters are decentralised to the field offices for effective performance for

>-
example, most of the powers of the heads of departments of the state government are cpntrnllsPtionand DeecntrPlisPlion
d e c e n t r a l i ~ eto~their field officers at the regional and district levels. This facilitates
@ck decision making keeping in view the local requirements.
25.5 FACTORS AFFECTING WNTRALISATIBN AND

DECENTRALISATION
Centralisation and decentrqlisation, being the two extremes of operations of authority,
are relative terms. We, today, cannot think of an organisation which is completely
centralised or decentralised as in between the operations of the two there is always a
continuum of authority. They need to be v~ewedas complementary to each other as a
fair combination of the two results in stability, accountability, efficiency and
,effectiveness. Their applications in a democratic setup would depend upon the
objectives of the organisation, its life and size, nature of service, etc. It has been said
that in order to ensure its existenoe, an qrganisation has to perform certain functions
which are basically centralising in nature and effect: Moreover, their performance has
to be from a central point of authority. Two such major functions are initiation and
decision-making in relation t o basic management functions like planning, organking,
motivating, coordinating and controlling the work of the subordinates as also of the
field units. Thus, the higher levels by performing the functions~ofinitiation and
decision-making tend to reserve the real authority at the central points of the
organisation. On the other hand, Earnest Dale points out that the degree of
decentra1isation.i~greater in the following situations:
i) The greater the number of decisions made a t lower level of management hierarchy, 1
the greater the degree of decentralisation.

ii) The rpore important the decisions made at lower level of management, the greater
the degree of decentralisation. For example; when the head of the field unit enjoys ..\
the authority of sanctioning financial investments or expenditure without

4
consulting any one else.

iii) 1 n a decentralised authority structure, more dedisions are taken at lower levels
which affect most of the functions of the organisation as a whole. Thus, the
organisatio'ns which hermit only operational decisions to be made at separate
branch units are less decentralised than those which also permit financial and ' r(
personnel decisions at branch units.

'ivy When less checking is required on the decision. Decentralisation is greater when no
check at all is made; it is less whenpsuperiorshave to be informed of the decision
after it has been made; still less if superiors have to be consulted before the decision
is made. When fewer are consulted and if they are at a lower level in the
organisation's hierarchy, the degree of decentralisation is more. ,
It is, therefore, clear that the application of the two concepts is greatly ir$luenced by
factors moreqthanone. In modern times when we have a multiplicity of administrative
and political organisations, there is a need to use the centralised and decentralised
patterns of authority for the maximum.benefit of the people. That is a pre-requisite of
a welfare or service state. There has beeii a growing public opinion in fqvour of
decentralisation but at the same time some political forces and the bureaucracy do not
favour a decentralised system for obvious reasons. Pfiffner and Sherwood comment,
that "Qecentralisation will always experienc&a certain amount of epidemic conflict
between those whose purpose is to cbordinate and those whoresist coordination. What
is needed'is to learn a way of life in which the coordinating process will be least
restrictive, in-whidh people can pursue their individual goals to the maximum and yet
work in harmony towird group goals with others who look upon things differently"
As'a'lready pointed out, decentralisation has political and administrative elements.
However, in management or far administrative organisations it is seen as an
administrative device of locating the authority of decision-making in a dispersed
manger. To.th2 contrary, centralisatiqn is viewed as concentration of authority in the
top management. Examining the two cpncepts in terms of physical facilities -plant,
persan.nel and equipmerit6 and authority,'Mervin Kohn opines that a typicai
0rg:rnisatio~exhibits characteristics of both. He has frimed four p~ssiblecombinations
and calls thelil as centralisation-decentrarisation martix which in reproduced below. - 49

CENTRALISED DECENTRALISED
(concentrated) (dispersed)
Plant, Product, servicesand Products, services and

Personnel, busigess functions business functions
Equipment concentrated in one scattered in many areas;
(Facilities) building or in multi-plant operation;
several buildings within each sub-unit is a separate
a localised aria. entity; may be autonomous
self-sufficiententity
performing most major
business functions.
Authority High degree of concent- High degree of delegation and
(Decision-making) ration and retention dispersion of decision making
of decision-making at horizontally or vertically
upper levels of management; downward to lower levels of
subordinates highly management; subordinates ,
dependent. relatively;ndependent;
"Profit Centre" concept.
The above figure gives us four possible combinations and the extent of centralisation
and decentralisation differsin all of them. Now we explain these combinations as under:
1 The first combination indicates a high degree of concentration of facilities as also of
authority in the top levels of the organisation hierarchy. These levels also perform all
the management functions of decision-making and directing their effective
implementation. Such an organisation may exist under the government especially
dealing with sensitive subjects like defence or some aspects of defence production
and also in some situations in the ministry of foreign affairs.,It is a case of minimal or
no delegation of authority. In private industry it resembles the units operating under
single or family ownership whose area of operation is smaIl or well manageable bj
the owners.
2 The second combination results in an organisation whose physical facilities are
centralised at one place. In,otherwords, the products and services are centralised but
the decision-making.authority is delegated horizontally and vertically. The level to
which the authority of decision-makingis delegated remains accountable to the .
higher levels for effective management as its decisionsmust be in conformity with the
overall policy of the top manzgement. Such type of situation may befound in service
agencies like the State Trading Corporation or the agencies concerned with foodgrain
procurement and engaged in the public distribution system like the PUNSUP in the
state of Punjab,
3 Thirdly, we may come across an organisation in which physical facilities are dispered
among various units located in various partsof the country or a regidn but the major I
deeision-makingauthority is centralised in the top levels of management. The units
may be vested with only small authority like sanctioningof leave, overtime, etc. Thus
1
authority to perform a limited number of management functions, which are
consequeritial of the major policies, is delegated so as to enable them to implement
the minor aspects of the major'policies. Significant and major policy matters are
reserved to the top management and are located at the central office or the
headquarters. Various road transport organisations both in the public and,private
a
sectors, largely fall in this category.
4 Lastly, a situation in which both the physical facilities and the deeision-making
aut'hority is dispersed or decentralised between various levels and the units, we get
an organisation based on administrative decentralisation or deconcentration. Such
an organisation performs wide ranging fuhctions and the units are allowed significant ,
functional autonomy. TheHindustan Machine Tools Ltd., falls to a great extent, in
this category. Mervin Kohn also refkrs to the 'profit centre' concept as part of this
model of organisation. It may be mentioned that this concept can only be applied to
private businks which is largely run on profit motive. However, in government
orgadsiltions.profit is seen in terms of productivity or social and economic gains that
are advantageous to the nation as a whole or to a seaion of the people.for whom a
. particular service is sperzifically intended. , v

We may siiy that the adoption of one or a mix of both would depend upon the Centralhtbn and Dtrentrallsation
organisation and its objectives, the nature of functions, the products or services, long
term plans and the overall strateg~..of production and marketing. Hence, the
equilibrium between centralisation and decentralisation would vary with the internal
and external forces in operation. "Internal forces emanate from the requirement of the
principle of hierarchy based on the superior-subordinate relationships, on the one
hand, and the nature of services, on the other. External forces axe based on the
relationship with the clientele, on the one hand, and the environment in which the
organisation functions, on the other". Much would depend on the maturity of the
people and levels of development in a country. In the words of Muttalib, "... the
operation of the principle of hierarchy may not exhibit much authoritarianism when
members of the organisations and the clientele are drawn from,asociety that value
greatly the egalitarian concept". F w the success ufpoliti~aland admipishtiw41
decentralisation, Pfiffner and Sherwood suggest that decentralisation needs, very
careful treatment for achieving the desired benefits. Moreover, it requires maturity and
character, not only on the part of the individual members of the organisation but also
in the culture of the larger society as well as the subculture of the organisation itself.

Vote: i) Use the space below for your answers.
ii) Check your answers with those given,at the end of the unit.
1 What is centralisation? In what way does it differ from decentralisation?
2 . What factors contribute to greater decentralisation?

...................................................................................................
3 Explain Mervin Kohn's centralisation-decentralisation matrix.
.- 1
25.6 MIERII'SS AND DEMERITS OF CENTRALISATION

Now we shall qnalyse the merits and demerits of the concepts of centralisation and
decentralisati~n.Organisations based on the principle of centralisation provide central
direction both in the formulation and the execution of policies and programmes. In the
words of Lou$ A. Allen, such a; organisation facilitates the introduction of dynamism
in the organisation through the active role of personal leadership; helps in integrated
I

-
in ~rganisation-II
concrp~s approach foecarrying out organisational operations which result in uniformity of
action. Moteover, this concept is quite handy in emergencies and for dealing with .
unanticipated matters. I
Merits of Centralisation
a) It is .eaSier t o develop uniform policies and, practices i n a centralised organisation.
Moreover, it can effectively achieve conformity to the prescribed procedures and
can bring about better coordination among the various units and levels of the
organisation.
b) Such a system further adds to the prestige and influence of the top executives.
Authority being concentrated at the top level, it is easier to identify the key person1
persons who exercise the real a u t h o r i t ~This is helpful in creating a suitable climate
for fulfilling the aspirations of those executives or leaders who prefer to combine
prestige with real organisational operations.
I c) If process of centralisation is strengthened, duplication in an administrative
organisation can be avoided.
d) It has been claimed by Menin Kohn that a centralised organisatioh deveTops a
corporate personality by enabling the full utilisation of the personnel and the
equipment in organisation.
4
It may be said that the merits of centralisationare very much limited and can largely be
obtained in small sized organisations. m ow eve^, in bigger organisations it becomes a n
obstacle for effective polioy formulation and its implementation.
~ e m e r i t of
s Centralisation
a ) A centralised organisation does not allow the development of second line of
executives as all the lower levels are more dependent on the orders and directions
of the top executives. The emergent situations require immediate decisions for
reaching the desired solytions. In a centralised organisation, if erpergencies arise at
the unit level, their solutions becomes difficult by the unity itself as they do not e n j o y
any decision makirig authority.
(1
b) The concept of centralisation works against the possible diversification or expansion

of the organisation. The local needs of the organisation cannot be understood in t h e
right perspective by the centralised executive.
I
1
c) There is a minimum use of the concept of delegation of authority because real
authority always lies in the top levels of the organisation. Thus for a decision on
every matter, the top executive has to be approached. Therefore, such an
aorganisation concentrates all decisional authority in a few persons and makes
majority of the personnel only as implementers of orders received from above.
d) As the subordinates have to approach the superiors for taking even minor decisions,
the work in the organisation suffers and unnecessary delay is caused.
25.7 MERITS AND DEMERITS OF PECENTRALISATION.

1
It has been observed by many scholars that in a decentralised organisation l o w e ~ l e v e l '

managemdnt hierarchy enjoys considerable decision making authority and the number
of decisions made at the lower levels is quite large as compared to the decisions t a k e n
at the top levels of the organisation.
hierits of Decentralisation
.
a) A decentralised organisation 'is more responsive'to the needs anddemands of the
local area and the people. It can understand and assess the real problems and,can .
. take decisions for their effective solutions. The local government institutions in .
Britain enjoy a substantial authority for dealing with local problems. In the I n d i a n
I
context, the local government institutions have been given some limited authority
for taking decisions at the local level. , .

6)
Delegation of authority is an essential aspect of a decentralited orginisation. The
: higher levelorganisations share their authority with the lower level orgqnisations.
Centralisation and Decentralisation
i In the process the top levels deal with very important matters; whereas, the lower . .
levels are left free to tackle less important issues. Hence unnecessary burden on top
management is avoided.
c) A decentralisedorganisation encourages innovations as it welcomes creative ideas
and new techniques recommeqded by the lower levels of the Gganisation.
Moreover, this system tries to assimilate the best of the generalist and specialist
personnel working in the organisation. It leads to more interaction among the
personnel. Futther, a decentralised system encourages the expansion of the
organisation and permits desirable diversification for effective achievement of goals.
Louis 4. Allen observes that a decentralised organisation helps to:
i) base the burden on top executives or on those who operate from the central points
ii) facilitate 'diversificatibn
iii) make decisions at the scene of action for effective and fruitful delivery of goods and
I
services
iv) encourage development of meaningful talents
v) improye motivation of people within the organisation
/
Apart from various advantages of decentralisation there are many draw backs of this
, system too. Some scholars feel that decentralisation may lead to disintegration and may
considerably weaken the top levels of an ,organisation.
Demerits of Decentralisation
a) In 4 decentiiiiised organisation communication among various levels becomes
'
difficult. At times the message communicated from top becomes blurred and
changes its contents and meaning when it reaches the concerned individual in the
organisation. Moreover, geographical distancedalso create problems in the way oq
effective communication and control systems.
b) It is very difficult to introduce effective system of coordination both at policy making
'. ' and policy iniplementation levels.
' c) It leadqto overlapping and duplication of efforts in most of the organisationsas they
fail to clearly identify and define the activities and responsibilitiesin precise terms.
Duplication in the performance of staff functions is a rule rather than an exce'ption
in a decentralised organisation.
d) It may become difficult to maintain desired uniformity in the standards in d,ecision
making due to comparatively less control of the higher levels df the organisation.
e) The decentralised system necessarily results in higher costs of its operational
aktivities. For such a situatiqn there can be many factors but one easily identifiable
factor is the underutilisation of the availab1.e talent in the organisation.
'W
--- ..
Note: i) Use the space below for your answers,.
ii) Check your answers with those given at the end of the unit. - I
' . 1 Discuss the merits and demerits of centralisation.
. . , , 4
I
.................. . . . . . . . . . . . . . . . . . . . .....................................;..........................
"

Concepts in Orgnnisation-1 2 What are the major advantages of decentralisation?
25.8 LET US SUM UP

Centrdlisation and decentralisation are important principles for the formation of an
organisation. They deal with authority distribution within an organisation. Under a
centralised system authority is concentrated at the top levels. The lower levels always
depend on the top levels for direction', guidance and advice. Under this system field
agencies or the area units are only implementation agencies guidelines for which are
given to them by the central authority. On the other hand, deccntralisation refers to the
democratic method of devolution of administrative and political authority. It also refers
to the physical location of facilities like plant and personnel and the extent of dispersal
of authority throughout the organisation. We may say that under decentralisation
lower levels are allowed to decide many matters and only a few cases are referred to the
higher levels: However, in common phraseology, the term decentralisation is
I
interchangeably used with terms like deconcentration, devolution and delegation,
though they have different connotations. Devolution has political and legal authority
ramifications. Deconcentration and delegation refer only to adrpinistrative authority. ,
Decentralisation covers the political, legal and administrative spheres of authority.
0
Degree of decentralisation is greater when more decisions are taken at the lower levels
both in routine and important matters, In other words greater the freedom allowed to
the subordinate levels the more decentralised organisational structure will be. Under
this system there is less control and supervision of the higher levels over the subordinate
units. Mervin Kohn opines that depending upon the location of facilities (plant,
personnel, etc.) and decision-making authority, we get four ,models of an organisation
where authority.concentration or its a'id'lBpersal gives us a centralised o r decentralised
organisation. Both theke principles have their relative merits and demerits. We can use
either or both depending upon the nature, objectives and the area of operation of the
'biganisation.
25.9 KEY WORDS

Amply: Extensively
Assimilate: Absorb
*7

profit Centre Approach: Under this the Company establishes self-sufficient,self- Centralisation and Decentralisation
contained and semi-autonomous units which are responsible for their own profit or
10s;. In such units profits become a direct concern of individuals, it means each unit
becomes a "profit centre". This helps in stimulating personal efforts.
Ramification: Forming sub-divisions.
25.10 SOME USEFUL, BOOMS

Avasthi A and Maheshwari S.R.,1985. Public Administration (14th rev. ed); Lakshrni
Narain Agarwal: Agra.
Mathur B .S., 1987. Principles of Management; National: New Delhi. f
Pfiffner John M and Sherwood, Frank M,'1968. Administrative Organisation; Prentice-
Hall,of India Pvt. Ltd.: New Delhi.
.
Special Number on Decentralisation -Indian Journal of Public Administration, July-
September, 1978.
u

EXERCISES
1 See Sec. 25.2
2 Sec Sec. 25.3

1 See Sec. 25.6
2 Sec Sec. 25.7

. .
Structure
26.0 Objectives
26.1 Introduction
26.2 Meaning of Delegation
26.3 Characteristics of Delegation
26.4 Need for Delegation
26.5 Types of Delegation
26.6 Principles of Delegation
26.7 Hindrances to Delegation
26.7.1 Organisational Hindrances
26.7.2 Personal Hindrances
26.8 Limits to Delegation
26.9 Let Us Sum Up .
26.10 Key Words
1 26.11 Some Useful Books
; 26.12 Answers to Check Your Progress Exercises
1 26.0 OBJECTIVES
i After studying this unit, you should be able to:
1 * explain the meaning and significance of the delegation
describe the different types of delegation
analyse the various principles of delegation
discuss the niain hindrances and limitations to delegation.
26.1 INTRODUCTION
This is an era of large scale organisations. As the number of large scale organisations is
increasing day by day the need of delegation has tremendously increased. In a small scale
organisation, the head may be able to run the organisation effectively by keeping all the
powers with himself, but this is not possible in the case of a large scale organisation. In
; large scale organisation the head may formally keep with himself all the powers relating to
the operation of the organisation but keeping in view the need fsr efficiency, he is
required to delegate his authority to his subordinates. Moreover all organisations are
'
organised on the basis of the principle of hierarchy which binds different levels and units
of the organisation with a continuous chain of authority. The need of delegation is
greatly felt with the growth of an organisation. In the words of L.D White, "Circumstances
of magnil:l~i: ,-" .-u...~, however, require some delegation of authority and the
settlement of much business at the point where it arises". In this unit, we shall discuss
importance, characteristics, types and limitations to delegation in administrative
organisations.
26.2 MEANING OF DELEGATION

Delegation means grant or conferment of authority by a superior to a subordinate for the
accomplishment of a particular assignment. According to Mooney delegation means
conferring of specified authority by a higher to lower authority. It is devolution of
authority by a person to his agent or subordinate, subject to his right of supervision and
cbntrol, It implies that legally delegated authority still belongs to the Delegator ar the
person who delegates, but in practice its exercise is allowed to the subordinate or the
agent. Albert K. Wickesberg, too, in the same spirit observes: "The act or process of

Concepts in Organisation-11 delegation is the assigning to subordinates of specified tasks of the organisation and the
granting to one or more persons the authority necessary for directing satisfactorily the
activities and duties so assigned." However, writers like George R. Terry do nol agree
with this interpretation of delegation. They hold that delegation is not essentially a
devolution of authority from higher to a lower authority or from superior to a subordinate.
In the words of Terry, "Delegation means conferring authority from one executive or
organisation unit to another." It implies that delegation is not only devolution from higher
to lower level and it can be from lower to a higher authority or between equal authorjties.
Delegation, thus can be downward, upward or sideward. According to Terry, Delegation
may be classified as (a) Downward: when a higher authority delegates to the lower
authority as a sales manager delegates to a salesman (b) Upward: when a lower authority
delegates to a higher authority as the shareholders delegate their authority to the Board of
Directors, and (c) 'Sideward' when delegation is at an equal level as in a case of a person
delegating to his peers in the organisation. Therefore, delegation can be defined as the
entrustment of a part of work or responsibility and authority to another and the creation of
accountability for performance.
26.3 CHARACTERISTICS OF DELEGATION

Delegation being a .process of devolution of authority has the following characteristics:
1) Delegation is the authorisation to a subordinate or another organisational unit to act in
. a certain way independently. The delegatee has to act within the limits prescribed by
the delegator. Within these limits the delegatee (subordinate) is not free to act
arbitrarily but subject to the policy, rules and regulations framed by the delegating
authority.
2) Delegation has a dual character. A superior or delegator delegates the authority to the
subordinate but at the same time retains the authority. It has been rightly observed by
Terry. "It is something like imparting knowledge you share with others who then
possess the knowledge, but you still retain the knowledge too."
3) Delegation implies partial delegation of authority. The delegator does not delegate his
entire authority to his subordinates for in case, he delegates all his authority, he cannot
exercise the power to supervise and control. Therefore, delegation is subject to specific
or limited terms.
4) Authority once delegated is subject to variance. It can be enhanced, reduced or
withdrawn. It all depends upon the requirement of the time and accomplishment of the
task.
26.4 NEED FOR DELEGATION

Delegation is a universal phenomenon. No organisation can work without devolution of
authority as it brings not only efficiency and economy, but also makes the administration
smooth. Delegation can be justified on the following grounds:
i) Volume of Work
Increasing volume of work requires that there should be some sort of delegation. It
becomes difficult for the head of an organisation to keep all the workload to himself. If he
daes like this, the work is sure to suffer. There will be neither efficiency nor economy,
According to Albert K. Wickesberg: "as the demand for output increase, as,volume goes
up, there is a need for additional people to assist in doing the work for which the
organisation was formed. With greater number of pleople involved, there is a division of
the operative tasks, the actual production arid sellinlg of group services, and their related
needs. There is a division of labour, often accompai~iedby increased speculation, There is
an identification of tasks which can he performed satisfactorily by others and the
assignment of those tasks to new employees.,. Cons~:quently,there are many pressures,
which are volume related and which give rise to delegation, redelegation and redefinition
of duties and assignments."
ii) Complexity
The operational procedures bf the organisations are ?!ecoming more and mom complex. .

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problem. Consequently the
need of specialists is greatly felt. The line agencies, being compelled by the
complexities delegate the work of deliberation, thinking and formulation of plans to
staff specialists, though the ultimate power to approve the plans lies with the line
iii) Saves Time for Policy Formulation and Planning
Executive head always needs more and more time for planning and policy formulation. If
he remains busy with minor details, he would not be able to devote much time to planning
and decision making. The superior who delegates effectively, is free to do more
supervisory work and overall planning. This, in turn, usually results in a smoother running,
and more productive organisation. Thus delegation helps the Chief Executive to devote his
time and energy to decision making, policy formulation and planning and relieves him off
from much of the unimportant load of work which can de easily done through his
subordinates.
iv) Educative Value
Delegation has an educative value. As one of the major duties of the manager is to
train his subordinates in the art of sharing responsibility and m&ing.decisions,
delegation plays a phenomenal role in this direction. It provides an opportunity to the
subordinates to get training in the field of sharing responsibility. The subordinates
feel encouraged and develop greater loyalty and a sense of belonging to the organisation.
It raises their morale and they feel pride in identifying themselves with the
organisation.
y) Management 1)rveloprnent
The process of delegation is not only educative in nature but is also productive. It
provides managerial development training and helps in the creation of a managerial
class of subordinates. The executives at different levels can take decisions and action on
many vital issues on their own. They develop a sense of taking initiative slid face
the challenges. In this way delegation provides an ample scope for self advancement
and self expression. Delegation is, thus, the cardinal srep in managenlent
development.
vi) To bring Flexibility in Organisation

Rigidness in an organisation is always harmful. It proves as an obstacle in the way of
increasing the output and efficiency in work. To bring flexibility in the organisation,
delegation is an esseiitiality. Delegation removes rigidity and helps in acting in accordance
with the changes in the situation.
vii) Geographical Dispersions
Large organisations have geographical dispersions. They have a net work of branches,
multipir. . -;+a snrr-' Qver a wide area. Delegation and decentralisation of authority helps
to manage sffectircly tne diversified and dispersed business. The branches and units of a
large organisation being away from the head office need delegation of authority.
Delegation helps then1 to run efficiently and promptly.
viii) Economy and Efficiency
Delegation of authority helps in the division of labour, essential for the discharge of dudes
efficiently and expeditiously. Delegation minimises delays and imakes the organisatitn to
act more efficiently and economically. Due to clear demarcation of authority at various
levels of administration, delegation is also conducive to an effective control over different
branches or levels of organisation.
ix) Helpsin Successiorr

There is a great relation between delegation and niccession. An administrator, by

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It means when an administralor quits,
another should be able to succeed him. In the words of Schell. "Delegation is one of the
most effective tools available to an executive in preparing the way for his successor.
Indeed, it is the most important tool for selection and training successors." Delegation
helps in succession or continuance of ideas also. Every enterprise is based on cerlain ideals
and those ideals continue to exist even after the exit of the administrator.
By referring to American Administration, White has summed up the reasons of delegation
in these words: "Circumstances of magnitude and volume, however, require some
delegation of authority and the settlement of much business at the point where it arises.
The convenience of citizens alone compels most matters to be handled outside
Washington. The avoidance of delay in administrative bottlenecks requires decisions at a
hundred or a thousand field offices rather than single headquarters establishment. In
some cases, proper adjustment of policy and programme to local conditions requires
discretionary field decisions. Certainly, the delegation of authority means grcater energy,
-
a higher sense of responsibility and better morale among field agents. They are not content
to be mefi messengers and reporters of their washingtori Superiors.
B . i
Check Your Progress 1 J
Note: i) Use.the space below for your answers. ..

1) Define delegation.
...
' : 2) Give three characteristics of delegation.
"" 8 3) List four needs of delegation.
26.I.TYPES OF DELEGATION
Delegation cm be of several types viz., permanent or temporary, full or partially,
conditional or unconditional, fornlal or informal, m&direct or indirect. We shall discuss
these different types in some detail.
Permanent and Temporary Delegation
. .'
Delegation may be ofpxmanent or teniporq nature. In case of permanent delegation the
8 '
powers are delegated forever subject to normal conditions. Only in extraordinary

circumsti~accsthis !cintE c.rT n.relc-.gr,tioiami@ be revoliec2. Temporitry d:.lega~l~n im~lies
$elegntic~nof powers f;.x I. short perjod for the aict:c1rn~1liii11m1cn1
:1f some end. Wllan t i x end
is achic:ve.d the delegatiorl also ends. Accorclik~gto Erwin Haskell Schr:ll, E'hr cxrcnt itrid
"
arra r ~ delegatiotl
f nlny vasy dependirig nipi?n ciicumstariczs. You m;l,y for. exa~rigriawish to
delegate rasporrsibilities for Li r~:aspros:!q~ psL.i~~i,
pending t l rctuni
~ of o i n 'vvhci iris
responsibility as i l regedar as.;,ignra~ent."
Delegafi,on is flail 1:vlien no corrdilio:?~art; attached to she delegaiioi~an::; the persillr, WIKPIII
pcjavers &redr-:ir:gared, has she fLdla8ri.lority to ninke decision and take action. It is pastir11
when tltc tiecisiidnli taken by him is to be :tpppved by &91edclegntioti i~uthority.F Gc:<arup!u
~
when a dig?lo~n;ttis sent abroad with t't~lF powers to ~legotiarte.it is r'ull rlt:legation bi.rf when
Re is req~.riredto pet advice or. r~pprovalhefore nraakirsg the final rsegoiiation, it is partial
clelegntiora,
Csnditiasnila! and UwcaandiWioraaH
Delegation ran be conditional rind t~nconditinnal.Delegation is co~~ditional wl.1en some

conditions are iallposed on the person, on whom the delegation is ccrnf~rred.I t is
unconditional when thr' subordinate is lkee to ;act without any reservation. For ex;unple
when thr decision of the sul~ordin;ltc:is subject to confirmation and revision by the
superior it is coorlitionl:slde1ui;iitiora hut when hc: is autllorised to act in his discretion thc
delegation i!; n~hcoiiditionai.
Dzlegation is fcmml when cml,oilied in written rules, by-1;lws or nrtlcrs; on the other Iiancl
it is informal when based o n cus!oans, conventions and understanding.
Direct :amd Indirect
Delegatloi~i t direct when no intermctilary is involv~ai.But whc:r ;I tillrd rcr\ou or party i:,
inveslvtr.!, ie ~lriiybe called l~~dilecl
rlrlegatton.
Delegation is ~\lwaysgoverned by certain principles. klnler;s these pritlciplcs are observed,

delegation can not be mnde effective. 'll'he ti)llipwing princinics :ire genei~allyohserved at
the time of delegation of authority:
i) Delegtation should he done In a clenr rnitnncl- 'I'here should be no an:biguiry ahvut rh~,
authority that has been dt-legated. Policies regulations and procedure:, should be well
defined as to give r?o irriL.~rider~tandiny
to the subordinates using discretionary powrrs.
ii) Thc del~gateemust know exactly how much authority has been clelegrrtc'd: The orclers
of rielegation should he issued in written fo'onn, so that the pcrhonr, \shoin powcrs h:lve
been delegated, should be clew ijbout the limits to delegation.
ili) Tht: i:uthority is delegated to gel certain rcsults by perfonn~ngpii~-trc~rlar ;tclivdieh: The
authority delegated to a subordinate should be adequate to assure his abtliiy to
acco~nplishthe task assigned to him The delegatee should be givcra thr autilor~lyto
use his discretion and tlzc rlelegatec should 11ot expect hit11 to act according to hi\ own
wishes. The s~tbordinatesshot~lldbe granted all the authority land responsibility they riin
handle.
iv) Authority agld responsibility should go as co-equal: Authority entrusts a ~ubordiriittethe
right of taking and enforcing d~cisionto achieve the assigned activities while
.responsibility places the obligation upon iiim to perform these activities by using ti3i.i
authority. Authority without rt*q~onsibilitylacks an ultimate purpose, and like~vi.,e,
responsibility without authority to carry on assigned activities has a hollow arllb;.
I-Ience authority and rcsponsibility should go together on the baas of parity.
V) Total responsibility of the superior: As total responsibility can not be delegated the
superior can not avoid his responsibility for the overall activities assigned to him
mer-!y by delegating his authority to his subordinates. The subordinates is always

Concepts in Organisation -- I1 responsible to the superior for the activities assigned to him. No superior can avoid his
overall responsibility.
vi) Delegation is based on h e principle of unity of command: This implics that a
subordinate should be responsible to a single superior and should get the authority from
him. Tile direct relalionship between the superior and subordinate eliminates confusion
and ambiguity. Responsibility to a single superior lessens the problem of conflict in
instructions and creates a feeling of greater responsibility for results. Contrary to this,
responsibility can not be fixed accurately 'and the authority of the superior is
undermined.
vii) "Keeping the communication open": These words emphasise that even after. getting
delegated assignment, the subordinates should be allowed to meet and consult the
administrator whenever he feels the need for the same. The administrator should
always be ready to guide the subordinate. I-Ie should not grumble when a subordinate
commits a mistake in connection with the delegated job but should rather come to his
rescue by providing necessary heip and guidance.
viii) Delegation should be succeeded by appraisal: @he11 a delegated assignment is
completed it should be followed by an appraisal of the subordinates performance. As
authority is pushed downward, top management must exercise a restraining hand,
so as to be sure that the interests of the programme are not jeopardised by
cor~flictingpolicies.t~orthis purpose systematic reporting system should be introduced.
It will provide an opportunity to the superiors to review the progress of
subordinates.
ix) Delegation should be properly planned and be systernatic: Authority and responsibility
for each position in the management of an organisation should be spelt out and
delegation should be made to a position rather than an individual.
In spite of the above mentioned principles of delegation, it can be said that delegation is a
difficult process, which is not based on any precise principle. The above narrated
principles are simply for guidance of the administrators, and they are not prescriptions for
all sitpations.
-
26.7 HINDRANCES TO DELEGATION
No doubt delegation is of great significance for all organisation, still, it is often seen that
the superior officers hesitate to delegate authority. In fact, there are several hindrances to
delegation which can be grouped as, (a) Organisational and (b) Personal.
26.7.1 Organisational Hindrances

They are as follows:
i) Lack of established methods and procedures: For making delegation a success it is
essential that definite procedures for delegating the authority should be laid down.
Delegation becomes easier if procedures and rules are well established.
ii) Lack of co-ordination and communication: Co-ordination is the cardinal principle of
organisation. Without co-ordination no organisation can work. But co-ordination
requires close communication between the different units of an organisation. Without
communication there can not be any delegation and co-ordination.
iii) Unstable and non-repetitive nature of work: Stability is a must for delegation. Stable
and repetitive work affords a greater degree of delegation.
. iv) Size and location of an organisation: Size and location of the units of an organisation
sometimes hinder the delegation of authority. The larger the organisation and broader
its geographic coverage, the greater are the chances for delegation.
v) Lack of properly spelled out positions and unspecific terms of delegation of duties and
authority cause confusion and adversely affects the delegation of authority.
26.7.2 Personal Hindrances

Personal factors, too, stand in the way ol' delegation. These factors can be egoism tendency
to have credit for everything, fear of disloyalfy on the part of the subordinates, lack of
10 . confidence in the capacity and competence of the subordinates; lack of emotional maturity

Delegation
on the part of the delegating authority or pcrson; lack of Itnowledge of what to https://t.me/Upsc_Zone_Official
delcgate
and how; fear of accountability to the higher ups or the legislature or the people.
According to Pfiffner the Ihllowing human causes hinder the proces? of delegation of
authority to the authorities:
1) Pessons who rise to positio~iof hierarchical leadership have rnore than nom~alegotism.
2 ) They are afraid that others will not make the proper decision or carry them out in the
desired manner.
3) They fear that disloyal or subversive powers will devclop among strong'subordinates.
4) Strong, vigorous, and high1y motivated persons beconic impatient with the slower pace
and indecisiveness of suborctinates.
5 ) In Public Administration, political considerations often make delegation difficult.
6) The cultural heritage of man has been one of authorilarian, patriarchal leadership; thus
the practice of delegation is partly dependent on cultural change.
7) The act of delegiltion requires an emotional maturity which apparently is rare, even
among successful persons.
8) The symbols of leadership (those personal qualities and traits which attract the
attention of others) are inconsistent with the philosophy of delegation. Those striving
to succeed must make theniselves prominent.
1 9) Persons who desire to delegate do not know how to do it.
1 0 ) They do not know how far lhey should delegate at least for two reasone (i) the science
nf organisation and management is immature; and ( i i ) their work experience has not
taught them to neglect bccause most organisations fail to practice delegation."
In addition to these hindrance the non-acceptance of delcgation on the part of thc

subordinates too has a great bearing. The main reasons for non-acceptance can bc summed
up as (i) fear of criticism (ii) lack of needed information and resources to do a good job
(iii) lack of confi&uce to exercise delegated authosity and make corrcct decisions (iv) lack
of initiative and drive and (v) more work than one's capacity.
No doubt the above mentioned hindrances stand in the way of delegation but the
significance of delegation in an orgiunisation set up can not be denied. No organisation can
work without delegation and devolution. As delegation is ii must, the only way to meet
these challenges is to remove the bottlenecks as far as possible. For removing the
organisational factors proper procedures and methods should be established and all
concerned should follow them at the time of delegating the authority and performing the
assigned responsibilities. The organisations shoulci develop a system in which the duties
and responsibilities of the incumbents holding differcnt positions in organisational
hierarchy should be clearly defined. The organisation must possess a proper system of cn-
ordination and communication at different levels of administration.
Pfiffner has described the following techniques to niake the delegation effective:
\
1, i) Select subordinatcb capable of shouldering responsibility.

1 ii) Define such responsibility.
/ iii) Train them to carry it.
' iv) Establish general policies and disseminate them throughout the organisation.
1 v) strive towards maximum standardisation of both functional and house keeping
procedures.
vi) Carry on perpetual management planning consisting of job analysis, organisation
study, budget planning, work flow study and sintplification of system and procedure,
vii) Establish external checks which auto~naticallyshow danger signals.
v i i i ) ~ s s u r ethe flow of information up, down and across the hierarchy.
26.8 LIMITS TO DELEGATION

No doubt delegation is a must in all the organisations, but no chief or superior officer can
be allowed to delegate all his authority. The delegation of complete aulh~rilymakes the
executive superfluous. Though, the extent of delegation vary from case to case depending

- 11 upon the nature of the case, circumstances and organisational structure, there are some
well recognized limits to delegation. According to M.P. Sharma the following powers
cannot be delegated:
i) The supervisio;~of work of the first line or immediate subordinates.

ii) General Financial supcrvision and the power to sanction expenditure above a specified
arnount.
iii) Power to sanction new policies and plans and departures from established policy or
precedent.
iv) Rule making power wherc it is vested in the delegating officer.
V) Making specified higher appointments.
vi) Hearing of appeals from the decisions of at least the immediate subordinates.
Without retaining these powers the chief executive can not control the organisation
.I ..
~ffcctively.It may reducc him io be an ineffective entity.
-
I ) Distinguish between different types of delegation.
2) Explain any three principles of delegation.
3) What are the hindrances to delegation?

. .....................................................................................................................................................
.......................................................................................................................................................
2 .

4) Discuss the limits of delegation.
26.9 LET UarZTP

Delegation is the most important problem of management. No.organisation can work
without the provision of delegation. 'Delegation in simple words implies conferring
. specified authority by a higher to a lower authority. In other words, it means assigning of
authority and duties to others for the attainment of desired ends. Delegation, however, is
not the final and authority can be taken back by the person who deleg.ates authority.
*.Delegation can be of several types. It can be pennanent and temporary, full and partial,
conditional and unconditional, fonnal and informal and direct and indirect.
The need of delegation is evident, for all organisations. It helps in division of work and
reduction of complexity in the working of organisational procedures. It helps in saving
more time for policy fornlularion and planning. It has an educative value and provides an
opportunity to the subordinates to sl~ouldermore responsibilities with courage and
efficiency. It brings flexibility in the working of an organisation. It makes the
administration of an organisation efficient by raising the rnorale of its cnnployees.
Delegation is governed by certain principles without which it is not possible lo delegate
authority effectively and efficiently. It should be written and specific. Authority and
responsibility for each position in the organisation should be clearly spelled out. It should
be confined to the position and not to the individual. Delegation should be planned and
systematic. As complete delegation is not possible, only that much authority should be
delegated as it is within the competence of subordinates to exercise with caution. There
should be a provision of reporting and appraisal. Policies, regulations and procedures
should be clearly defined so that there may not remain any ambiguity regarding the powers
delegated by a superior to the subordinates.
DeEr~. i s fl.'-:-rt to both organisational ancl personal hindrances. Lack of methods and
procedures, lack or irieans of coordination and communication, size and location of
organisation and personal factors like egoism, tendency to concentrate power, emotional
immaturity and the reluctance to delegale powers stand in the way of delegation.
As complete delegation is neither essential nor practicable nor in the interest of the chief
executive and the organisation, it is subject to some limits. Powers pertaining Lo finance,
appraisal, fotlnulation of policy and planning, power of appeal against unjust decisions,
etc. cannot be delegated.
--
26.110 KEY WORDS
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-
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Cardinal: Fundamental.
Disseminate: Scatter.
Egoism: Self interest as moral basis of behaviour.
i
Concepts in Qrgnnisation - II Job analysis: Systematic examination, determination of nature, charactel.islics, functions,
activities of a job and knowledge, skills, experience necessary to perfom1 it.
Work flow study: Study of procedures of the job of the employees at work.

Mooney, James D. 1957. Principles of Orgnnisation; Harper and Brothers: New York.
Pfiffner John M. and Sherwood, Frank P, 1968. Administrative Orgarzisatiorr; Prentice Hall
of India: New Delhi.
Terry, George R, 1964. Principles of Management; Homewood: Illinois.
White L.D., 1958. Introduction lo Public Administration; Eurasia Publishing H ~ L I S(P)C
Ltd. : New Delhi. ,

EXERCISES
1) See Section 26.2
2) See Section 26.3
3) ~ k section
e 26.4
1) See Section 26.5

2) See Section 26.6
, 3) See Section 26.7
4) See Section 26.8

UNIT 27 SUBERVlBSION
Structure
27.0 Objectives
27.1 Introduction
27.3 Different Aspects of Supervision
27.3.1 Singular and Plural Supervision
27.4 Techniques of Supervision
77.5 Qualities of a Good Supervisor
27.6 Duties of a Supervisor
27.7 Training of Supervisors
27.8 Let Us Sum Up
27.9 Key Words
27.0 OBJECTIVES
After studying this uiiit you should be able to:
* describe the meaning and significance of supervisiorr
discuss the different aspects and techniques of supervision and
explain the qualities of a good super~isor.~
Supervision is tlie most important task of rnanagernent. In every organisation, public or

private, there is a provisiori for supelvision at every levcl of administmtion. The scalar
; system provides that each level in the hierarchical organisation is subject to the
supervision of the one immediately above it and that each employees is subject to the
control of his immediate superior. According tcr John M. Pfiffner, " From one point of
view Supervision runs up the hierarchy to its highest levels-bureau chiefs supervise
division heads, who in turn supelvise section heads, who supervise the rank and file."
Therefore in every organisation supervisio~lcall be found at all levels and lhis top to
bottom chain relationship provides coherence in the organisation. In this unit we shall
study the importance, techniques of supervision and the role of supervisor in
administrative organisation.
- -
29.2 MEANING AND UEFINETION +
.The word supervision is made of two words "Super" and "Vision" which means oversee or
superintend. In simple words it implies the superior's power of supervising the work of
others. It is an act of overseeing and guiding the activities of subordinates by their supetiors.
Negatively it means directing, investigating and supervising the activities of tile personnel
working in an organisation. Positively it implies to guide and advise the subordinates with an
objective to achieve the required target. In the words of Terry and Franklin, Supervision
means, "guiding and directing efforts of employees and other resources to accomplish
stated work outputs." By stressing on humanistic nature of supervision, Williatrrsor~
defines supervision, "as a process by which workers are helped by a designated staff
member to learn according to their needs, to make the best use of their knovledge and
skills and to improve thcir abilities so that hey do their jobs more effectively and with
increasing satisfactiorl to themselves and the agency." Thus supervision is a two way
Process; on the one side, it is a guiding process w11iEe on the other hand, it aims at

superlntcnding 1lic work of others. In I'acr. it has many il~gredicnts.1-1ral:;ey Ims rightly
rei~ial.ked.snpervisiol~is "selecting the right peison for each jnh, uruusing iil e x i person ~
an interest in his worl,: itnd reaching hilrr how to (lo it., nieasurirlg and rating ~~crl'c)nnance lo
be sure th:ii ~ e l ~ c h j r11:~s
i g been hlly effecti:.e, atiniit~i!;tcriiigconcctiun where this is :;,und
raecess:iry and transferring to no re s~~itable work or disrnissinp fhose for whonr this proves
ineffective, comfi~endingwhenever praise is merited and rewarding for good work: arid
finally fitting each pei.sor~hartnoniously into the working group-all done fairly, patiently
;ind tacdully so that tach person is caused to do his work skilfir.lly. :icc~~rarely,
in~elligeri~ly,en~husiasticallyand coml>letzly."
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. - ----
27.3 DPI:P:KIF",EfidT ASPECTS OF SUPERVISION
__I__ _
I _ .-
_ _ _ _ _ _ I _ _ __l_-l---l-l_-_-ll--ll
_I
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Snp12rvi!;ioiii s ;I broad term and its nature and scopt. varies with the kiud oi' nurk and the
people to tile :,upervist.d, the exrent supervi:;ory responsibility a i d the Icvt.1 of sul~ervision.
Foi.examplc the nature or supervision oi' work and people working in tlsc f;rcior.ics is quite
diffe'rcnt from the: kind of supervision of the work-of the employees wctrlting iii 311 office.
The 113:rtrc: of supervision of skilled ar professional employee:; i~ qaiitc different frorn that c ~ f
~ t ~ ~ s k i lli:np.?.ren
led us their woi-k:. corl(ditic~~~~
of lork king iind pnoi9'kials are quite di.fft:ient.
Si~nil~irly. the :supervision at higher levei is less close and di:tnilcd than at the lower. level and
also rerjuxs higher ability, experience and tact. Thus supervision ha:$ 3 w i d e nzc:ining and
the supervisor i:; expected to perform different kinds of functioi~s.In tire woicll:; of F.kI.
hllarx, "a'!~!:sujx;ri;jsor is the persi.111 who knows both the v~orltto Pje: done arid the policies
aiicl prl:xYe~i\!ri's set down bj, the. naanagement; and who cari motivlt~ethe work group lo
r n ;asIc.:: within the fraiilework of these policiks and procedures. His job may thus
p e ~ f o ~ it!:
bc described :;.j (i) :;ubstantive or technical relating td the work to be d o ~ x(ii) Ineti11.1tiorlal
or objective relating to the policies and procerlures according to which the work rnu!;t be
done; anhi (iiij ptisonal relating to the handling of worlters." Thus there are tl;rci: principal
aspccts of supervisor's working: i) snbstantive or technical, ii) institutional, and
iii) persr~~~al. Wc siiall discuss about each of them in sonie dciail.
lit Asgaect
SuSJstr~iati.r
i
A supet.vi;OI must know the technique a~iclthe know-how of hiu wolk bccs1l.2 iic Ii;ir to
plan his work, assign duties to others and set standards of perfostnirnre.
EnstituCiunal Aspect
A supervisor has to run the agency or unit under his chargi: accordirrg tu chr~lblirihcdslales
and procedures and within the framework of policy. He should ensure that the work is
rightly done and finished in time. He is responsible l i ~ 3ssignmt;nl
r oi'tlutie!i.for utteaciimcc.
personality and personal concluct of thr: personnel working under his ch:p.rr:c. Ht: iz+;IPW
respon4.l'lle for proper conservation of equipment and suppiics.
TI.iisis the inost i~npoi~a~zt aspect of the supervisor's job. No dasubt the supervisoa. IIRS l.hc
authority to get work frorr-r the employees. But auti~o~ity also is not suifiricltr to get the
work out of otl~ers.To get the work done th43 supervisor has to create iriterest :~nd
enthusiasl~iamong the workers in the work. Authority in fdct, Icrws from wirbi!~.1%:; Ivl;~y
Park.er Fo11et has remarked, "Authority should arise within the tlnil'yir~g1:lrocess. '4s every
living process is subject to its own authority evolved by, ur invc;lvetl in rhe procc:;~i t ~ l f .
S o social contsoi is generated by the j:rcsi:ess itself or rallier the activity or self-creating
coherence is tiac controlling authority."' 111 order to let autllority :wise k~rnwithin! tile
organisation, ;r super~ir~ti:.must be human, ~;ympatheticand considcr,snc in nataare and
posses!; t!:e art of' llurnan relationship.
27.3.1 Y irfgaalar and Plural Srjlpervisisn

In an organisation aH persons who exercise ctlnttol over ahc work of others cllri he seg:%rdcd
as sui7cr;risort; irrespactive of their position or slatus in the chain of Iiiesarchy. I$ut the
question arises v,hctlulr the aa~tlzorisylo supervise should be sinpulm or plura!.

organisation should
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should
be supervised only by one supervisor. It implies that supervising authority must be
singular. But in practice the case is different as a single supervisor may not be familiar
with the different aspects of work done by numerous subordinates working under him. The
process of functional specialisation has made the work of supervision more difficult.
Keeping in view, this aspect, F.W. Taylor, the father of Scientific Management
Movement, advocated plural or multiple supervision in industry. According to him there
should be a team of eight functional or specialist foremen to supervise each different
aspect of worker's work. No d ~ u bthet modern theory of management does not accept
Taylor's concept of plural supervision and favours the principle of unity of command, but
in practice plural supervision, has become a matter of fact. We have in the modem
organisation functional supervision by various specialists running side by side with the
administrative supervision. This multiplicity is sought to be explained away by the
functions of staff which is said to be advisory and suggestive rather than authoritative in
nature. Therefore, it can be said that there are two kinds of supervisors i.e., line and staff.
Line supervisors control the subordinates in the line of comlnand while staff or functional
supervisors control the technical aspect of the job. Thus, both exist simultaneously though
the life is more authoritative than the staff.
- - - --
27.4 TECHNIQUES OF SUPERVISION

According to John D. Millet, there are following six techniques of supervision:
i) Prior approval bf individual projects before initiation by an operatingbagency
ii) The promulgation of service standards
iii) Budgetary limitations upon the magnitude of operations
iv) Approval of key subordinate personnel
v) A reporting system on work progress
vi) Inspection of results
All the above techniques are essential from the point of view of supervision. We shall
discuss about each technique.
i) Prior Approval: It is the most common technique of supervision. It implies that before
taking initiative to do some work or make some policy, the subordinate must get the
approval of'the superior authority. This is a common practice in all the countries. In most
of the government activities before the work is started, the prior sanction of large projects
and schemes by the superior authority is essential.
In this way, the supervisor becomes aware of the policies and plans of the organisation in
advance which provides him an opportunity to have full control over the project. While
giving sanction, he keeps in mind the objectives of his organisation and can suggest some
improvements and changes in the scheme of the project. The supervisor will have a chance
to know about the kind of work that is to be done by his unit. He will also get a chance to
know before hand the diffic,ulties he will have to face and find out solutions to those
difficulties. Some misunderstandings if any, can also be solved and errors rectified. In this
way, the approving level is able to get detailed information about the intentions of the
operating unit. Management thus learns how the general plans have been interpreted and
how it is proposed to carry them out. If there is some misunderstanding, it can be corrected
before the actual work begins. If the general plans are inadequate to meet particular
situations, modification can be affected by approving the individual project.
This is also an effective way to developing policies and programmes in the new fields
where the agency has no experience or definite policy. This system is followed at all levels
of administration ir? India in all the public organisations.
No doubt this is a very useful method for the top management for exercising effective
supervision of the organisation but it suffers I'rom certain drawbacks. Often this technique
leads to delay in the executiun of huge projects and policies, increases red-tape and creates
tension between the staff and the supervisors. Sometimes unnecessary delay makes the
work static and the organisation fails in the achievement of its objectives and has to
undergo heavy losses. In addition to this, technique may sometimes lead to clashes and
loss of confidence between the management and the operating functionaries. Therefore, in
this case the sanctioning authorities ~ i i sact
t judiciously and liberally. They should not

Concepts inorganisation-I1 waste time in keeping the proposals unnecessarily and if possible try to decentralise their
authority of granting approval to the possible level of administrative hierarchy.
ii) Service Standards: The second technique of supervision is laying down of some
standards by the top management for the operating agencies. Service standards serve as
norms of determining how efficiently the operating units perform their tasks assigned to
them. It gives a measuring rod to the supervisor to measure rhe output of his subordinates
and provides him opportunity to take disciplinary action against those who do not reach
expected norms. This technique is used in all the countries. According to Millet, "Service
standards are necessary in government in order to ensure that work is done promptly and
properly. In any large organisation, there is likely to be a definite tendency to establish
routine which becomes more important than rendering service. Only if a coilstant standard -
is set up for the performance of the work itself can the inclination to procrastination and
, .delay be overcome." Although standards add to the efficiency and makes the supervision
effective but the standard so fixed should be fair, concrete and objective. But it is a
difficult process to fix up service standards in administrative activities, where the standards .
are to be qualitative rather than quantitative.
iii) Work Budget: Budgetary provision is another significant technique of supervision.
Budget is an effective measure to exercise control over administration. The performance
budgee allocations fix the magnitude of the work to be done by an operating agency during
a fixed period. It makes the control of the top management effective as the operating
agencies are restricted to spend the money and they do not have the free hand to spend as
and when they feel like doing so. The advantage of this technique is that it enables top
management to fix certain limits to the work to be done but leaves the decision about
actual operations to the operating unit. The work-budget allotment is then a method of
delegating authority and of encouraging local initiative while still retaining a central
control over the magnitude of the work as a whole.
This is a good method as it encourages local initiative without effecting the system of
central control. This method is commonly used in the large scale industrial and
commercial units. Even the public sector undertakings and the executive departments, have
started making good use of this technique for exercising control over the operating
agencies.
iv) Approval of Personnel: Another technique of supervision'which is quite common
among the government agencies is the right to approve the selection and appointments of
personnel. This enables the top management to have an effective control over the
organisation. Tn reality no government agency is given complete independence in the
matter of making recruitment of personnel. The operating agencies are permitted to make
recruitment af subordinate staff. Generally, recruitment to public agencies is made through
a central personnel agency commonly known as Public Service Commission. The central
personnel agency retains the right to approve the appointments made by the subordinate
operating agencies.
v) Reporting: It is an important technique of supervision. The top management gets report
from different operating units. On the basis of these reports, the top management or the
supervisor can analyse and evaluate the actual performance of the operating.units, These
reports call be sent daily, weekly, fortnightly, monthly, qparterly, half yearly or yearly,
according to the requirements. These reports may be narrative or statistical, they may
embrace the broad scope of all major activities, or they may be confined to a few
'
essentials; they may ernphasise achievement or deficiencies i n performance. After
analysing the reports received from the units, the supervisor or controlling agency can
point out the deficiencies to the.concerned and motivates them to remove those
deficiencies in future. In some case, the supervisor may reprimand his subordinates and
give them new instructions.
vi) Inspection: Inspection is also a significant technique of supervision. The main purpose
of inspection is to observe that the field agencies are working according to established
norms, rules and procedures and whether their performance is upto the expectation of the.
central office. Through inspection, the supervisor can get the needed information and can
pass it onward to the higher authorities. But this does not mean that inspection is only a
fault finding process. On the other hand it seeks "to acquire information". It helos to
clarify management's purpose and intentions, It helps to acquaint top managemint
,.'
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elaborating the word 'inspection' has observed that, it involves, (i) a standard fixed by law
or by administrative rule or order; (ii) an obligation on the part of individuals to observe
the standard, with penalties for non-observance (iii) and obligations to submit to
inspection; (iv) the actual viewing of the premises to determine compliance or non-
compliance, (v) an order to make such alterations as may be required to secure
compliance, (vi) usually an opportunity for an administrative appeal against the others;
(vii) an eventual opportunity for court review.
f

1) Define supervision.
1 2) Explain substantive and institutional aspects of supervision.
.......................................................................................................................................................
3) Distinguish between sinpulitr and plural supervision.
4) Explain service standards as a technique of supervision.
, 5 ) Explain the significance of inspection as a technique of supervision'.

- I1
Concepts in Organisation
I
.......................................................................................................................
..............................
27.5 QUALITIES OF A GOOD SUPERVISOR

Supervision requires good supervisors. Some believe that supervisors are born not made.
Such people emphasise the inborn qualities of supervisors. But these qualities confine to
personal qualities like attractive personality, good health, high intelligence, persuasiveness
and loyalty to the organisation. But in addition to these personal traits there are certain ,-
qualities which a person must acquire to become a good supervisor. Thus a good
supervisor can have both personal and acquired traits. Pf. Pfiffner has mentioned the
following main qualities of a good supervisor:
i) Command of job content i.e., expert knowledge of the work to be supervised;
ii) Personal qualifications, like integrity, honesty, ability to cooperate, ability to attract,
, motivate, enthuse and unite others to work;
iii) Teaching ability i.e., ability to communicate with the workers and make them
understand the view point of the management;
iv) General outlook i.e., the supervisor should like his job and be absorbed in it and
' inspire those who work under him;
v) Courage and fortitude i.e., ability to take decisions and assume responsibilities; * . I
vi) Ethical and moral considerations i.e., freedom from vices;

vii) Administrative technology i.e., ability to manage, organise and coordinate; and
viii)Curiosity and intellectual ability i.e., intellectual alertness, and receptivity to new
ideas and practices.
According to Halsey a good supervisor must develop the following qualities:
1) Thoroughness: A supervisor should collect all the information relevant to the issue
and take care of every necessary detail.
2) Fairness: It includes a sense of justice, consideration and truthfulness towards
workers.
3) ~nitiative:It is a combination of three qualities of courage, self confidence and
decisiveness.
4) Tact: It is the ability to win the loyalty and suppprt of others by saying and doing those
'things which give them a feeling that they are playing an important part in whatever is
being done.
5) Enthusiasm: It is an intense and eager interest in and devotion to a cause, a pursuit, or
an ideal.
6) Emotional Control: It implies not the elimination of emotions but rather to control
and channel them in right direction.
But the most important quality essential for a supervisor is the human relatidns aspect of
supervision. Today the place of command has been taken by persuation and the success of
a supervisor depends more on his personal relations with his subordinates. i t has been
rightly' observed. "The pattern of leadership desirable in supervisory positior~is based upon
behavibur that emphasises cooperation, participation, consultatiorl, and satisfaction for the
egos of the rank and the file, through strong leader may have to subdue his natural desire
for self assertion and self display." Thus a supervisor must keep the human element in
mind and try to win over the confidence of his subordinates by treating them in a cordial
and persuasive manner. He should have faith in participative management and adopt a
helpful and encouraging attitude towards his subordinates.

27.6 DUTIES OF A SUPERVISOR

A supervisor is expected to perform the following duties:
1) to understand the duties and responsibilities of his own position;
2) to plan the execution of the work;
3) to divide the work among the subordinates;
4) to train the subordinates in their respective fields of work;
5) to evaluate and'rnonitor the performance of the employees;
6) to correct mistakes and solve the problems of the employees; ,
7) to keep the subordinates informed about the policies and the changes to be made;
8) to cooperate with the colleagues and seek advice and assistance when needed;
9) to deal with the suggestions and complaints of the subordinates.
"7.7 TRAINING OF SUPERVISORS

It is generally felt that a good supervisor has some inherent qualities in him. This is true to
some extent, but without proper traincng even the inherent qualities will be of no use.
According to Halsey, "It has been demonstrated time and again that almost any person of
normal intelligence and sincere desire to be of service to people, can acquire considerable
skill in the art of supervising people, if he will study its principles and methods and apply
them thoughtfully, conscientiously and persistently. There are no set methods to train the
supervisors. Different methods are applied in different organisations. However, the
following methods can be used to impart training to the supervisors:
a) Conference Method: Supervisory conferences can be used as a method to train the
supervisors in their work. The conferences require careful planning and skilful direction.
The conference leader can be a member of top management. Generally, following topics
are discussed in these conferei~ces:
i) Employee's morale and employee-employer relations;
ii) How to deal with the problems of the employees or subordh~ates;
iii) Job evaluation;
iv) Merit rating;
v) Work simplification;
vi) Office policies and regulatians.
b) On the Job Training: Where there are no planned arrangements for supervisory
,training, on the job training is considered to be sufficient. it is a very slow method.
Planned approach is surely better than on the job training.
I c) Under-study or assistant to Supervisor-Training: It is also a type of oti the job
, training but the only difference is that in this case an assistant is given the fegular duty and
responsibility of becoming familiar with the work 0%the supervisor. The supervisor points
~ uthe
t fault of the assistant. This system is generally not favoured by the supeyisors as
the perSdnS so appointed
- - as assistants come to know their secrets.
I
C M C Your
~ ~ r o ~ 2~ i H , .
<,%
.Note: i) Use the space given below for your answers.

iij Check your answers with those given at the end of the unit.
1) What are the qualities of a good supetvi$or ? List any four.

Concepts in Organisation --n 2) Mentien five duties of a supervisor.
3) Explain different methods of trainii~gsupervisors.
27.8.LET US SUM UP .
Supervision is the most important task of management and no organisation can work
without the provision of supervision at the different levels of administration. Supervision
implies guiding and directing the subordinate employees for the attainment of desired ends.
It is both a guiding and superintending process.
As supervision is a broad term it varies in nature and scope. There are three principal
aspects of supervision viz; (a) subst tive aspect (b) Institutional aspect and (c) Personal
"6
aspects. Supervising authority can be 0th singular and plural.
Since supervision is both a.guiding and superintending process it can be exercised through
several methods i.e., (i) Prior approval (ii) Service standards (iii) Work budget
(iv) Approval of personnel (v) Reporting and (vi) Inspection.
To exercise supervision there is a need of a good supervisor. He should be well trained and
conversant with the job, fair in dealing, honest, courageous, persuasive, tactful and
understanding.
27.9 KEY WORDS
Job Evaluation: A systematic and objective process of analysing and determining the
nature and characteristics of jobs and occupations and their relationship to effectiveness of
organisations.
Perforrnadce Budget: A budget wherein expenditures are based primarily upon
measurable performance of activities and work programmes.
Plural Supervision: When a member of an organisation is supervised by various
specialists alongwith administrative supervisor.
Procrastination: Defer action.
Promulgation: Make known to public.
Singular Supervision: When a member of an organisation is supervised by only one
supervisor.
Work Simplication: Ascertaining the best possible ways to perform work activities in
terms of personnel, time, equipment or othkr related factors.

Supervision
Halsey, G.D. 1953. Supervising People; Harper & Brothers: New York.
Millet John D, 1954. Managentent of Public Service; McGraw Hills: New York.
Sharma, M.P. et al., 1987. Public Administration in Theory and Practice; Kitab Mahal:
Allahabad.
Terry R. George et al., 1987. Principles of Management; All India Traveller Book-seller:
New Delhi.
Tyagi, A.R., 1986. Public Aclmini.rtration: Principles and Practice; Atma Ram & Sons:
New Delhi.
Williamson M., 1950. Supervision - Principles & Methods; Women's Press: New York.
White, L.D., 1964. Introduction to the Study of Public Administration;Eurasia Publishing
Home Pvt. Ltd., New Delhi.
27.11 ANSWERS TO CHECK YOUR PROGRESS -

EXERCISES

,
1) See Section 27.2
2) See Section 27.3
4) See Section 27.4
5) See Section 27.4
, 1) See Section 27.5

2) See Section 27.6
3) See Section 27.7

UNIT 28 COMMUNICATION
28.0 Objectives
28.1 Introduction
28.3 Elements of a Communication System
28.3 Essentials of Communication
28.5 'Types of Comn~unication
28.6 Media of Communication
28.7 Factors Inhibiting Communication
28.8 Let Us Sum Up
28.9 Key Words
28.10')~omeUseful Books
-28.0 OBJECTIVES
After studying the unit you will be able to:
0 describe the meaning and importance of communication in administration
identify tlie main elements and essentials of communication
* diflirentiate between different types of communication
discuss different media of conlmunication; and
@ analyse the factors that inhibit effective communication.
28.1 INTRODUCTION
In administrative theory and organisation, communication is one of the most widely
discussed but l6ss clearly analys~dtopics. According to Fred Lurhans "some estimates of
the extent of its use go up to about three fourths of an active human beings life, and even
higher proportions of a typical manager's time". Ineffective communicatinn has been
identified as the root cause of many problems in the world. Hicks and Gullett have
suggested that the heart of all the world's problerns - at least of men with each other-is
man's inability to communicate as well as he thinks he is communica'ti~~~. The concept of
communication is interrelated with concepts such as motivation, coordination, leadership,
structure; and decision making in organisations. In this unit we will study communication,
its importance, types, media, as well as the factors that inhibit proper communications.
A 28.2 MEANING AND DEFINITION

I
Communication is one of the main principles of organisation. It has been considered as an

effective tool for achieving the goals of an organisation. All organisations, may be small or
big, simple or complex, general or technical, have the necessity of communication
network. It plays a vital role, as functioning of all other important principles of the
organisation depends upon its availability and effectivity. Moreover, communication is the
only means for inspiring a person's enthusiastic and cooperative contacts.
Pfiffner considers the communication as "the heart of management", while Millet
describes it as the "blood stream of an administrative organisation", Writing about
communication, Ordway Tead has declared that the underlyirrg aim of communication has
been defined as that process whereby one person makes his ideas and feelings known to
another. Peter Drucker has defined communication as "the ability of the various

Concepts in Organisntion -11 functiond groups within the enterprise to understand each other and each other's functions
and concerns'" Cornmunio,~tionis difficult to achieve, if the top management does not
possess the ilrlaginatiorl and the kllnwledge to understand the behaviour of personnel
working at the lower rungs. The fol!owing are sorne of fhhe definitions:
"Communication is the process of effecting an inter-change of understand betweer1 two or
more people".
"Con~municationis the mutual inter-change of ideas by any effective means".
"....the imparting or inter-change of thoughts, opinions, or information by speech, writing,
or signs".
"Communication is the arrangement of environmental stimuli to produce certain desired
behnviour on the part of the organism".
The term communication is, generally applied in the sense of imparting knowledge or
transmitting information, however, in its wider connotation, it includes inter-change of
thoughts, partaking of ideas and a sense of participating and sharing. Thus, the essence of
colnmunication is, not information but understanding. In sotne organisations it may be
internal, external and interpersonal. In the former aspect, communication connects the
organisation with its employees while the second aspect deals with the relationship of the
organisation with the public and is called "public relations". The last one is concerned with
the relationship among the organisation's employees. In brief comn~unicationmeans
"shared understanding of a shared purpose".
28.3 ELEMENTS OF A COMMUNICATION SYSTEM

There are five main elements of a communication system. The first among these is a
communicator, he may be called as the speaker or sender. In some government agencies,
the management comprising the administrator and his subordinates is the communicator.
All the orders and instn~ctionsare issued in the name of the Chief Executive. He himself
does not prepare them but these are generally prepared and issued by the staff assisting
him. This practice preserves singleness of purpose and direction to avoid conflicting
instructions.
Transmission procedure is the second element. There may be certain media of
communication, such as teletype, wire, radio and mail in an organisation for
communicating messages. It is the responsibility of transmission centre to ensure proper
delivery and distribution of messages in the organisation. ..
Form of the communication is the third element and it may be an order, regulation,
manual, letter, report, ruling, circular, etc. Usually, Forms of communication fall into three
prinliry types: rules and regulations governing relationship of an organisation with its
clientele, these must be known to all the employees of the organisation, so that these
should be properly carried out; operating instructions of administration including various
orders, circulars, manuals and official letters prescribing internal organisation and
procedures and certain informational media such as the house journal the training hand
book, the periodic report, and other methods to convey the general tone of management. ,
Recipient is the fourth element and for this, an organisation should ensure that the
information and instruction being obtained by persons arc determined by the organisilfion.
Every communication should reach to all those who are tobe involved in effecting their
behaviour.
Desired response is recognised as the fifth and last element of coinmunication. Under it,
the higher authority requires evidence of compliance with instructions through formal
replies and reports to determine whether the information or instruction has influenced the
administrative behaviour of the recipients or not. It is possible through upward flow of
requisite information in an organisation.
28.4 ESSENTIALS OF COMMUNICATION

I t is worthwhile to mention the essentials of effective communication. According to Teny
the eight factors essential to make communicatio~leffective are (a) Inform yourselfhttps://t.me/Upsc_Zone_Official
f~tlly:
(b) Establish a mutual trust in each other; (c) find a common ground of experience; (d) Use
mutual known words; (e) Have regard to context; (f)Secure and hold the receiver's
attention; (g) Employ examples and use visual aids; and (h) Practice delaying reactions.
But Richards and Nielander opine that il should reflect the policies, programmes and
practices of management. Millet has given %evenfacrcjrs viz., co~lmunicationshould be
clear, consistent with the expectation of the recipient, adequate, timely, uniform, flexible
and acceptable.
It is essential for the management to clarify ideas before co~nmunicatingthem. To convey
precise information to the recipients it is desired that they should be clearly communicated
the course of the decision, mode of action and the time elenlent etc. Such a clarity will
help establishing effective communication.
Secondly, the communicator should examine within himself as to why is he
communicating and what is the main objective of this communication.
Thirdly, communication must convey adequate information to stimulate the expected
response from the recipients. Prior assessment should be made of the total physical and
human setting which are to he involved. Voluminous and repetitive communicalion should
be avoided.
Fourthly, communication must be timely to provide sufficient time to the recipient to act
upon it.
Fifthly, uniformity%
should be maintained in the nature of communication in such cases
where the recipients are expected to behave or act'in a similar way.
Sixthly, communication should permit flexibility. "Top management usually learns that it
is preferable to communicate broad purpose 'and general intent to subordinates and to leave
good deal of judgement to the individual; so communiciltors tend to be more effective if
they are not too exacting in their detail and allow for adaptability to peculiar
circumstances."
Finaily; communications should stimulate acceptance by referring to previous
agreements or understandings or by calling attention to the new circumstances requiring
new action.
The American Management Association has given ten commandments of good
communication. These are as follows:
1) Clarify your ideas before you communicate.
2) Examine within yourself why are you communicating and what is the true purpose of
this communication.
'
3) Before you launch q: con~municationmeasure, consider the total physical and human
setting which will get invoived in the process which you want to ignite.
4) Consult others for planning because your own subjectivity, operates adversely in
designing your communication network.
5 ) Be mindful of the content of human message, because it iS possible that the message
may be lost in the context, and the overall configuration of the contents may disfigure
the message itself.
6) Convey other things to help him because a communicatee is not only looking forwal,
for a command, but he is curious to seek guidance and assistance.
7) Follow up your communication, for it being a chain process does not stop at a given
point of a letter or the despatch of a message. It needs to be continuously followed and
strengthens at every bend of the way. It ensures effectivity and keeps It moving till the
attainment of goal.
8) Communicate for today as well as for tomorrow. It means the communicalor should
establish a rapport and establish his own image as knowledgeable person with sound
commonsense and robust pragmatism. This image makes him a better communicator
and even those who do not take him seriously today, will gradually respond to his
communications.
Concepts in Organisation -111 9) Acdon suppons communications. Communication is not merely letter writing. It is
desirable that the cornrnunicatee should watch and assess the behaviour of the
communicator.
10)Seek to understand before you get understood. Commonly, understanding of situations,
requires more brains than imposing one's ideas on helpless subordinates as it is not
easy to understand others, if someone is ignorant. These help in achieving a shared
understanding of shared purposes. If these essentials are not observed the
communicatiorl process may break down.
Chester Barnard was one of the earliest writers who have recognised the importance of
communication as a facilitating factor in maintaining authority in organisations. According
to him, the following seven elements are very important in maintaining authority in an
organisation:
1) The channels of communication should be definitely known.
2) There shouId be a definite formal channel of communication to every member of an
organisation.
3) The line of com~municationshould be as direct and short as possible.
4) The complete fonnal line of communication should normally be ysed.
5) The persons serving as communication centres should be competent.
6 ) The line of communication should not be interrupted while the organisation is
I
functioning; and
7) Every communication should be authenticated.
Note: i) Use the space below for your ariswers.

1) Explain the impnrtance of communication in organisations.
....................................................................................................................................................
a 2) What are the main elements of communication?
..............................................................................................................

3) What factors make communication effective?
There are three types via., downward, upward and lateral, based on the direction of
! communication flow. It would be woi-thwhile for us to briefly discuss fhese types. These
fonnal types are also supplemented by informal types like the 'grapevine'.
Downward Communication
Downward communication refers to the instructions and other official messages

originating with the top personnel of an organisation. These are transmitted from top to
down through hierarchical set up and reach the lowest ranking official in the chain. The
top level for downward communication makes use of devices, such as, directives, written
or verbal orders or instructions, manuals, staff conferences, budget sanctions, other
authorisations to inform the lower rungs about its attitude and ideas as well as to direct,
guide and advise. 'In large organisations, downward communication is difficult enough to
begin with, because orders must descend through numerous intermediate levels before the
point of execution is reached. Miisunderstandings can easily occur when instructions pass
through so many people. If little upward communication exists, the difficulties are
multiplied, because the orders themselves are apt to be unrealistic and are likely to meet
with worker's resistance.'
In upward communication, messages are passed by the lower levels in the hierarchy up to
those heading the organisation. This includes whatever information is passed up through
methods, such as written and verbal reports pertaining to performance and progress,
statistical and accounting reports related to work, written and verbal requests for seeking
guidance s~~ggestion and discussions. The upward reporting system is often of very limited
use or value in finding fault. in the agency's operation because some tirnes the head of [he
*
agency may appear to be unbelievably blirrd as to what is really going on in his agency;
yet based on the reports he gets everything is fine: these reports simply do not present hi~n
with all the facts.
Lateral Communication
Lateral calmmunicationmay take place arnong officials of the same level in the hierarchy
or among the officials who are out of su~erior-subordinaterelationship. We may call it

I
Contepts in Orgatllsation --I1 acrohs communication. l'he methods viz., written or verbal iriformation and reports, formal
and informal as well as personal contacts, staff meetings and coordination comnzittees, are
used in this type of communicatiort. This type is helpful in bringing together the related but
different parts of the organisation. Assuring coordination of organisational objectives, ihe
officials of the organisation should communicate their plans and interactiorls to one
another clearly.
Informal Communication
Tile rigidity of formal channels gives rise to informal channels of conmunication. They
supplement formal ones. Such channels of communication, often called 'grapevinc' are
branded as dangerous and mischievious to organisational functioning. They damage the
organisational interebls by carrying gossip and False information. But oftcn they play a very
constructive role. For example, take Lhe case of a person in an organisation who is worried
over a particular matter, but has no access to such information which will relieve hirn of
his tension. In such circumstances, the informal channels which'have an access to that
information will help the employees by furnishing the information or by informing to
higher ups about his genuine concern over the matter.
Informal communication flows througi.1 friendship circles and other small groups in the
organisition. They may even be uilorthodox channels like espionage networks. One
positive feature of these cliannels is that it removes some of the problems in upward -
cornrnu~rica~ion. They also facilitate downward and lateral communication.
The greatest danger of infor~nalchannels is that they can. distort the information. If the
aclministrators know what type of infornlal channels are working in the organisation anti
what sort of infornlation is circulated, it helps them in coordinating the affairs. Excessive
dependence of the employees on informal channels is an indicator of weak coordination in ,
the organisation. Some times infornzal channels work to sabotage the organisational I
purpose. To counter this danger, organisatiotls have to develop openness in infornlalion
sharing and socialisation practices.
28.6 'MEDIA OF COMMUNICATION

It wol~ldbe possible to classify the communication media i n t ~three main groups: Audial,
Visu,il and Audio-Visual.
Audil.1 cornlnullication media is adopted through cor~ferences,the interviews, the
inspection trips, public meetings, broadcasts, telephone calls, etc.
Visual communication media includes written con~municationsviz., circulars, ma~.lurrls,
reports, bulletins and hand books and pictorial forms namely pictures, photographs,
posters, cartoons, slides, flags, insignia, etc.
Audio-visual media comprises sound motion pictures, television and personal
demonstrations.
Each of these media has its advantages and disadvantiiges bun it is up to t l ~ emanagement to
decide what media will be used for which purpose.
The conference as method of cbmmunication has gained momentum in attaining marked
popularity. This method helps in avoiding delays, minimisllag correspondence and reducing
red-tapism. The main uses of the conference method, according to Millett, are: (1) to gain
awareness of a problem; (2) to help in problem solving; (3) to gain acceptance and
execution of deci'sion; (4) to help/prornote a sense of unity among the officials of the
organisation; (5) to help in appraising personnel; and (6) to help in encouraging an
exchange of information and informal relationsl~ipamong administrative personnel.
Conferences aid ir~dividualsto discharge, their present responsibilities mare effectively,
coordinate their warking relationship, and enable them to profit from others experieace,
broaden their view point and formalise organisadonal colnmunication.
The conference method possesses the advantage of creating a high degree of interest, full
and equal participation by group members, satishction through mutual achievement,
acceptance of results by participants inculcating habit of anaiysis and integratiol, of
thought, developing group morale and possessin,: an informality.
There are some limitations of conference method in the views of the Estimate Committee
of Government of Ifidia. Its 9th report stales: "The conferences have become so xiany and
are sotnetimes so unwieldy that it is impossible for officers participation in them to do frill
justice to the subject matter of the discussions and, in prcctice, instead of the meetings,
short discussions, noting.,, etc.... they sometimes lead to protracted correspondence, in as
much as different view points which are expressed have to be recorded, corrected and
reconciled and delay occurs in framing agreed minutes and sometimes further conferences
become necessary as a result of incomplete discussions. sometimes, the same officer has to
attend more than one conference the same day and cannot obviously be fully prepared for
each conference, consequently, he does nor contribute fully to the discussions. In ihort, the
conference system is proving more elaborate than the original procedure of noting on
files."
Conferences should be carefully managed so as t o make them most useful. h conference
must follow or observe preliminary planning, expert services, rules and provide for
adequate organisation for effective working. Persons responsible for preliminary planning
nlust be given adequate or sufficient time and the qualified persons should be assigned
tasks well in advance. The conference room should be well equipped with the provision of
aids like black-boards, slides and projectors, recording, seating arrangement, timing, eto.
The personality of the Chairman and the procedure adopted may lrelp in niaking the
conference successful.
28.7 FACTORS INI%IBITHNG6110MMIJNHCATIOW
There are certain factors which come in the way of S I I I O O ! ~l'low of c o ~ i ~ ! ~ ~ u ~ ~ ~ c ; l f i r n

process. With the result, the comlnunication becomes inet'l'ective. ' I l ~ c y;Ire dc\crilxel
below.
Rigidity
In a conversation, the meaning attached to viirious words and expressions very from person
to person. Soinc people llold stray views on varioa~smatter!;. They hardly lisrcn to other
persons, in view of their rigid smrad on certain matters. This leads to ineftkclive
communication. People have to tlevelop the skill of listeninE to others. They must have
patience to accomtnodate the view points of others. This lead!; to effective co!nrnunication.
Generalisations
Another factor which leads to ineffective colnr-unication is generalisation. If an aged

person has had n bad experience with some youth, he considers all youth as unruly.
Similarly, if a person had read an unimpressive poem written by a poet, I P considers
~ all
that is written by that poet as unworthy. Siicll feelings about persons and things in day to
day life act as stereotype ideas on one's personality. This leads to ineffective
communication.
Extreme Oainions
Some people br:tnil everything in this world as either good or bad. In their day to day life
they show rigidity. But, in real life it is difficuh to view things in two simplified
cornpartnients. There are so Inany grey nreas which esist. Pedple with extreme opinions
behave in such a way, that if a person is good in one area, they consider him gorid in
every aspect of life. This happens in the other way also. This leads to ineffective
communication.
There is need to overcome some of these limiting factors and make the communications
effective. The following suggestions are given for the pul'pose:
a) Communicariori should express the total needs of the organisation.
b) Communication is effective in a climate of mutual trust and confidence.
C) Communication sl~ouldbe treated as a continuing programme. It should not be equatcd
with a brief campaign.
dl The putpose of com~ni~nication
and the person to w!~o~n
directed should be very clear.

, Concepts in Organisition-JI e) C ~ m m u n i c a t i ~should
~ n be both ways i.e., upward and downward.
f) The language and line of communication should be very clear.
g) Communication should reflect the policies, programmes and practices of management.
More important than the above is the need for mutual understanding and respect and
-confidence and trust between communicators. Only this will enable communication of
personal feelings and real problems.

I ) Explain the role of informal communications in an organisation.
2) How conference method helps communication process?
3) What factors inhibit communications?

4) What safeguards do you suggest to make comrnunicatiorrs effective?
' 28.8 LET.US 'SUM UP

Communication, which is one of the main principles, is in fact the blood stream of
administrative organisation. Communication means shared understanding of a shared
purpose. Communicator, t~anslnissionprocedure, form, recipient and desired response are
its main elements. The media of communication are viz., audial, visual and audio-visual.
Conference method is proved to be the most useful but has some limitations too.
' Downward, upwards and lateral are the types of communication. Communication should
reflect the policies, programmes and practices of the management. Informal channels of
communication, to some extent give positive results. However, it needs skills to handle
ainf6rmal communication. Otherwise, it may even sabotage the organisational purpose. ,
Communication becomes ineffective in case the people iniolved in communication hold
rigid attitudes, stereotyped ideas and take extreme positions on people and matters. ,
Communication will be qffective if people have mutual trust and confidence.
28.9 KEY W O ~ D S r
,
Communicatee: Person who receives the communication.
Grape Vine: An informal method of communicating information from person to person.
i
House Journal: A periodical publication issued by an organisation business firm to
infonh its employees or patronh of news and activities.
Insignia: Badges or distinguishing marks of office, honour or membership.
Pragmatism: A concern for and emphasis on practical matters.
'
Socialisation: To participate in friendly interchange with people.
-
28.10 SOME USEFUL BOOKS.
Avasthi.A. and Maheshwari S.R., 1986. Public' Aclministration; Lakshmi Narayan

Aggarwal: Agra. . ,
Bamard, Chester I, 1938, The F~inctionsof the Executive; Harvard University Press:
Cambridge. i
1
Hicks, Herbert G & Ray Gullet C, 1975. Organisations Theory and Behaviour; McGraw-
Hill Book Company: New York.
, Luthans, Fred, 1977. Organisational Behaviou,-;McGraw-Hill Book Company: New York.
Millet John D, 1954. Management in Public Services; McGraw-Hill Book Company: New
,
York.

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*. from:- https://t.me/Pdf4Exams https://t.me/Upsc_Zone_Official
I
C Q ~ C ~inPOrganisation
@ -11 Nigro, Felix A. and Nigro Lloyd G , 1973. Modern Public Administration; Harper & Row
Publishers: New York.
, Tead Ordway, 1951. The Art ofAdministration; McGraw-I-iill Book Company: New York.
-
28.11 ANSWERS TO CHECK UOkTR PROGRESS
EXERCISES
1) See Section 28.2

2) See Section 28.3
3) See section 28.4
J 1) See Section 28.5

2) See Section 28.6
3) See Section 28.7
4) See Section 28.7

ADMINISTRATIVE PLANNING
29.0 Objectives
29.1 Introduction
29.2 Meaning and Significance
29.3 Nature of Planning
29.4 Types of Planning
29.4.1 Policy and Programme planning
29.4.2 Activity Planning and Ccntral Planning
29.5 Planning Process
29.6 Planning Techniques
29.7 Location of Planning Activities
29.8 Problems of Planning
29.9, Let Us Sum Up
29.10 Key Words
29.0 OBJECTIVES
After studying this unit you should beable:
J 0
* to explain the meaning and signifi6ahce of planning in administration
* to distinguish between policy planning and programme planning and activity planning
and central planning
* to describe the process and techniques of planning; and
* to analyse the pkoblems of planning.
.29.1 INTRODUCTION
I
Administration has generally becn defined as an art and science of getting .things done. In
, the management of public affairs, 'administration' i$ conscious action to ensure that the
, policies of government are implemented faithfully in order to achieve intended results.
1
For
'
instance, if the government policy is to distribute crop loans to small and marginal farmers .
to improve their kcopomic status via better production, administrative planning would
involve a serieslof ?ctions starting from proper identification of the beneficiaries to actual
utilisation of loah funds for the intended purposes. Administrative planning would thus
embrace a number of action plans'such as target group identification, determinatibn of .
demands for quantum of loan funds, timely disbursement of loan, monitoring of utilisation'
'of funds, finding out the quantum of actcral output, and ensuring timely repayment of loan
funds. Thus, administrative planning is crucial for the achievement of results of public
sponsored programmes. In this unit, we shall study the significance, techniques and ,
. process bf administrative planning.
29.2 MEANING AND SIGNIFICANCE

. ,
1
1
,
Administration involves planning, organising, leading and' evaluating people and I
programmes, so as to achieve specific goals of the government. Thus, planning is the kist , , l .
, and foremost activity to achieve results in the administrative process. It involves ,.

a
determining goals,and committing the nlcessary resources in advance. In simple, it is to' I
decide on what to do how to do and who is to do, with xeference to an activity in the .
processbf administration. Several definitions are available, on planning and the most
/ L ! .35
'!b

. d
Concepts in Organisation -I1

widely quoted definitions arc discussed here;-Simon and his associates define planning as
the activity that concerns itself with proposals for the future, with the evaluation of
alternative proposals, and with the methods by which these proposals may be achieved.
Planning is rational, adaptive thought applied to the future and to matters over which the
planiiers, or the administrative organisation with which they are associated, have some
degree of control. According to Peter Drucker, "Planning is the continuous process of
making present risk taking decisions systematically and with the best possible
knowledge of their futurity, organising systemntiqally the efforts needed to carry out these
decisions, and measuring the results of these decisions against the expectations through
organized systematic feedback." Millet describes planning as the process of
determining objectives of administrative efforts and of devising the means calculated to
achieve them. Planning is a conscious activity of rationalising the decision making
processes in an organisation. It is, according to Dimock and ~ i m o c k'an
, organised attempt-
to anticipate and to make rational arrangements for dealing with future problems by
projecting trends.' Planning is indispensable to administrative process as decisions to
realise the goals limit the range of choices available to the administration owing to limited
resources.
Despite its obvious importance, administrative planning is rarely discussed and followed in
administration. We are more familiar with economic planning or financial planning, but
we know very little about the nature and methods of administrative planning. Yet every
administrator who has easned some reputation in the profession does follow some Sort of a
planned approach to his job. It is understood more as penonal skill than some kind of
transferable knowledge.
, The general tradition has been that the government departments function with very little
formal planning. There are many reasons for this state of affairs. As John Garrett: who was
a member of the consultancy group employed by the Fulton Committee in England (1968),
pointed out: "There has.been a body of opinion in the higher Civil Service, though it.is
now diminishing, that systematic research and planning has little relevance to its work.
Concentration upon the awareness of ministerial responsibility tends to put a low valuatiop
on systematic research-based planning and a high one on rapid reaction to the topic of the
day."
Predominance of politics, job security, absence of price signals or profit motive are some
of the major reasons for lack of sustained planning effort in government, Also planning ,
awareness has been low in government often because of the absence of clear objectives and
standards against which achievement could be measured with a degree of precision.
In spite of this deficiency in government operations, the need for planning has been widely
acknowledged, and various methods and techniques are now being proposed to make
planning a reality in government. The socio-economic and political environment of
government is never static, and governments everywhere are struggling hard to cope with
changes both at home and abroad. Again, resources are always scarce and they have to be
allocated among competing alternatives to maximise production and achieve all-round
social satisfaction. .
All these reasons are compelling enough to accept planning as an essential first step in
governmental operations. Planning, be it economic or financial, is forward-thinking. It
involves a methodical mental exercise about achievement of results by means of advance
preparation of activities-scheduling. Thus, planning essentially involves 'simulation' of
activities-sequences. The real aim in planning is to achieve intended results which may be
anything like increased agricultural productivity, reducing infant mortality, removing
'
illiteracy, ctc. With more and more cost cons~iou~ness in government now and because of
increasing result-orientation in Public Administration in recent times, administrative ,
planning has assumed critical importance in govem,ment all over the globe. In a developing
country such as ours, rapid socio-economic reconstruction depends almost exclusively on
large-scale and varied public programmes and projects. In this context, administrative ,
planning has a,crucial role to play. It is now universally acknowledged that administrative
plahning is the key to planned deve!oprnent and achievement30fintended results. In the
,developing countries, there is urgency .about time-bound fulfilment of targets and
achievements. For instance, in India every five-year plan sets down taaets for each sector
such as agriculture, irrigation, electricity etc. In this context, administrative plannipg
becomes a critical input in target fulfilment.
. !
Pianlling follows policy malting. Tliesr ~ w aclivities

o are distinct brad interrelated. Folicics
lay clown rhe fundamental principles of gsven.nmental action. They provide the framework
which planning has to take place. They set the terms of' reference within which
pl;ins are f'o~mulaterl.
Plarlllillg is ;t process, ~vhilea plan is 8 procluct. As a process, planning involves deciding
in advance what is ~ C he I clone and how. Decision-making ;and planning are obviously
closely related. Planning is also decision-n-laEting; yet it is rnolp than decision-making. A
piall is oriet~tedtowards the iitture arid has an action imp1ic;ation. It is projective and
inoolve:<a visio~land a pes.spective. A decision filndarnentally involve:; selection of an
alternative nrizong various choices. Colicern for the future and for n chain of activities need
not necessarily be its h;illnlnrk. /hl all the different stages of planning, decisions, however,
are of paramount importance.
Planning is of many types. Based on time it is calegorisetl as short term and long term
planning. There is ~nicloancl rliacro level ]:)lamling. 'I'he fotmer concentrates attention on a
specific area and tile Iintter refers to the entire i\rci+of the orgailisalio~~.
'There is also
physical planning which deals wiilt spatial aspects. Dirnock and Dimock identify three
types of planning: ( 1 ) nnilie,niil econornic planning (lealing with the whole of economy or a
part of It: (2) top ietel aclmii?istrutive plimning fix the government as a whole or for its
principal departriierlts or agencies: anti (3j oper;ttional planning which is primarily
concerned with carrying out tire ottjectives. As students of Public Administration we will
study different aspects of ~lministrativepl;rnnirlg, pirticulariy policy imd programme
planning and activity and central pla~lning.
29.4 Policy Plannlling and Pmgrannnle IDlaening

Policy pl;~nningis c c m ~ m with ~ ~ pse~rlriibion
i of brontll policy guidelines s f the
govemrrlent in powcr. It normally iravolvcs a new en:tctmunt or amendments to an existing
legislation. Prclgmmme pllwning involves operationi~lisiltio~~ of policy into specific
ob,jecuives. This is ricme b?; idei~iifyingspet:ific putposcs, allocation of resources,
identification of specific cdep~artmentsand agencies to handle different purposes; and 1Sxing
responsibility for results. Aclministriitive agencies participate in both types of planning. In
policy planning tlaey assis1 tlic policy makers in government; \vhile in programme planning
they clarify their role and tiirection. Policy planning invokes more legislative action and a
large number of actors in the policy miikil.tg process. As sr~chit is nmre complex when
cornpared to progralnlne planning. (3n the otlrer hand. programme planning i~lvolvesInore
adrninistrative a;ld profcs!;ion~!l context to work out the details. Thus policy planning sets
the broad goals for ;~ci~srirnistrritive
action. It is mor.i: a tniitter of v;~lueconsiderations of
political across in rhc gclvenl~nent.Once the policy is decitled. the administrative agencies
of the governnnsr~thave ro inlplenrcnl i t . This is subject to periodical review and feedback.
Frogranme planning is a conti~luou?; process wirl~irithe public policy. tIowever, the
ild~ninisrrativeagencies ca~rlotbe totally tjelinkecl Ilwn policy fc)rmul:dion process. The
politici~lpower is distl.ibuted among the legisl;ktive, executive ;~ndjudicial branches.
Administrative osganisauions work under the varying iilflucilces of these branct.les.
Departmental heads participate in poiicy formulation exercise by sending proposals.
infor~naticmand data required by the executive and the legislilture. Solnetinnes the
administrative i~genciesdetermine crucial issues of public policy by interpreting the policy
directives. Higher level civil servants such as the secsetarics of the government
departments and the chief executives of public e n t e ~ ~ r i sarec s part nf the decision-making
exercise in the government.
Adrninistrarive agencies have relatively Inore involver:lent artd particip;~t:ionin plagrsrnme
plannihg. However, their actions arc subject to the review and supervision of legislature
atid its committe-ees. This i s rnore so at the time of legislative debates on the budget
sanctions for various departments and agencies.

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functions, it cannot be separalcd from
public policy and decision-making. In other words, planning is a good example of political
and administrative coordination.
29.4.2 Activity Plsl~nlngand ~ e n k aPlla~llning

l
Planning at different departmental levels and below is concerned with specific activities.
These activities are part of a programme. For i~ls~ance, the welfare programmes for
children can be divided into activities such as nutrition, education, health facilites, etc.
Detailed plans have to be forn~ulatedto facilitate implementation of each activity.
Accordingly the quantity (how much), quality (how best), and lime iby whiit date) limits
are set and rhe personnel responsible for achieving the results are idenlified. This is known
as activity planning or operational planning.
While nlalcing activity plans, the administrators have to ~nitintainthe clarity of purpose.
The boundaries of each activity is io be clearly demarcated and defined. It helps in
measuring the pe~fornlanceof each activity plan against its objectives.
Central planning is concerned with monitoring and appraisal of various activity plans at a
departmental level. This appraisal has three objectives. Firstly, it goes into the preparation
of plans, data base, assumptions, reasonableness of the targets and resources,
reasonableness of the time targets, and the adequacy of the administrative machinery to
acconlplish the targets. Secondly, it goes ~ritothe interrelationships armlong several
activities wlth reference to linkages. Finally, the review and appraisal concentrates on thc
scope of the work to b :: accomplished under each activity, with reference 10 budgetary
provisions and the government's priorities. Thus, central planning keeps ;I watch on
activity planning.
1
Checlc Your Progress 1 I

1) What is planning'?
2) Why is planning important in developing countries?
3) Explain the nature of planning.

A~BministrativePlanning
4) Qistir.g~~ish
belwcen policy planning and progranlme planning.
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5) W i l a ~is activity planning?

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28,5 PLANNING PROCESS

..... -----.---- -- --
i) Goal Clarification and Deteraaainafibaa ~ifC>bjeclives
is concerned with goal clarification and

?'he first step iil thc planning ~I.OCCSC;
iJ6ie1minalionof al>jectives.1'40 doubt this is ;an exceedingly difficult task in government.
A hard seorcll is necessary to iind out the besic pirpcssc and the major objectives of
government programtnes. Action has to taht: place within tile framework of purpose and
0k)jectives. For instance, a slogan like 'garlbi hatao' is not very helpfill in
administrative parlance. Ht has to be operrtaion;ilised into clearly ac:hievable concrete action
plitns.
ii) Forecast tile Flattare ?,
The incvit:tble next step is to forecttst the future and try to see tltrougli the darkness of the
coming years as clearly as possible. The time-horizon of planning may be vary.
Undersr;nnlling of the f ~ ~ t u probuhilities
re starts with an adcqu:lte knowledge of existirlg

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Conce~tsin Oraanisnbiora 11 position is helpful in making future
projections. It might be necessary to phase out an action plan and watch performance at
each specific phase.
iii) Outlining Altel-native Courses of Action
Alternative courses of action in terms of programmes and projects are set forth at the next
stage. The planner outlines the alternative for the benefit of the decision makers who are
finally make choices out of them. This exercise is necessary from the point of view of
~nillimisationof costs and maximisation of benefits.
iv) Mobillsation of Resources
The next step will involve mobilisatioli of resources to back up the actual course of action.
Finance, manpower and materials have to be quantified and properly assessed at this
stage.
v) Brganisationai Planning
Another step in the planning process illvolves organisational planning including planning
of methods and procedures. The existing organisation may have to be modified marginally
or changed substantially. New procedures may have to be adopted to facilitate the pursuit
of planned action. 'The plan procedure invariably contains a built-in arrangement for
reporting and feedback in order that the results of action can be mettsured and corrective
steps taken in case of malfunctioning. Administrative planning subsumes financial
planning, personnel planning, resource planning and organisationnl planning. The whole
exercise is directed toward the n~anipulationof critical organisational resources to bring
about planned changes.
29.6 PLANNING TECHNIQUES
Various techniques have been evolved to facilitate governmental planning and make it
more and more precise and scientific. Planning, Programming and Budgeting System
(PPBS), Programme Evaluation Review Technique (PERT), and Critical Path Method
(CPM), Mandgement Information System, Cost Benefit Analysis, Organisational Planning
are but a few techniques very much use in government today. We shall now briefly discuss
about each of them.
The Planning-Programming-Budgeting System (PPBS) has been widely used in the U.S;
Government. It has also been put to limited use in the Governrncnt of India. This technique
grew out of Robert McNamara's quest for economic rationality in defence expenditure,
when he was the U.S. Defence Secretary. Very briefly, the steps involved in PPBS are as
foll0,ws:
1) The department's objectives have to be defined clearly and the programrnes needed to
accomplish the objectives have to be outlined.
2) The output of each programme has to be carefully calculated in relation to the
objectives.
3) Total costs of the programme have to be worked out as clearly as possible.
4) Within a long range and perspective view of the future, programme planning has to be
undertaken on multi-year basis.
5 ) 'The programme objectives have to be rigorously reviewed and their outputs and costs
examined carefully. Ultimately, one has to arrive at the most effective means of
producing a desired outpiit at the lowest cost; and
6) The last step would be to integrate PPB into the budgetary process as it rolls on from
year to years.
One of the most widely used network techniques is Programme Evaluation and Review
Technique and Critical Path Method. In PERTICPM, the activities to be accomplished in
completing a project are identified. It involves steps ranging from the start tb the
completion of a large project. All these steps involved are written in a diagrem. showing
the sequence of events in an orderly manner. The time required o! complete each activity,
required, resources, and expenditure on each activity are estimated. The network
diagram undergoes modifications, until a harmonious combination of time, resources and
costs is reached. Responsibility for completion of each activity is allotted to a position
holder in the administration. Thc network is used to monitor and review the progress of
work. Time and cost over runs are identified in advance and appropriate action is
initiated.
Administrative planning has to take care of organisational planning as well. Specific
government departn~entsare involved in he performance of allotted activities. It is
necessary to bring about a close fit between organisation and intended activities.
Administrative planning, since it charts out future courses of action, has to depend on
reliable data and information. Proper systems of data storage and 1;etrieval become relevant
in this context. What is known as Management Information System has now been accepted
as an indispensable aid to planning and decision-making. After all, administrative planning
is meant to bring about desired changes within the governnlental organisation or in some
specific sectors or aspects of society. ~ e n c eplanning
, has to rely on the techniques of
projection and forecasting.
24.7 LOCATION OF PLANNING ACTI[VHTPE$

The task of administrative planning can be undertaken at various levels of an organisation.
But the total task of an organisation can be visualised only from the top level. Hence
organisation-wide planning is the job of top management. In doing such an exercise, lhe
lower levels need to be consulted and their participation sought. The (MBO) Management
by Objective type technique is often adopted by progressive managers to enlist the support
of lower level functionaries i n planning and to execute the tasks at their levels. Such
deseggregated approach to task performance does, of, presuppose a conception of the total
task of the organisation. .
In management parlance, plnnning is normally considered as an activity which belongs to
the 'staff' segment of an organisation. By contrast the 'line' segment is conventionally
treated as the implementing agency. While this distinction is broadly true, it needs to be
emphasised that the 'line' segment also gets involved in 'planning' activity when it coines
to executing the jobs entrusted to it. What actt~allyhappens is that the 'staff' agencies that
are placed closest to top rn:ulagernent engage in 'macro' plan~iingor organisation-wide
planning, while the 'line' agencies undertake their respective planning functions at the
'micro' or specific operational levels.
29.8 PROBLEMS IN PLANNING

Policies and plans, unless implemented have no meaning. In irnple~nentationthey
encounter many a problem both structural and value-oriented. We shall now discuss a few
such problems of planning.
Means and ends
It is difficult to control the behaviour of people to the full extent. Human beings can only
be partially controlled. A person can weaken a systcn~aticallyprepared plan. In such
circumstances, the objectives will be lost. For example, government coines with a plan to
improve the financial wition of a local body so that it is possible to implement some
welfare programmes. ~ b t a, tax consultant can help people in avoiding payment of taxes or
at least avoid paying the correct amount of taxes. A planner has to keep this problem in
mind while preparing plans. He has to see that there is large scale acceptance of the plans
by the citizens. He also has to be careful with the means by which he is going to
implement the plan. Sometimes the ends of a plan may be really genuine. But, if the
means are not up to the acceptance levels of the community, such plails are bound to fail.
Government structure
I
plans may fail if the government structure which is entrusted with the responsibility for

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the government structure is not given
nocjgh resources in terms of men and rnateri:ils to ilI'lplenle!lt a pian, it is doubtful whether
he plar! succeeds, A plan to irnprovt. literacy levels in villages will not succeed if it is not
irovided with a str1,lcture which allots resource5 and monitors the lltilisation of such
esources. Another aspect is that a politician who has a part in implementation of a plan is
oncerned about the next electior~,wllereas an adnlinistrator has a long trmz view of such a
,]an and its success. But. both are p:vt of the planning process. When the poiiticinn takes a
>
Ilort telm view and the administrator talies long term view of the same prr!blem, it faces
iificulties.
Values of people
One of the most important firctors influe~lcingimplementation of a plan is the values and
~ t l l i cof~ adminislratol-3.' h e success of a plan depends on them. If an administrator is not
having the right valucs, he may either defeat the very purpose of a plan or use the plan for
his personal ends. FOIexample, the mid-day meal scheme for school children planned by
Andhra government could not be successfiil because of lack of right values on the part of
,)eople administering the plan.
Check Yaer~rProgress 2

1) Explain the steps involved in planning process.
2) What are the steps in PPBS?

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.......................................................................................................................................................
3) Explain the problems of planning?

Admlristrative Planning
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29.,9 LET US SUM UP

The planning process is central to all functions of administration. It is accepted as an
integral part of governmental functioning. Planning can be categorised into policy
planning and programme planning. Programme plans are more detailed than policy plans.
Central planning is a function of reviewing and monitoring activity plans. A wide variety
of techniques are adopted to monitor and control the performance of planning. PPRS,
Programme Evaluation Review Technique/Critical Path Method and Management
Information System are some of the most popularly used methods in planning. Planning
involves several problems both in terms of structures and values which need to be tackled
properly.
29.lO KEY WORDS

Garibi Hatao: Slogan given.for eradication of poverty from Iddia by former P.M.
Mrs. Gandhi in 1970's.
Infant Mortality: Number of infants dying under 1 year of age in a year.
Methodical: Characterised by method.
Parlance: Way of speaking.
Precision: Accuracy.
Retrieval: Gathering back.
Simulation: Imitation.
Cost Benifit Analysis: The systematic method and process of studying and evaluating
whether the expenditure for products, materials or services are justified by the benefits
they may provide.
Planning, Programming and Budgeting System (PPBS): Used in the executive branch
of the U.S. Federal Government, Also put to limited use in some Ministries in India. The
budget clearly reflects the Department's objectives and programmes in fulfilment of these.
The output of each programme has to be calculated in relation to the objectives and total
costs.
Programme Evaluation Review Technique (PERT): A relatively new, planning and
control system. It is designed to help top management with planning, research,
problem-solving, decision-making and control of organisational processes.
Critical Path Method (CPM): An aspect of PERT; this is a method of network analysis
that, by means of diagrams of the order in which jobs are to be accomplished or
completed, is used for planning, estimating, scheduling, and controlling, engineering,
construction or related projects.
Management Information System (MIS): Collective term refering to any advanced
organisational (electronic mechanical, modular, evalutionary etc.), Communication device,
Process, network or system that is capable to generate, record, store and make available
information and data as required by management for planning, organizing, decision
making and control.

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29A1 SOME IJSEFUL BOOKS
]Bhatt;icharya, Mohit, 1987. Public Adnlilzistration. 'Fhe World Press; Calcutta.
Dimock, Ed\.varrJ Marshall & Dmock, Glrrdys Ogclen. 1975. P ~ ~ h lAi rd r ? l i ? ~ i ~ h . uOxford
ti~~.
& IBH Publishing Co.,: New Delhi.
t ~ ~Dcr-isiorz /Vuking.
Eiardwick, C.T and Landu~rtB.F, 1970. Arirnlnistlutive S t ~ . ( z t clnd
Taraporevala Sr Sons: Bombay.
Millett, John D, 1954. M~nilgenzerrrin thp Public Seivices. M[cgraw-Hill ]Book Companjr:
New York.
Simon, Herbert A, et al, 1950. Public Administi-crtion.Alfred .4. ICncbpt: New York.
29.312 ANSWERS TO CHECK YOUR PWOGRE$S

EXERCISES
1) See Section 29.2
2) See Section 29.2
3) See Section 29.3
1)See Srib Section 29.4.1
5) See Sub Section 29.4.2
1) See Section 29.5

2) See Section 29.6
3) See Section 29.8

UNIT 30 AUTHORITY AND

RESPONSIBILITY
Structure
30.0 Objectives
30.1 Introduction
30.2 Authority : Meaning and Definition
30.3 Authority and Power
30.4 Approaches to the Study of Authority
30.5 Sources of Authority
30.6 Pre-requisites and Adequacy of Authority
30.7 Limits to Authority
30.8 Responsibility
30.9 Types of Responsibility
30.9.1 Political Responsibility
30.9.2 Institutional Responsibility
30.9.3 Professional Responsibility
30.10 Authority and Responsibility
30.11 Let Us Sum Up
30.12 Key Words
,.
30.0 OBJECTIVES
@ explain the meaning of the concepts of authority and responsibility
differentiate between power and authority
@ explain the pre-requisites for the acceptance of authority in organisations
* describe the sources of authority
* discuss the limits to authority s
@ describe different forms of responsibility; and
@ deliniate the relationship between authority and responsibility.
30.1 INTRODUCTION
Administration is the process of coordinating and facilitating the work of people in
organisations. People, formally and informally organise themselves as members of
different organisations in a polity. Each organisation is a battle ground for different
interest groups in the society. This is mainly due to scarcity of resources and limited
options available in the environment. This leads to a situation where people are more
concerned about who gets what, when and how in an organisation; rather than the
organisational purpose. As Pfiffner and Sherwood put it, "here is where the basic values of
the organisation are involved; and here is where the struggle for control, power and
authority is at its lowest." Therefore, it is of paramount importance to study the concepts
of authority and responsibility to understand the administrative dynamics and processes
in organisations. The modem thinking about public officials is that the ultimate control
is internal. It is a feeling of self-responsibility in a person. A study of such factors help
the students of administration to understand the public bureaucracy and its role in a
democratic state. In this unit, we will study the concepts of authority and
responsibility.

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30.2 AUTHORITY: MEANING AND DEFINITION

Authority is the foundation of administration in public life. It is normally exercised in a
fomalised structure of hierarchy in an organisation. It is the legitimate power to influence
the behaviour of a person or a groups of persons. According to Max Weber, authority is the
willing and unconditional compliance of people, resting upon their belief that it is
legitimate for the superior to impose his will on them and illegitimate for them to refuse to
obey. Henry Fayol, defined authority as the right to give orders and the power to exact
obedience. Thus, authority is the legitimate right to command or influence others to behave
toward the attainment of specific goals of an administrative system. In the administrative
system, each position has specific rights that job holders acquire from the title of the
position. As Allen puts it, "authority is the sum of the powers and rights entrusted to make
possible the performance of work delegated". However, authority is not just confined to
the commands, rights and instructions of superiors in organisations. The other equally
important side of authority is obedience and acceptance. Chester Barnard was one of the
writers who had recognised the importance of obedience and acceptance in the
organisational process. According to him, "authority is the character of a communication
in a formal organisation by virtue of which it is accepted by a contributor to or member of
the organisation as governing ..... or determining what he does or is not to do so far as the
organisation is concerned." In other words, authority is the legitimate right to guide a
person's behaviour in an organisation subject to the condition that the person accepts that
right by showing his obedience to it.
30.3 AUTHORITY AND POWER

Authority is an inseparable part of rights inherent to a position. These rights are constant,
irrespective of the persons holding the position. In other words, authority is legitimate and
positional. Power is the capacity to influence the decision-making of an authority holder.
Power may be described as the influence to change the behaviour of a person or persons to
suit the power holder's objectives and advantages. Authority is closely related to the, '
concept of power. Administrative system and various administrative organisations and
offices are involved in exercising their powers in the government. Thus, authority may be
defined as the legitimate power of office holders in administrative organisations. Power not
supported by law, constitution and norms is illegitimate. Illegitimate power is dangerous to
the society. The legitimate power or authority is the servant of the people and it should not
become the master of the people in a democratic society. Legitimate power or authority is
to be used in public interest in a society. To safeguard the people in general from
illegitimate power we have several mechanisms that act as limits and controls. We will
discuss these issues in the section on controls on authority.
30.4 APPROACHES TO THE STUDY OF AtTTWORITY

The concept of authority in an administrative organisation can be studied from three
important stand points. They are:
1) Legal aspects of authority: It covers the genesis, sources, rules and norms which define
the scope and limits to authority.
2) Positional aspects of authority: It covers the rights, duties'and responsibilities of
different position holders in organisations and their status in the organisation.
3) Human aspects of authority: It covers the inter-personal relations, cooperation,
communication and acceptance aspects of authority in organisations.
You will have a proper view of authority if you understand it along these three dimensiok
As each one of these dimensions gives only a partial view of the concept of authority, there
is a need to study authority from all these three dimensions. Moreover, Public
Administration is based up09 law and constitution, legal and const dtional provisions are
given paramount importance in the society, and the legat basis of authority is very
important in running the affairs of the nation. In organisations, the legitimacy of authority
is more important than other things. Another important aspect is its acceptance by the

people. These two factors constitute the whole meaning and substance of administrative Authority and Responsibility
processes in a society.
Other aspects that matter in the administrative process are the personality considerations.
Administrators have to possess wisdom and good judgment so that their authority is
accepted by those concerned without question or comment. The nature of goals and
decisions of the administrators are to be seen as acceptable, viable and in the best interests
of the people. The administrators have to possess leadership skills to make an effective use
of authority vested in them. That is why, normally people with leadership skills are
effective in achieving acceptance to their authority from the people in general. Persons
without leadership qualities normally fail to get acceptance from the people despite their
authority and position in the organisation. Thus, we have to keep in mind the three
important dimensions of authority, while studying it.
There is another way of studying authority. We know that in the administrative process,
there are three important stages, viz., (1) the making of a decision on a matter concerning
an individual or a group or groups of people, (2) the communication of that decision to
those concerned and (3) the implementation of the decision in spirit and letter. All these
stages involve the use of authority by those vested with it and the acceptance by those
covered by the actions.
30.5 SOURCES OF AUTHORITY

Administrative agencies play a vital role in running the public affairs, achieving the goals
and objectives of the government, and protecting the public interests from the actions of
vested interists in the society. The three sources of authority in administrative agencies
are:
Law
Tradition
* Delegation
We shall discuss about these three sources of authority.
Law
Many aspects of authority have their genesis in the constitution. Other aspects come from
different laws and legislative enactments. Judicial interpretations, precedents and case
laws also give authority to the administrative persdnnel. The superior subordinate
relationship in organisations, hierarchy and division of labour speak about authority
relationships in organisations. They also describe the right to command and the duty to
obey in an organisation.
Tradition
The authority conferred by law itself is not sufficient to command obedience. Traditions
play an important part in administration as a source of authority. Normally, organisations
over a period of time develops norms, codes and work habits. These norms and codes
speak about the obedience given to different authorities in different situations. For
example, i i a situation if a particular officer is not t'here, who will officiate in that position
depends on norms and codes in the organisation. The norms and codes are partly
developed by practices and traditions and partly developed by training and indoctrination
in the work place. The administrative personnel give due respect to authority and maintain
it as a major value in the profession of administration. Different persons working in
organisations recognise this authority as one of the main ingredients helping the
organisation in achieving its purposes through coordination.
Delegation
Top administrators or heads of departments and units confer authority on their

subordinates through delegation. Thus, delegation acts as a source of authority in
organisations. This can be written or oral, but always concerns with a purpose. In fact one
of the functions of an administrator is to develop his subordinates to shoulder higher
responsibilities. This is achieved by delegating them some of the authority to achieve a

Concepts in Organisation -Il purpose of the organisation. While delegating authority enough care is to be taken to see
that there is equal responsibility to judiciously use that authority for a public purpose.
Thus, the law, tradition and delegation play effective role in granting authority to the
administrative personnel. The evidence of authority in the official orders is seen by quoting
the source. For example, some times the authority holder puts his official seal or stamp. In
other cases, the authority is explained in descriptive tgrms by using expressions like "By
order of the government of ...." The titles, ranks and positions give a clue to the source of
authority. Some evidence of the source of authority is a must in getting acceptance from
the society in general and those concerned in particular. This makes administrative
communication and orders effective.
30.6 PRE-REQUISITES AND ADEQUACY OF

AUTHORITY
It is believed traditionally that authority in an administrative system flows from the top to
the bottom, The top can be the society at large, or the govemment, or the parliament. It
need not necessarily be a particular decision maker like the minister or a civil servant. On
the other hand, Chester Barnard views that authority comes from the bottom. According to
his argument, authority of a position holder depends upon the acceptance by his
subordinates. If he is not accepted, it is seen in the behaviour of his subordinates. It shows
the position holder's capacity to handle authority. According to Bamard, four conditions
are required to facilitate acceptance of authority in an administrative system. They are:
1) The subordinates must be able to understand the communication of the person holding ' ,
authority.
2) The subordinate should feel that this communication is consistent with the purpose of
the administrative system. .
3) The matter of communication is in tune with the personal interests of the subordinate;
and
4) ~he'subordinateis mentally and physically in a fit position to carry out the instruction,^
given in the communication. (.
It may be considered that the superiors have no authority, in case the subordinates do not
accept the authority. Thus, the subordinates have option of disobeying even legitimate
authority, if they so choose. In other words, Bamard proposes that there are limits to
legitimate authority. To obtain acceptance outside the limits, which is called by Barnard as
the outside of zone of indifference, an authority holder has to use his skills which are not
part of his positional authority. Barnard's contention is that the traditional view of
authority (that it can be camed out without question) is not correct in today's
administrative organisations. This indicates the need for developing leadership skills on the
part of administrative personnel to use their authority effectively to achieve the
organisational purposes.
Another issue is that whether the authority that is available to the administrative personnel
is adequate to carry on their duties effectively? To answer this, first of all we have to look
at the factors that are responsible for the authority of administrative personnel ili the
society. A number of authors including Machiavelli and Max Weber have explained three
factors that contribute to the authority of the administrative personnel. They are discussed
below.
1) Career jobs
Administrators enjoy the benefit of career jobs. This guarantees permanency which is not
available to other participants in the society. Chief executives of the government may
come and go and the same is the case with parliamentarians, legislators and public men.
Government officials have tenure in their jobs and their decisions have a lasting impact on
the lives of people in general.
2) Expertise
Administrative personnel possess knowledge and skills as a result of their education and
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to any other section in the society. As Rourke opines, that in the modem society
this expertise is pre-eminently from the fact that a variety of highly trained administrators
practice their trade in public organisations. These personnel keep a hold on skills and
information that is required to formulate and to implement public policy. Thus the ability
to use the skills and information contributes to the authority of administrative personnel.
3) Outside support
Because of their career jobs and expertise, public administrators have access to several
interest groups in the society. These groups lend their support to the public administrators
as an exchange for their services, both formally and informally.
Despite these above three strong factors facilitating exercise of authority, we often hear
administrators complaining that their existing powers from the sources of authority are not
adequate to handle public affairs and they ask for more authority. We are also aware of the
practice that governments come with more and more laws on subjects such as finance, law
and order or trade and commerce to give more powers to the administrators. This gives rise
to a situation the administrative personnel can not remember the laws & enactments due to
their large number. It is difficult to decide the adequacy of authority just by laws and
enactments. Administrators have to depend on traditions and they have to develop
leadership skills to deal effectively with the situations rather than just asking for more and
more powers. Millet emphasises the need for adequate authority in four areas to effectively
carry out their functions. They are:
1) Programme authority
Administrators should have adequate powers in deciding the goals and objectives of
administrative activities within the limits set by law.
2) ,Organisational authority
' . .
Administrators should have sufficient powers to create and organise structure suitable to
implement the programmes and policies effectively.
3) Budgetary authority
Administrators should have powers to determine budgetary needs as per the programme
objectives and priorities.
4) Personnel authority
Administrators should have adequate powers to appoiht personnel, assign them suitable
tasks and functions, and to appraise their performance periodically. They should also have
powers to reward and take disciplinary action. Within an organisation, administrators need
power to motivate, appraise and discipline various categories of personnel in carrying on
the day to day affairs of the administrative agencies. The highest power is to dismiss a
person from an organisation after due process of law and procedures. The lesser and lighter
punishments are suspensions of various types, withholding a promotion, withholding a pay
increase, changing the duties, transferring to another place, and official censure. All these
methods are used to enforce discipline and to improve performance of various job holders
in the organisations. In all the cases deployment of authority to meet organisational
purposes is seen. On the positive side, promotions, pay increases, letters of appreciation,
etc., are used to improve the morale in the organisation.
. Unless the administrators have adequate powers in the above areas, it is difficult for them
to achieve the organisational goals. Any deficiency in any one of the above areas will not
guarantee administrative performance. More powers in one area will also be counter
productive to the cause of successful administration. State legislatures and parliament have
' to keep these matters in view while making enactments.
30.7 LIMITS TO AUTHORITY

Authority cornes from a source, In other words, there is a source which can exert control

Concepts in Orgpisation-I1 On the use of authority. such controls are required to check misuse and abuse of authority
for illegitimate purposes. These controls are discussed below:
Legislative Controls
Parliament and the state legislatures influence and control the authority of administrators
by making them accountable for their actions. They give guidelines to the administrative
organisations through different ministries and consultative committees. They also go into
the working of public enterprises and other government agencies. During discussions on
the budgets, the performance of different departments comes for review. In specific cases,
parliament members or members of a state legislature can raise discussion on the
functioning of a department or the functioning of a particular position holder or position
holders. These steps act as controls on the exercise of authority by the administrative
agencies.
Courts
Law courts and administrative tribunals while going into specific matters involving
administrative agencies and their personnel review their actions. The judicial
pronouncements act as effective controls on the working of administrative agencies.
Individual citizens and organised groups question the actions and functioning of
government agencies and personnel through law suits. In addition, commissions of enquiry
on the functioning of government agencies give their views to the'government for further
action. In all these cases, the administrative actions are scrutiqised and reviewed. This
helps in checking the misuse or abuse of authority.
Constitutional Safeguards
Citizens of our country can appeal to the President of the Republic or to the State
Governors against the actions of administrative personnel, if their grievances are not taken
note of by the other agencies. In addition in some states, there is the i~lstitutionof LOK
AWKTA, which can look into the specific complaints against office holders in
government. These mechanisms work as controls on the misuse of authority of
administrative personnel.
Press and the Media
The press and the media act as a mechanism of control on the authority holders in
administration. By periodical news reporting, various actions of the government and its
agencies are put to public scrutiny. The press can mobilise public opinion against misdeeds
of officials or the government agencies. The press can also raise the matters involving
public interest in a court of law. Organised interest groups such as social action groups,
environmentalists and social reformers use the press to check the misuse of office by
government agencies.
Hierarchy
In an administrative organisation, there are different levels of officials and staff with
varying degrees of authority and responsibility. The actions of an administrator are under
the supervision and control of his immediate superior in the organisational hierarchy. Thus,
it acts as an internal control mechanism on the administrative personnel.
In a democratic society, these are some of the important control mechanisms on the
administrative agencies. Above all these mechanisms, the concept of administrative
responsibility acts as a restraint on the misuse of authority.'
.i* I

....... , .
1) What is authority?
"....................................................................................................................................................

Authority andResponsibility
2) Distinguish between authority and power.

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What are the sources of authority?
4) Explain the pre-requisites of authority.

Concepts in Organisation -U 5) Are there any limits to authority?
Responsibility is the obligation to carry out certain duties. It has an inseparable

relationship with authority. Without authorily it is not possible to take up responsibility.
An administrator, while giving authority to his subordinates should also make them
responsible.for exercising authority judiciously and purposefully. Responsibility is of two
kinds, viz., operating responsibility and ultimate responsibility. An administrator can
delegate operating responsibility to his subordinates but not the ultimate responsibility.
The ultimate responsibility can never be delegated. The three concepts of authority,
responsibility and accountability are the integral parts of the process of administration.
Authority is the right to command, responsibility is the duty to carry out the command, and
the accountability is the term used to denote the proper discharge of thc duties in letter and
spirit. A person's responsibility is complete only when the duties are done according to the
letter and spirit of the command. According to traditional administrative theory, there is a
distinction between two forms of authority relationships, viz., line authority and staff
authority. Line authority denotes direct and ultimate responsibility for achieving results.
Staff authority is a supporting function in helping line authority in its endeavour. Line
authority can be equated to a superiors' authority, white staff authority can be equated t o
that of the staff. Staff authority is advisory in nature. One way of differentiating line and
staff is by defining its role in the ultimate responsibility in achieving the results,
I
30.9 TYPES OF RESPONSIBILITY

Responsibility denotes the accountability of the authority holders for achieving
results in the administrative process. The concept of responsibility is a guardian against. -
misuse of authority. Responsibility in the administrative process is of three types, viz.,
political, institutional and professional. We shall now discuss these three types of
responsibility.
30.9.1 Political Responsibility

In a parliamentary system of government the most important control on administration is
political responsibility. There is ministerial responsibjlity for the actions of a ministry and
the departments under it for their actions and funcfiions. The ultimate responsibility for the
success or failure rests on the minister concerned. This acts as a control device on the:
functioning of administrative agencies and offices under a department in a ministry. T h e
minister as a political functionary provides guidance in policy matters and the
implementation is given to the administrative agencies of different types including the .
public enterprises. The political head is ultimately responsible to the chief executive and to
the legislature for the working of the adm'inistrative machinery under his corprol. This
I
responsibility will bear fruit, only when there is cooperation from the administrative
1
n~acIlinerycomprising a large number of officials at different levels. If the officials are not Authority annd Responsibility
cooperative, the minister concerned hias to facz the criticism for nsn-performance from the
chief executive and the legislature. 11.1extreme cases the minister concerned Inay have 10
m&c: an exit, in view oi' political responsibility for perfnrmance. To make the political
responsibility of due minister fsl.elitfu1asid pmposeful, the official machinery has to
cooperate with his policie? and progmrnmes, which are actually the policies ,and
programmes of the gn!/ernmenL af the d,iy.
~ 1 administrative
1 ngency trr institution Elas to be respoisible and responsive to public
welfare. Otherwise, it may be difficult for it to exist in the long nln. In other words, in its
own interest, it has to be responsible and work ira public interest. We have exan~plesof
reorgmisatioal of official a~encies,by mergers and integration to meet the public needs.
Some organisatlorns and institutions in course of time I.recome self centred and work for
themselves, ignoring the fact thrrt they exist to serve the people. Such institutions will face
problems of survival in the lung nm. I-Iowever, administrative agencies and departments
fight tooth and nail to protect thcir own intcrcsts and identity. This throws a challenge to
the political masters and to society in general to initiate action through o~giinisational
changes to bring out ordt:r in d ~ work
e of public osganisations.
When compared to the past, today a number of specialisis such as doctors, engineers.,
scientists, accoumntaz~ts,eornpnny secretaries, lawyers and a host of other specialist and
professionais are entering into aclrninistrative services and public enterprises. Ati
professionals, they have ethics and codes of conduct which they have to maintain in
discharging their duties. Moreover, professional institutions also enforce discipline and
respcmsibility on tlneir members. In extreme cases, professional institutions terminate the
.-~rlenlbership of a person when he is found guilty of malpractices. There alc also instances
of professionals in the public service quitting thcir jobs when it ccrrtles to the question of
professional standards and integrity. This ethical responsibility is not just confined to
technical personnel only. Now-a-days, administrative personnel and civil servants have
dcveloperl a professio~lalstatus and they go by standards and ethics. This is n welcome
feature in civil services. Prafcssional responsibility is more effectively enforced by the
individtial conscience of administrative personnel about what constiriites ethically
acceptable bcbaviour and conduct.
30.18 AUTIIOWBTY
---- ---- AND RESPONSIBILITY --
A time honoured principle is that authority and responsibility should be equal. This tneans
that any officer or einployee who is charged with the responsibility of accomplishing any
given task must be given authority commenwrate with the task to carry it our. 111 any
organisation if the execrative is responsible for undertaking a fi~l~ctionhe sllotlld be clothed
with the authority to recruit personncl, to incur expenditure and to control the
subordinates. If the executives are not given the authorily in personnel and financial '
matters, they should be divorced from their resporlsibility also. In this context observation
of Urwick is noteworthy. He said that "to hold n group or individual accountable for
activities of any kind without assigning to him or them the necessary authority to discharge
tha~responsibility is manifestly both unsatisfactory and inequitable. It is of great
importance to smooth wrarking that at all levels authority and responsibility should be
coterminous and coequal'" But quality of control, and management by committees and
,. -
exercise of functional authority make the appliaabilify of this concept diffirllt.
7
Check Your progress 2
Note: i) Use the space below fchr your answers.
1 ) What is responsibility?

Concepts in Organisation --IL *-- ?
2) Distinguish between the three types of responsibility.
3) "Authority and Responsibility should be equal". Discuss.

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3o.11 LET US SUM UP

Authority and responsibility are integral parts of the process of administration. The
traditional view that authority flows from top to the bottom in an organisation, is
questioned by many. Barnard proposes that acceptance by the subordinates and their
obedience to authority is an important factor in auth~rity~responsibility relationship. The
main sources of authority are, law, tradition and delegation. Administrators enjoy the

bellefit of career jobs, expereisc arid support fronl the organised groups in the society. They Authority and Responsibility
often cornplain that their powers are inadecymate. They have to develop leadership skills
and in the absence of it they are not effective in all situations. There are certain
nlechanisrrls in the folln of legislatzlrt, law courts, constitutional safeguards, press and the
hierarchic relationships in organismzions, which act as controls on the !nisuse and abuse of
authority. Above all, the principle of responsibility acts as a control on the abuse of
authority. Responsibility is of three types, viz., political, instjtutional and professional. The
growth of professional re.;ponsibility is a hedthy sign in civil services. It will be Inore
effectively enlorccd by the ir~dividualconscience than by laws and rules. The traditional
concept is elrat authority and resporisibility should be equal and coterminous, but in the
modern cornples orgarnisatioras this principle is being put to severe test.
30.12 KEY WORDS

Compliaaace: Consenting without protest.
Contention: A point of dispt~ez.
Judicial Prcrenoannceme~iilts:Judicial judgment court decisions.
Polity: A fonn of government.
Precedents; An example or instance used to justify later similar occurrences.
30.13 SOME USEFUI, BOOKS

-
--
Bamard Chester, 1938. TEtt Fl4ttcrion.s of'thc Ev~e('litil*e.
EB:trvnrd University Press:
Cambridge.
Fay01 Henry, 1949. General and Ijlti~dstri(~lM(a?augernmt.Sir Issac Pitman: London.
NcFarland Dalton E, 1964. Management: P~.inci;>lrsarid Prnrrice. Macmillan: New York.
Millet, John D,1954. Matz(~gem~nr
irz the Plrblii- St*rvica. McGraw Will: Ncw York.
Pfiffner John M & Shcswood. Frank P, 1968. A~/nrink.\rr.uti~~~ Prenfice Hall
Ot~gc.~trrst~riotr.
of India; Neb Delhi.
Robbins, Stephen P, 1978. The Arin~inistmtiwProrvess.Prenticr: I4all of India: New Delhi.
Rourke, Francis E, 1969. Bureaucracy, Politics and P~hiic.Policy. Little Brown: Boston.
Urwick Eynclall, 1948. T/z6lc'Elements of Adntinistrution. Harper and Brothers: New York.
'Wekr Max, 1947. Thc ?'lic~oryojSocial and Economic*Olgani.s(~fions
(Translation by
Talcot Parsons and A.M. kdenderson). Free Press: New Ytrk.
: 30.14 ANSWERS TO CHECK YOUR PROGRESS

EXERCISES
1) See Section 30.2
2) See Section 38.3
3) See Section 30.5
4) See Section 30.6
5 ) See Section 30.7
1) See Section 30.8
2) See Section 30.9
3) Scc Section 30. I0

UNIT 31 LEADERSHIP
Structure
31.0 Objectives
31.1 Introduction
31.2 Meaning of Leadership
31.3 Leadership Theories
31.4 Leadership Qualities
31.5 Functions of Leaders
31.5.1 Leaders as Executive
3 1 S.2 Leaders as Teacher
31.6 Techniques of Leadership
31.7 Styles of Leadership
3 1.8 Hazards of Leadership
31.9 Let Us Sum Up
31.10 Key Words
3 1.1 1 Some Useful Books

@ define leadership
* explain theories of leadership and styles of leaders
@ describe the functions and qualificaiions of leaders
Q discuss the techniques of Ieadership; and
@ explain the problems and hazards of leadership.
-- -
31.1 INTRODUCTION
The most irnpo~-ranttask in the public service is to guide and direct work of the group as a
whole cowards desired objectives. Leadership assumes much more importance in the
modem government since the size and the number of organisations continue to grow.
Further, there is a need for effective participation of hundreds and thousands of individuals
who are continually joining the organisation with little prior knowledge of what the
organisations are striving to do. They involve in more and more complex functions of
individual duties.
A combination of several factors separates the individual members more and more from a
personal connection with the organisation he joins. The tie becomes impersonal cold and
un-inspiring. Generally, in many Government organisations work is divided
departmentally. Each will work independently. To provide link there is a need for a leader.
Again, the division of labour tends to separate and isolate individual members from the
central purpose. In every organisation the tendency is both for the departmental heads and
for the rank and file members to see the organisation's problems in terms of primarily of
their functional effort. Only competent leaders can correct the tendencies which
functionalism and division of labour create. The leader alone can keep tiie entire group
committed to the goals whiclr could produce the best results.
Thus, the multiplication of organisations, functions, departmnents, and subordinate
geographic units lead to [he increased importance of leadership. In this connection it is
necessary to mention that formerly it was thought born leaders were enough to handle the
situation. Now the scene underwent a change. The demand is for effective leaders in many
fields, on many fronts and at successive levels of authority. There are not enough born
leaders to go round. We have to develop them.

Leadership
In view of our need the idea of leadership should also change. We do not look towards a
unique individual set apart with umsual personal qualities. Organisations requires people
who can adminisler it.
In this connection it is necessary to clarify certain doubts. Generally, leadership tends to be
expressed in terns of power to command or ability to dominate. Commanding by itself is
not adequate as a basis for getting things done. Command is an exercise of power over
people. But leadership is interested in how people can be brought to work together for a
common end effectively and happily. It implieb the use and crearion of power with people.
It is conce~nedabout the process by which result is auained. Thus, we rnay cor~cludethat
in every organisation the whole man has to be appealed to and persuaded to do the job.
There is n need for total involvement in the organisation. This will be ensured only by a
good leader.
Let us try to define leadership. Evcry executive whether he deals with the people directly
or indirectly is potentially in a position to lead people. He has the task of bringing them
into an effective working harmony. To achieve this, there is a faclor known as leadership.
Leadership is defined as the activity of influencing people to cooperate towards some goal
which they come to find desirable. This definition may bc elaborated further. There are at
least four distinct fiictors in the definition. First, it is usefuI to explain the way by which
people rise to leadership. Second, the process of influencing requires study. Thirtl, the
nature of goals which people will find desirable has to be analysed. And fouith, the
qualities exhibited by leaders in action can be considered.
Some details, though brief, are required to explain the above mentioned factors. The
executive who is also the leader, sometimes gets his chance to lead because the situation in
which he finds himself' is one where the best results come in terms of leading than i11 terms
of commanding. It is the situation and not the person alone which allows the leader to
function. Thus every leader is as rnuch a product of the setting of his life and times as of
his own will to power. Sometimes we find self constituted leaders who will push his way
up by a combination of a strong personality with a vigorous, assertive ego and a steady
detem~inationto accomplish certain results.
The wcond process, is through a democratic political process where a leader is selected
from the group. In this there is a understanding between the leader and the led. In this
situation rhe leader chosen by the group has the most advantageous conditions for success.
Yet in another way he is in conlparativcly greater difficulty because he is always being
tested. However, the leader selected by a group has the best chance of winning and holding
his following.
Finally, people get the chance to be leaders through a method commonly found in many
organisations where boards of directors or trustees appoint top executives who in turn
select the lower executives. Here the group has vested interest which brought all of them to
a common platforn~.The problem of the leader is to show them that in serving the
corporate group they itre serving themselves; that in being loyal to the organisation as a
whole they are also loyal to themselves.
31.3 LEADERSHIP THEORIES

Leadership is one of the most important topics which was widely researched both by the
individuals and institutions. Studies by Ronald Lippitt and Ralf K. White, at the University
of Iowa, Bureau of Business Research of the Ohio State University and University of
Michigan have undertaken pioneering studies on leadership. The important theories of
leadership are trait theory, situational theory, group theory, etc. We will now discuss some
of these theories to gain a broad understanding of leadership.
Trait Theory
Studies on leadership in the beginning concentrated on the qualities of leaders. The major

Concepts in Organisation -111 question that was always asked was what qualities or traits analte a person a leader. S o m e
believed that leaders we bo& and are not made. This is what is popularly called the
'Greatman Theory' of Leadership. These born leaders possess certain traits and
characteristics, certain natiaral abilities which allow them to become leaders. The trait
approach is particularly concerned with identifying the personality' Waits of leaders, Later,
behavio~ralstudies have revealed that the leadership qualities lare rlot totally inhorn a n d
they can be acquired through learning, traini~~g and experience. Several studies tried trp
identify the important traits and there was wide variation in the traits identified by the
scholars. Keith Devis for example, identifies four important traits for a successfial leader
viz., intelligence, social maturity and breadtl~,inner motivation and achievement, d r i v e
and human relations attitude. We will study some of these characteristics later in this unit.
Group Theory
Grvup theory was also developed by social psychologisis. This theony ernphasises that the
leader provides benefits to his followers. According to this theory, the followers depend
upon those leaders who satisfy their needs. B e y extend support ar~dcooperation as l o n g as
the leaders satisfy their needs and motivate them to achieve the objectives and goitls of the
organisation. Halander and Julion have ernphasised this point when they said.
"... the person in the role of leader who fi~lfills
expectations and achieves group
goals provides rewards for others which are reciprocated in the form of status,
esteem, and heightened influence. Because leadership embodies a two-way influence
relationship, recipients of influence assertions may respond by asserting influence in
turn ..... The very sustenance of the relationship depends upon some yieldirlg to
influence on both sides.
Situational Theory.
Both trait and group theories were found inadequate to provide an overall theory of
leadership. Therefore, the scholars turned their attention to the situational aspect of
leadership. They begun a search for situational variables which influence leadership roles,
skills and behaviour. This tkieory believes that leadership emerges from the situatiori a n d is
influenced by the situation. As a result leadership differs from situation to situation. F.E.
Fielder, who is important proponent of this theory, feels that people welcome leaders
because of situational factors. He ernphasises that it is not meaningful to speak of an
effective Ieader or an ineffective leader. We can only speak of a leader'who tends to fx
effective in one situation and ineffective in another situation'.
31.4 LEADERSHIP QUALITIES

Certain qualities are essential in any leader because they are vital to take the individual
towards success. Deficiencies can be eliminated by conscious effort. Good qualities can be
strengthened. But it is not possible to cultivate all the attributes since some are rliore innate
than others. An exhaustive list is not possible. However, certain specific and easily
identifiable traits are enlisted here on the basis of practical experience although ,several of
them fall under psychological terns.
A11 the,qualities listed however, do not necessarily appear in every leadership situation nor
are the? all equally required of every leader. The aim is to present a comprehensive picture
of all desirable qualifications.
i) It is generally agreed that possession of a generous and unusual endowment of physical
and nervous energy is the secret of the most successful leaders. Those who rise in any
marked way above the general public have more drive, more endurance, greater vipour
of body md mind than the average person. Robust health and basic strength is an usrct
for the effectiveness of the leader. Everyone of us realise how important is the phyhiciil
and nervous conditions in our working. Sluggishness, apathy, fatigue are generally
considered to be the stumbling elements of good leader. The leader also must recognibe
that his job is more demanding than the average worker. Therefore, the leader should
be careful about his health and vitality.
ii) The second quality which is clearly predominant in every good leader is a strong sentr
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wants to get it done and where he wants to go. It means he possesses clarity and
precision as to the objectives, purpose or aims he want to achieve.
iii) The next quality pertains to enthusiasm. The mere presence of a sound purpose is not
enough. It must be felt to be sound by all. A sound purpose must be supported by
dynamic emotion, hope, will to win and a robust sense of joy in the job. Thus
enthusiasm is essential. It is important because it is self sustaining. If the leader has
real vigour on the physical side and definite objective on the mar~ualhorizon, then
enthusiasm is an automatic offspring. Enthusiasm can be deliberately increased but it
requires great energy, and deep intellectual conviction. A good leader is always
conscious of this fact. He should be a known enthusiast.
iv) Affection and friendliness are essential in a good leader. Infact, affection and
friendliness are positive motivating forces over the conduct of those upon whom it is
expressed. This will work in more than one direction. The tendency is for friendliness
and affection to evoke a reciprocal response. However, the leader has to guard against
sycopi~ancy-andother-evilsassociated with it in the name of friendli~iessand affection.
The followers must be able to trust their leaders. The followers want to feel a sense of
solidarity, of honesty and reliability towards the leader. The people should gain the
trust or confidence. In shdrt they want the leader to possess integrity. It is not necessary
being a paragon of virtue because it is not possible. But what is required is acting
appropriately to the expectations of the group we may hasten to'add here that where
there is a divergence of views relating to the major objectives of the organisation then
the leader should maintain his integrity and convince the followers. If he fails, he
should quit after giving a reasonable time, making clear to the group the grounds on
which he has acted. But these are extraordinary illustrations.
Integrity is demanded for another reason also. In a complex society like ours there are
conflicting demands. It becomes impossible to have a competer~topinion about many
issues. Yet the opir~ionis sought and a decision is expected. In this situation, people expect
the leader to possess co~npleteintegrity. This is a major problem of entire life philosophy
of the individual.
To these above general qualities, Chester Barnard adds four other qualities of leader. They
are (i) vitality and endurance; (ii) decisiveness; (iii) persuasiveness, and (iv) responsibility
and intellectual capacity, in that order of priority. Millet identifies eight qualities which a
leadership should possess. They are (i) good health; (ii) a sense of mission; (iii)'interest in
other people; (iv) intelligence; (v) integrity; (vi) persuasiveness; (vii) judgment and;
(**:;i) loyalty.
-,reek Your Progress 1

I ) Explain the significallce of leadership.
2) What is Trait Theory?

Concepts in Organisation -11
3) Explain. Siiuutiorial Theory of leac!crship.
4) What qualities are irnporraint for a leader'?

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31.g FUNCTIONS OF LEADERS
Leader has a significant role in the organisational Ilfc. The success or tailurc of
organisations are greatly dependent upon how well the leaders perfonns his functions. It is
necessary, therefore, to know as to what fimctionl: ;leader perfonnu. Hick!, and Ciullett
have identified eight important functions of a leader. 'Uiey are (i) arbitrCL;;iig,
(ii) suggesting; (iii) supplying objectives; Ilv) catalysing; (v) providing security;
(vi) representing; (vii) inspiring; and (viii) praising. Chester Banlard identifies three main
functions of thc executives. They are to 111aintai11communications in the organisation, to
secure essential services from individuals, and to formulate purposcj and objectives.
The work of a leader is restricted neither to the eight functions identified by Hicks and
Gullett nor to the three functions identified by Barnard. Broadly, the work of a leader, who
will be an executive, includes the following:
i) planning and defining policies and procedures.
ii) organising the activities of all the individuals.
iii) delegating authority and responsibility
iv) controlling them towards the desired results
v) supervising Lhe work of the group
vi) giving general orders and guidelines
vii) interpreting and transmitting policies

viii)training the key subordinates to carry executive load
ix) coordination and
x) stimulating and vitalising all the individuals who are contributing their efforts.
A leader should support definite objectives in the organisation so that it becomes easier for
the people to understand thc goals of the organisation. If the objectives are sound then it is
possible for the lead~rlo become sound. The leader must be certain that he has a sound and
therefore an appealing purpose before he tries to win followers. In this exercise the leader
shoulcl try to interpret the experiences of his followers occasionally so that the finer points
could be explained to them. It could be convincing since the experience would benefit the
followers. In sum it means the leader should take the followers into confidence while .
rhe objectives of the organisation.
The process of drawing out support from the followers for any aim is often a crucial one
for the leader. It is possible only when the followers are convinced that the interest's and
the desires of them are being talcen adequate care. Leadership is not a matter of hypnosis or
salesmanship. It is a matter of bringing out from within the individuals, positive impulses,
motives and efforts. In fwt leadership is known by the personalities it enriches and not by
those it dominates or captivates.
i 36.5.11 Leader as Executive

'
The most important aspect of the leaders with which we are really interested is that of
I'
executives whose primary duty is to direct some departments or its units or some
, enterprise. 111this respect they lnust first be able to do the executive job. It means they
I
should see that it is done. This requires a detailed analysis.
In every organisation there are many tasks and activities to be carried out. There is always
, a need for sub-division and fi~nctioniildistribution of duties. It requires coordination.
Further, the executive at the top cannot possibly know all thc details. This situation is
confronted by all the top executives corporations, Government departments etc. As the size
of the organisation increases the technical command of the top executive who is the leader
of the organisation seems to decrease considerably. It is true that in every leadership
situation the leader has to possess enough grasp of the ways and nlearls to give wise
guidance to the staff as a whole. Due to [he complexities, the job of leading has its own
special techniques and these are different in kind from thc special techniques of directing
or operating line or staff departments. In a large organisation thc top executive posts
require primarily a coordinative responsibility. The executive leader in such a situation
should be more than a goad technician. The conductor of an orchestra is the best example
of coordinator. Thus, the coordinative technique means ability to formulate, transmit,
interpret and supervise the working of people from top to .bottom. There may be some
variations in the organisations. But there are certain broad aspects which are comtnon in
many leadership positions.
The effectiveness with which the purpose is being realised depends mostly on the t'echnical
grasp of the leader. It means he should be farniliar with standards of sound performance
and related matters of technical irnportancc. The leader should be in a position to make use
of the available expertise shrewdly. The expert should be on tap and not on top. Now it is
for the leader to take advantage of this situation, hl addition, there is more and more to
leadership in other directions. It is the ability to make a team out of a group of individual
workers, to foster a team spirit, to bring their efforts together into a unified lotal action. It
is in this broader sense that the real skill of leaders is being increasingly viewed.
Ultimately the leader has to get results. There must be action and accomplishment. The
group objectives should be realised. This is very important and also vital. It is essential that
the leader should take human experience in hand and make it the way he believes it should
take.
Decision-making is, psychologically, one of weighing evidence, sorting out alternatives,
and making n choice by which one is willing to stand. Exercising sound judgment is
essential. The leader has to understand certain very well known elements. If these are
carefully followed, the results of judgments are sure to bc better than if no conscious
attempt is made. L.et us list out those eiemenls.
In the first instance, the leader should recognise the problem he faces. Secondly he has
to gather all the facts and data relevant to the problem. The next step is its classification '

Concepts in Organisntion-11 and arrangement into related groupings. The fourth step is the formulation oT possible
solution. The fifth step will be checking of this possible solution and finding out whether it
is the good solution. Thus testing is necessary to get sound results. Finally, adoption or
acceptance of the trial solution as valid and useful. This kind of procedure is called
inducting thinking or sometimes called scientific method. Decision made as a result of a
careful adherence to these steps will be far more sound than the random selection. The
procedure has certain difficulties but under the circun~stancesit is the best method.
The leader must be careful about announcing the decisions. We most impress upon his
followers with the fact that a decision has been reached and there is no scope for functions
in opinion, hesitation; delay etc. He must act and support his decision. It is his
responsibility and cannot escape it. Sometimes it is at this point that many leaders reveal
their weaknesses.
The capacity and the willingness to rnake decisions can be cultivated. Prior planning and
: standard routine will be useful in several decisions. There is a need for taking counsel,
eliminate confusion from the followers. It is necessary to state that there is no place for
stubbornness, obstinacy or inflexibility on the part of the leader. Finally, the real leader
will stand ready courageously to pay the price of seeing his decision through without
blaming others for his own errors.
The next important function of leader, particularly in public orgariisations, is the capacity
to delegate authority to subordinates, to carryout their essential duties. Leadership
becomes effective when others are persuaded to accept the assignments given to them and
proceed to carryout their duties. In effect, leadership is dependence upon the faithful
performance of one's associates and subordinates.
Some people try to do everything by themselves. They do not trust others. They
dislike inter-dependence. But in every organised effort in large groups dependence
upon one another becomes essential. The leader has no choice except to delegate authority
to others. The essence of delegation is to confer discretion upon others to use their
judgement in meeting specific problems within the framework of their duties.
Management leadership must then accept the responsibility for how this discretion is
exercised.
Intelligence in a personality is colnpletely in-built than most others. In the context of
organisation, the intelligence of a person is see11as the capacity to see the problem. It is
also the ability to appraise situation readily and tackle it. This capacity differs from perso11
to person. It is difficult to develop the intelligence by conscious effort. But it can be safely
stated that there are many leaders who have made up the deficiency through dete~mination,
integrity and friendliness. In this connection, mention may be made regarding two other
qualities as special evidences of intelligence-namely imagination and a sense of humour.
The capacity for imagination can be improved by deliberate effort. Imagination is essential
in more than one way. A sense of humour is important as a lubricant. It will facilitate
smooth flow of communication without hurting anybody.
31.5.2 Leader as Teacher

The next important aspect of leadership is that of staff development. In this connection it is
important to mention that a good leader is a good teacher. A good teacher is never a boss.
He is a &ide who will set up a goal, pose some problems, guide the activities afid hold a
person to a new way of mind and conduct. This is true of evkry executive in the
organisation. Let us examine some of the tested principles of a good teacher which will
ultimately be of immense use to the leader.
In the first place, the good teacher tries to build up a feeling in the learner that he is
engaged in an activity which is very inlportant for him. Thus a good leader like teacher has
to generate a desire to learn and willingness among the learners. In the second place,
learning' should begin at the point of the learner's-Present total outlook and equipment. The
new objectives should be related to what he now knows and feels. The third aspect is that
learning involves the whole organism. One has to think, feel and act appropriately for the
process to go on successfully. Briefly, it is said that the leader has to be sure that his
followers are given a chance to go through much the same experiences as have led him to ,
believe in his objectives. The fourth aspect in this analysis is in regard to the duty of the
executive to guide the foliower and provide him a chance to think and supply the I
I
I

infommation which constitute the immediate sub.iect matter of the learning. The leader Leadership
should help to arouse interest in the objectives of the group. A good leader may sometimes
win temporary support for his objectives by verbal advocacy but the real support has to
come from an experience which is deeper than learning to exhortation. One can say with a
sense of conviction and cmotion.
One final aspect of the teaching process needs a mention here. Learning takes time.
Beyond a point we cannot hurry up. The teacher and the leader alike should be aware of
the capacity and competence of the learners and direct their experiences and thus lead
them on to the desired changes in attitude.
In conclusion, it is clear that the learning process requires an active experience of
for a favourable result by those being led. The leader cannot afford to be in a
haste. It is a slow proces? But it is essential.
31.6 TECHNIQUES OF LEADERSHIP

111 any art there are definite techniques. This is true of leadership. There are certain
techniques which deserves mention. Conscious cultivation of them can bring about
improvement in general and leade~.shipvalue in particular. Giving orders occupy the first
position. Order is a functional fact. It is in~plicitin the tasks or duty to be performed. Every
individual is expected to know, as a result of good training, what is expected of him and
what are the standards of good performance. This is what scientific management teaches
us, and which every execlltive is expected to adopt. Thus on the basis of this definite and
sound method, order giving can be reduced to a minimum. But it cannot be entirely
dispensed with.
There are certain exceptions to this. Emergencies and other contingencies must be attended
to by the leader because the followers always look towards the leaders for the line to
follow. Under these circumstances the leader must step in and take command of the
situation. Problems of working method will arise. The relationships among the individual ,
workers, or the inter-relationships of groups or of depaftments require special adjustments
which may entail giving orders.
The leader must be clear while giving orders, remove all possible doubts and confusion.
The words used must be carefully chosen and should convey the same meaning to the
speaker and the listener. The order should be explicit. If the order is oral then the leader
should impart the order in a natural, vigorous and firm tone of voice. It should not lead to
anger or annoyance. If warranted, the order may be repeated. Any superficial behaviour is
not a healthy sign of a good leader. Thc leader should phrase the orders courteously. Avoid
terms like 'Do this' or 'Do thatY.Courteous phrase may seen1 weak but it is the most
effective method. In conclusion, good leadership implies good manners, from top to
bottom in any organisation. It is veky essential in every democratic society. The leader has
to avoid giving too many orders at one time. This creates confusion, slowness of
assimilation and hewildem~ent.Keep orders simple, keep them in time sequence, space
them according to priorities. The orders should be positive in contact. It means one has to
avoid negative oornmands. Finally, makc sure not to issue contradictory orders.
Let us look at the problem of handling followers who do not attend to their duties
seriously. The process of reprimand, punishment or criticism should be bslsed on clear
facts and figures. Penalties should be definite and administered even-1.1andedwithout
partiality or animosity. Failures on the part of individuals have to be dealt with carefully
because there may be reasons beyond their grasp. Hence, careful consideration of various
factors is essential.
Another factor of tremendaus importance is the assurance that good performance is being
appreciated by the leader. The leader should not hesitate while giving praise for good
work. The executive, however, has to follow some standard procedure. Whenever, a
standard proccdure and method is followed, the leader has a definite piece of informatiorl
for a conclusion. Commendation can be given in public where the group will know that the
merit has been recognisecl. The total hearing and appearance of the leader is another
important factor. The leader should be straightforward in personal dealings. There is need
for r\ proper balance between friendliness, cordiality, and undue familiarity.
, Concepts in Organisation
Downloaded from:- A good leader has to encourage
-11 https://t.me/Pdf4Exams the followers to evolve new ideas. It is possible thraugh
organised group deliberations. Fostering a sense of group identity among the followers is
another important element the leader is expected to develop in the organisation. This
improves the morale of the group. Self disciplines in the group is another item which
deserves attention by the leader. Finally the leader has a clear duty to see to it that on all
important issues the followers are informed of all relevant facts about new policies as
quickly and fully as practicable.
Now let us look at the factors affecting leader's influence over others? There are a
number of processes through which the leader influences others. The most important of
these are:
(i) suggestion; (ii) imitation; (iii) persuasive argument; (iv) publicity; (v) reliance upon
the lagic of events (vi) a show of affectionate devotion;(vii)the creating of a typical
problem situation. It is not possible to generalise in advance as to when the leader
should wisely uke one method or another. Often several of them are in operation at the
same time. But a conscious knowledge about how each influence works will help the
leader.
Suggestion may be either direct or indirect. It is used normally to build up or maintain the
prestige of the leader. It is also adopted to avoid the danger of offending the pride or
disturbing the self confidence of the followers. Suggestion is also useful in getting
supporters.
Imitation is not an active process for the leader. It is rather a support upon which he can
frequently rely upon. It is said that nothing succeeds like success. It is because people will
imitate; c'opy and kllow along as soon as success, status and esteem are present.
Persuasive argument is important and also very essential to influence individuals for an
agreement on specific issues. It is an art in which the leader has to gather all the evidences
and opinions and convince the follower to adopt a desired course.
Publicity is another technique, of which all of us are fi~llyaware in the modern times. It
will build prestige, interpret facts, attitudes and co~iclusionsto all concerned. The
leader has to choose the niedia and methods of publicity depending on the size and
character of the followers. It is necessary to differentiate between publicity and
propaganda.
The leader has to be watchful to sense the trends, and tendencies at work and find out the
logic of events and direct the followers accordingly.
Devotion to the leader, perhaps sometimes blind, is always a powerful weapon.
Lastly, let us consider the most efficient method of influencing others. This is explained in
terms of helping to create in and around the group of followers a definite set of conditions
and circumstances which the followers feel problematic or difficult. In this situation a
leader recognises a dificulty and helps to give it a sharper focus and then offers a solution.
A further fact not to bbe ignored is that people are influenced by a leader because he
becomes a symbol of some higher cause.
31.7 STYLES OF LEADERSHIP

The style an executive selects greatly influences his effectiveness as a leader. Leadership
style provides motivation for the achievement of organisational goals. Improper styles may
cause irreparable damage as the employees may fed dissatisfied and resentful. Broadly
three leadership styles are identified viz., autocratic, participative and laissez-faire. Each
of the styles has both advantages and disadvantages. The leaders adopt different styles at
different points of times depending upon the station. We shall now briefly discuss each of
these styles.
Autocratic Style
'
I
In this, policy and decisional authority is concentrated in the licandsof the leader. It is the
leader who decides policies and modifies them according to his own wishes. This type of
leaders expect unquestioned acceptance of the leadership by their subordinates. I1 is very

difficult to anticipate the behaviour of the leaders because of their autocratic style. Leader
tends to be personal and remains aloof from the group. He considers himself superior and
all his colleagues inferior, inexperienced and ignorant. This type of leadership has the
advantage of quick decision-making. But it causes pain to the employees and results in
dissatisfaction. In the process employees may become passive towards organisational
goals.
Participative Style
This style is also called the democratic style of leadership. In this, leaders obtain the
cooperation of the employees in achieving organisational goals. They allow the employees
to participate in decision-making process. All policies and decisions are arrived at through
group discussions. Leader encourages and assists his colleagues and only provides
alternatives instead of dictating the final decisions or policies. The members of the group
enjoy greater freedom. Leader is generally objective both in praise and criticism. Leader
recognises the work of subordinates. He believes that the subordinates are capable of
making decisions. Participative style leads to improved employee-employer relations,
higher morale and greater job satisfaction. It also seduces the burden on the leader. A
major problem in this type of leadership is dilution in the quality of decisions as every
view point has to be taken into.consideration in fom~ulatingpolicies and taking decisions.
It is also time consuming because of consultative process.
Laissez-faire Style
In this type of leadership, the organisation does not depend on the leader to provide
external motivation. The employees motivate themselves. They enjoy greater freedom and
the leader's participation in decision-making is minimal. No attempts are made to regulate
the course of events in the functioning of the organisation. Leader only assumes the role of
one of the members of the organisation. This style of leadership has advantage of giving
freedom and independence to the employees. But unfortunately in the absence of a strong
leader the employees may not have proper direction and control. This may lead the
employees to become frustrated and may even result in organisational chaos.
311.8 HAZARDS OF LEADERSHIP

There are certain-constraints on good leadership. In the first place, leaders should properly
regard other pe'r;ple as ends in themselves, not as mere instruments to realise ends imposed
by a leader. Secondly, any normal, healthy minded person will exercise power by
persuasive influence rather than by coercion.
I The manifestation of various causes and occasions of mental disturbance show themselves
under the following:
Every leader gets an opportunity to satisfy an inner urge for enhancement of his ego. Bul
this love of self aggrandisement can easily get out of hand. This is a dangerous tendency.
This excess may take several farms. It may lead to a feeling of superiority and aloofness,
vanity, pride etc. ,He m8y demand too much. flattery and personal loyalty and therefore
gather a set of 'yesmen' or sycophants. There are several ways through which the leader
will have set right his behaviour.
In the next instance, a leader should guard himself against emotional instability. This will
take the form of chronic irritability and quick temper. Another hazard in the leadership
style pertains to obsessive few complex. The leader in some cases entertains the feeling
that he is not good enough for his task or is on the verge of failure. All such feelings
undermine self confidence. They curb enthusiasm. They are inhibiting factors and tend to
destroy the sources of personal power. The leader has to avoid such self defeating
propositions,
'In certain other instances, good workers just below the level of top executives,seern to
be well qualified to lead but are afraid to try when a chance is given. This inferiority
feeling also becomes one of the powerful hazards of leadership. Another aspect which is
equally dangerous is the tendency to legitimise irregular activity. Legitimisation means
that whatever we do we try to defend it and support it as a correct decision. This is no1 a
healthy symptom. This will generate an attitude of self-righteousness in the leader.

Concepts in Organisation -11 This tendency will create a feeling among the fol'loweis that their leader is a
hypocrite.
Finally, the leader must be vigilant about the sadism. It means any form of behnviour from
which the individual derives satisfaction, which imposes suffering pain or cruelty upon
others. This is the most unfortunate trait for a leader to have. One manifestation, not
always thought of as sadistic, is the use of sarcasm. This is also not desirable.
In conclusion, the corrective line to be followed, is re-ducation in the light of full
knowledge of the causes of the maladjustments. Discover and confront the realities. That is
the general dictate which must be followed wherever any of the several kinds of potential
9nzards of leadership listed abQve are found to be present.

1) Explain the functions of the leader as an 'executive'.
2) Is leader a teacher? How?
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3) How does a leader influence others?

Lendership
4) Distinguish between autocratic and participative styles of leadership. L
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' 31.9 LET US-SUMUP

In this Unit we have discussed that leadership has an important role to play in the efficient
functioning of organisations. In particular we have discussed the theories of leadership,
functions of leaders, qualities of a good leader, leadership styles and problems and hazards
of leaders.
31.10 KEY WORDS

Styles of leadership
Autocratic Style: In this style of leadership, the leader has the absolute authority to take
decisions.
Participative Style: In this style of leadership, the employees too participate in the
decision-making process.
Laissez-faire Style: Here, the employees have full freedom to take decisions, leaders'
, participation in decision-making is minimal.
,Theories of leadership
Trait Theory: According to this theory, leaders have inborn qualities.
Situational Theory: According to this theory, leadership emerges from situation and is
influenced by situation.
Group Theory: According to this theory, a person is accepted as a leader as long as he/she
satisfies the needs of the groups.
31.11 SOME USEFUL'BOOKS

' Barnard, Chester I., 1948. Organisation and Managenlent; Harvard University Press:
Cambridge
Hicks, Herbert G. and Gullett, C. Ray, 1975. Organisations: Theory and Behavioul.;
McGraw Hill Book Company: New York.
/
I

- Concepts in Organisation - II Luthans, Fred, 1977. Organisational Behavioul-; MCGS~W
Hill Book Company:
New York.
Millett, J.D., 1954. Management itt the Puhlic Set-vice; McGraw Hill Book Campally lnc.
New York.
Nigro, Felix A, and Nigro Lloyd G., 1973. Modern Public Administ?-ntiotz;Haver and
Row Publishers: New York.
Pfiffner, John M., and Sherwnod Frank P., 1968. Arlministrativc Orgm~isatiort;Prentice
Hall of India Private Ltd.: New Delhi.
-
31.12 ANSWERS TO CHECK YOUR PROGRESS .
EXERCISES
1)' See Section 31.1 and 3 1.2

2) See Section 31.3
3) See Section 31.3
4) See Section 31.4
1) See Sub-Section 3 1.5.1

2) See Sub-Section 31.5.2
3) See Section 31.6
4) See Section 31.7

CmEF EXECUTIVE
32.0 Objectives
32.1 Introduction
' 32.2 Meaning of Chief Executive
32.3 Types of Chief Executives
The Parliamentary and Presidential Types of the Chief Executives
The Titular and the Real Chief Executives
Single and Plural Chief Executives
The Collegial Executive of Switzerland
32.4 Various Types of Local Chief Executives
32.5 Functions of the Chief Executives
32.5.1 Political Functions
32.5.2 Administrative Functions
:. 32.6 Aides to the Chief Executive
Staff Agencies
Line Agencies
32.7 The Indian Executive
The Union Executive
The State Executive
Executive at the District Level
32.8 The District Collector as the chief Executive
32.9 Conclusion
32.10 Let Us Sum Up
32.11 Key Words
32.0 OBJECTIVES ..."...--.
After reading this unit you will be able to:

b clearly understand the meaning of the word chief exccutive
@ differentiate between various types of chief exccutives
@ analyse the fullctions of the chief executive
d~ understand the need for staff and line agencies and

@ describe the role of District Collector as the chief executive.
Governmental power is three-fold, legislative, to make laws; judicinl, I s ii'lterpre'i thc

, r t . * c.,&'<ry
'
laws; ano L;;LG. out the laws. There is a separate organ i~l-ch;~rgc
5~each
function, bur the separation is not rigid. A complete separation would lead to perperilal
deadlocks in administration. Thus there are v~lriouspoints of calltact between aEE the
three organs of the government to ensure smaoth functioning of governmental
programmes. With expanding complexity sf the activities of the modenm Stnee. the
legislature is not in a position ta have direct dealings with the adrninistratiori arid $0,
it is the executive branch which is becoming mare and more powerful. The mod.esn
State assigr~sa variety of functions to the executive. Thus it has become a vital part of
the government.
In this unit, we shall analyse the functiorls of the chief executive in the light of thc
differences between the real and the n o m i ~ ~executive.
al The unit will also highlight thc
growing strength and importarice of the chief exccutive. We shall also discuss the need
. for staff and lirie agencies for advising the chief executive and in carrying out his
policies. The unit will enable the student to understand the crucial role of chief
executive in the task of administration. We will also come to know the factors and forces
behind the chief executive at the Union, State and local levels.

c ~ n p t in
a Orgmisatim - rn
32.2 MEANING OF CHIEF EXECUTIVE
The executive is that branch of government which is charged with the execution of taws.
It consists of various administrative agencies which are involved in the implementation
of the laws. According to F.A. Nigro, "the executive branch of government in Public
Administration is a truly visible form". The executive branch of the government
includes the chief executive and the civil servants who execute the laws made by the
legislature. Thus the role of the executive is of paramount importance. .
By 'chief executive' we mean the person or body of persons at the head of the
administrative system of a country. The administrative hierarchy of a country
resemb1es.apyramid, broad at the base and tapering off towards the top till it ends at a
single point, the apex. The chief executive is at the apex of the administrative pyramid
Iie is a person or personsin whom the executive power has been authoritatively vested
for performing various functions. In a political system, the person or persons in whom
the constitution vests the executive power of the government is the chief executive. In
public o r private organisations, the person who is at the top position with the major
responsibility of carrying out the work of organisations is the chief executive.
The chief executive has to perform various political and administrative functions. He
occupies a central position in Public Administration. He determines the goals of the
organisation, prepares plans, determines the tasks, fixes priorities, takes crucial
decisions, mobilises resources, recryits personnel, coordinates the work of all the
departments under him, motivates the personnel, provides leadership and supervises .
the implementation of plans. He sees that goals of organisation are achieved with
maximum efficiency and optimum use of resources. The success or failure of an
organisation, therefore, depends on the dynamic nature and character of the chief
executive.
32.3 TYPES OF CHIEF EXECUTIVES

The type of executive varies with the form of government. In a dictatorship, the chief
executive comes to power through a military coup and continues to be in power through
army support. Modern democracies have either a Presidential or a Parliamentary/
Collegiate executive, which is chosen from, and responsible to, an eIected legislature.
The parliamentary andPresidentia1 Types of the Chief Executives

In countries like India and the UK, with parliamentarysystern,the chief executive
consists of the Prime Minister and other Ministers. The Prime Minister heads the
cabinet in these countries. There is a close, continuous and intimate executive
legislative relationship as the cabinet is accountable to parliament in thc parliamentary
system.
In the Presidential system like the USA, the chief executive is the President. In such a
system, the President is neither a member of parliament nor accountable to it. The
President of US can be impeached and removed from office by the legislature i.e. the US
Congress by two-third majority. In the USA, for instance, because of the system of
checks and balances, Congress, the President and the judiciary have become separate.
entities independent of each other.
The Titular and the Real Chief Executives

In parliamentary form of government, all executive power is vested in the titular or
constitutional head in theory and all decisions arc supposed to be taken in his name. It
means that the head, whether it is the King or the President can exercise his powers only on
tbs advice of the ministers and not independently. Thus, though the Constitution vests the
powers with ihe President or the King, in practice these are not his real powers and
cannot be exercised by him without the consent, of ministers. The chief executive in
this s y s t e . ~remains titular or nominal.
The real executiveis the Council of Ministers or the Cabinet to which the legal powers
of titular executive pass, It means that legally he does not havepny powers but in
practice exercises ail tfnepowers vested in the titular head. In England, the Queen and

in India, the President are the titular chiefs and in both the countries the real executive
is the cabinet headed by the Prirne Minister.
In countries like the USA, the President is the real chief executive, as the powers
legally vested in him are also exercised by him independently.
Single and Plural Chief Executives
0
In countries where parliamentary system of government prevails, the real chief
executive is the cabinet which is a plural body. Thc body comprises the Prime I\/dinister
and other ministers. The Prime Minister works on the advice of his rrninisters. Ul~ltkne
this, the chief executive in the Presidential system of government (like inr the USA) is:^
single individual, the President. Though h e functions under the system of separatiom of
powers and checks and balances, he takes his decisions in an indepcltdent manner.
The Collegial Executive of Swibzerlawd
The Swiss Executive belongs t o neither of the two types i.e., the plural or singular, it
has featugs of both the types. This type of executive is callled the Collegial Executive.
Xt represents a mixture of some of the basic principles of Lhe parliarncntary and the
presidential types.
.lust like the parliarncntary type, the Swiss Executive is a plural bodycomisistinlg ofscveii
members. It is truly Coilegial because in it there is nobody like the Prime Minister
holding a position of primacy. All its members are equal in rank and arc responsible to
the legislature.
Unlike the tnembersof the cabinet and 1ik.ethe US President, the Swiss Executive, [the
FederalmCouncil)is elected for a fixed terrn and is irremovable during the period.
~wceckYour ProgrGss 1
ii) Check your atlswcrs with those given at the end of the unit.
1) Explain the meaning of chief executive.
2) What is the difference between the Pnrliamrntsry and Presidential chief axecutivcs?
3) U.S. chief executive is a:

a) Plural chief executive
b) Single chief executive
c) Parliamentary chief executive
d) Collegial chief,executive
4) In whi'ch of the foEollowing countries,.is tbe Collegial executive fourzd'?
a) USA
b) Great Britain
c) Switzerland
d) ilndia

Concepts ln Orgmisntions IIII

32.4 VARTOUS TYPES OF LOCAL CHIEF EXECUTIVES
The type of executives discussed so far are present at the Union or Central level. Besides
these, there are various executives at other levels, thestudy of which is also important.
The local executive, assumes different forms in different countries and is variously
designated. It can b e single or plural, political or administrative, elective or .
rrqn-elective. The executive shares two types of powers and functions: political and
administrative.
The local executive can be classified as single executive when political authority is
vested in a single person. The American, the European and the Japanese Mayors, the
Indian Chairman of Zila Parishads and of Panchayat Sanitis are examples of single and
strong political executives. The plural executive consists of a group of individuals, one
of whom is chosen as its chairman. The plural type is illustrated by the committee
system of executive under the English local bodies.
' Apart from the political executives, at the other end of the spectrum are the municipal
commissioners/the chief executive officersithe district development officers of Indian
local authorities, the city managers of the USA and the chief executives of the U.K.
They offer effective administrative leadership, sharing some executive powers which
are political in character.
Thus the local executives, may be political on the one hand and non-political,
official or expert on the other: The American mayor, the committees of the English
local bodies and the heads of the English local bodies are. political. There are executives
who are primarily administrative like the American city manager and chief executive
officers of looal authorities in India, who are appointed by the State government.
I
There are local executives who are strong, others which are weak. The involvement of
thk executive in adrninistratiokalso makes it a strong executive. Its relationship with
the local council is another factor which determines the position and status of the
executive. It can be said,that an effective local executive can be one that combines ' .
strong political leadership with professional leadership. But the Indian'rural local
authoritiks are providcd with strong leadership both in politics and administration with
two separate positions present i.e, politician and professional administrator.
In India, the city municipal corporations which are known for effective administrative
leadership with the Municipal Commissioner as their chief administrator, suffer from
inqffective political leadership as the executive authority is dispersed among various
municipal authorities.
32.5 ' FUNCTIONS OF THE CHIEF EXECUTIVES

The chief execut.ive is the head of the country and in that capacity h v far reaching
legislative, executive and judicial powers granted by the Constitution of the country.
Besid'es him there are numerous lesser chief executives at the state and local levels who
also have to perform various legislative, executive and judicial functions in their
respective areas. The nature and quantity of fuwtions keep changing at every level. ,"
In companies or corporations the chief execunve has the important task of interp&i:ting
the policy of the Board of Directors to the rest of the management and the general
public. He has to ensure that policies and programmes laid down by the board of
directors have been understood by all the employees. He has to devise the various
procedures of organisation and determine its structure. The chief executive, at any
level has a dual role to play i.e. political as well as administrative.
32.5.1 Political Functions

The source of political power under democracy is primarily the people themselves and
secondarily the legislature which is the representativ~body of the people. The chief
executive obtains his oflice through the votes of his people. It means that the office of
the chief executive is the end-result of apolitical process. For executive discharge of the
duties of his office and proper working of the administxariom, the chief executive needs *

the support of the
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:he support of the legislature and the electorate. Thc chief executive has to perform his
activities by keeping in view the public interest as well as the interest of the nation.
Admi~listrationcannot run smoothly unless there is interaction between the people and
the administration. Thus, political management is one of the most important functions
of the chief executive.
we mentiuned earlier, chief executive also exits at other levels e.g., in public
organisations, private enterprises etc. A t these levels too, the chief executive has an
important political role to perform. In actual practice, the chief exccutive in a
parliamentary form of government performs many functions which the head or heads
of the public or private organisation (which ran be a general manager, managing
director or a secretary) perform. The executivc in a pi~rliamentarysystem is controlled
by the legislature and in an organisation ir is controlled bv the Board of Directors. Even
though the chief executive in public organisations, is not a result of political proc'ess.
he has to interact with peoplc, press etc., to run the organisation. Hc rnobiliscs the
efforts of the personnel to achieve organisational goals. This means that political role
of a chief exccutive is very crucial and he cannot avoid it, whether it is at the national
level, state level o r local levels. His pc)lieical function of galvanising thc entire
administration to action in pursuit of the accepted goals and objectives and winning the
people's support ancl consent thus assumes imporlance.
32.5.2 Administrative Functions

The chief esccutivt: has to perform a number o f administrative functions. Luther
Culick sums up these functions in thc acronyrn POSDCORR, which has been
referred to in the earliar units. Marshall Dinlock summarises these funct~onsin one
sentence: "He is a trouble shooter, a supervisor and a promoter of the future
programme". We will now discuss the major functions o f the chief cxccutivrs in somc
detail.
F'orrnulationof Administrative. Policy

Oneof the major functio~lsof the chief executiveis the determination and formulation
of adrninistrative policy. He issues a number of specii'ic policy directions, written or
oral, which enable the administrative officers t o pcrforn~their duties in a proper
manner. Thcy acti~allyserve as a guide to administration. Thc ch~cfexecutive is
cor~sultedby the departmental heads and other administrative officers on certain
important and controversial matters. His ability and personality has close bearing on
administrative efficiency. The Icgislnture only enacts laws in gencr:ul terms. The
executive fills them with details to make then1 fit for application.
Deciding the Details of Organisation

The legislature provides for the estiiblishment of main units of organisation, like
departments, commissions and corporations for the implementation of various laws.
But the details of internal organisation are to be filled in by the chief executive. Thc
chief executive can nlsu create new administrative agencies or reorganise the existing
ones. T!lc chief exccutive also prescribes, how the operating personnel shall perfor111
certain or all of their duties. Thus the chief executive authorises the structure of the
organisation.
Issuing Directives, Proclamations, Orders etc.

In order to make any decision really meaningful, it is necessary to convert it into
effective action, which the chief exacutive achieves by directing.
The chief executive issues directives, proclamations, orders etc. to make the
administrative activities conform to the statutory provisions, directives, circulars etc.
and t o help in bringing about uniformity in the behaviour of people involved in the
implementation of policies and programmes. The kind and number of directives,
orders etc. issued by the chief executive sets up the tone of the admi~ristration.H e has
to direct the personnel to start or stop o r modify an activity..
Appointment and Removal of Personnel

It is the responsibility of the chief executive to see that the heads of different
departmentsperform their duties sincerely and efficiently. Hence he also has the power
to select the officers. I n almost all the countries the chief executive makes appointments
*

c ~ a c ~ pdnt sOrgantsntions - to higheroffices. In India, all important appointments such as that of State Governors,
Ambassadors, Chief Justice and Judges of the Supreme Court and State High Courts,
the Attorney General, the Chairman and members of the Union Public Service
Commission are made by the chief executive. Recruitment of administrators to other
ranks is made by Public Service Commission on the basis of competitive examinations.
So even where merit system of recruitment normally prevails, key appointments are
made by the chief executive.
In public and private organisations, key appointments are made by the chief executive.
The recruitment of personnel is done under his supervision andwith his due consent.
The chief executive also has the power of dismissal or demotion of public servants, if he
finds it necessary in the interests of administrative efficiency. Dismissals are subject to
certainconstitutional arrangements. In the removal of personnel of the lower cadre he
is guided by the Civil Service Rules.
Coordination of Various Executive Activities

Modern administration consists of various departments, commissions, divisions and
sections each performing a specialised part of the function. In order to create unity in
this huge mass of diversified activities, a very high degree of coordination and
integration is needed. The chief executive has to bring harmony, settle conflicts and
guard against overlapping and duplication in administrative activities. For this, he may
create inter-departmental committees .and other coordinating agencies at various
levels. Thus coordination is one of the most important functions of the chief executive.
It is his foremost duty to see that numerous activities undertaken by several
departments in implementation of a particular policy lead to fulfilment of
administrative goals.
Management of Finance
Jr is the duty of the chief executive to prepare the budget and submit it t o the legislature
for approval. He should make full report regarding past operations and present .
conditions, and to make a statement regarding provisions made for meeting the
revenue and expenditure needs of the government in the future. When the budget gets
its approval by the legislature, it is again the duty of the chief executive to look for its
proper execution and implementation.
Supervise, Control and Investigate the Administrative Operation

The chief executive has to see that the public business is carried on properly. He has to
supervise the work and exercise control over the functioning of various administrative
activities. H e has to check the reports regarding the working of different departments.
He has to issue instructions, 'warn' when the 'work is not being done properly and
'encourage' when it is running smoothly. He can also make enquiries to investigate any
administrative matter and set up investigation committees for the purpose e.g. in India
we have Vigilance commission, Central Bureau of Investigation set up by the central
government. These agencies help the chief executive in his supervisory functions.
Public Relations
Since Public Administration is ultimately responsible to the public, it has always to
keep the people informed about the nature and purpose of its activities. For this reason,
the chief executive functions as the spokesman of the administration by enunciating
public policies and keeping the public informed on important major administrative
decisions and actions from time to time. It is his responsibility to defend the
administration when thereis conflict between administration and public. H e maintains
relations with the press, various interest groups, voters and the legislature.
Maintains a Proper System of Communication

The chief executive maintains a proper communication link between him and other
departments of the organisation. For smooth functioning of any organisation, it is
essential that information passes from superior to the subordinates and vice-versa in an
understandable and clear manner. The chief executive has to facilitate effective
interaction among organisation members to enforce proper communication between
the personnel.

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The chief executive provides leadership in the organisation. He sl~ouldinspire the

entire administrative machinery to work harmoniously for the fulfilment of
organisational goals. He should motivate the personnel and try to inculcate ideas of
hard work, loyalty, quality and high rate of productivity among the people engaged in
implementation of goals. The leader must also carefully assess the feelings, aspirations
and style of working of the personnel. His role as a leader is most crucial in
administration as it affects the entire atmosphere in which administrative machinery
functions. As a leader he must prevent hasty judgments and haphazard actions,
facilitate control, encourage innovative thought and creativity and minimise
uncertainty and cost in the organisation.
32.6 AIDES TO THE CHIEF EXECUTIVE

No Chief Executive can perform the above mentioncd functions all by himself. He
needs help and this help is provided by the organs attached to the office of the chief
executive. According to Mooney, "Always there are too many things to think about,
too many factors to consider, too diversified a knowledge required for solution for the
unaided capacity of one leader to encompass". Thus it is impossible for the chief
executive to work without any assistance. Hence there is the need for delegation of
work and powers.
The chief executive delegates some of his powers to the organs attached tvhis office but
keeps to himself the more important functions arid overall responsibility of the
delegated activities. Delegation, thus, does not interfere with his supreme
responsibilities. Delegation can be of two types, the staff and the line, Staff and line
agencies reduce p;essurt: upon the chief execulive..You will read about the staff and the
line agencies in the next two units, but some discussion is very essential here to describe
the relationship between the chief executive and these agencies. The terms line and
staff are both taken from the military vocabulary. Line refers to the chain of command,
extending from top-ranking officers down to the lowest rank, they implement the
decisions/policies of the chief executive. The staff refers to the service rendered to the
chief executive through advice and counselling. Staff agencies help the chief executive
by providing him with information he needs for decision making
Staff Agencies
According to Mooney, the staff is "an expansion of the personality of the executive. It
means more eyes, more ears and more hands to aid him, informing and carrying out his
plans". Literally, 'staff' means a stick on which you can lean for support, but which can
neither initiate nor decide your movements. Staff always remains in the background. It
makes preparations for executive's decisions, but docs not decide itself.
According to Pfiffner, thrre are three kinds of staff agencies, these are general,
tecllnical and auxiliary. The general staff helps'the chief in general matters by adv~ce,
collection of information and research. It acts like a filter and a funnel asit only lets the
most important matters reach the chief executive keeping back the matters which can
be settled elsewhere in the organisation. The technical staff advises the chief executive
on technical matters. Auxiliary staff performs functions common to various
administrative departments e.g. printing, accounting etc. It prevents duplication of
activities.
, Thus, staff agencies keep the executive duly informed and save his time by ensuring that
matters reach him in a prompt and convenient manner. It supplies the chief executive
with relevant data and fruitful advice and also sees that the decisions taken by the chief
executive are properly implemented. Major staff agencies in India are the Planning
Commission, the Cabinet Secretariat, Cabinet Committees, PM's Office etc. In U.K.
the example of staff agencies are the Cabinet Committees. In U.S.A., the White House
Office, National Security Council are some of the staff agencies.
Line Agencies
It is with the line agencies that the ordinary citizen comes into contqct. These agencies
are concerned with the execution or fulfilment of the primary objectives and functions

Concepts ~nOrganbations -m of the government and deal directly with the people. They provide services to people,
regulate their conduct, implement programmes sanctioned by the legislature, collect
taxes etc.
Line agencies can be of three types-the Departments, Govt. Corporations and
Independent Regulatory Commissions of the U.S.A. In India, we find two types of Line
agencies-Departments and Public Corporations. Major line departments in the Govt.
of Indiaare those of Health, Defence, Education, Railways, Communication etc. The
Damodar Valley Corporation, the Industrial Finance Corporation, the Indian Airlines
Corporation and the Air India International are a few examples of Public Corporations
in India. AH these line agencies help the chief executive in carrying out his decisions and
policies.
'The relationship between the chief executive and the staff and line agencies can be
diagrammatically.shown as:
Chief Executive
I
Line
I I
General Technical Auxiliary

I
Departments Public
1
Independen~
Staff Staff Staff Corporations Regul;~tory
Commissions
Even at the local levels, the staff and line agencjes are there to help and advise the local
executives. If we take the example of a municipal corporation, the city mayor is the
chief executive who is assisted by the deputy mayor. The staff agencies perform
functions with respect to personnel, finance, planning and legal assistance and help the
chief executive. The line agencies help the executive by carrying out functions relating
to health, police, recreation, library etc. Thus staff and line agencies perform various
functions in order to assist the chief executive in executing his policies and decisions.
The functional relationship between the chief executive and staff and line agencies in a
-
municipal corporation can be diagrammatically shown as:
City Mayor-Chief Executive
I
~ e ~ uMayor
t i
P~rsonnelFinance Planning-Legal
-
P~licg
Fire Public Public
7
Recreation Library
L
Health Works
6
,'CheckYour Progress 2-
I

-..-
1) Discuss briefly any two functions of the chief executive.
..........................................................................................................
i 2) Wow d o the staff.agencies help the chief executive in carrying out his functions?
r
.I . . ..........................................................................................................

3) Which one of the following is not a staff agency?

a) Central Secretariat
b ) Planning Commission
c) PM's Office
d) Cabinet Committees
4) Which one of the following is not a line agency?
a) Departments
b) Independent Regulatory Commission
d) National
,
Security
.
Council
32,7 THE INDIAN BEXECUTlVE

Chief Executive in India is the head of administration at respective national, state.
district and local levels. At the Union level, President is the Constitutional or the
nominal chief executivc while the PM as the Head of the cabinet is the 'real' chief-
executive. Administration at this level is helped by secretaries in charge of different
departments like finance, education, commerce etc. At the State level, the Governor is
the constitutional chief executive and Chief Minister (CM) is the real chief executive. In
States the Chief Secretary is the pivot of administration and provides major assistance
to the CM. At the district level, the District Collector (District Magistrate) is the chief
executive. He is the most important functionary in the district. Now we will discuss
about all these executives in some detail:
The Union Executive
The Constitution says that the "executive power of the Union shall be vested in the
President" (Article 53). The President of India is thus the head of the 'executivd power'
of the Union. The various powers that are included within the comprehensive
expression 'executive power' have been classified under the following heads:
a) Administrative power : The execution of the laws and adn~inistrationof the
departments of government,
b) Military power : The command of the armed forces and the conduct of war.
c) Legislative power : The summoning, prorogation, etc., of the legislature, initiation
of and assent to legislation etc.
d) Judicial power : granting of pardons, reprieves etc., to persons convicted of crime.
Despite all these powers, the President of India is only a nominal executive as he has to
exercise his functions with the aid and advice of Council of Ministers headed by Prime
Minister. The PM and his cabinet thus is the real chief executive at the national level.
Thoug;~q-ciden* :-~ l a nominal
y head, he does have some discretionary powers e.g.
ordinance marclnz power and pardoning power. He also has certain special powers
relating to 'UnionTerritories'. Me has the power to give instructions to Governors. Me
has the power to appoint certain commissions for specific matters. He also has special
powers in respect of the administration of Scheduled Areas and Tribes. Thus, even
though he is not the real executive, he is not totally deprived of real powers.
Still it is true that the PM is the keystone of the Cabinet arch. He is the linchpin of the
executive wheel. As Chairman, he presides over the meetings of the Cabinet, prepares
the agenda and guides its deliberations. He allocates portfolios among the ministers.
He communicates to the President about the happenings in and outside the country. He
is the chief spokesman of the the Cabinet in Parliament. He declares its policy. He is
the chief coordinator of Ministries and Departments. Me makes the major
appointments in the name of the President. He represents the country at various
interriationai forums. He is the leader of the nation. H e is the real chief executive and
in all his work is assisted by the Council of Ministers. The Cabinet Committees, the
Cabinet Secretariat and Prime Minister's Office provide siaff support to the chief
executive. They provide the necessary information and material for formulation of
" ..*.

conrepls in Orgnnisntiolls -m policies and also oversee the monitoring and implementation of the decisions of the
chief executive.
At the central level, the chief executive, that is the Prime Minister, is also assisted by
the Cabinet Secretary who keeps the chief executive informed about the agenda of the
cabinet meetings. The work of administration is run by the Secretariat. It assists the
chief executive and ministers in formulation otpoliciespolicies. The Secretariat helps in policy
making, framing rules, exercising of financial control, guiding and directing the
executive agencies in the performance of their tasks gnd in evaluating the work of the
executive agencies. Thus a vast network of agencies both staff and line help the chief
executive at the national level.
The State Executive
Our Constitution provides for a federal government having separate systems of
administration for Unionand its States. A t the head of the executive power of a State
is the Governor, who like the President of India, is a constitutional ruler. We has to act
according to the advice of the Council of Ministers responsible to-the state legislature.
Governor of the State has various powers relating to appointment of judges, members
of State Public Service Commission etc., addressing, summoning, proroguing and
dissolving the state legislature. granting pardons, remissions etc. But all these are not
his real powers as he performs them with the advice of Council of Ministers headed by
the Chief Minister. He also functions under the direction of the President. The Chief
Minister with his Council of Ministers, thus is the real chief executive at the State level
white the Gcrvernor is the nominal chief executive.
At the State level, the political head is the.Chief Minister, but the administration is
headed by the Chief Secretary. He is the kingpin of the State Secretariat. His control
extends to all other departments of the Secretariat. He is the Chief ot the Secretaries.
H e is the head of the civil services in the State. He is the Chief Public Kelatiorls Officer
of the Government. Such an institution does not exist at the central level.
The Chief Secrefary, performs the following functions:
i) He is the principal adviser to the Chief Minister.
ii) He is the Secretary to the Cabinet. He prepares the agenda for the Cabinet
meetings, arranges these meetings, maintains records of proceedings etc.
iii) He exercises general superintendence and cor~trolover the entire Secretaxiat.
iv) He has the authority to make postings, transfers etc. of government personnel.
v) He is the immediate executive superior to each District Callector so far as
development activities are concerned. Thus the Chief Secretary acts as a staff
agency to the Chief Minister.
Execntive at the District Level
The role of chief executive assunses great importance in India at the district level.
District is the basic unit of administration and it is placed under the charge of ;iDistrict
Collector. Thus District Collector is the chief executive in the district. In n way, the
position of District Collector is more important than the other chief executives ;it the
national and State levels as there is no nominal o r political executil~eat fhe district
level. The District Collector is the sole executive and also the real exccutivc. I-fe has
various functions to perform, both political and administrative.
32,8 THE DISTRICT COLLECTOR AS THE

CHIEF EXECUTIVE
It must be cleal by now that the chief executive at the. district level has a very important
role to play. District Collector is the kingpin of administration and all the
administrative powers are vested in him. Becausc of the importance of the District
Collector as the chief executive in the district, it is essential to discuss his role in greater
details.
The functions ofthe Collector are so varied in naturc that it is Impossible t o encompass
them within the framework of this unit. Still some miijor functions of the Collector can
be mentioned here:
i) The Collector is in direct charge of the Revenue Lfepartment in the district. His
revenue functions include the fixation of land revenue and its collectiorl,
iriaintntena3ce of land records and decision in revenue cases.

ii) He maintains law and order by performing the functions as a District'Magistrate
with the assistance of the district police, sometimes the government departments,
educational institutions, representatives of the people etc.
iii) He has to ensure an uninterrupted supply of essential commodities in the district.
iv) He is responsible for proper implementation of various social welfare and aural
development programmes.
v) He is also designated as the District Election Officer for making necessary
arrangements to complete the general election process. He is also responsible for
conducting elections to the local bodies.
vi) He has supervisory powers over sorne of the local bodies like the municipalities,
village panchayats and block samitis etc.
vii) The Collector has to assume charge unde,r unforeseen situations such as natural
calamities and utilise the District machinery to meet the situation.
viii) The Collector tries to secure coordination at the district level in the working of the
various State government departments. He is assisted in his work by the
Sub-Divisional Officer (S.D.O.), Tehsildar, Quanungo, Patwari and Village
Chowkidars.
ix) The District Officer exercises control over field offices through his visits to the
blocks, inspections and meetings with his subordinates. By this he is able to
monitor different programmes and also fix priorities.
Thus the Collector has rightly been called the pivot of district administration. H e
represents the State Government in its totality. Other officers in the district look at him
for support and advice. Citizens too turn to him for redressal of their grievances. He
acts as a buffer between the government and the district administration, between Public
Administration and citizens as well as among citizens themselves. He is the best
example of real Chief Executive in the country. The position he occupies in the district
is shown below:
Collector (District)
I
I
Sub-Divisional Officer (a group of tahsils)
I
I
Tahsildar (Tahsil)
I
~ a i b ~ a h s i l d a r (partsof a tahsil)
~ u a h u n or
~o (a group 6f patwari circles)
Revenue Inspector

-
Note,: i) Use the space below fo; your answers.
ii) Check your answers with those given at the end c~fthe unit-. -
1) Why is the district coIlector called the kingpin of administration at the district level?
............................................................................................................
...........................................................................................................
........................................................................................................
2) Who is the real executive at the state level?
....................*......I..............,,.,. ....................................................

,I .
.
Coacepts in Orgakatlans EI 3) Who is the nominal executive at the national level?
---- --__ -__ _

32.9 CONCLUSION
Today, we witness a gradual and steady growth in the powers of the chief executive. AS
you know, the governmental power is three-fold legislative, judicial and executive.
Lately, there has been q tendency for the executive to gain in power'at the expense of
both the legislature and the judiciary. Drafting and irlitiation of bills has passcd into the
hands of the executive and a s a result the legislature confines itself to consideration of
bills initiated by the executive.
The volume of legislative business has increased, Parliament has no time to examine the
bills in detail, it just provides the outlines and leaves it to the Executive to fill the
necessary details. The executive has thus acquired the power of delegated legislation.
Executive already has supremacy over the judiciary as it has the power to appoint and
transfer judges. Economic planning and the need to monitor plan implzmentstion have
also greatly strengthe~~ed'the powers of the Executive.
Due to Executive's ever growing powers it is necessary that a person with
administrative capability, leadership qualities, even temper, deep knowledge,
intelligence, firmness of purpose, continuous interest in work, energy etc., is selected
as chief executive. The entire development of the country rests on Chief Executive's
shoulders. He has to perform his functions with full zeal and vigour at all he levels in
the country so that the policy goals are realised in time without thc wastage of resources
and efforts.
32.80 LET US SUM UP -.
Thus we see that the chief executive is the person o r persons who head the
administration of a country. Whatever may be thc type of chief executive -single or
plural, presidential orparliarnentary , nominal or rcal or even collegial type he has dual
function to perform i.e. political as well as administrative. Chief Executive is the !lead
of the administration at Union, State and local levels in the country. Public enterprises ,
and private organisations also have chief executives in the form of Chair~nan/Managing
~ i x i c t oas
r their heads. Role of the chief executive is becoming wider and complex
every day. In India at the district level, his role as the District Collector is very crucial
as ha is both nolninal and real chief at the district level and performs varied and multiple
functions. Without the continuous leadership of the chief executive, administration ,
cannot work. I
-- - I
32.11 KEY WORDS
Checks and Balances: Thjs system enables each department to exercise partial control
or c h e ~ k011 the others, Itwas designed to bring about an overall balance and to prevent
the tendency of each branch of government to become irresponsible in its particular
field e.6. law making power of Congress Is checked by U.S. President's veto power and
Supreme Court's power of interpretiilg laws.
Ordinance : The law-making or law-amendii~gpower of tisc PresidentIGovernor when
the legislature is not in session. Such an 0r~linalic.eis oftemporary duratioii and expires
within six weeks from the date of the reassembly of the Legislature r~niesswithdrawn.
Prorogue : Discontinuing meetings of Parliament without dissolving it.
Remission : Reduction of the amount of sentence without changing its character, e.g.
a sentence of imprisonment for one year may be remitted t'u six months.
Reprieve : A stay of t:;iecutlon of a sentence, e.g. pending n proceeding for pardon.
Downloaded from:- Senate :Lowcr House of U .S.Congress
Downloaded Chief Exwutiv-
Separation of from:-
powers : https://t.me/Pdf4Exams https://t.me/Upsc_Zone_Official
It means that three principle functions of government
legislative, executive and judicial should be exercised by different persons or bodies of
persons. All the three branches are independent of each other.
U.S. Congress : The Parliament in the U.S.A.
Veto Power : power of the President to withhold his assent to the bill passed by the
legislature either temporarily or permanently.
-
32.12 SOME USEFUL BOORS
Aiyar, P.R. Krishna, 1988. Public Administration (Chapters 3 4 and 5); Criterion
Publication, New Dcl hi.
Avasthi A. and Maheshwari S.R. 1987. Public Administration (Chapter 8); Laxmi
Narain Agarwal : Agra
Maheshwari, S.R., 1986. Indian Administration (Chapter 31); Orient Longman Ltd.
New Delhi.
Sachdeva, D.R. and sogani Meena, 1980. Public Administratiort (Chapter 6 ) : '
Concepts and Application; Associated Publishing House : New Delhi,
Sharan Parmatma, 1974. Theory and Practice of Public Administration; Meenakshi:
Meerut.
Sharma M.P. Public Administration in Theory and Practice (Chapters 5,6 and 7);
Kitab Mahal : New Delhi.
32.13 AN$ WERS TO CHECK UOlLTR PROGRESS

EXERCISES
1) See Section 32.2
2) See Section 32.3
3) (b)
4) (c)
1) See Section 32.5.2
2) See Section 32.6
3) (a)
4) ( 4
Check /Your Progress 3
1) See Section 32.8
2) See Section 32.7
3) See Section 32.7

UNIT 33 LINE AGENCIES
Structure
Objectives
Introduction
Line Agencies-Features
Government Departments
Bases of Departmentation
Public Corporatiahs
33.5.1 Reasons behind the Rise of Public corporations
33.5.2 Features of Corporations
33.5.3 Distinction between Departmentsand Corporations
Let Us Sum U p
Key Words
Some Useful Books
Answers to Check Your Progr ss Exercises
33.0 OBJECTIVES
After studying this unit you shoulhbe able to:
o define line agencies
o explain the structure and features of government departments
@ explain the bases for the formation of departments
@ describe the features of public corporations; and
distinguish between departments and corporations.
r: 33.11 INTRODUCTION
In Unit 32 you have learnt that the chief executive constitutes the topmost point of the
administrative structure of a government and is helped by some organisations or
agencies in his work. These organisations or administrative agencies are divided into
three categories namely (i) line agencies, (ii) staff agencies, and (iii) auxiliary agencies,
depending upon the nature of work performed by them. Those administrative agencies
e
or units, which directly carry out the function of achieving the very purpose of the
government organisation, make decisions, and direct, supervise and command are
called "line agencies". Those agencies which help, advise and assist the line agencies in
carrying out their work are called "staff agencies" and those which provide common,
house-keeping services to all other agencies arecalled as 'auxiliary agencies'. You have
already read in Unit 32 that the Departments of Health, Defence, Education, Railways,
etc., are examples of 'line' agencies of the government of India. The Planning
~olnmissionand Union Public Service Commission are examples of 'staff' agencies.
This distinction between 'line' and 'staff' agencies was developed first in military
administration. In military, right from the Commander-in-Chief to the soldier w.hoare
directly involved in the military operations are called 'line' units. But there are other
units which supply food, clothing, arms and ammunition, carry on spying operations,
build bridges and~oads,and provide medical and nursing aids, but who do not take part
in actual fighting with the enemy, are called 'staff units'. This distinction of 'line' and
'staff' has been borrowed from military administration and applied usefully in civil or
Public Administration. In this unit we will study two types of the line agencies, i.e.,
Government Departments and Public Corporations. In the next unit we will study the
'staff' and 'auxiliary' agencies,
33.2 LINE AGENCIES-FEATURES

*,
Before we proceed to study the departments and'corporations, let us understand the
meaning of line agencies o r 'line units'. In the Government of India, Ministry of
Railways is a.major Department. Its $rimary function is to run the passenger or goods

trains between different points. Right from the Railway Minister to the enginehttps://t.me/Upsc_Zone_Official
driver
all those who are involved in the running of trains are 'line' agencies. But to carry out
this primary task, it is necessary to build railway stations, recruit the personnel, lay
down and protect the railway tracks, purchase rolling stocks, keep accounts and
perform a number of other activities. These activities are secondary functions and are
carried out by the 'staff' units like Railway Recruitment Board, Railway Training
College, Railway Police Service, Railway Construction Divison, etc. Primary functions
are an end in themselves whereas the secondary functions are the means to achieve the
primary functionslobjectives. Primaly.functions are carried out by 'line' agencies and
secondary ones by 'staff' agencies.
In order to carry out the major primary functions of the Government a number of
departments or administrative agencies are establisircd in every administrative system.
These agencies are called 'line agencies' because they are directly concerned with the
execution or fulfilment of the primary objectives of the Government. 111order to
implement the programmes sanctioned by the legislative authorities they make all
important decisions and issue orders. They are responsible for controlling, regulating,
directing and commanding the administration. They come frequently into direct
contact with the people, deal with the citizens and provide services to the community.
They have the power and authority. The basic responsibility of carrying out the
functions of the Government lies on them. These agencies are, therefore, called 'line'
agencies. Department of Education andaDcpartment of Health, Indian Airlines
Corporation, Life Insurance Corporation, Central Board of Customs and Excise are
some examples of the line agencies of the Government of India. They are directly
responsible for carrying out specific primary objectives of the Government in their own
sphere.
Features of Line Agencies

We have seen that 'line agencies' are those administrative units or organisations which
are directly carrying out the majorlprimary functions of the Government. IIIorder to
understand the concept of line units more clearly let us see what are their salient
features.
Carries Out the Major or Primary Objective of Organisatiorls

Firstly, line agencieslunits are carrying out the major, primary or substantive objectives
for which an organisation is establishecl. For example imparting ed~lcationthrough
teaching is the major function for which any university is established. Teaching
Departments are directly carrying out this objective and therefore, they are the 'line
units' of a University. Rut accounts department, examination department or library are
not directly teaching or ixnparting education and therefore they may be termed as
"staff" or "auxiliary" units and not line units.
Authority to make Decisions
Secondly, line units have the power and authority to make decisions, issue orders and
control, direct and command the administratiori under them. They are in one chain of
command. For example in the Police Department right from the Inspector General of
Poliqe to the police constable all are involved directly, with the maintenanbe uf law and
order. They are all in one line of command. But the Police Training.Collcgeis not a line
unit because it is outside the line of command and therefore, it is a 'staff unit of the
I
Home Department.
, Responsible for Execution of Government Programmes

Thirdly, line units are responsible for the execution of government policies and
I implementation of programmes sanctiorned by the legislative or executive authorities.
Entire policy execution is finally their responsibility. They make decisions, issue orders
and command and direct the administration.
I
Ilireetly in Contact with Penlple
Fourthly, line agencies directly deal with the people, comeinto contact with the citizens
and provide them the.servicese.g. a teacher teaches the students, a policeman protects
I acitizen, a doctor looks after the health of the citizen etc, Similarly in the government,
the Education Depaftment, Healt! Department or Agriculture Department dirkctly
provides services to the concerned ~ e o p l e ,
I

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from:-
Concepts in C~rgnnisations Directly under the control of Chief Executive
~n https://t.me/Pdf4Exams https://t.me/Upsc_Zone_Official
Fiftllly, line agencies are directly under the line of control and supervision of the chief
executive. They are also responsible to the chief executive and to the legislature,
e.g., Head of a Government Department is a Minister who is directly responsible to the
Prime Minister and also to the Parliament. Similarly the Board of Directors of a Public
corporation is directly responsible to the government and Parliament.
In general, there are three types of line agencies which mainly carry out the work of
administration in most countries of the world. They are Government Departments,
Public Corporations and Independent Regulatory Commission (I.R.C.). The I.R.C.
are mainly establislred in America due to its special constitutional set up and political
ideology. The departments and corporations are found everywhere, in India, in U.K.,
in U.S.S.R.andin almost all countries of the world. In the next part of this unit you will
study about the departments and public corporations.
33.3 GOVERNMENT DEPARTMENTS

Dictionary meaning of the word 'department' is 'a part or a portion of a larger whole'.
In admillistration the whole work of n government is divided into. different parts and
carried out through very big units of administration which are called 'departments', For
example, there is a Department of Education, Department of Defence, Department of
Health, etc. Most of the work of the Government is carried out by different
departments. We can, therefore, say that the departments are the most important and
primary units of the administrative system of a country. Generally the departments are
very big. They work directly and immediately under the control of the chief executive.
In all the countries of the world, the major work of a Gavernment is done through
'departments'. It is the oldest system of doing the work of a Government. In ancient
and medieval times also the kings used to divide their work into departments and
entrust each department to different officials e.g. a 'Senapati' incharge of the defence
forces or a6Faujdar'incharge of Police force of a "Khajanchi" incharge of 'Khajana' or
Treasury or 'Bhandarpal' incharge of the 'Bhandar' (stores and supplies work). In
order to effectively carry out the entire work of any government it is necessary that the
work must be divided into different part's or sections. When the work is divided, then
different areas of work have to be carried out by different agencies and therefore,
automatically the departmental system comes into existence. In modern times the work
of the government is increasing and, therefore, the departments are becoming more
and more important as units of administration.
Who establishes a Department?
We have seen that the Departmentsare immediately below and directly responsible to
the chief executive. But the organisation of reorganisation of the Departments is not
always the responsibility of the chief executive. For example, in America the
departments are created and established by the legislature i.e., the Congress; in Russia
the establishment or reorganisation of the departments require an amendment to the
Constitution. But in England and India the chief executive i,e., the Prime Minister can
establish and reorganise the departments as per l~islherwill or convenience,
Types of Departments
All departments are equally important in administration but according to their nature '
of work, size and in'ternal structure they can be divided into different types.
1) Large and Small Departments
On the basis of the size of the departments, we can say that there are some large
departments and some small departments. Department of Railways, Department of
Finance o r Department of Defence are examples of large size departments whereas the
Department of Atomic Energy is a small department.
2) Old and New Departments
In any government, some Departments are very old, that is the Departments which
have been existing for a very long time like the Treasury Department of U.K, or the

Line Agencies
Finance Department in India. But there are some new departments established due to
new activities of the Government like Civil Service Department in U.K. or Human
Resource Development Department in India.
3) Single-Function or Multi-Function Departments
There are some departments which are built around a single compact function like the
Department of Defence or Education. There are other departments which have many
sub-divisions carrying many different functions like the Department of Home Affairs
or the Department of Food, Agricu1tur.e and Cooperation.
4) Operating or Coordinating Departments
Depending upon the nature of work performed, the departments which carry out actual
operational duties, like Postal Department are called Operating Departments; whereas
those departments which have only coordinating duties like Panchayati Raj .
Department or General Administration Department are called 'coo~dinating
departments.'
Similarly there are some departments like the Finance Department which have most of
their work concentrated at the headquarters only whereas there are other departments
like Post and Telegraph Department whicli have to work through subordinate and lield
offices spread all over the country.
Salient Features of the Departments
, . Departmental system is the oldest and most important method of doing the government
work. For thousands of years most of the work of the governr~lentis done by the
departments only. Following are the important features of a Government Department.
Generally, the departments are the largest units of administration.
@ Departments are oldest and most traditional units of administration.
e Departments are just below the chief executive in the administrative hierarchy.
Departments are directly responsible to the chief executive or the nearest to him.
Each department is under tht: direct control and supervision of the head of tlie
department, who is incharge of the day-to-day administration of his department. In
India, each department is under the co~itrolof a Minister, who is appointed by and
responsible to the Prime Minister.
Departments are responsible to both the Executive and Legislature. Its day-to-day
administration is controlled by a Minister and its policies are decided by the Cabinet
and Parliament. Thus through the Parliament, the departmental administration is
responsible and answerable to tlie people.
In the Departments, the head of the department is a Minister (politician) who represents
the will of the people. Below him there are civil servants who are experts and
experienced administrators. They have to carry out the decisions and orders. Thus in
the departments politicians and civil servants jointly carry out the administration of the
country. In a department there is both popular public control over administration as
well as control is by trained, skilled and specialist civil servants. But these clements are
very well combined in a department.
Departmental system is simple, convenient and easy to understand for tlie common
people. It also ensure public control over administration. Therefore, most of the
countries prefer departmental system of administration only.
33.4 BASES OF DEPARTMENTATION

We have seen that departments arc the largest, oldest and most important units of
administration through which most of the work of the government is carried out. Let us
now study how a department is formed and what the bases or principles of the
formation of deparfments are.
In order to carry out the administration efficiently it is necessary to divide the work of
government. Greek philosopher ~ r i s t o t l ehad suggested two alternatives for division
Concepts in Organisntiom - EI of work namely, according to, persons or classes and accordirigto services to be ,
provided.
According to Luther Gulick, in the modern times we can observe that there are four
principles or bases of the formation of departments about which you have read in some
earlier units. They are purpose, process, persons and place. Luther Gulick calls it "4
P" formula. We will discuss about each in brief.
purpose
In many countries a department is formed for a particular purpose or function of the
government. There are many functions which the governments have to perform. These
functions have to be identified and for each function a separate department is
established. For example 'to defend the country', a DefenceDepartment is established,
to look after the health of the people, a separate Health Department is established and
to provide education to the people' an Education Department is established. In many
countries maximum number of departments are established on the basis of purpose
only. It is the easiest and most common and efficient principle of the formation of
departments. It avoids dupIication and overlapping of work and it is simple to
understand. Common citizens can easily say which work is being done by which
Department if they are formed for specific purpose and for perfor~ningspecific
functions.
Process
Process means a technique or skill or a profession of a specialiscd nature. For example
accounting, typing, stenography, engineering, legal advice etc. are some of the
processes which are commonly needed in all government organisations. All
organisations need typing and stenography, buildings, legal advice, or accounting.
These processes cut across all departments and other government agencies. In some
countries, therefore, separate departments are established on the basis of different
processes. For example a Law Department, or a Public Works Department, or an,
Accounts ~ e ~ & t r n eisn established
t which can serve all the other departments and
fulfil their specialised needs. But there are only a few departments which are based on
'process' If the departments are established on the basis of process then, specialisat ion
and uptodate,technical skill can be made available to all, thcre will be maximum
economy and better coordination and uniformity in administration. At the same time
there would be arrogance and superiority complex and narrow mindedrless amongst the
staff of the process-based departments. In any case there are few departments which
are formed on the basis of 'process' in all countries.
Persons
In every society there are some persons or groups which hsrve special and distinct
problems and they need some special services. For example there are refugees, tribals,
scheduled castes and backward classes, handicapped people or pensioners etc. In some
countries a few government departments are specially established for looking after all
the problems of some specific group or persons, The Rehabilitation Department,
Tribal Welfare Department, Pensioner's Department or Social Welfare Department,
Labour Department etc. are examplesof those departments which are established on
the basis of 'persons'. It becomes very easy and simple for the concerned group or
persons to approach such departments and these departments cap also efficiently
provide all types of services to them in a systematic and coordinated way, But due to
the establisl~mento~specialdepartments far special group of people these groups
develop vested interests in them and work as a 'pressure group' in administration. In
.many countries a few departments are, however, created on the basis of groups or
persons.
Place
In every country there is some area, territory or regioh which needs some special
attention, some specific service from the government because there are some specific
ordistinct problems of each such area or place. Therefore special area o r place is taken
as basis of formation of a department for that particular area. The bcst example of such
a Department before Independence was the 'Department of Indian Affairs' in the
British Government. And even now there is a department dealing with Scotland,
another dealing with Ireland in Britain. Foreign Affairs Department of the
Government of India is one example of such departments. Many of the departments are
'
divided into divisions which look after different geographical areas or regions. For

example the Railway Department has several regional divisions like Western Railway, Line Ageneles
Central Railway, Southern Railway, South Central Railway etc. In India we have very
few departments created for some specific area or place.
We have thus seen that there are four principles or bases namely purpose, process,
persons or place, which are used for establishment of departments. Each one of the
principles has some advantages and disadvantages. The natural question which arises is
that which basis should be considered as the best for formation of a department? It is
very difficult to give an answer to this question. In fact, the departments are not formed
on any one single principle. All the four principles are used in the formation of
departments. Keeping in view administrative convenience, socio-economic and
political conditions, the departments are established by making use of all the four
principles of departmentalisation. No one principle is the best. All the four bases ape
. .complementary . . . . . .to
. . . .each
. . . . . . . .other and all are used in all the countries for the formation*o,f
. .
departments.
..- ,.
Check Your
-. ...- -.-_.
Progress 1
_*. .*.,.. . . . . . .
,"
. . .....
.....
1 Explain the terms 'line' and 'staff'
2 What are the features of line agencies?
...................................................................................................
3 What are the features of departments?
I ...................................:.........................:.............................................
4 Law Department is based onwhich of the following 4 Ps.
i) Purpose
ii) 'place L
iii) Process
iv) Persons , > . ,I 23
\ -
33.5 PUBLIC CORPORATIONS

Public Corporation is the second type of line agencies. We have seen that departments
are the oldest, largest and most popular units of administration throughout the world.
But when the departments are not useful for the execution of many new functions of
the modern governments then corporations are created. In recent years modern
governments have to undertake many economic, financial and commercial functions.
Departments are not suitable to carry out such new functions and, therefore, public
corporations are established in many countries. Public Corporations are insfitutional
inventions of the 20th century. The necessities and complexities of the modern age has
given birth to public corporations. Let us see why public corporations have become
necessary.
33.5.1 Reasons behind the Rise of Public Corporation$
Increase in Welfare Functions of the State
The modern state is welfare state. They have to look after the welfare of all the people.
State has to work in all aspects of human life, political, social and economic. As a result
the welfare functions of modern state have tremendously increased. All the functions
cannot to carried out by the departments. New administrative institutions have to be
created to carry out new functions. Therefore public corporation are established for
some special purposes.
Result of X~ldustrialisation
In modern times industrialisation and urbanisation is rapidly taking place. Even in our
own country we see that new industries are coming up in places around us and cities arc
growing at rapid speed. In such a situation it becomes necessary for the government to
regulate the industries and business. Sometimes the state has to take up some of them
directly into its own hands. This is done to provide good services to the people at
reasonable prices. For such business and industrial activities the Public Corporations
are established. Both for the development of industries and also for running the
government industries the public corporations like Industrial Finance Corporation or
Industries Development Corporation etc, are established.
To provide Basic Services to the People
In all the countries governments have to provide some basic services to the people at
reasonable prices. One example is that of bus service. This basic lransport service is
taken up by the government for the benefit of the people. This function of running a
transport system requires businessskill, flexibility and quick decision making. For such
functions public corporations are established. We have Road Transport Corporations
in all the states like Maharashtra State Road Transport Corporation or Andhra Pradesh
State Road Transport Corporation etc. We also have Electricity Supply Corporations
in many states.
Due to Nationalisation
If some business or industry isnot working in the public interest then, government takes
over its ownership. This is Nationalisation. Nationalisation is considered as a step
towards socialism. Our objective is to have a socialistic pattern of society. Insurance
Business, Air Services etc. were nationalised by Prime Minister Jawaharlal Nehru
and the Banks were nationalised by Mrs. Indira Gandhi. h order to run these
nationalised industries or business Public Corporations like Life Insurance
Corporation, Air India and Indian Airlines Corporation itc. have been established.
We have seen that modern governments have to undertake new, economic,
commercial or industrial functions for the welfare and service of the common people.
Many times industries are nationalised and run by the government. Government
departments are not suitable for carrying,oyt these new functions. Because these
functions should be run like it is run by a businessman or an industrialist. It requires
business skill, quick decision making, flexibility and autonomy. These things are not
possible in a departmental system. Therefore public corporations are established.
Corporations can run these functions better, because they have altogether a different
structure from the departments. They have more freedom in decision making and more
flexibility in the day-to-day working than the departments. Let us now try to understand
the origin and salient features of the public corporations.

Origin of Public Corporations
A Public Corporation is normally established when government undertakes business
industries or commerce. A public corporation is owned by the government. Its
management is like a private corporation. Only difference is that a private corporation
is owned by private shareholders whereas public corporatiorls are owned by the
government. In fact the idea of pubIic corporation has been boaroaved by the successful
working of privately owned corporations only. In private corporations money is
invested by shareholders and individuals but the management is done by a Board of
Directors. This Board is elected by the shareholders and it is the responsibility of the
Board to manage the corporation effectively, make day-to-day decisions and earn
profit for the shareholders. It is ultimatelyresponsible to the shareholders and it has to
submit annual reports to them. But in the day-to-day administration of the corporation
the Board has a lot of freedom. Shareholders do not interfere in the daily routine work
of the Board. This is known as autonomy of the Board of Directors. In western
countries the private corporations are very successful in doing thc busincss. Therefore,
this idea was taken up by the governments of western countries, when they wanted to
undertake business type gf functians. Public Corporations first came into existence in
England and then thcy were established in other European countries. When
government of India nationalised Life Insurance business, it established the Lik
Insurance Corporation. Similarly Indian Airlines Corporation, Food Corporation of
India, Da~nodarVallcy Corporation, Industrial Finance Corporation, Central
Warehousing Corporation and a number ofother Corporations were established. State
governments have also established corporations for a number of activities like Road
'Transport, Industrial Development, Electricity Supply, Development of tribals and
backward classes and backward regions etc. For example in Maharashtra, there are as
many as 27 public corporations, they are established from time to tims by the state
government.
33.5.2 Features of Corporations

We have seen that today there are many public corporations established by central and
state governments in our country. Let us try to understand the special features of the
public corporations which make it so useful for business type of functions of the
government.
I
Qwnership of Government
Public Corporations are owned by the government, which invests mqney and
establishes them for some specific purpose. Money invested in public corporation is
public money. That is why they arc called 'public corporations'.
Management by a Board
Each public corporation is managed b, a Board of Directors. The Chairman and
members of the Board are appoilited by the government. The Board is respolisible for
the day-to-day m a n a g h e n t of the corporation. It makes the routine decisions and
implements those decisions. It has autonomy in the day-to-day administration, but the
broad policy directions are given by the government from time to time. Board has
freedom within those broad policy directives. It has to submit annual reports, audited
accounts etc. to the government. Board is thus responsible to the government and
Parliament. We can say that indirectly the Management Board is responsible to the
people because the money invested in the corporations is public money. But ordinary
citizens or the governmelit do not interfere in the day-to-day functioning of thc public
corporations. It is the responsibility of the Board of Directors only.
Estabia'shed by Lzw
Public Corporations are established by law or statute passed by Parliament or
Legislature. Thc purpose of the corporation, composition of the Board of Directors,
their number, tenure, Fowers and responsibilities etc. are all laid down in the law. In
order w make any change in them it is necessary to amend the law. Each corpora ti or^
has a separate law and is governed strictly by the provisions of that Iaw.
Has a 'Corporate Status'
Each Public Corporation has a 'corporate status'. It means, in the eyes of law, a
corporation has a status like an ind~vidual.It can hold and dispose off property. Xt can

.
~hneeptsin ~ r g ~ l ~ i s a t i o m
ns enter into contract with any other agency or person. It can sue (file a case against)
anybody or can be sued by anybody. Although a public corporation is an administrative
agency of the government but in the eyes of law it has an independent status like a
citizen, This is called 'corporate status' of the public corporation. Because of this a
corporation owns property in its own name and not in the name of the government. In
courts, a case can be filed against the corporation and not against the government.
Created fur Specific Purpose
~ a c public
h Corporation is established by a separate law for some specific purpose. It
cannot do anything else. It is limited by the law. For example Life Insurance
, Corporation (L.I.C.) can take the insurance of the life of an individual but camot
undertake the insurance of property or vehicles etc: The L.I.C. Act itself prelrents i t
from doing So.
Has Financial Autonomy
Autonomy means freedom in-a limited sphere. A Public Corporation has autonomy in
the financial matters. It can raise funds, invest them in the manner in which it wants,
purchase and sellgoods and property, make contracts etc. The strict government rules
and regulations are not applicable to public corporations. In matters 1ilr.t: expenditure,
accou~tting,budgeting, audit etc. the publiccorporations have autonorny. Government
laws and rules are normally not applicable to them. But bkoad policies of the
government are binding orbthem in this matter.
Has Autonomy Regarding the Staff
Noi-mally the servants of the public corporation are not civil servants. Thcy arc
recruited by the corporation and not by the Public Service Commissions. Their pay scale
and conditions of sewice are different from those of the government servants. They,
. however, have to follow certain broad policy guidelines (e.g, regarding 'reservation
policy' etc.) issued by the Government. Otherwise public corporations enjoy freedom
in the matter of personnel (staff).
Autonomy in day-to-day Management

We have seen earlier that the public corporations are managed by a Boarcl of Directors.
This Board has autonomy in day-to-day management. Government issues only some
policy guidelines. It does not interfere in daily routine matters of management. This
freedom of operation is very important for the successful working of the corporations.
Rigid and unsuitable government regulations and cont'rol are not applicable to the
public corporations in their day-to-day working. This freedom is necessary to run a
business-type of activity.
Accountable to Government
It is true that public corporations have financial, personnel and managerial autonomy
but at the same time they are responsible and accountable to the government. They
have to work according to policy guidelinesgiven by the government from time to time.
They have to submit the annual report and other documents to the government. Board
members are appointed by the government and they can also be removed by the
government. Also in some matters, approval of government is necessary. Thus we can
say that public corporations are accountable to the government.
Responsible to Parliament/Legislature
Public Corporations are created by law. They have to work according to the provisions
of the law. There are discussions on the working of these corporations in the
Parliament. Members of Parliament may ask questions about them and the concerned
minister has to give answers to them. Annual reports of the corporations are submitted
I
to the Parliament. Parliamentary Committee on Public Undertakings can enquire
about the working of the publiccorporations. We can thus say that public corporations
are responsible to Parliament/Legislature also.
In conclusion we can say that the idea of public corporation is borrowcd from private
business corporations. The only difference is that in private corporations the moncy is
invested by the shareholders but in public corporations money is invested by the
government. Government is the owner of public corporations. Its management is not
carried out by a ministeror politician. For this purpose, an indepentlent Board of Directors
--
is appointed. from:-
This board has a Chairman, Managing Director and other full-time and 1.lne Agencies
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part-time members, who have expert knowledge and experience in that particular field.
The board is non-political in character. The powers, functions and responsibilities of
the corporation are laid down in law. Corporations work strictly according to the
provisions of the law. They have financial, personnel and day-to-day managerial
autonomy. At the same time they are responsible and accountable to the government
and Parliament. In the words of American President Franklin D. Roosevelt, "Belblic
Corporation is clothed with the power of government but possess.ed by the flexibility
and initiative of a private enterprise". Thus in the public corporatioll there is a
combination of business flexibility and public responsibility. This , i ! j the best form to
adopt when government wants to enter into the field of business.
Some Problems of Public Corporations

Public Corporation is the best agency when Government wants to do business because,
it has freedom in financial, personnel and operational spheres, it has business flexibility
and efficiency and it is free from direct political control and interference. At the same
time it has limitations imposed by the law and policy guidelines of the govern~nent.
These limitations are:
i) In the working of the organisations it becomes difficult to draw a clear line between
the general policy and day-to-day policies. As a result there is too much
governmental interference in the day-to-day matters of corporations. This leads to
conflict between the government and the public corporations.
ii) Another problem is how to have a balance between autononly and rcsponsibility.
If too much freedom is given to corporations, tlicn they can get out of control. If
there is too much control, they cannot function effectively. Thus a balance between
freedom and control is necessary.
iii) Public Corporations are useful only for the functions like business, banking,
transport, credit, financing etc. But it is not useful for traditional governmental
functions of defence, law and order, justice etc., for these only departments are
useful.
iv) There are no well knit schemes of incentives and disincentives in public
corporations, so managerial motivation is very weak, this ilclverselyeffects the work
in corporations.
33.5.3 ~istinetioibetween Departments and Corporations

So far in this unit we have studied government departme,nts and public corporations.
Let us now make a distinction between thc ilepartments and corporations. 130th of
them are line agencies of thc government but they arc different in many ways.
DEPARTMENTS CORPORATIONS
1. Department is headed by a Minister, 1. A Corporation is headed by a Board of
who is a politician. H e is assisted by one Directors, who are experts in their
or more Deputy Ministers. fields.
2. In a department both policies and day- 2. In a Corporation general policies are
ta-day administration is the responsi- determined by the Government and
bility of the Minister. routine day-to-day matters are decided
by the Board of Directors.
3. Departments have strict financial control 3. Corporations have financial autonon~y.
over tliem.
4. Departmental staff is recruited by Public 4. Corporations have autonomy in the
Service Commission and governed by personnel matters and have their own
strict rules, reglitations of the rules and regulations regarding the
government. staff matters.
5 . In the department system, usually 5 . In corporation system there is scope for
routine procedures of administration are experimentation and there is flexibility
followed. There is no scope for experi- in making decisions.
mentation and there is no flexibility.
6 . Departments are large, traditional 6 . Corporations are useful for new
organisations useful for routine govern- economic and commercial functions of
ment functions. the government.

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7. There is no political control'and less
departments through the Minister. political interference in public
; corporations.
Thus we have seen some of the differences between governmeot departments and
publiccorporations. Both of them are the line agencies of the government. It is true that
most of the major functions of the government are carried out by the departments and
only those functions which require business skills, commercial efficiency a n d freedom
from political interference are entrusted to public corporations. But in modern times
the number of public corporations is rapidly increasing.
.*
.Check Your Progress 2

1 What factors led t o the establishment of corporations?
2 What are the salient features of cbrporation

....................
...-...w ......(........................
3 What factors distinguisll corporations from departments?

...........................................................................................................

LFc Agendea
33.6 LET US SUM UP
Formal organisations are divided into line and staff agencies. In this unit you examined
the definitions and features of line agencies, features of government departments and
the bases of their formation. You have also studied the need and significance of
corporations, their features and the distinction between departments and corporations.
In the next unit you will study about staff agencies.
33.7 KEY WORDS

Audit : It means to ensure that in the process of spending government funds, all rules
and regulations which govern expenditure are adhered to. To see that expenditure has
been ihcurred by the authority which is empowered to incur it.
Autonomy : Management of a Public Undertaking having full charge and authority to
run the enrerprise.on sound business practices and commercial principles, to take
decisions independently without any interference by the government.
Independent Regulatory Commission (I.R.C.) : The I.R.C. is a peculiarly American
variety of administrative unit born of the special constitutional set-up of the U.S.A.
These are co~npletelyindependent of the chief executive, that is, the President, they
perform administrative, quasi-judicial and quasi-legislative functions e.g. Inter State
Commerce Commission, Federal Trade Commission etc.
3378 SOME USEFUL BOOKS

Avasthi, A. and Maheshwari, S.R., 1984. Public Administration; Laxmi Nqrain
Agarwal: Agra.
Dimock, M.E., and Dimock, G.O., 1975. Public Administration; Oxford and IBH
Publishing Co. : New Delhi.
Pfiffner, J.M., and Sherwood, F., 1968. Administrative Organisation; Oxford 11314.
Publishing Company : New Delhi.
33.9 ANS.WERSTO CHECK YOUR PROGRESS .

- EXE~CISES
, 1 See Sec. 33.1
!\ 2 See Sec. 33.2
, '. 3 See Sec. 33.3
4 (iii)
Check.YourProgress 2
1 See Sub-Sec. 33.5.1
2 See Sub-Sec. 33S.2

UMT 34 STAFF AND AUXILZARY AGENCIES
Structure
34.0 Objectives
34.1 Introduction
34.2 Meaning and Importance
34.3 Salient Features of the Staff Agencies
34.4 Functions of Staff Agencies
34.5 Types of Staff Agencies
34.6 Auxiliary Agencies
34.6.1 Salient Features of Auxilia:y Agencies
34.6.2 Distinction between Staff and Auxiliary Agencies
34.7 Let U s Sum Up
34.8 Key Words
34.10 Answers t o Check Your Progress gxercises
34.0 OBJECTIVES
e explain the meaning, importance and role of staff and auxiliary agencies
e describe the features, functions and types of staff agencies; and
@ distinguish between line, staff and auxiliary agencies.
34.1 INTRODUCTION -
As you read in Unit 33, in any country the chief executive constitutes the highest point
of the administrative structure. H e has to run the administration, but he alone cannot
do all the work. H e needs help. Under every chief executive there are many
administrative units and agencies. These agencies are the line and the staff. The: line
workis the function of authority and command and'staff' work is the function of help,
advice and counsel. Those units which are doing line work are called 'line agencies' and
those doing the staff work are called 'staff agencies'. There are third type of agencies
also. They provide common house-keeping services to all other agencies. They a r e
called as 'auxiliary' agencies. In previous Unit we have studied about the line age:ncies
like government departments and public corporalions. In this unit we will study about
the 'staff' and 'auxiliary' agencies.
34.2 I41EANING AND IMPORTANCE

We know that in modem times the functions of administration have increased
tremendously. Administration has b e c ~ m ea very complex and complicated activity.
The number of administrative agencies has increased. At the same time the size of I he
administrative organisations has also become very large. Due t o all these factars it haas
become very difficult for the chief executive to carry out his work all alone. He has sts
mahy things to do; so many decisions to make; so many letters t o reply; and so many
visitors t o meet. Thus he is over-burden$d. He has no time. He needs advice and
assistance. He needs relevant and up-to-date information without which he cannot
function. Those individuals, officers o r units which provide help, assistance, advice a n d
information to the 'chief executive' are called 'staff agencies'.
Like the chief executive other executives also need the help, advice and assistance of
the staff. In the previous unit, we have studied the line agencies working directly under
the chief executive like the government departments and public corporations. We
know that these line agencies carry out the actual executive work and exercise the
authority and command on behalf of the chief executive. There are ministers in charge

of the departments and members of the Board of Directors of the public corporations. StaB and Auxillnry Agencles
They are the executives of the line agencies who exercise the authority, make decisions
and run the administration. These executives, ministers, directors and Inantigers also /
cannot carry out all their functions without the help, advice and assistance of the "staff
agencies".
We can thus say that all~executivesincluding the chief executive, carrying out tlie,line
functions need the seririces of the 'staff'. Without the help'of the staff, no line agerncy
can function efficiently and no executive can perform all his functions on his own. So
'staff units' perform very important role in administration.
Ilistinction Between 'Line' and 'Staff'

The distinction between 'line' and 'staff' units was first developed in military
administration. We read in the previous unit that there are some units in the army which
actually fight in war. Right from the Chief Commander to the soldier, they are all in one
line of command and under one authority. The Chief Commander, the general, the
brigadier, the major, the captain, the platoon commander, the: subhedars etc., in this
chain of command are called 'line' officers and the units under their control arc called
as 'line' units in military administration.
But can the line units fight a war without regular supply of food, water, clothing, arms
and ammunitions? Can they proceed unless pr'operroads and bridges are built on their
way? Can they go ahead without medical and nursing aids? Can a Chief Commander
make decisions unless all the maps of the war-front and thc other relevant information
are made available to him? In military, there are those units which supply food,
clothing, arms and ammunitions, medical and nursing aids; units which carry on spying
operations; units which build and repair roads and bridges; units which prepare maps
of the war-front areas; units which keep all relevant and up-to-date information of the
war-front ready for the use of military commanders. These units do not lake part i n
actual fighting with the enemy on the war-front. Theirwork issecondary in nature and
is carried out behind the scene. But without their work the 'line units' of the army
cannot fight. They are called 'staff units' in the military and their function is called 'staff'
function. This distinction between 'line' and 'staff' units has been borrowed from
military administration and usefully applied to Public Administration. Let us now
understand what is meant by the 'staff' units in Public Administration.
Meaning of Staff Units in Administration

The dictionary meaning of the term 'staff' clearly explains the nature of the staff units.
Literally, 'staff' means "a wooden stick carried in the hatzd on whiclz one cart lean for
support". It cannot make movements on its own. It can move only if you and your hand
want it to move. It cannot initiate your movement but if you decide to move, the stick
in your hand will give you support and take you wherever you want to go. This exactly
is the role of the 'staff units' in the administrative structure of a country
Another relevant dictionary meaning of the word 'staff' is "a body of officers attached
to a commanding officer to help him in his work".This makes it very clear that the
'staff' function is a supportive and helping function. The 'staff' units perform the
,secondary function and not the primary function in the administration. The primary
'line functions are performed by the 'line' units and executive agencies, In order to carry
out their functions the executives need help, assistance, advice, counsel, support,
infolmation and statistics etc. 'staff agencies' or staff officers provide all these services
to them.
The above description may give you an impression that in Public Admiriistration the
'line' functions are more important than the 'staff functions and you may conclude that .
. the 'line units' are more important than the 'staff units'. But this is not true. Both are
equally important in administration and are complementary to each other. Line units
have authority and power to make decisions, issue orders and command the
administrative organisations. But they cannot work without the help and advice of the
'staff'. Staff units have no authority and power but they have the 'influence' and 'advice' '
which is equally important. For example the Prime Minister is the chief executive in our
country. There is a staff agency called the Prime Minister's Secretariat which gives help,
assistance and advice t o him in all his activities. Prime Minister exercises the power and
authority but in this work Prime Minister's Secretariat plays a very important role.

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Today this Prime Minister's Secretariat, which is a staff agency; equipped with a wide
range of expertise has a lot of influence and importancedn our administration.
Similarly, the Union Public Service Commission (U .P.S.C.) advises the Government
on the [matters relating to the civil services and makes many useful recommendations,
The government has the 'authority' to accept or reject them. But in actual practice we
know that: the U.P.S.C. has a lot of 'influence' in personnel matters and all its
recommendations are normally accepted by the Government. Thus we can say that the
staff agencies have no authority but certainly have the 'influence'.
34.3 SALIENT FEATURES

. . OF' THE STAFF AGENCIES
We have so far, studied the meaning and importance of the staff agencies. In order to
understand the concept of staff agencies more clearly, let us try to see what are their
salient features.
1) Staff Agencies perform 'Secondary' functions in Administration

In all countries the line agencies perform the 'primary' function? and the staff agencies
perform the 'secondary' functions. Their role is support.iveand qdvisory in nature. We
have seen that in the army 'line units' fight and the 'staff units' help in fighting; the 'line
units' carry out the administration and the 'staff units' help them in carrying out the
administration. 'St:tff' is like a stick which can help you in walking but which cannot
walk on its own. Line function is an 'end' in itself but the staff function is a 'means' to
achieve an end. Both the primary and secondary functions are important in
admillistration.
2) Staff Agencies do not exercise authority and command

The very nature of the staff agencies is such that they do not have authority and power.
They do not make decisions and issue commands. These are the functions of the 'line'.
'Staff helps the line in the exercise of the power and authority. The staff advises the 'line'
in making decisions. It has some 'influence' and not authority. But in some cases the
'advice' of the,staff is considered as very significant. It becomes compulsory to accept
that advice. Suppose a person is seriously ill, he goes to a doctor. Doctor advises him
to take a particular medicine. In such a case it becomes compulsory for the patient to
take the medicine advised by the doctor. Here the doctor does not have authority but
has a lot of influence. Similarly, the staff also has influence and not authority.
\
3) Staff Agencies do not have executive responsibilities

In administration the chief executive, the Ministers and the executive heads have the
responsibility of carrying out the administration. 'Staff' agencies are there to help and
I
assist them in their work, They remain behind the scene. They are not directly
.# . responsible for the executive work. If the government succeeds, the credit goes to the
Prime Minister, if it fails the blame goes on him. He is held responsible. No staff unit
can be held responsible for the success or failure of administration or government.
I
I
' 4) Shff Agencies do not directly deal with the people

The line agencies directly deaI with people and serve the community. The staff
agencies provide services to the line agencies and not to the people.. They help, assist
and advise the line agencies but they remain behind the scene. They remain anonymous
and in the background. In some cases the staff agencies perform some delegated
functions and come into contact with the people on behalf of the chief executive. Even
in such a case the 'staff' is responsibIe to the chief executive and not directly to the
people.
5) Stair Units are attached to Line Units at all levels outside the line of command
In any administrative structure the line of command and authority runs downwards
'
from the chief executive to the heads of departments (Ministers) to the executive heads
of different divisions, sections.. . etc., and so on. Staff agencies are located outside this
line of command. They are attached to different line units at different levels in the line
of authority. They are like the sidings at a Railway Station to the main rail track. But ' strlrd~ux~uy~gclrks
sometimes a 'Staff' officer may be a part of the line unit like the secretary of the Home
Department is an adviser to the Home Minister.
34.4 FUNCTIONS OF STAFF AGENCIES

So far we have seen that the staff agencies play a very important role in the
administrative system of a country. Line agencies and executive heads cannot function
without the suppok and assistance of the staff agencies. In different countries different '
staff units perform different types of functions. Let us now try to understand and
identify the major functions of the staff agencies.
Assistance Function
The most important function of the staff agencies is to assist, help and support the c b i f
executive and other line agencies in carrying out their work. They work on behalf of:the
chief executives and reduce their burden, relieve them from the routine matters and
save their energy and time for important matters. White House Office in America or
prime Minister's Secretariat in India are predominantly doing this assistance function.
These staff agencies work as additional ears, eyes and hands of the chief executive.
he^ serve as the 'filter and funnel' for them. They issue press notes, write letters,
maintain diaries, channel visitors and perform several other functions to help the
executive.
Information Function
Another major function of the 'staff' is to provide to the line agencies all relevant
information,.w.cessaryfor making decisiojns.Staff has to collect, preserve and provide
up-to-date information and data. Col1e;ction of information involves research, study,
enquiry and surveys etc. The information collected has to be digested, summarised and
presented to the concerned 'line' officer in a suitable form. Suitable and relevant
statistical data has also to be kept up-to-date and supplied whenever required. Bureau
of Statistics, Establishment Unit, 0 & MDivision are engaged in this type'offunction.
Advisory Function
In addition to providing relevant information and data necessary for making a decision,
the 'staff' also has to advise the chief executive and line agencies. They have to place
tbeir opinion before the Minister or chief executive. This advice may be accepted or
rejected by the concerned 'line' officer. But consultation and counsel of the 'staff is
taken before making a final decision. Secretary of a department gives his advice and
counsel to his Minister. On matters of planning, the Planning Commission gives advice
to the Government. Advising and consultation are the important functions of all 'staff'
agencies.
Supervisory Function ,
Once a decision is taken by the chief executive it is the function of the 'staff' to
communicate it to the other related line agencies and to see that the decision is
implemented by them. The staff units have to explain the decision, remove the
difficulties in its implementation and supervise their work on behalf of the chief
executive. They have to plan and coordinate their work, maintain contacts with all
related agencies and help the chief executive in his task. The Cabinet Secretariat
perfotms this supervisory function in India.
Delegated Functions
'
Sometimes the chief executive delegates some authority to a staff agency. In that case
that staff agency performs delegated functions'on behalf of the chief executive within
clear and defined limits. For example a Press Secretary of the Prime Minister issues
. press notes on behalf of the PMorthe Bureau of Budget prepares the budget on behalf
of the American President or the Union Public Service Commission conducts the
competitive examinations for the recruitment of the civil servants, on behalf of the * .
.Government of India. Thus, sometimes, the staff exercises$elegated authority on
behalf of the line agencies andperform <;legated ftta#ibns.
r . .
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Cbucepts k C k g g n h t t ~ m
~ Check Your Progress 1
I Note: j) Use the space below for your answers.

1 What do you understand by staff agencies?
2 ,What is the importance of staff functions in administration?

. 4
3 What are the feature? of staff agencies?
4 Explain any two important functions of staff agencies.

I
- 5 Which one of the following is not a function of staff agencies?

i) Advising the chief executive
ii) Collecting information, data, etc. for the executive
iii) Directly carryiig m t the wdrks of administration
iv) Acting as filter and funnel for the-executive { .
-. --
- Staff m ~ dAuxiliary Agencies

34.5 TYPES OF STAFF AGENCIES
In general there are three types of staff services or agencies. They are:
I) General staff
2) Technical staff
3) Auxiliary staff
General Staff
The chief executive needs the advice and assistance of a 'general' nature. For example
there ire hundreds of letters which come to him. He has no time to read them all and
send replies. I-Iis assistants will do this work for him. Only the most important letters
will be placed on his table. He has to deliver so many speeches. His assistants prepare
the texts of his lectures. He has to meet so many visitors. His assistants act as 'filter and
funnel' in this matter. Thus they save his time and energy for important matters and
reduce his burden. All this work is of 'general' nature. Those who do this are called
'general staff'. The Prime Minister's Secretariat in India and the White House Office in
America provide the examples of the 'general staff'. Even the permanent secretary of
a Government Department, who advises the Minister is generally a generalist and
experienced administrator. His advice is also of a 'general' nature. For his minister he
performs the functions of the 'general staff'. The members of thc 'general staff'
gene;ally are persons with adminis'trative,training and experience. They are not
technical experts. But thcy can give 'general staff' assistance and advice the chief
executive.
Technical Staff
The chief executives and all other executives need technical advice in several matters
because decision making requites perfect technical knowledge of the related field.
'Generalist staff'working under them do not have technical knowledge. Therefore
services of the technical staff which consists of experts and specialists like engineers,
doctors, financial experts, economists, planners, architects etc. are required. This
'technical staff' advises the chief executive in technical matters of their field of
specialisation.On behalf of the chief execiitive they also exercise technical supervision
over the agencies working in their field. If an atomic energy plant is to be established,
a hydro-electric dam is to be built or an aeroplane factory is to be establisl~ed,in such
technical matters it is absolutely necessary to consult and obtain the advice of t h e
experts like 'atomic energy scientists', 'design and construction engineers', or
'aeronautic scientists'. Decisions regarding financial and econornic policy requires thc
opinions of the economists. Similarly government needs advice o f 'foreign policy
experts' in framing its foreign policy or that of the experts in defence and strategic
studies tq frame its defence policy.
Theneed of technical experts in administration is rapidly increasing in our country. As
the functions of the government are rapidly expanding, the need for tebhnical experts
will continue to grow in future. A large number of specialists and technical experts are
already recruited for government services.
Auxiliary Staff
All administrative agencies require certain common and house-keeping services. For
example, all agencies require construction and maintenance of buildings, purchase of
furniture, stationcry and office materials, printing of papers, documents and reports,
recruitment, training and management of personnel, preparation of annual-budgets
and financial statements, maintenance of accounts and records etc. These services are
incidental in character i.e, they are not directly a part of the main and primary activity
of the agency. But without these services it will not be possible for any organisation to
carrv out its primzry functions. They are absolutely necessary for all organisations but
they are subsidiary and secondary in nature. In administration, these services are called
'auxiliary services' and those agencies or units which perform these services are
called 'auxiliary staff agencies'. The Public Works Department, the Public Service
omm mission, the t i ~ ~ c l ~ Department,
l~its Director of Supplies, a Store Section, or .
Establishment Section or Records Section of large organisation are examples of the
'auxiliary staff agencies',
We have seen that the auxiliary agencies, provide certain common house-keeping
services to all other agencies and departments. They work on behalf of the line
agencies. In their own sphere ot.acti;.ity they make decisions and exercise authority.

They work as separate independent organisations but as agents of the line units. They
are not like general or technical staff agencies. They do not 'advise' or 'assist' the line
units as other staff agencies do. Therefore, some writers like W.F. Willoughby and
L.D. White, arc of the opinion that 'auxiliary' or 'house-keeping' services should not
be regarded as part of the staff services. According to them 'auxiliary agencies' are not
staff agencies. They are not even a type of staff agencies. In the next part of this unit we
will study the meaning and importance of auxiliary agencies and their distinct features
in detail. We will also try to make a distinction between the staff agencies and auxiliary
agencies in the last part of this unit.
34.6 AUXILIARY AGENCIES '
As we have seen earlier in administration there is a third category of agencies which .

provides common, house-keeping services to all other agencies. These agencies are
called 'auxiliary agencies'. Some writers think that 'auxiliary' services are part of the
'staff' services. But there are some other 'writers Who say that the nature of the auxiliary I
services is !differentfrom the staff services and therefore the 'auxiliary agencies' must I
be ~tudiedlseparatel~. In the following pages we will study the 'auxiliary' agencies. I
Need of Audliary Agencies

In the administrative system of any coontry there are many line agencies. All these
agencies perform different functions. In order to perform their primary activities all
agencies require certain common, house-keeping services like construction and
maintenance of buildings, typing, budgeting, and so on. All these activities are
incidental and not the primary or main activity of any agency. They are absolutely
necessary for the achievement of the primary objectives of the organisations. These
services are called 'auxiliary' services. .
Actually it is the responsibilityof each line agency to purchase the required furniture ' ;
and equipments, to make recmitment of the servants, to maintain its accounts and keep , s.
records etc. In the past each line agency was 'self-sufficient' and made its own
arrangements for performing these auxiliary activities. But because all these auxiliary
services are common to all departments, it is more convenient and economical if all.
these common functions are taken away from all the line agencie$ and are performed
, by separate agencies. It automatically ihcreases the efficiency and we have the benefits
of specialisation in carrying out them common services. It reduces the burden of the
executives and saves their time and energy for more important work. Therefore, in ,
most countries separate auxiliary agencies have been establ shed. The Central Public
i,
Works Department, Finance Department, Onion Public Se ' ice Cofimission, ,
DirectoriGeneral of Supply and Dispbsal are some examples of auxiliary agencies of ,
the Government of India. In other countries also the centralised auxiliary agencies have
been established in'the interest of economy, efficiency and convenience in * ,
administration. I
Meaning of Auxiliary Agencies 4

Dictionary meaning of the word 'auxiliary' is 'helpful' 'subsidiary' or 'allied troops in a
nation's service'. When we apply this to the administration, we can say that auxiliary
services are those services which are not primary but secondary or subsidiary in nature.
They provide subsidiary type of help to the 'line' agencies. It is like the help of the 1
'allied troops in theservice of a nation'. A nation has to rely on its own troops but in 1
I
some cases it can take the help of the 'troops' of an allied (friendly) country. I
In administration, auxiliary services are those services which are common, *

house-keeping services required by all 'line' agencies, like purchasing the equipments,
recruiting the servapts, maintaining the accounts etc. Line agencies are established for .,
other important ppfposes. In ordel: to cany out these primary functions line agencies .
need incidental services also. These subsidiary and 'secondary' services are called
'auxiliary' services and those agencies which provide these services to the line agencies
are called 'auxiliary agencies'.
-3
34.6.1 Salient Features of Auxiliary Agencies

We have studied the meaning and importance of the auxiliary agencies in the
administrative system. In order to understand the concept and nature of 'auxiliary
1.
agencies' more clearly, let us now look at some of the salient features'of the 'auxiliary
agencies'.
-1. Auxiliary Agc cies provide commbb house-keeping services to the line units
Auxiliary agencies provide common secondary help and subsidiary house-keeping
services to the line agencies. For example in a University there are many teaching
departments teaching different subjects like Political Science, Economics, Chemistry,
Mathematics etc. All the teaching departments need books, furnitures and stationery.
These are common house-keeping services. Instead of having a library service in each
department, there is a common auxiliary agency called the University Library. It
purchases and keeps books on all subjects which are used by the teachers and students
of all the departments. Similarly there is a 'Stores Section' which makes common
purchases of furniture and stationery and supplies them to all departments as and when
required.
2. Auxiliary Agencies exercise limited authority and make decisions in their own sphere
Auxiliary agencies are separate units which exercise some liniited authority and make
decisions in their own limited sphere of activity. Staff agencies have only 'advisory' role
and have no 'authority'-Contrary to this the auxiliary agencies have a 'limited
authority' which they exercise while carrying cgut their functions. They have no
'advisory' or 'counselling' role like the general or technical staff agencies. On the
contrary they work as agents of line agencies and make decisions on behalf of them. A
purchasing agency makes purchases according to its own rules and regulations o r Public
Service Commission makes the selections of candidates according to its own norms. The
Finance Department exercisr;? authority and control over other departments while
preparing the budget or approving the expenditure. Thus we can say that in a limited
way the auxiliary agencies exercise authority and make decisions. Auxiliary agencies '
are somewhere between the 'line' and 'staff' agencies,
(I .I.
3. Auxiliary Agencies hare operational responsibilities

The auxiliary agencies are, in a sense operational agencies as they are concerned with
performance of some routine activities'of government like purchases, supplies,
personnel matters, accounting, budgeting etc. In this respect auxiliary agencies are
different from other 'staff' agencies. Incase of auxiliary agencies their efficient
operation is more important than their 'advice'. Delays in the work of U.P.S.C. or
Public Works Department or Law Department will effect the performance of all other
line departments.
4. Auxiliary Agencies do not serve the People

Auxiliary agencies basically perform services common to the departments but they do
not serve the people. They serve the line agencies and departments. They assist and
help the line agencies in carrying out their functions. They work as the agents of the line
agencies. But these agencies do not provide services to the people.
5. Auxiliary Agencies are placed under the Chief Executive or Departments

.Generally the centralised auxiliary agencies are placed under or attached to the chief
executive. There are some government departments which work as auxiliary agencies
such as the Finance Department, Public Works Departments or Law Department.
These departments provide auxiliary services to other departments and at the same
time exercise some authority and control over the other departments through these
services. Some auxiliary agencies are placed under or attached to the departments like
the Rnance Department or Home Department or the General Administration
Departments.
346.2 Distinction between 'Staff' and 'Avxiliary' Agencies

So far in this unit we have studied the 'staff' and 'auxiliary' agencies. Let us now make
a distinction between the 'staff and 'auxiliary' agencies. Both these agencies help and
assist the 'line' agencies in carrying out their primary functions. Their functions are
basically 'secondary' in nature but are necessary in administrarion. Both do not serve
the people but serve the line agencies only. But they have some differences. What are
the differences between the 'staff and 'auxiliary' agencies?

Conrrpts in Organisations - In Staff Agencies Auxiliary Agencies

1. Staff Agencies aid, assist and 'advise' the 1. Auxiliary agencies provide common,
line agencies. 'Advice' is a major house-keeping services to the 'line'
function of 'staff' agencies. 'Service' is a major function
of Auxiliary agency.
2. Staff agencies do not exerclse 'authority' 2. Auxiliary agencies exercise 'limited
and do not make decisions. They help authority' and make some decisions
arid 'advise' the line agencies in making relating to their own sphere of activity
decisions.
3. Staff agencies have no executive or 3. Auxiliary agencies have operating
operative responsibilities. responsibilities on behalf of the line
agencies.
4. Staff agencies are attac,hed to line 4. Auxiliary agencies are generally placcd
agencies at different levels in the under the chief executive or
administrative hierarchy departments.
t
Thus there are some similarities and some differences between the 'staff' and 'auxiliary'
hgencies. In administration,
..... the services of both 'staff' and 'auxiliary' agencies are
......
+..-
!equally important for the successfuitr~~r1(in~~0Tthe 'line' agencies. . . . . . . . . . . . . . . - .
Check Your Progress 2 -. - - - . .-

Note: i) Use the space below for your answers. - 'F
ii) Check your answers with those given at the efld of the unit.
' 1 Distinguish between general staff and technical staff.
2 Discuss the importance of auxiliary agencies in administration.
............................................................................................................
3 Explain the features of auxiliary agencies. ..

Staff and Auxiliary Agencies
4 Distinguish between staff agencies and auxiliary agencies. rn

! b.
- . - .
- 9- .....
34.7 LETUSSUMUP'. -- - --
In this unit we have learnt that the 'staff' and 'auxiliary' ltgencies arc there to help, assist
and advise the 'line' agencies. The 'staff' agencies prov~de'general' and 'technical'
.advice and assistance to the 'line' agencies, wllereas the 'auxiliary agencies' provide
comlnon and house-keeping services to the line agencies.
Some writers consider 'auxiliary' services as part of the 'staff' services, but others think that
'staff agencies' and 'auxiliary agencies' qrc different. T h e main distinqtion between the
two is that 'staff' agcncies do not exercise authority whereas the auxiliary agencies
exercise some 'limited authority'. Staff units perform predo~ninantly'advisory'.
functions wl~ereasthe auxiliary units perform the 'service' functions. Both these
agencies are, however, important in administration.
--
34.8 KEY WORDS
Orgallisation and Methods (O&M) : An administrative concept and process by which
research, methods, engineering, organising, fact finding and related professional
advice is provided for managemkt in order to establish and maintair~optimum
efficiency in handling, scrutinising or controlling over organisation methods and
procedures.
Union Public Service Commission (UPSC) : An advisory body to the government, on
matters relating to recruitment, promotion and control of the p ~ ~ b lservices.
ic The
members of UPSC are appoinfkd by the President for a period of 6 year ,. 1
- ..
_._..-I '
---
I
Avasthi, A and Maheshwari, S.R., 1978. ~ublic~dntinirrration; Laxmi Narain

Agarwal : Agra.
I
Dimock, M.E. and Dimock,G:O., 1970. ~ u b l ~ ~ r l m i n i s t r u t iIoBnH; ~ublishurs:

New Delhi. 1 .
, Pfiffncr J.M. and Sherwood, 1968. ~dmhistrativeOrgnnisntions; IBH Publishers:

New Delhi.
.-.

.m
Cmapts la ch-gll~lisptlons
~l&ran,P., 1981. Modern Public Administration; Meenakshi Prakashan: New Delhi.
Sharma, M.P., 1977. Public Administration in Theory and Practice : Kitab Mahal :
Allahabad.
Tyagi, A.R., 1986. Public Administration; Atma Ram Sons: New Delhi.
C

EXERCISES :
1 See Sec. 34.1 and 34.2
2 See Sec. 34.2
3 See Sec. 34.3
4 See Sec. 34.4
5 (iii)
' 1 See Sec. 34.6
2 See Sec. 34.6
3 See Sub Sec. 34.6.1
4 See Sub Sec. 34.6.2

LTMT 35 BUDGETING
Structure
35.0 Objectives
35.1 Introduction
35.2 Meaning of Budget
35.3 Principles of Budget-making
35.4 Preparation of the Budget
35.5 Enactment of the Budget
35.6 Kinds of Grants
35.7 Let Us Sum Up
35.8 Key Words '

35.0 OBJECTIVES
The objective of this unit is to enable you to get an understanding of the budgetary
process. After going through this unit you should be able to:
e explain the meaning and importance of the budget
discuss the principles of budgeting
e identify the various stages in the preparation and enactment of budget; and
describe budget-making in democratic countries.
35.1 INTRODUCTION
Financial administration is very important today because of the volume, nature and
variety of governmental activity. Everything government does requires money and
government spends huge sums to meet its commitments of different kinds. Budgets
grow larger and larger each year and it becomes increasingly necessary to ensure that
the tax-payers' money is spent efficiently and economically. There is need to ensule
adequate financial accountability.
Successful fiscal management centres around budgeting. The budget of the state, is an
elaborate and complex exercise. In the days of laissez-faire, the budget was a si~nplc
'statement of estimated income and expenditure. Given the accepted belief qf the time,
that the best state was the one that did the least, the functions of government were
liniited and iegulatory in natlue. Hence, the budget as the principal.financial statement
of the government, sought to introduce orderliness and method in financial
management. The modern state is a welfare state. It undertakes activities to promote
the comtnon welfare of the community. In developing countries like India, the state is
not just the preserver of the status quo, but the accelerator of socio-economic change.
Government is engaged in nation building activities and seeks rapid modernisation.
Administration is change oriented and result oriented. Goals have to be achieved
within the democratic frame-work, with due regard for the rule of law and the rights of
men. Hence, in the modern state, be it democratic o r communist, developing or
developed, budgeting is the heart of financial administration. In this unit we shall
examine the meaning and importance, principles and the process of budgeting.
35.2 MEANING OF BUDGET

' The word budget originally comes from the old English word "bougette" meaning a
sack or a pouch. It was xclnllv :I lcnrher ha&in which the British Chancellor of the

-
Canc~ptsIn Organisations III Exchequer (the equivalent of our Finance Minister) carried the papers relating lothc
budget which were to be placed before Parliament for approval. From that association,
it has come t o mean the papers themselves.
The budget is not just a statement of estimates of expenditure and revenue of the
Government. It is a plan of action of the government for orderly administration of its
financial affairs. The budget reflects the philosophy of the government and its manner
of governance. It indicates as to how resources are to be raised to meet the anticipated
expenditure through its taxation policy. How economic growth is planned, is indicated
through its production policy. The budget reflects the priorities and targets of the
government. For instance, through heavy taxation of the rich, it can attempttoreduce
economic and social inequalities. It is both a kind of economic horoscope and apolitical
document.
The budget serves as a powerful tool of coordination. It seeks to eliminate duplication
and waste. It is a means to inculcate cost consciousness. It provides a means to
evaluate progranlmes and policies and helps to streamline administration. In fact,
performance budgeting which emphasises what goverfiment does in terms ofoI>jectives
and functions, and zero-based budgetjng which calls for an annual review of all
programmes with il view to discontinuing those programmes that have failed or are not
viableare steps in this direction. The budget is also the most important tool of
legislative control over the public purse.
The term budget stands tor both-the financial plan as presented to the legislature for
its sanction and the sanctioned plan as it emarges after being passed by the legislature.
In India, the word budget is used t o indicate the estimates of expenditure only, In
Englal~d,the word is used in connection with ths-revenue or taxation part of the
financial plan. In America, the term is used in .a more comprehensive fashion to cover
the entire financial process i.e., preparation of the budget, enactment by the
legislatu~.e,its cxecution, accounting. and audit.
A budget may be longterm or short term. Usually, Government budgets are on an
annual basis. In India, where we have Five Year Plans, a part of the plan is incorporated
in the annual plan though Pal-liament does approve of the entire plan in principle and
outline.
Let us examinc the principles of huclget-raaking.

1 The budget must be a balanced one : The estimated expenditure should not exceed
estimated income. When expenditure exceeds estimated income, it is called a deficit
budget, Though deficit budgetingis risky in that it can lead to inflation, up to apoint
it is acccptablc because it hclps fight trade depression. When government spends
more on public works, it: ir~creascsthe purchasing power of the people which in turn
stin~ulatesprices and production arrd fights depression.
2 Estimates should be on a cash basis : This is how it is in India, Britain and U.S.A.
This kind of cash budgeting has the advantage that the final preparation of accounts
of a year call bc done soon after its close, though it may not reveal the true financial
picture for that year. By deferring payvents that are due in that year, a surplus
instead of a deficit will be shown in thc present year's budget which is incorrect. In
contrast to tllc cash butlgct, thcrc is the revenue budgqt which corrects thisdeiicit,but
it res~lltsin long delays in preparation and presentation of accounts and this makes
fillancia1 cotltrnl deficit.
3 Budgct must distinguish between recurring expenditure and income on the onchnnd
and capital payments and receipts o n the other. In other words, there must be a
distinction bclweerl current or revenue budget and capital budget. Eachpartmust be
balanced scpnratcly and the overall surplus or deficit is found out by taking bothinto
account,
4 Budget should be gross and not net : All the transactions of income and expenditure
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merely as the resultant netposition. Neglect
Budgeting
of this rule can adversely affect the established financial procedure and result in
laxity of control, incomplete accounts, etc.
5 Estimating should be as exact as possible :Gross over-estimating leads to heavy
.
taxation. Gross under-estimating can throw the whole budget out of gear when it
comes to implementation. Close estimation is usually done by taking the average /
figures of previous three years under different heads and making the necessary
adjustments. Itemised estimates are an aid to close budgeting. Generally, one is
liberal in estimating expenditure and conservative in estimating income.
6 Budget form should correspond to the form of accounts, i.e., budget heads should be
the same as those of accounts. This facilitates budget preparation, budgetary control
and account-keeping.
7 The rule of lapse : It is the last budgetary principle. No part of the grant that is
unspent in the financial year can be carried forward for the future. If this rule did not
apply, depnrtmel~tswould live on accumulated and unspent balances and would to
- that extent be independent of legislative control.
&&rk Your Progress 1

Note: i) Use the spa'ce below for your answers.
ii) Check your answers with those given at the elld of thc unit.
1 What is a budget'?
............................................................................................................
2. Distinguish between deficit budgeting and cash budgeting.
The Budgetary Process

It is an elaborate and complex process involving operations performed by several
agencies as indicated below.
1 The Executive : The various depart~nenlswhich constitute the executive branch of
the government have t a formulate their work programme for the year.
.- 2 The finance ministry, though a pa t of the executive, has a special role to play. it
administers the finances of the government and so it is responsible for the budget. It
interacts with the administrative ministries that are the spending bodies and prepares
the budget estimate. The estimates of income or revenue and the estirnaf.esof
expenditure are brought together in the budget which is presented to Parliament.
3 The Legislature : It discusses the budget and sanctions the expenditure. In India,
Parliament's control over government expcnditure is undertaken through its
financial committees.
4 Audit Department : Audit is independent of Government. It is a device to ensure the
legality and propriety of expenditure. The Comptroller & Auditor-General sees that

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.
Concepts in Organisations I11 the tnoney is spent according to the Appropriation Act and that the amount of
expenditure does not exceed what has been sanctioned. Details of Audit are given in
.-'-
Unit 38.
Let us now examine the budgetary process in terms of the preparation of the budget and
the enactment of the budget.
35.4 PREPARATION OF TWE BUDGET

Let us take the case of India and the preparation of the Union Budget. It may be noted
that we have at the Union level, the General Budget and the Railway Budget and each
state 'has its own budget
The Financial Year in India is from 1st April to 31st March. The work in connection
.
with the preparation of the budget estimate commences around July or August about
7-8 months before the start of the financial year. The initiative is taken by the Finance
Ministry which supplies 'skeleton forms' to the administrative ministries for preparing
their estimates. Each form contains columns far (1) actuals for the previous year,
(2) sanctioned estimatesfor the current year, (3) revised estimates for the current year,
(4) budget estimatesfor the coming year, (5) actuals of the current year available at the
time of preparation of the estimates and (6)actualsfor the corresponding period of the
previous year.
The budget estimates have three parts-standing charges, continuing schemes and
new schemes. The last mentioned are the most important and have to be carefully
examined by the Financial Advisers attached to the various administrative
departments. After revision and review, these estimates are sent by the administrative
ministries some time in November to the Finance Ministry. The Finance Ministry
examines all these budget estimates from the point of view of overall needs of the ,
Government and total availability of funds. Proposals for new schemes are v e v
thoroughly scrutinised for the rule is that no proposal for new or increased expenditure, ,
for any department, can be incorporated in the budget without the concurrence of the I
Ministry of Finance. The estimates of expenditure are finalised by the Finance.Ministry 1 .
after taking into account factors like the Five Year Plan, the policy decisions of the
cabinet and the prevailing conditions in the country. The Finance Ministry is endowed
with this control because it is not a spending ministry Iike the others. On the contrary, :
it is the guardian on the tax-payers' interests. Above all, since it,has to raise the money
required for the proposed expenditure, it must have a say in determining the level of
that expenditure.
After the estimates of expenditure are completed, estimates of revenue are prepared.
This too is the work of the Finance Ministry. The Departments of Income Tax, Central
Excise and Customs,~whichare the principal revenue collecting agencies, make a
forecast of expected revenue for the coming financial year. The Finance Ministry must
be singled out for playing a special role in financial administration. It handles the
financial business of the government and is the custodian of the nation's purse. T h e ,
Finance Ministry examines these estimates and accordingly prepares the tax proposals.
However, decisions in policy matters in all respects, are taken by the cabinet.
When estimates of Income and Expenditure are finalised by the Finance Ministry, they
constitute the 'Annual Financial Statement'. This the President causes t o be laid before
..... --
both the Housesof Parliament as per Article 112 of the-Constitution,.
I
- -.**
,Note: i) Use the space below for your answers.
ii) Check your answers with fhose given at the end of the unit.
What agencies are involved in the budgetary process?

2 Explain the role of the ~i'nanceMinistry in preparing the estimates of expenditure.
35.5 ' ENACTMENT OF THE BUDGET

' ' A very crucial stage in the budgetary process is its passage through Parliament which is
marked by five stages.
Before we examine these five stages, it is important to bear in mind thc powers of the
Indian Parliament in budgetary matters, covered in Articles 112 to 117 oi' the
Constitution. Briefly stated, they are the following.
1 No demand for a shall be made except on the recomkcndation of the President
2 Any proposal dealing with expenditure must bc 011 the recommendation of the
President.
3 Parliament can reduce or abolisli a tax, but not increase it.
4 Certain itemsof expenditure are chargedon the Consolidated Fund of Ihdia, like the
salaries and allowa~icesof the President, Judges of the Supreme Court, Speaker,
Deputy Speaker, Comptroller & Auditor-General of India and others. The 'charged'
expenditure is subject to discussion though not submitted to the vote of Parliament.
5 Parliament cannot amend the Appropriation Bill in such a way as tovary the amount,
, be it charged expenditure or otherwise, or alter the destination of any grant.
6 In financial matters, thc powers of the Rajya Sabha arc restricted. It must accept the
Finance Bill with or without any recommendations within 14 days. The Lok Sabha
may accept or reject any or all of these recomn~endations.In any case, the Finance
Bill does dot go again to the Upper House but directly to the President for his'assent.
Let us now take each of the five stages in turn.
1 Presentation to the Legislature : The Finance Minister presents the budget to the
Lower House on the last wo;king day oEFebruary. Hc does so with the budgct speech
which is eagerly awaited by business circles as it gives first indications of t?x proposdls
and the economic and financial policy of the ~ o v e r n m e n tThe
. budget is also placed
before the Upper House which can only discuss it.
2 Generaldiscrrssion : It takesqlace a few days after the presentation of the budget, It
is spread over two to three days. The discussion in each House is confined to general
principles or policy'underlying the budget, No details are discussed; there is no
voting, nor are cut motions allowed. The gencral cliscussion is a hangover of British
times when the Indian legislature could do no more than discuss the budget.
However, it serves the purpose of enabling a discussion on the programme of
government and particularly on the 'charged' expenditure. At the end of the debate
the Finance Minister repIies, reacting so the points of criticism and the main charges
of the members.
3 Votingof demands for grants : ~ f t ether general discussion, the Lower House takes
up voting of demands. Thjsvotingof the expenditure is part of the budget and is the
exclusive privilege of the'lawer House. The demands are presented ministry-wise
and each deniand is subject to a vote. At this stage there is a lot of discussion and
government is subject to severe criticism. Members can move cut motions which are
of three kinds namely-disapproval policy cut, economy cut and token cut. The
purpose behind the cuts is to criticise the specific departments of government and .
I expose inaladministr&n. When put to the vote they are generally defeated because
government has a majority to srlpport it.

.
Concepts in Organisations III
In 26 days the Lok Sabha must complete the voting of demands. The time limit for
each demand as well as for the entire expenditure part of the budget is fixed by the
speaker in consultation with the leader of the House. The schedule is carefully
observed. On the last day, all the remaining demands are subject to vote though the
discussion may not be adequate. This is unfortunate and amounts to a highly
unsatisfactory state of affairs, because the House is not able to perform its vital role
of controlof cxpenditure. It is noteworthy that the Lower House canonly reduceor
reject the proposed items of cxpenditure. Even this is not possible because the ruling
party of the government has majority backing. In that sense, even cut motions are
only symbolic. They are only a means to expose the government. A demand becomes
a grant after it has been duly vc~tecl.
4 The Appropriatio~iBill : After the Lok Sabha has voted all the demands, these along
with the charged expenditure arc embodied in a bill called the Appropriation Bill.
This bill follows the same procedure in the House as in the case of any other bill
although no amendments can be made to it. This bill legalises expenditure and meets
the Constitutional requirement that ". .... no money shall be withdrawn from the
Consolidated Fund of India except under appropriation made by law." After the
Appropriation Bill is passed in the House, the Speaker certifies it as a money bill and
sends it to the Upper House. Here the bill is discussed and wit11 o r without
recommendations returns to the Lower House. The Lok Sabha then gives the
Appropriation Bill its final shape and then sends it to the President for his assent
which is given as a matter of course. Thus the Appropriation Bill becomes the
Appropriation Act.
5 The Finance Bill : With the passage of the Appropriation Act, the expenditure part
of the budget is complete, in that all public expenditure is authorised by Parliament.
But ways and means must be provided to meet this expenditure. This is done through
taxation. According to Article 263 of the Indian Constitution no tax is t o be levied or
collected except by authority of law, This means that parliament, the supreme law
making body must approve of the tax proposals of the Government. All the taxesdo
not have to be authorised annually. Some of them are permanent and their rates have
to be fixed by the Government under the provisions of the law governing them. 'The
rates of others have to be fixed annually by the legislature, like the Income Tax.
Government's taxation proposals are incorporated in a bill known as t h e Finance Bill.
It follows exactly the same procedure as a money bill. While no amendments in either
house can be moved to the Appropriation Bill, amendments seeking to reject or reduce
a tax can be moved to the Finance Bill. These have b e ~ nknown to be accepted by .
Parliament. However, no increase in taxes or introduction of new taxes can emanate
Crom Parliament. Once the bill is passed it hecornes the law of the.land.+Thiscompletes
- enactment of the budget in Parliament.
the
#

a.
Note : i) U& the space below for your answer for question No. 2.
I
1 Indicate whether the following statements are True o r False.
i) Parliament can increase, reduce or abolish a tax. TruelFalse
ii) Items of expenditure charged o n the Consolidated Fund of India
are non-votable. TruefFalse
iii) In financial matters both t h Houses
~ of the Indian Parliament
have equal powers. True/~a~s
iv) Voting of demand for grants is done in the Rajya Sabha. ' TruefFalse
v) Government's taxation proposals are embodied in the
Appropriation Bill. TrueIFalse
vi) T h e demand for grants is introduced by the Speaker of the House. TrueIFaIse
2 Describe the enactment process of the budget.
I
............................................................................................................
.....................................................................................................

35% KINDS OF GRANTS

The budget cmbodies thc ordinary estimates of income and expenditure for the year.
Rut under special or extraordinary circumstances, these estimates may not be
adequate. To take care of special needs there are four other kinds of grlrnts, that the
Lower House considers. They are:
i) -Vote on account : Even though the financial year starts on 1st April, the budget
takes some time to be passed. The House is required to vote on account cf the
expenditure that will be incurred in thc first few months of thc financial year. A
vote on account is an advance grant.
ii) Vote on credit : This is to meet expenditure whose amount or detilils canoot be
precisely stated in the budgct because of the nature or indefinite character of the
service, eg., war.
iii) Exceptional grant : The Lok Siibha can makc iln exceptional grant which is not a
part of the current service of any financial year. For unforeseen expenditure
advanccs can bc niacle by t h e President.0~1of thc Contingency Fund of India, but
these advances l ~ a v eto be duly authoriscd by Pal-liarnent Inter.
iv) Excess grant : This is a grant lo regularisc excess expenditurc.
v) Token grant : If expcr~ditureon a new service can be mct by re;~ppropriiltionof
funds, this is regularised by a demand for ;I token amount (say Iis. 101-) which is
,
approved by Parliament by voting.
vi) Supglelnentary grant : If original estimates arc insufficieni, aclditional tuntls arc
sought in the course of the financial year through supplenienticry grants. This is
morc in the nature at a supplenicntary budget which is frcqucntly rcsortcd to i n
India and follows the proccdurc prescribed For thc originit! budget.
1
Check Vor~rProgress 4
ii) Chcck your answers with thosc given at the end of thc unlt.
:1. Describe the following in two lines each.
i) Vote on Credit
.....................................................................................................
ii) Vote on account
iii) Suppletnentary grant
35.7 LET US SUM UP

In a modern wclkre state, the budget is more than n device for counting and recording
incotne and expenditure. It is an econornic horoicope and ;I political document.
)Budget making is guided by principles and is an elaborate and complex exercise. The
Downloaded -m
Concepts in Organbations budgetary process involves the preparation of the
from:- https://t.me/Pdf4Exams budget and its enactment in thc
legislature through five stages.
r'
Consolidated Fund of India : In India, the Centre and States have each, its consolidated
fund to whi,ch all receipts are credited and all authorised payments are debited,.
Finance Bill : The Finance Bill is the bill which consists of the Government's Financial
(Taxation) proposals for the ensuing financial year which has to be passed by the
Parliament every year.
Inflation : A progressive increase in the general level of pnces brought about by an
expansion in demand or the money supply or increase in costs.
Laissez-faire : It literally means 'let it be'. It is a system where the government does not
intervene and gives complete freedom to private enterprise.
Zero-based budgeting : It is the latest method of evaluating the budget. It is a critical
analytsis which questions the very basis and justification of every scheme &
project-both ongoing and new. Each activity is closely reviewed from base zero and it
is scrutinised to judge whether its continuation is justified.
I
35.9 SOME USEFUL BOORS
Bunkhead, Jesse, 1966. Government Budgeting(Second Edition); Wiley : New York.
Premchand, A, 1963. Control ofExpenditure in India; Allied Publishers : New Delhi.
Thavaraj, M.J.K., 1964. Essentials of Financial Administration; Indian Journal of
Public Administration :April-June, 1964.
Thavaraj, M.S.K.,1978. Financial Administration of India; Sultan Chand 6r Sons :
New Delhi.
Wattal, P. K., 1963. Parliamentary Financial Control in India; Minerva Book Shop :
Bombay.

EXERCISES ,
Check Your Progress Check Your Progress 4

1 See Sec. 35.2 1 i) SeeSec35.6
2 See Sec. 35.3 ii) See Sec 35.6
iii) See Sec 35.6
1 See Sec. 35.4
2 See.Sec. 35.5

1 i) True
ii) True
iii) False
iv) False
v) True
vi) False
2 See Sec 35.5

UNIT 36 ACCOUNTABILITY
Structure
36.0 Objectives
36.1 Introduction
36.2 Concept of Accountability
36.3 Kinds of Accountability
t 36.4 Financial Accountability
! 36.4.1 Fillancia1 Control within the Executive
36.4.2 Aud~t
)
36.4.3 Financial Committees of Parliament
: 36.5 Accountability through the Courts
36.6 Accountability and Ethics in Administration
36.7 Let Us Sum Up
36.8 Key Words
36.10Answers to Check Your Progress Exercises
36.0 OBJECTIVES
In this unit we will discuss about the concept of accountability. Its aim is to study the
concept and examine its various components. After reading this unit you should be able
to:
e explain the meaning and,kinds of accountability
e discuss the meaning of the terms financial accountability, judicial control, public
accountability and ethics in administration.
36.1 INTRODUCTION
Public accountability distinguishes Public Administration in a democracy from that in
an autocratic set up. An autocrat is accountable to none; public administrative
authorities are,.on the other hand, accountable to the people. Accountability is a very
wide and comprehensive term which came into usage in the English language from as
early as 1583. It was mainly used to imply financial accountability. Though financial
accountability is important and we will discuss about it later in this unit, we must not
ignore other equally important components of accountability.
*
36.2 . CONCEPT OF ACCOUNTABILITY

The Oxford English dictionary defines 'accountable' as 'liable to be called to account,
responsible (to, for),'. The Webster's dictionary gives more or less the same meaning
when it explains accountability as liability to be called on to render an account. Though
accountability and control are used as synonyms, actually 'control' goes along side or
simultaneously with an action or event whereas accountability comes in only after an
act is accomplished. Only when one does a job or an act is one called upon to render an
account of it.
I t
Accountability in the positive sense means achieving results. Public yrvants have
tremendous responsibilities t o discharge. To enable them to do so, they have stability
of tenure and administrative support, If they are unable to deliver the goods or achieve
results, they must be held accountable.
In other words, if adhinistrators have responsibilities, i h e i also have accountability.
Accountability and responsibility are two sides of the same coin and they go together.
.
@
,
In the negative sense, accountability implies holding public officials responsible for
their lapses. Lapses can be of various kinds. Public servants may not do what law or 49

.
Concepts in Organisations Ill custom requires them to d o for reasons such as ignorance, indifference o r corrupt
influence; or they may be guilty of waste and damage; o r a duty may be undertaken
beyond what law and custom oblige or empower.
In practice, it is not easy to enforce accountability. This is so because of composite
decision-making, diffused responsibility and frequent transfers. Whenever serious
administrative lapses take place, enquiries are conducted to punish the guilty ones. But
it is difficult to pinpoint responsibility. So many are involved in decision-making that
the range of accountability is too wide to hold any one person responsible for the lapse.
If action is taken on the basis of oral instructions it adds tothe difficulty of fixing
accountability. This is not to suggest that accountability cannot be enforced. An
aggrieved citizen can go to a court of law. Then there are vigilance authorities or ,
...
Ombudsman through which citizens can get redressal of their grievances. ...
36.3 KINDS OF ACCOUNTABILITY

So far we have talked of accountability in general. To be more specific, o n e can speak
of political accountability as distinct from administrative accountability. In a
parjiamentary government, such as ours, the political executive is collectively and
continuously responsible to Parliament. In other words, the executive is obliged to give
an account of its performance to Parliament. Parfianrent has ways and means to ensure
this accountability. But there is also the permanent executive i.e. the bureaucracy
whose accountability is not direct but indirect. It is accountable through the political
executive to Parliament.
Let us look at ministerial responsibility a little more closely. There are certain matters
which fall within his competence for which the minister is responsible in his personal
capacity. He is accountable to Parliament for his actions-or lack of them-as well as
for all those of the civil servants under him. Parliament holds the minister responsible
for anything that goes wrong in his ministry even if he had no knowledge of it or did not
approve of it.
If a civil servant's actions are in accordance with the pcrlicy laid down by the minister or
he acts at the bidding of the minister, the minister must shield and protect him. Evenif
the civil servant makes a small mistake or errors on not too important a matter, the
minister must take the rap in Parliament. But in serious matters where the civil servant
acts on his own and his conduct is reprehensible the minister cannot be expected to
endorse the action of his officer. Yet, he still remains accountable to parliament for the
conduct of such an erring official.
cut this concept of ministerial responsibility cannot be stretched too far. 1f applied in a
rigorous manner, the minister would insist that every issue must compulsorily be
referred to him. Civil servants would be over cautious and guarded and refer everything
to the minister. Very soon, all administration,,would come to a halt.
Ministerial accountability is more a convention and is a matter of onc'srconscience, a
moral principle, A minister hardly resigns if things go wrong in his ministry, if he has
party backing and strong support of the Prime Minister. Nevertheless, the fact of
-
accountability cannot be,d_.r!jgdor washed away: !
Check Your Progress 1 J
1
.Note : ii) use the space below for your answers.
1 Comment on the following in five lines each:
a) Responsibility and accountability are two sides of the same coin.

b) Accountability and control are synonyms.
............................................................................................................
2 Why is it difficult to enforce accountability?
' 36;4 FINANCIAL ACCOLTNTABILITY

'
This is a vital component of accountability. It is based on the principle that "those who
spend public money should give an account of their actions to those who bear the
burden of taxation. Financial accountability consists of control exercised by the
",
legislature over those who handle public money. The legislatores exercise this control
over the executive on behalf of the tax-payers.
The budget is an important tool of legislative financial control. In the parliamentary
system, the demand for grants gives the House an opportunity to discuss the working
of each department in great detail. It is only when members of Parliament are satisfied
with the explanations given on points raised, that grants are passed. Unfortunately, if
voting cannot be completed by the given deadline, then all the remaining demands are
votcd together in one lot by a practice called 'guillotine'. The entire procedure in
Parliament relating to enactment of the budget, particularly the passage of the
appropriation and finance acts, is a means of exercising financial control over the
execc tive.
36.4.1 Financial Control within the Executive

Once the budget is passed it has to be enforced. The legislature sees this as the
responsibility of the executive because the legislature makes the grants to the
government as a whole, (though technically to the President). The machinery of
executive control over expenditure consists of (a) Finance Ministry or its equivalent
and (b) the heads of adnlinistrative departments. The control is exercised to ensure that
the budgetary grant under any head does not cross the stipulated limit and that there is
no improper, wasteful or extravagant expenditure.
a) Finance Ministry : We have seen the role of the Finance Ministry in the earlier unit.
It is concerned with not only preparation of the budget but its execution as well. Often
estimates for proposals or schemes are made by the officers of their departments. These
departmental accounts arc periodically reconciled with the accounts kept by the
Accountant General on the basis of fortnightly accounts received from the treasuries.
But the controllirrg officer does not have up-to-date information and to that extent his
control is imperfect. With so many centres of payment dispersed all over the country
even the Comptroller & Auditor General of India has no effective control over the issue
of money from the Consolidated Fund of India.
In England, public funds are kept in the Exchequer Account at the Bank of England.
At the request of the Treasury, the Bank transfers sums from the Exchequer to the
supply accou~itof the Paymaster-General, indicating the sehices in respect of which

theissues are to be made. The heads of the various departments get funds to meet their
bills by issuing 'payable orders' on the Paymaster deneral. By maintaining suitable
registers the heads see that 'payable orders' do not exceed the budgetary grant.
In the U.S.A., there is the Department of Treasury but its functions are different from
those of the British Treasury or Indian Finance Ministry. It is not concerned with the
budgetary control but with the safe custody of the public funds. Budgetary Control is
divided between the Congress, the Office of Management and Budget and the
Comptroller General. The Congress seeks to exercise financial control through specific
appropriation and by introducing a system of internal checks over expenUiture.withi;
the executive branch. The Office of Management and Budget exercises control through
" '
apportionments (i. e. dividing annual appropriations of an agency into four instalme,nts,
thus limiting the expenditure per quarter), revision of appropriations (which could
. amount to withholding a part of the appropriations from being released), financial
reporting and enforcement of personnel ceilings. The Comptroller General can disallow
any expenditure on the score of illegality. But the control is not really complete or
'satisfactory as comparedTo the British or the Indian system.
-Gheck your Progress 2 .

Note : i) Use the space below for yom answers.
ii) Check your answers with those given at the end of the unit. -
1 Define financial accountability..
2 Name the agencies of financial control within the executive in India and explain their
.
functions.
-..a,..... I.................................................................................................
3 How is budgetary control exercised in America?

.............................................................................................................
................................................................. .........
r'.............,..,.....,........,

I

How are public funds disbursed in England?
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.......
36.4.2 Audit
It is not sufficient to have executive machinery to control expenditure. In the ultimate
analysis, it is the business of the Parliament to ensure financial accountability. This it
does through an independent audit by the Comptroller & Auditor-General and its
financial committees.
without accounts,jt is impossible to exercise financial contral, Accounts enable one to.
know how much was received, how it was spent and for what purpose. It is only through
systematicaccounts, supported by vouchers and receipts that one can csnvince oneself
that the transactions are in order. Also, accounts are a must for the purpose of audit.
Account-keeping is generally a function of the executive authorities. Auditing is done
, by an independent agency. In India, both t h s functions are combined and handled by
the Comptroller & Auditor General. It means that the audit agency audits the accounts
kept by itself. This is highly objectionable. However, it was s legacy of British rule,
when the legislature had no control over finances and the executive was all-powerful.
I
An indispensable part of financial accountability is audit. An independent audit is
conducted by an outside agency, namely the Comptroller & Auditor-General in India.
Hence Parliament entrusts the work of examination and verification of accounts to an
Gutside agency in order to discover and report back to it any unsound financial
practices, utiauthorised, and illegal or irregular expenditures. In this way, audit fixes
the accountability of officials.
Britain was the first country to have public accounts audited in order to find out if
Parliament's sanctions were honestly and faithfully adhered to. In America,
independent audit dates from 1921. The Comptroller General as he is called, audits
government's fillancia1 transactions and has the power of disallowance.
The Comptroller & Auditor-General of India enjoys a constitutional status and is
independent of Government. H e is appointed by the President and can be removed in 1
the same way as a Judge of the Supreme Court i,e, He can be removed by the President
upon an address to that effect being passed by a special majority of each House of
Parliament. It means a majority of the total membership of that House and by majority
of not less than two thirds of members present and voting. Till 1976 he was concerned
with audit and accounting of all financial transactions of the Union and State
Governments. Since then, he does not compile and maintain accounts. H e audits all
expenditures from revenues on all India basis. His is a legality audit. He ascertains
whether money disbursed was "legally available for and applicable to the service or the
purpose to which they have been applied and whether the expenditure conforms to the
authority which governs it." According to Asok Chanda his functions go even further
in that the audit also has a discretionary basis. When,the Comptroller &
Auditor-General examines the expenditure, he must satisfy himself on behalf of
Parliament, as to its "wisdom, faithfullness and economy". He therefore not only
I checks expenditure according to budget provisions, laws, rules and regulations, but
also against canons of financial propriety.
~ i i Comptroller
e & Auditor-General with his elaborate headquarters and field staff
prepares an audit report for each of the Governments whose accounts are audited In
the case of the Centre, the report c r e s to the-president and in case of the state to the
Governor. These heads have the reports placed before their respective legislatures who,
in turn refer the reports to their Public Accounts Committee. Financial accountability
is complete when these reports are examined, investigations conducted and findings
reported back to the legislature concerned "in the form of a Report.

-
Concepts in Orgunisations In Check Your Progress 3
Note-: i) Use the space below for your answers.

I ii) Check yours answers with those given at the end of the unit.
1 Give reasons for the following:
a) Accounting is an executive function.
............................................................................................................
b) Auditing inust be by an independent agency.
2 What is a legality audit?
3 Who conducts audit in India? ,
36.4.3 Financial Committees of Parliament

In all Parliamentary democracies, Parliamentary Committees play a pivotal role in
ensuring accountability of the executive. In Presidentiai rorm of Government like the
U.S.A., Congressional Committees play this role. In what follows we will examine the
role of Parliamentary Committees in ensuring the accountability of Executive.
The Public Accounts Comnrittee : The Public A~countsCommittee (PAC) is annually

elected on the basis of proportional representation by a single transferable vote. By
convention, continuity is achieved by allowing a two year tenure of membership. It has
twenty-two members, fifteen from Lok Sabha and seven from Rajya Sabha. Its British
counterpart has members only from the House of Con~mons.The Chairman of the
PAC is generally from the opposition party.
The PAC satisfies itself that:
1) the money shown in the accounts as being disbursed were legally and actually
disbursed for the purposes or services stated,
2) that the expenditure conforms to the authority which g6verns it, and
3) that every reappropriation is made in accordance with provisions and under proper
rules.
The PAC also examines the alrdit report of the Comptroller & Auditor-General. In this
work, the Comptroller & Auditor-General acts as its friend, philosopher and guide.
The PAC can send far records, papers and persons. To expedite matters the PAC
works through committees and submits its findings and recommendations to
Parliament in the form of a report. By convention, the recommendations of the '
Committee are accepted by the Governmenr.
A valid criticism of the PAC is that its investigatiofi is in the nature of a postmortem
examination. Nevertheless it is desirable and useful work. The very fact that such a
scrutiny will be conducted acts as a deterrent to negligence, waste or slackness of the
executive.
There is a PAC in each of the states as well.
Accountnbility
The Estimates Committee : The Indian Estimates Committee is modelled on that of
Britain which is now known as the Expenditure Committee. We have such an E st'lmates
Committee at the Centre a i d in the states. The Central Committee has thirty Lok
Sabha members elected by the House itself according to proportional representation by
a single transferable vote. The Chairman is nominated by the Speaker. If the Deputy
Speaker is a member of the Committee he autoT ,tically becomes Chairman. The term
of office is only one year, but members are frequently re-elected.
The functions of the Estimates Committee are as follows:
a) To report what economies, improvements in organisation, efficiency or
administrative reform, consistent with the policy underlying the estimates, may be
effected.
b) To suggest alternative policies in order to bring about efficiency and economy in
administration.
c) To examine if the money is well laid out within the limits of the policy implied in the
estimates.
d) To suggest the form in which the estimates shall be presented to Parliament.
Thus it would be seen that the functions of the Indian committees are wider than its
British counterpart in that the latter cannot suggest alternative policies, but are not as
comprehensive as those of the appropriation co~nmitteesof the U.S. Congress.
The main stages in the working of the Estimates Committee are collection of material
on the selected estimates for investigation, issuing of questionnaires to the concerned
ministries and departments, recording of evidence of official and non-official witnesses,
discussion in the Committee, preparation of draft reepQrt, discussion of the draft report
with the principal officials of the ministries and departn~entsconcerned,finalisatian of
the report and its submission: The report usually contains reconlmendations for
improving the organisation, for securing economy and for better presentation of the
estimates. The recommendations are generally accepted by the Government. The
Estimates Committee works through sub-committees and study groups for a better
scrutiny of estimates. 'CJnfortunately, it does not have expert assistance as the Public
Accounts Committee has of the Comptroller & Auditor General. It is a layman's
Committee first and last, that can call for papers, persons and records.
The Estimates Committee has been criticised for diverting its attention from scrutiny of
estimates to review df policies and structure of departmental organisations . It is feared
that it is becoming rnore a fault-fincling rather than n fact-finding niechanism. But one
must not forget that the usefulness of the Committee lies precisely in its new role of
suggesting alternative policies. It makes for a thorough investigation and ensures
greater accountability.
Committee on Public Undertakings (CPU) : 'This Committee was set up in 1964 on the
lines of the Select Committee on Nationaliscd Industries set up in 1955 in Britain. The
CPU consists of fifteen members, ten from thc Lok Sabhn and five from the Rajya
Sabha elected for a year on the basis of proportiona1,representationby means of the
single transferable vote. Membership is for five years and one-fifth retire by rotation
each year. The CPU examines, (a) the reports ancl accou~ltsof public undertakings,
(b) the reports of the Comptroller & Auditor-General on public undertakings, .
(c) whether in the context of the autonomy and efficiency'their affairs are conducted
according to sound business principles and prudent commercial practices. The CPU
cannot discuss matters of government policy as well as matters of day-to-day .
administration.
The CPU is essentially a fact-finding body and helps Parliament in ensuring
accountability of public undertakings.
Administration is subject to judicial control exercised by the courts best described as

; juicial~remedies.
1

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the following:
1) Judicjal review of administrative acts and decisions i.e., the power of the Court to
'hold any law or executive order unconstitutional on the ground that it is in conflict
with the Constitution. There are great variations in the pattern of judicial review
from country to country. In Britain, Parliament is supreme and judicial review does
not extend to all administrative acts. In India and U.S.A. the doctrine of judicial
review is in vogue.
2) Statutory appeal : This is possible where the law itself provides that, in a given types
of administrative act or decision the aggrievedparty has right of appeal t o courts or
a higher administrative tribunal.
3) Suits against the government by a private party in torts or contracts. (A tort is a
wrongful action or injury for which a suit for damages lies).
4) Criminal suits by private parties against a public officer and civil suits against a
public officer for damages or on contracts made by him.
5) Extraordinary remedies in the form of writs of various kinds.
Mention must also be made of administrative tribunals seen in India and other
countries, There are "administrative courts" outside the ordinary court system which
constitute a system of adjudication. The agencies for administrative adjudication afe
not only tribunals but could be the minister himself or the head of the department or a
special committee or commission. Thus administrative authorities exercise
quasi-judicial power in the process of resolving disputes between a private citizen and
the state. The Administrative Tribunals are cost-effective expeditious, accessible, and
free from technicality and knowledgeable. They have their demerits too in that they
may not observe uniform procedures thereby making decisions that are arbitrary. But
. these tribunals have come to stay and go a long way in making officials accountable and
responsible for their actions.
36.6 ACCOCTNTABILXTY AND ETHICS IN

ADMINISTRATION
In this unit, the emphasis has been on administrative accountability. Undoubtedly, a
civil servant is accountable to Parliament through the minister. But in his daily work, in
the secretariat, he is accountable to his immediate superior. Annual confidential
reports are an important means of holding officials accountable. From time to time,
review of work is undertaken by the secretary or minister. It is through such reviews
that field administration is held accountable to the ministry.
Of all the methods of holding administrators accountable, none is more effective in the
long run than self-control or self-regulation. A public official will act correctly if h e .
'
wants, he cannot be forced. This is so important considering the fact that despite rules
and regulations which civil servants must adhere to, there is still a wide area of
administrative discretion. It is here that ethical standards come in. There must be that
"inward sense of personal obligation" that assumes that officials have ethical values
and professional standards to guide them. People expect publid servants to have higher
ethical values than businessmen because public service is a public trust and there is the
sanctity of public office. Public officials can render a good account of themselves if they
do not lose sight of the ethical dimension. But standards of ethics are not likely to be
higher than those of the community to which civil servants belong. Moreover, Public
Administration functions in a political context and self-regulation is limited by that fact.
An interesting device in Scandinavian countries is that of the Ombudsman. This official
occupies a position of high prestige in government 2nd his job is to handle complaints
of citizens against public officials. The Ombudsman idea has caught on in Britain,
Europe, Communist countries and even India. .+-.
TheIndian counterpart of the Ombudsman is theLokpal who is t o look into complaints

against administrative acts of ministries and secretaries at the Centre and in the states.
56 The Lokayuktas are t o be appointed in each state and one at the Centre to ldok into

complaints of maladrni.nistration in other governmental agencies. The draft Lokpal bill Accountabillly
, . I .
is yet to become a law.
- . _
Check Your Progress
_... 4
~ 6 t :e i) Use the space below for your answers.
ii) Check yours answers with those given at the end of the unit.
1 a) The ............................... examines the Audit Report of the Comptroller &
Auditor General.
b) The ...............................is modelled on the British Expenditure Committee.
c) The ..............................is essentially a fact-finding body regarding public
undertakings.
d) The .......,......................conducts a postmortem examination.
e) Judicial review is in vogue in ............................. and .............................
f) The ............................is exclusively a Committee of the Lower House.
1 g) The Ombudsman idea in India is seen in the offices of the .............................
/ and ...............................
h) Administrative tribunals undertake .. ..;. ... .,....................
2 Why is ethics important in administrative accountability?
36.7 LETtUSSUM UP
Accountability is at the heart of every government and is the hallmark of democracy. It
implies holding officials responsible for their lapses or positively speaking, for
achieving results. One can talk of kinds of accountability such as political or
administrative. Financial accountability is a vital component of accountability. The
legislature expects financial cor~trolto be exercised'within the executive through the
Finance Ministry and the heads of departments. Parliament as the watch-dog of the
people takes care of financial accountability through an independent audit and its
financial committees. Accountability is ensured through the judiciary as well. In the
ultimate analysis, accountability demands that Public Administration is not only
efficient, but above all ethical.
36.8 KEY WORDS

Appropriation : An autl~orisedsum which may be expended within a fiscal period for
specific purposes by a unit of govt., in a manner determined by legislature.
Convention : Established by accepted usage o r general agreemeqt
Endorse : Confirm
Erring : Incorrect.
Guillotine : Method of preventing delay in Parliament by fixing time for voting on parts
b
of bill.
Ombudsman : An officer of Parliament or any designated authority independent of the
executive who investigates complaints of citizens regarding unfair treatment to them by
govt. departments and suggests remedies to justified complaints. .
Rap : Criticism
Reprehensible: Blameworthy

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Concepts in Organisntions III
36.9 SOME USEFUL BOOKS !.
Cross J.A., 1970. British Public Administration; University Tutorial Press Ltd. :
London.
Dimock, M.E., and Dimock, G. O.,1975. Public Administration, 3rd Edition; Oxford
and IBH Publishing House: New Delhi.
The Indian Journal of Public Administration: Special Number on Administrative
Accountability. July-September, 1983. Vol. XXIX No. 3

EXERCISES
1 a) See Sec. 36.2
b) See Sec. 36.2
2 See Sec. 36.2
1 See Sec. 36.4
1 a) Public Accounts Committee
b), Estimates Committee
c) Committee on Public Undertakings
d) Public Accounts Committee
e) India and America
f) Estimates Committee
g) Lok Pal and Lok Ayukta
h) Quasi Judicial function
2 See Sec. 36.6

UNIT 37 CITIZEN AND ADMLNISTRATION
Structure
37.0 Objectives
37.1 Introduction
37.2 Relationship Between Citizen and Administration
37.3 Citizen-Administration Alienation
37.4 ChannelslInstitutional Device for Redressal of Citizen's Grievances
37.5 Redressal through ParliamentILegislature
37.6 Judicial Remedies
37.6.1 Public Interest Litigation
37.6.2 Administrative Tribunals
37.7 Problems of Corruption in Administration
37.8 Ombudsman
37.8.1 Lok Pal
37.8.2 Lok Ayukta
37.9 Redressal Machinery in MinistricsDepartments
37.10 Conclusion
37.12 Key Words
37.13 Some useful Books
37.0 OBJECTIVES
This Unit deals with the important issue of relationship between the citizens and
administration, factors responsible for their alienation, difkrent avenues/institutional
devices available to the citizens for redressal of grievances against administration.
After you have read this unit, you should be able to:
explain the relationship between citizen and administration
e discuss the factors responsible for alienation of citizens from administration
describe the existing channels-legislative and judicial for redressal of citizens
grievances against administration -,
analyse the problem of corruption in administration and the role of Central
Vigilance Comn~issionin maintaining integrity in administration
@ explain the importance and functions of Indian Ombudsman Lok Pal and Lok Ayukta
discuss the redressal machinery functioning in various MinistriestDepartments.
37.1 INTRODUCTION
In a democracy, the task of Public Administration is to serve the people. Commitment
to the ideology of democratic Welfare State throws new tasks and it adds to the
expanding responsibilities of the government, This is a phenomena observed, in most
of the countries in the world today. In modern Public Administration two noticeable
issues have emerged in recent times. Firstly, there has been a large growth in the size
of governmental administration as well as vast expansion in its powers and activities, ,, 3%
I
Secondly, in the wake of spread of general education, political and social awakening, , ' )
, there has been a rise in the expectations of people from administration.

Of late, the issue of interaction and relationship between the citizens and
Administration has become a focal point of discussion among the politicians,
administrators, jurists etc. Though ideally speaking, the interaction is suphosed to be
trustworthy and fu~.nctional, in reality, it is seen that this is always plagued by conflicts,
stresses and strains.;.Citizens grievances against administration are on an increase and
at the same time concerted efforts are being made by the government to reduce the
growing discontent among the citizens by providing various channels for redressal of
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Concepts in Organisatlons III
Here, we shall discuss the relationship between the citizens and administration, factors
responsible for citizens grievances against administration, existing channels/rernedies
I available to the citizen for redressal of grievances, other innovative measures that are
being taken to strengthen the status of citizen vis-a-vis the growing powers of the
government and administration, with special reference to India.
37.2 RELATIONSHIP BETWEEN CITIZEN AND

ADMIINISTRATION
The modern State has to undertake not only regulatory functions in the form of
maintenance of law and order, but also has a more positive role to play. It has the major
responsibilities of providing major amenities of life education, health, wider
employment opportunities, improved means of transport etc. All this affects the
individual and collective life of a very large numbers of people concerned. There has
been a tremendous increase in the points of interaction between the administration and
citizen. ~ e n c e ' t h pattern
e of relationship between the administration and citizen is
becoming increasingly complex in nature and larger in scope.
~ e f o r the
e advent of the democratic Welfare State, during the British period, public
opinion was not reflected at all in the administrativesystem. The pattern of relationship
between the citizens and administration was characterised only by limited interactions
with certain administrative departments. The concept of ruler and the ruled mastered
the philosophy of British administration. So long as the citizen respected the public
order by obeying the laws and paid his tgxes regularly, his contacts were only with
specific departments of the government. The administration also kept the citizen
informed only about certain major decisions which it considered desirable.
This limited relationship has undergone a change with the progressive growth of the
developmental and welfare role of the modern State. With this transformation of the
work of administration to achieve new and positive objectives, it has become now
absolutely essential that the administrator should have a spirit of service to the
community. You are aware that administration is there to cater to the needs of the
people. The main objective should be promotion of citizen satisfaction, just as the
concept of consumer satisfaction governs the production and distribution of goods, in
economics.
In practice it is seen that the administrators continue to~beauthoritative, paternalistic
and the relationship between citizens and administration seems to have changed
outwardly and not in spirit. The citizen feels frustrated, dissatisfied, unhappy in his
dealings with the administration. The expansion of bureaucracy and multiplication of
administrative processes have led to increase in opportunities for abuse of power and
discretion. The impact of administrative standards and behaviour on the citizens and
reasons for this will be discussed in the next Section.
37.3 CITIZEN-ADMINISTRATION ALIENATION

As said earlier, the citizen in day to.day life is constantly interacting with
administration. The purposes of contact with an administrative department or agency
may be for varied purposes, for example may be for getting general services like water
supply, electric connection, health services or for some general support and guidance
or for securing specificindividual assistance like loans, seeds, fertilisers etc. and so on.
The increase in the occasions for such contacts is directly proportional to the increase
in governmental controls and regulations. It can be said that much of the
administrator's image is made or narrowed down during such contacls. As has been
pointed out by Jagannadhan and Makhija, "much of the administrator's image is made
or narrowed during such contacts. An air of conceit or arrogance, a show of irritation,
misdemeanour, lack of proper response, a tactless 'no', procrastina.tions and delay, all
these may contribute to tarnish the image of administration in the e.yesof citizens"
There are certain factors which are responsible for alienation of citizens and
administration, This could be due to individual human factor, or in[ the ~r~anisatiiinal
.
.I, . , '
structure as such, or in the systems and procedures which guide the working of
administration. Discontent among the citizens which is due to the result of a wide
disparity between the performance of administration and popular expectations has
become a normal feature. This discontent often takes the form of grievances. This
means "a ground of complaint; a condition felt to be oppressive or wrongful". At times
citizens have grievances against the policies of the government as such if they affect the
interests of any organised sections of the society. But such grievances can be tackled,
by bringing pressure on the government through various means lo change or modify the
policies.
Another general feeling which persists among the people is that the policies are not
being implemented properly. Administrative procedures, are found to be
cumbersome, or the processes of administration found unjust. Yet another important
problem is the deterioration in the standards of honesty and integrity in both, politics
and administration due to corruption. Rigid observance of rules and regulations, non-
acknowledgement of complaints, representations from citizens, inordinate delay in
disposal of various matters account for lack of faith of public in administration.
According to Mohit Bhattacharya, the general perceptions of the people about
administration include:
a) unhelpful attitude of officials especially lower level functionaries
b) citizens' ignorance about procedures involved in getting things done .
c) inordinate delay and waiting period
d) favouritism in administration
e) corruption anlong officials
f) reliance of middlemen to get things done
g) rich-poor discrimination in administration : the rich having access to administration
and the general tendency of officials to avoid the poor and underplay their needs and
interests.
W.A. Robson says, "In mind of average citizen, bureaucracy still suffers from
traditional defects associated with it. These are an excessive sense of self-importance on
the part of officials ............. or an undue idea of the importance of their Office, an
indifference towards the feelings or the convenience of the individual citizens, mania
for regulations, formal procedures .... a failure to recognise relations between the
governors and the governed as an essential part of democratic process". But if citizens'
dissatisfaction with the administration is allowed to mount up, it is likely to add to the
already existing social unrest and tensions. Also the cooperation of citizens in various
developmental activities of the government is affected. Hence, keeping all these
consequences in view, concerted efforts arc being made for providing propcr
machinery at all levels of the government for the redressal of citizens' grievances.
In India the Administrative Reforms Commission in its interim report on problems of
redress of.citizens' griveances has remarked that if in the prosperity of the people lies
the strength of a government, it is in their contentment that lie the security and stability
of democracy.
37.4 CWANNELS/INSTITUTIONALDEVICES FOR

REDRESSAL OF CITIZENS' GRIEVANCES
Till now, we have discussed the changing patterns of relationship between the citizens
and administration, factors responsible for their discorltent with administration. As
said earlier, with the expansion of governmental activities, bureaucracy has become all
pervasive. At the higher levels in government also, the problems of citizen
administration have attracted the attention from time to time and Committees and
Commission have been set up to deal with them. For instance, in India, the Santhanam
Committee on Prevention of Corruption set up in 1962, was of view that the
discretionary powers exercised by different categories of govcrnrnent officials opened
up "scope for harassment, malpractices and corruption" in the exercise of those
powers. The Adminictrative Reforms Commission also took note of the complaints of
public about corruption in administration and existence of widespread inefficiency and
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Concepts in Organisations
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the unresponsiveness of administration to publicneeds. In such conditions, what can a
citizen do, when the administrator does not deal with him fairly or legitimately. A need
is felt, forhaving proper channels for redressal of citizens' grievances and also creating
effective institutional mechanisms to keep the bureaucracy in check and make
administration responsive to the needs of the public.
In a democracy, elections are instruments of control in the hands of people. The right
to.franchise guaranteed to the citizens is a powerful weapon, that can be used by the
people to vote out of power the ruling party that does not reach its expectations. As this
can be exercised only once in five years, it ddes not help in immediate resolving of
problems faced by citizens.
In India, there are mainly three important channels or methods through which citizens
can exercise control over administration. These are legislative, judicial, administrative
devices. Apart from this, to deal with administrative corruption and to redress citizens'
grievances, certain instituti~naldevices have been evolved like the Central Vigilance
Commission, Lok Pal and Lok 4yukta etc. We shall discuss about these in the following
sections of this Unit.
37.5 REDRESSAL THROUGH PARLIAMENT/

LEGISLATURE
It is an important feature of modern parliamentary democracies that people consider
Parliament/legislature as an important forum for the purpose of redressal of citizens'
grievances. The Indian Parliament has served as a useful forum for discussion of
complaints affecting alarge group of citizens. Even at the State level, citizens resort to
intervention by the legislature in speedy redressal of complaints. The
parliamentary/legislative channels of redressal include questions, special discussions,
adjournment debates, legislative committees etd. We shall discuss in brief now, about
some of the important devices.
a) Parliament Question : In a parliamentary form of government, the question hour.is ,.
the occasion, which pravides opportunity for the people's representatives to highlight
the shortcomings of the functioning of the government. Wc see, that when Parliament
is in session, questions relating to many issues affecting the public like police excesses,
tortures are raised, through questions. During the question hour, any question can be
asked by the member in ParliamentLegislature seeking information on any matter. It
is an important device for ventilating the grievances of the community and these can
relate to national or state issues or matters of loch importance.
b) Special discussions : It is through this that administrativc lapses, cases of
maladministration, irlefficient functioningiare brought to light on the floor of
Parliament.
c) Calling Attention Motion ! This is an important device through which the attention
of a Minister is drawn to a matter of urgent public importance. This helps in eliciting
information on various issues and exposure of lapses in various governmental activities.
Apart from these, the public grievances are also ventilated in debates on the budget 11nd
policies criticised through various motions and resolutions. There is also a Committee
on government assurances, functioning since 1953, which pursues the assurances given
by the Ministers on the floor of the House and reports about their implementation to
the Parliament. Apart from this, there is also a Committee on Petitions, which
examines petitions submitted to the Lok Sabha and refers these to the rclevant
Ministries and Departments for enquiry. This helps in focusing the attention of the
government on matters of public importance $0that quick action can be taken.
The efficacy of some of the above-mentioned legislative devices lies in the fact that
' these canbe utilised only when the Parliament is in session. Also individual grievances
cannot be raised unless they involve-a quFstio'n of general policy
..
Check Your Progress 1 . - ,
ij) Check yours answers with those given at the end of the unit;

-.

1) Why has thew been an increase in interaction between citizens and administration Citlzen and Administration
in recent times?
2) With the advent of modern Welfare State, what type of change has occurred in the
pattern of relationship between citizens and administration?
3) List a few factors responsible for the growing discontent of citizens with
administration.
4) What do you understand by question hour?
5) Which one of the following devices draws the attenti011 of Minister towards a matter
of Public importance'?
a) Special discussions
b) Budget discussions
c) Calling Attention Motion
d) Meetings of Com~nittccof Petitions
37.6 JUDICIAL REMEDIES

- There has been a phenomenal increase in the activities of the State, which has conferred
exe~utivepowers, authority and discretionary powers on the administration. This

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Concepts in Organisations -
emphasises the need to protect the rights of the citizens against arbitrary administrative
actions. Judiciary plays an important role in protecting the rights of citizens. According
t o L.D.White "the system of formal external control over officials and their acts
falls primarily into two main divisions-thatexercised by the legislative bodies and that
imposed by Courts. The purpose of legislative supervision is principally to control the
policy and the expenditure of the executive branch, the end sought by judicial control
of administrative acts is to ensure their legality and thus t o protect citizens against
unlawful trespass on their constitutional or other rights". Most of the citizens
grievances are due to the exercise of discretionary powers by the administration.
Judiciary interferes with administration if any official acts in contravention of the scope
of his authority o r if he misinterprets law and causes injury to any citizen. Cases of abuse
of power o r irregularities of procedures, also come under its purview.
Judicial intcrver~tioncan be in the form of suing tlie government or public official
concerned against whom the citizen has any grievance. Judiciary has the power of
examining the legality and constitutionality of administrative actions with regard to
their scope and form. The courts, then pass appropriate order o r direction to enforce
the right of an aggrieved person. But only such type of cases can be referred to the courts,
where any administrative action is alleged to be malafide o r has bcen exercised in excess
of powers given to the administrative authority or inconsistent with the constitutional
provisions or law.
Certain actions of administrative authorities can be challenged for damages: where the
illegality o r unlawful act committed can be challenged as civil wrong.
Extraordinary Remedies
These are in the form of writs issued by the courts to protect the rights of citizens
violated by the government o r public officials: A writ is an order of the court enforcing
compliance on the part of those against whom it is issued. ~ h e s include:
e
a) Habeas Corpus : This is an order which is used by the Court against a person who
has detained any other person unlawfully or illegally t o produce before the Court
and submit to its order.
b) Mandamus : This is command issued by the Court asking a public official or any
inferior Court o r any authority to perform legal duties.
c) Prohibition : This is a writ givcn against any lower Court, tlot to d o any acts in excess
of their jurisdiction.
d) Quo Warranto :The Courts, through the use of this wrlr enquires into the legality
of claim of any person t o public office.
e) Certiorari : It is a writ issued by a superior to an inferior court, requiring the
certification and re{urn t o the former of some proceedings then pending o r in cases
where procedure is not according to the course of the common law.
But there are certain liniitations of judicial control. All ad~ninistrativeactions do not
come under the purview of judicial control and judiciary intervenes on requests made
by the aggrieved persons. Also the judicial process issaid t o bc slow, cumbersome and
expensive.
37.6.1 Public Interest Litigation

A useful judicial innovation in Indiaawhich has developed in recent times is public
interest litigation. This has been a progressive trend in judicial remedies against
citizens' compialnts not only in our country, but also in various other countries like the
U.S.A. and U.K. The Supreme Court in 1978, has propounded a liberal view of
standing s o as t o provide judicial redress for public injury arising out of any breach of
public duty or from violation of the Constitution. Complaints involving
maladministration, like patients not getting proper medicines in government hospitals,
inefficient administration of prisons, failure of administration in chccking
environmental pollution, irregularities in the administration of educational institutions
etc,, are being challenged under the category of public interest. The rules of the
Supreme Court which were revised, to bring in this provision, facilitates any citizen or
group of citizens to appeal t o the Court, on behalf of any group of peoplc affected by
any act of government. So even if the citizen himself has no personal conlplaint against
the administration, he can still lodge a complaint against administrative injustice which
according t o him is being done.
Justice ~hagwati'hassaid that since in India access to justice is restricted by social and Citizen and Adminbtration
restraints, it is necessary to democratise judicial remedies, remove technical

barriers against easy accessibility to justice and promote public interest litigation, so
that the large masses of people belonging to the deprived and exploited sections of the
humanity may be able to enjoy the socio-economic rights granted to them and these
rights may become meaningful for them instead of remaining mere empty hopes. In his
view, "if public duties are to be enforced and social, collective, diffused rights and
interests are to be protected, we have to utii~sethe initiative and zeal of public minded
persons and organisations by allowing them to move the Court and act for a general or
group interest even though they may not be directly injured in their own rights."
So far as India is concerned, to fight the maladministration in the country, such a liberal
rule of standing is essential so that public spirited persons and bodies may come forward
and through the courts expose maladministration o r vindicate some cause. An example
of Public Interest Litigation is furnished in a case.which occurred in 1982 (Munna vs.
State of U.P.) where a writ petition filed in the Supreme Court by a social worker who
sought relief in respect of certain juvenile under trial prisoners. The petition was based
on serious allegations made in a newspaper report about the maltreatment of children
accused lodged in Kanpur Central Jail. The Supreme Court gave.directions in this
matter. This policy has tended to provide additional protection and securing social
justice to citizens in India especially to the poor and illiterate.
37.6.2 Administrative Tribunals

Besides the regular Courts of Law, in some countries, administrative courts and
tribunals are functioning to deal with the complaints lodged against administrative
action. For example in France, administrative Courts are there to deal with dispules
between the administration and individual citizens wherein public officials performing
any acts in thcir official captteity which has affected any citizen, are sued. Here
decisions are taken as promptly as possible; it is less expensive than ordinary courts and
is considercd an effective devicc for prompt redressal of grievances.
In India, there are Administrative Tribunals established under various Acts to deal
with specific kinds of citizens' grievances. Some of these Tribunals include Industrial
Tribunals, Income Tax Tribunals, liailway RatesTribunals etc. These Tribunals which
adjudicate upon disputes between the citizens 2nd administrative agencies are said to
be inexpensive, efficient than ordinary courts and being headed by experts are
equipped with greater technical knowlodge. Thc tribunals perform quasi-judicial
functions whereas a Court exercises only judicial funclions. They are administrative
authorities performing judicial functions. For example, matters like determination of
electiondisputes, assessment of tax, adjudication of industrial disputes etc, are dealt by
the different typcs of tribunals.
Apart from the redressal machinery which would look illto the citizens' grievances
against administration, a need was also felt for creation of machinery which will deal
with the service matters oS government en~ployees.With this objcctive in view, the
Administrative Tribunals Act 1985was passcd. This provided for setting up of Ccntral
Administrative Tribunal to provide speedy and inexpensive relief to the government
employees. Administrative Tribunal will deal with the sei-vice matters of persons of All
India Services whereas State and Joint Administrative Tribunals deal with the service
matters of persons of Slate Services.
The tribunals have been set up only in a few areas of economic admiaistration. The
ARC Study Team on Administrative Tribunals has urged that the system of
administrative tribunals should be extended to cover scveral new areas, as review of
administrative decisions by an agcncy outside the aclministrative apparatus will bring
the required relief to the citizen.
In India, very recently a new approach for dealing with disputes between citizens and
administration has been adopted in certain departments. Lok Adalats (Peoples Courts)
have been set up to deal with the ordinary complaints of citizens, against
administration. Apart from the simple and inexpensive procedures followed, this helps
in quick dispersal of complaints like pension, utilities, telephones, compensation
claims etc. In case the decision of Lok Adalat is not acceptable to either the citizen or
administration, the matter may be taken up to the regular Courts of law.
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Concepts in Organhtions III
37.7 PROBLEMS OF CORRUPTION IN
ADMINISTRATION --
The problem of corruption in administration is as old as administration itself. The vast

expansion of governmental tasks has resulted in multiplication of volume of work,
where administrative power and discretion are vested at different levels of hierarchy.
Proper exercise and supervision of such powers would not lead to the infringement of
civil rights or liberties of citizens. But since no administration is perfect, there is always
arbitrary exercise of such powers. The Law Commission pointed out in its fourteenth
report that there is a vast field of administrative action in India where authorities may
act outside the strict scope of law and propriety without the injured citizen beingdn a
position to obtain effective redress.
- Keeping in view the increasing malpractices and corruption in administration in 1962,
the Central Government appointed a Committee on Prevention of Corruption under
the Chairmanship of K.Santhanam to review the existing arrangement for checking
corruption in the public services and to suggest remedial measures. This Committee
created in the Government greater awareness of the extent of prevalence of corruption
in administration at all levels. It was of view that it would not be possible to completely
eliminate discretion in the exercise of powers of administration but there is a necessity
to devise adequate methods of control over exercise of discretion. This Committee in
its report gave special attention to create a machinery in government which would
provide quick and satisfactory redressal of public grievances.

A special machinery, on the basis of the Committee's recommendations, was created
in the form of Central Vigilance Commission to deal with grievances of citizens
involving corruption and lack of integrity on the part of government servants. The
Commission is headed by Central Vigilance commissioner who is assisted by
secretarial and technical staff.
The jurisdiction and powers of the Central Vigilance Commission extends to matters
relating to executive powers of the Central Government. It undertakes an inquiry or
investigation in matters of corruption, misconduct, any type of malpractices on the part
of public servants: The Commission receives complaints from individual persons and
also from other sources like press reports, audit reports, reports of parliamentary
committees etc. On receiving the complaints, the Commission may entrust the matter
for enquiry to the concerned administrative MinistrylDepartment or may ask the
Central Bureau of Investigation to investigate the matter. The role of the Commission
is advisory in nature and is responsible for advising the MinistriesIPublic Undertakings
in respect of all matters pertaining to maintenance of integrity in administration.
In order to strengthen the vigilance organisation in each MinistrylDepartment, an
officer is designated as Chief Vigilance Officer. He is responsible for coordinating and
guiding the activities of other vigilance officers in his MinistrylDepartment. All Public
Sector Undertakings and Munici'pal Corporations have vigilance set up in their
organisation.
37.8 OMBUDSMAN
A s discussed earlier, with the advent of Welfare State, administration has come to play
a decisive role in influencing and shaping the socio-economic order in the society of
today. I t cannot be denied that vesting of vast powers in the administration has given
way to abuse and misuse of powers, maladministration and corruption. You have read
earlier about legislative and judicial channels through which an aggrieved citizen can
secure redressal of grievances. But there are certain limitations of these methods, like
for example, the tedious and lengthy procedure, involved in Court methods. Similarry,
thebparliament also cannot directly control the administration, except that the members
pressurise the ministers with their demands or complaints.which are directed,to the
concerned department. Hence a need was felt jn many countries for the creation of an
independent institution which would supplement the efforts of the already existing
machinery in meeting the demands of the citizens and ensure them an impartial and
clean administration.
--
The institution of Ombudsman was created in Sweden in as early as 1809, for the redressal Citizen and Administration
of citizens grievances, followed by Finland, Denmark, Norway, New Zealand, England
and India. Ombudsman, a Swedish word, stands for an officer who is appointed by the
legislature to deal with complaints against administration and judicial actions. The
ombudsman generally takes up cases not only on the complaints made by those affected
by administrative decisions, but also can investigate on his own. As an impartial
) investigator, the ombudsman makes investigations, collects the facts objectively and
, reports back to the legislature. 111Britaitl also, in 1967, the Office of Parliamentary
Commissioner was created. The maill task of the Commissioner is to investigate the
complaints of citizens against maladministration by government departments in the
exercise of their administrative functions. The Parliamentary Commissioner has a
status similar to that of the Comptroller and Auditor General of India. An important
feature of the officeis extension of jurisdiction of the Conin~issioncrto investigate casls of
maladministrat'ion on thc part of local authorities, Hospital Boards, natiorialised
industries and armed forces etc. The reasons for taking recourse to ombudsman in
many countries, in recent tirnes, is the growing dissatisfaction of the people regarding
lack of sensitivity, efficiency, fairplay on the part of public officials and due to
ombudsman's simple, and speedy method of handling appeals against administrative
actions.
In India, the Administrative Rcforms Commission which was appointed in 1966 to
make recornmendations regarding tlie reorganisation o l the administrative system in
the country, also dealt with the problem of citizens' grievances. It took note of the
oft-expressed public outcry against the prevalence of corruption, the existence of
widespread inefficiency and the unresponsiveness of administration to popular needs.
Keeping in view that the normal means of ventilation of grievances i.e. the courts,
legislatures, administrative tribunals etc. are not able to satisfy the citizens, the
Comnlission recornmended the setting up of ombudstnan type of machinery. It finally
recommended that complaints against ministers and Secretaries to government may be
dealt with by an authority called as 'Lok Pal' and 'Lok Ayukta' at the Centre and States
respectively to deal with complaints against the administrative acts of other authorities.
37.8.1 Lok Pal

In India, efforts were made for creating an ombudsman type of institution at the
Centrc called Lok Pal. The bill was introduced for its creation in 1968 and 1977, but
both the times because the Parliament was dissolved, the schcme did not materialise.
But again in 3 985, the government put forth its intention to bring forward
legislation providing for the appointrncnt of Lok Pal to handle corruption cases against
Union Ministers. Like tlic previous bills, this also aimed to proyide the citizens with a
convenient and effcctive forum for speedy determination of complaints. Thc bill was
referred to a Joint Select Committee of Parliament for a more exhaustive study, the
report of which is awaited.
According to the provisions of tlie bill, complaints to the Lok Pal can be made by any
citizen other than a public servant and this could relate to any action done by Union
Ministers or Ministers of any State Government. The matter of complaint should not
be more than five years 01d:After the co~npletionof investigation the Lok Pal will
submit the report to the Prime Minister, if the matter relates to the Union Ministers and
in case of complaints against Ministers of any State, is to be submitted to the Chief
Minister.
The Lok Pal may refuse to proceed with an investigation if he finds that there are no
sufficient grounds for an investigation or the complaint is trivial or malafide or there is
an alternative remedy open to the complainl.
37.8.2 Luk Ayukta

While the institution of Lok Pal has to deal with complaints of citizens agaicstf"
Ministers, Lok Ayukta could be the repository of public faith and confidence against
corruption and maladministration in public offices in the country. It is a forum available
to the public to effectively ventilate their grievances, allegations against administrative
officialsand ensurcs independent and impartial justice against administrative excesses.
Lok Ayukta is appointed in the State, by the Governor in consultation with the Chief
Justice of High Court for a period of five years. The State of Maharashtra was the first,
to have appointed Lok Ayukta, to look into complaints against State Ministers,
-
Concepts la OganhUons UI Secretaries and other senior officers. This was followed by other States like Rajasthan,
Andhra Pradesh, Madhya Pradesh, Karnataka, Bihar btc. There is another person
designated as Upa-Lok Ayukta who deals with complaints against other officials. Lok
Ayukta o n conducting investigation of the complaints shall forward a copy of it to
concerned public servant and the competent authority. The time frame for compliance
with regard to report in case of an allegation, has been three months from the date of
report.
The effectiveness of this institution for undoing of any administrative injustice to the
citizen depends largely upon the calibre, competence, character of persons selected as
Lok PaIlLok Ayukta. This would help not only in prompt and proper handling of public
complaints and grievances, but also at the same time protect public officials in cases of
false or baseless complaints.
37.9 REDRESSAL MACHINERY IN

MNISTRIESIDEPARTMENTS
Now, we shall discuss about the redressal machinery which is present in some of the
Ministries(I3epartments dealing directly with citizens grievances. Keeping in view the
deficiencies in the functioning of public administration and with a vicw to strengthening
effective machinery for public grievances in organisations which have large public
dealings, a separate Department of Administrative Reforms and Public Grievances
was set up in March 1985. Grievance Cells have been ,set up in offices and departments
which have large public dealings, with a senior officer designated as Grievance
OfficerlDirector of Grievances. Steps are taken in dealing with public grievances in
different Ministries/Departments through regular meetings between the Department
of Administrative Reforms & Public Grievances and respective Ministries/
Departments
A number of measures were initiated towards strengthening of relationship between
citizens and administration. These include, providing on the spot redress of grievances
as far aspossible, provision of public assistance counters, streamlining/simplification of
work procedures etc. Efforts are made at the Centre and State Government levcls
towards activating public grievance machinery and also devising innovative methods
and procedures. Telephone Advisory Councils are formed,+vhcre representatives of
public and administration interact at regular intervals, which helps in solving many
problems. Similarly, in the Emigration Division of Ministry of Labour, a new device of
public hearing system has been in operation for the past few years. T o tackle the
problem of publicgrievances, thrice a week, public hearing is conducted where people
having complaints or problems approach the officials. It was observed that most of the
cases barring a few were disposed off quickly. In about 80% of the cases follow up
action is taken within 24 hours. Similar method was in practice in ~ k l hDevelopment
i
Authority (DDA) which receives a wide variety of complaints, as it has a virtual
monopoly over land management, house construction, planning and development of
metropolis. Similarly in many nationalised banks centralised customer services are set
up at various centres, which receive and look into the complaints made by the clientele.
against any of the banks.
At the State level also, necessary steps are taken for redressal of citizens' grievances.
Special Committees and Advisory bodies have been set up cpmprising the elected
representatives of the publicto deal with publicgrievances and provide redress. In the
State of Uttar Pradesh, a Public Grievances Directorate is set up directly under the
Chief Minister's Secretariat. In Punjab, for quick redressal of grievances, recently, a
new system has been introduced where the general public can approach the All India
Radio for specific grievance against the functioning of the government.
It d a y be mentioned that the importance of voluntary organisations is realised which
can supplement the efforts of the Government in bringing out suitable administrative
reforms and redressal of grievances. Standing Committees of Voluntary Agencies
(SCOVA) have been formed in some Departments like Health and Family Welfare,
Pension and Pensioners Welfare etc.
In recent years, media has come to play an important role in influencing public opinion
and building social awareness. Newspapers have become an important, pdwerful
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which focuses attention on contemporary issues whichhttps://t.me/Upsc_Zone_Official
are Citizen and Administrstion
followedup by the concerned administrative department. Many facets of law and order
~ituation,any arbitrary adpinistrative action, demands for better facilities etc. are
brought to the notice of the concerned authorities through newspaper reports. Apart
from Press, the T.V. and the radio also provide important avenues for getting to know
the reactions of citizens through the functioning of administration and also in the
redressal ~f grievances.
, $heck Your Progress 2

ii) Check your answers with those given at the end of this unit.
1 Habeas Corpus is a writ issued by the Court
a) asking a public official or any authority to perform legal duties
( b) enquiring into the legality of claim of any person to public office
c) asking a person who has detained any other person unlawfully or illegally to
produce before the Court
d) against any I?wer Court not to do any acts in excess of their jurisdiction
2 In Public Interest Litigation
a) only an aggrieved person can approach the Court for redress
b) Public officials can approach the Court for wrong allegations imposed against
them
c) only certain social welfare organisations can approach the Court for seeking
justice on behalf of aggrieved citizens
d) citizen as well as any public spirited organisation can lodge complaints in Court
against administrative injustice being done to other people or a group or a
community
1
f 3 Whar are the functions of Central Vigilance Commission?
4
............................................................................................................
4 The institution of Ombudsman was created first in

' a) Denmark
b) Britain
c) New Ze'aland
d) Sweden
5 What do you understand by the institution of Lok Pal?

............................................................................................................
37.10 CONCLUSION
With growing consciousness of citizens about their rights and privileges, we are
witnessing an increase in people's demands on administration. Although many efforts
are being made by the government to meet the demands, yet the wide gap which exists
between the expectations and performance gives rise to grievances. It is absolutely
necessary, that the concern for their redressal in any organisation should percolate

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Concepts in Oganlsations JD down to the lowest administrative units as the interface between administration and
people is more a t that level. Apart from strengthening the redressal machinery at all
levels it is essential that participative administration be encouraged which to certain
extent would lessen the frictions between citizens and administration. Also there is a
need to educate the citizens regarding their social responsibilities and also reorient the
attitude of the officials. A mere change in rules, regulations, procedures etc. is not an
end in itself. There is a need to change the administrators' attitudes in their dealings
with the people. Unless suitable attitudinal changes are brought about on a priority
basis, all other measures to deal with the problem of citizens' grievances will meet with
little success.
-
37.111 LET US SLTM UP , .
We have discussed the important issue of interaction between citizens and

administrati~n,which has increased in recent times due to the acceptance of Welfare
State ideology by the governments of many countries. The relationship which was
characferised by limited interactions in our country during the British period has
undergone achange with the expansion of governmental activities. In his day to day life
the citizen constantty interacts with administration for many services. But there are
several instances of citizens getting frustrated, dissatisfied with their dealings with
administration- There are many factors responsible for this like delay in transactions,
unhelpful, unresponsive attitude of administration towards citizens, corruption etc. A
need is felt to have proper channels and other devices through which the citizcn can
havqredressal of his grievances against administration. Parliament provides an
important channel through devices like Question Hour, Calling Attention Motion,
Special Discussions, etc. through which the problems of citizens can be brought to light.
Judiciary also plays an important role in democracy in protecting the rights of citizens
through judicial review, issuing various types of writs ctc. Public Interest
Litigation in securing social justice to the aggrieved citizens against malndrninistratiori
is a progressive trend among the judicial remediesavailable to the citizens.
We have examined the need for institutional arrangements to deal with corruptio~land
administrative injustice. The constitution of Central Vigilance Comrnissivn and
Vigilance Cells in various MinistrieslDepartments is another slcp in this direction. The
institution of Ombudsrnanin India in the form of Lok Pal and Lok Ayukta ensurcs a
certain degree of administrative efficiency in dealing with citizens' grievances fairly and
promptly. Further, administrative arrangements have been made in various Ministries
for prompt redressal of public grievances through grievance cclls, custumek scwicc
centres, public hearing system etc, which could help in sustaining public faith in
administration.
37.112 KEY WORDS

Alienation : Estrangement, keeping aloof
Ombudsman : An Officer of Parliament or any designed authority independent of the
executive who investigates complaints of citizens regarding unfair treatment to them,
meted out by government departments and suggests suitable remedy if the complaint is
justified.
Quasi-judicial functions : A n administrative authority performing functions of a Law
Court.
Writ : An order of the.Court enforcing action on the part of those against whom it is
issued.

Avasthi A & Maheshwari, S.R., 1984. Public Administration;Lakshmi Narain '
Agarwal: Agra.
Citizen and Adminktration
Barnabas, A.P., 1969. Citizens' Grievances and Administration;IIPA, New Deihi.
~hattacharya,Mohit, 1987. Public Administration-Structure, Process and
Behaviour;The World Press Ltd., Calcutta.
Chaturvedi T.N. & Sadasivan S.N. (Eds), 1984. Citizen and Administration; IIPA :
New Delhi.
Dhawan R.K., 1981. Public Grievances and the Lok Pal-A Study of Administrative
. Machinery for Redress o f Public Grievances;Allied Publishers Private Ltd.,
' New Delhi.
Malhotra M.L., Redress o f Public Grievances; Indian Journal of Public
Administration; V0i. XXXIV, No. 4, October-December, 1988.
Narayanaswamy R, Redressal o f Public Grievances;Indian Journal of Public
Administration, Vol. XXXII, No. 2, April-June 1986.
Saxena, D. R., 1987. Ombudsman (LOK PAL) Redress o f Citizel~s'Grievancesin
India; Deep & Deep Publications: New Delhi.
Shukla K.S. & Singh, S.S., 1988. LOk Ayukta-A Socio Legal Study (Ombudsman in
India); IIPA: New Delhi.

I EXERCISES
I1 See Section 37.2
I 2 See Section 37.2
; 3 See Section 37.3
4 See Section 37.5
5d
i- I c
2d
3 See Section 3717
4 d
5 See Section 37.8

Structure
38.0 Objectives
38.1 Introduction
38.2 Meaning and Definitions
38.3 Approaches to the study of Organisational Effectiveness
38.4 Determinants of Organisational Effectiveness
38.5 Organisational Development
38.6 Assumptions in Organisational Development Effort
38.7 Types of Organisational Development Interventions
38.8 Criticism
38.9 Let Us Sum Up
38.10 Key Words
38.0 OBJECTIVES
After reading this unit, you will be able to:
r understand the concept and importance of organisational effectiveness (OE)
* discuss the approaches to the study of organisational effectiveness
e understand the relationship between OE and organisational development (OD)
@ describe the meaning and definitions of organisational development
0 discuss the assumption of organisational development

* enlist the types of organisational development interventions
9 evaluate the concept of organisational effectiveness and organisational
development.
Organisations are like living organisms. They have their infancy, adulthood, maturity,
middle age, old age and finally decay. In case of organisms, death is certain after a
period of time, whereas organisations continue to exist for a longer period. For
example, the Roman Catholic Chruch is several hundred years old. Thus it is possible
to maintainorganisations for long time in future:
38.2 MEANING AND DEFINITIONS

Organisations are social units with a purpose. Normally there should be a purpose for
the birth of an organisation. Each organisation comes into existence with a purpose
specific to its genesis. For example we have a galaxy of organisations such as
governments, guvernment agencies, corporations, business organisations, universities, '
trade associations, trade unions, hospitals, schools, theatres;municipal corporations,

prisons, slaughter houses, professional societies and a host of several other bodies.
Each has its own purpose to live in the society. Organisational Effectiveness (OE)
refers to how well the purposes of an organisation are achieved. Thus, effectiveness
refers to the achievement of organisational purpose.
.TamesPrice defines organisational effectiveness as the degree of goal achievement. The
determination of an organisation's goal(s) is crucial in evaluating effectiveness, The
first step in the determination of goals is to distinguish between official and operative goals.
Official goals are those which are published in the key documents of the organisations
such as charters, laws and regulations and other official documents, mentioned in the
speeches and messages of key decision makers, and circulated in the public relations

Operating goals refer to those purposes which actually lead to the

achieven~e~lt of the real purposes of an organisation. One way of describing official and
orga~aisationalgoals is that official goals pay a lip sympathy to the purposes
of an orgarnisation, whereas operative goals really lead to the achievement of
organisational purposes.
Paul Mott gives emphasis to an organisation's ability to adapt itself to the changes in the
environment. Accordingly, there are two important factors in organisational
effectiveness, viz., capacity and capability in getting resources required for the
organisation:kl purl-jose; and capacity 2nd capability to change according to the
circumstances while participating in the process of resource mobilisation to achieve the
organisational purpose.
Chester Barnard made a distinction between effectiveness as an achievement of group
puqoses and efficierrcy as the extent to which the group provides satisfaction to the
members of the group, irm the context of organi~atitrnaleffectiveness. According to
Ch;tpman, effectiveness refers t o achievement of lower level goals in an organisation.
Johnson, on the contrary, opines that effectiveness refers to achievement of higher
level goals in an organisation. Others define effectiveness as the achicvcment of goals,
which contrifite to the overall objectives of the organisation t11ro~lgl-1optinlum
utilisation of resources. Thus, organisationaI effectiveness, as seen from the above
definitions is a function of achieving organisational goals. An eflective organisation is
the one which achieves thc goals continuously ovcr an indefinitely long time in future.
38.3 APPROACHES TO THE STUDY OF

BRGANISATIONAE EFFECTICVENESS
Organisational effectiveness as a concept and as a field of study, apears to be little
explored.
According to Evans:
"In short, only a relatively modest number of organisational studies have
focused or1 performance or effectiveness ;is a principal dependent variable. Sonie
researchers o n ~ i tlmis
t vari:thle inadvcrlently and others advertently. It is a
reflection on the state of tile art of this field that it has thus far failed to grapple with
such a funditrncntal variable as organisational cffectiveness"
Another trend is that researchers have emphasised on a few aspects of organisatiorlal
effectiveness. This has led to a situatioal where there are several competing approaches
to the study of organisational effectiveness. One more importiint feature is that there is
'hardly any agrecrner~lon what constitutes organisational effectiveness and how to
measure effectiveness of an organisation. The earliest models of organisational
effectiveness enlphasised single variables as measure of effectiveness. Prescnt day
models use more than one variable to determine organisational effectiveness.
Mulford and his associates have enlisted three approaches to the study of organisational
effectiveness, viz., (1)formal goal approach, (2)'kystem resource approach and
(3) systems :ippmach. Organisational effectiveness is seen as an accomplishment of
purposes and go:ils in the formal goal approach. Though, this is an accepted approach,
it has a number of limitations. Orgallisations have more than one goal and it is difficult
to identify and measure all the goals of an organisation. It is also difficult to measure
goal accomplishment, in view of the intangibility of some of the goals. The
administrators o r the people running the organisation usually view effectiveness in terms
of goal acconlplislament. Outsider's view organisatiormal effectiveness in terms of
contributio~lto the society. Thns resource mobilisation ar~dsocial contribution
constitute two yard sticks. Utimately, measurement of orgallisational effectiveness
depends upon the judgment of various stake holders in an organisation such as its
promoters, government, employees, input suppliers, customers; and the society in
general. Perron has iilentificd five such groups of stake holders and their expectations
from the organisation. They are given below:
1 Social goals : Society as the larger social system has certain expectations from the
organisations. For example, society expects better production and distribution of
goods and services, social responsibility, and maintenance of norms and values, etc.
from the organisaions.

-
Concepts in Organisations I ~ I 2 Output goals : Different consumer groups in the society expect different goods and
services as outputs from the organisation. Each group has its own interest in
particular goods and services. Hence each group presses for production of particular
goods and services, from the organisation.
3 System goals : This refer to the way in which an organisation is working, irrespective
of its relationships with various other organisations and stake holders. The emphasis
of the systems' goals are on growth, stability and productivity.
4 Product goals : Product goals refer to characteristics such as the qua lit,^, quantity,
range, variety, price, etc., of the goods and services;
5 Derived goals : Derived goals refer to the use of power and other resources of the
organisation whiIe accomplishing purposes other than its own goals. For example, an
organisation has other goals such as service to the country through rural
development, health and nutrition programmes, etc.
Though this classification will not solve the operational problems in measurirlg
organisational effectiveness, it provides a comprehensive view of organisational goals.
As on today, there is no agreement among social scientists on the criteria to be used to
measure organisational effccfiveness. The following table gives a list of criteria used by
different social scientists to measure organisational effectiveness.
Name of the Author Criteria for Organisational Effectiveness
1 Warren Bennis Adaptability in changing environment.

2 Basil Georgopoulous Productivity in terms of more output.
3 Daniel Katz and Robert Kahri- Control over environment, growth.
4 James Price Adaptiveness, institutional development
through productivity.
5 John Chold Organisational growth.
6 Webb Cohesion, efficiency.
7 Seashore Resource mobilisation.
38.4 DETERMINANTS OF ORGANISATLONAL

EFFECTIVENESS
What determines the organisational effectiveness is a question that may be bothering
you. Social scientists are divided in their answers to this question. According to Mott,
the determinants of organisational effectiveness are of two types, viz., (a) Organisational
Characteristics; and (b) Behavioural characteristics. He believes that certain aspects of
narmative environment such as'objectives, roles, policies and procedures influence
organisational effectiveness. A strong relationship between functiunal integration and
effectiveness is possible. It is presumed that effective individuals working as groups can
build up effective organisations. Another view point is that organisational structure
influences effectiveness. Some social scientists such as Reimann found a positive
relationship between decentralisation and organisational effectivcness. A good
integration of the organisation and the environment is found to be.a prerequisite for
organisational effectiveness. Organisational effectiveness as a multi-dimensional
concept is influenced by several variables. However, it is not possible to identify and .'
measure the extent to which organisational effectiveness is influenced by each factor,
Social scientists have found four important variables that influence the effectiveness of
an organisation. They are; (a) Organisation structure, (b) Environment,
(c) Technology, and (d) People. In other words organisational effectiveness can be
improved by strengthening these four important factors. This process is known as
organisation denebpment (OD).
,.,eck Your Progress 1

, /..
~ d t &i)- Use the space below for your answers.
ii) Check your answer with those given at the end of the unit.,

1 What is orgarlisational effectiveness?
............................................................................................................
............................................................................................................
............................................................................................................
2 Describe formal goal approach.
............................................................................................................
............................................................................................................
............................................................................................................
............................................................................................................
3 What are the criteria for measuring organisational effectiveness?
" ......".."""................. . . . . . . . . . . . . . . . . . . . . . . . . . V . . . . . . . . . .....................................

4 What factors influence organisutional effcctivcness?
38.5 ORGANISATIONU DEVELOPMENT

Organisations, due to various reasons ana,niost particularly due to thcir failure t o adopt
to the changing environmt;.,i, becomes sick and ineffective in course of time. Hence,
they need to be rejuvenated and revitalised. The process of rejuvenating organisations
is called organisational cl~:velopment. Warren Bennis was one of the ei~rliestwriters
who have recognised thc need for organisational dcvelczprnent as a method of
improvi~igorganisational effectiveness. There arc several nlethods of organisational

cwcepe10orgllnbatims - development. That is why organisational development is a flexible approach to
organisational effectiveness. According to Bennis, organisational development is a
complex educational strategy intended to change beliefs, attitudes, values and
structures of organisations so that they can adopt to new technologies, markets and
challenges and the dizzying rate of change itself. Beckhard described ~rganisation~l
development as a planned, organisation wide process of change aimed at organisational
effectiveness. French and Bell described it as a long term effort to improve an
organisation's problem-solving capabilities and its ability to cope with changes in the
environment. It refers to a planned system of changes introduced in an organisation to
energise its personnel, resolve conflicts, improve tasks and structures and thus finally
improve its effectiveness and performance.
French and Bell have enlisted the characteristic features of organisation development
'practices as follows:
a) An emphasis on changing the behaviour of groups of individuals working in an
organisation through suitable methods.
b) An emphasis on the work teams in an organisation as units of analysis, study and
research.
c) An emphasis on collaboration and cooperation while working with teams of people.
d) An emphasison involving the total organisation and its people in the organisational
development (OD) efforts.
e) Attention to administrative systems and practices.
f) Use of research findings to share with the people of organisation in which the
organisational developn~e~lt efforts are made.
g) Use of key persons with knowledge in organisational development to supervise the
programmes of development.
h) Organisational developmerlt is seen as a continuing process rather than to solve
problems as and when they come to the surface.
Finally, the emphasis is on human and social re!ationsl~ipsto develop positive feelings
among people working in the organisation and thus leading towards organisational
effectiveness.
38.6 ASSCTMPTIQNS IN BRGANBSAT16)NAL

DEVELOPMENT EFFORT
While making efforts to improve the effectiveness of organisations, the practitioners of
organisational development depend on the following assunlptio~lsabout people and
groups:
a) People :There are two assumptions about people as individuals, viz.. (a) people
have a drive towards personal growth; and (b) people are capable of making higher
contributions to the orgnnisation. Regarding the first ass'umption, the organisation
has to provide conducive environment for the individuals to become what they are
- capable of. Coming to the second one, most people have treniendous potential to
contribute to organisationa1effectivcness. Organisations havc to raise this potential
for their long term growth and survival (in an indefinitely long time in future). Most
often people in organisations, use their potential for cross purposes, thus
contributing to inefficiency in the organisation. The people making organisational
development efforts have to keep the above aspects in mind.
b) Groups : People give a lot of importance to work groups. Thc type of things that
happen in work groups have a lot of significance to people. Most people feel that
they should be accepted and admired by others in the work groups. People can
contribute towards resolving conflicts in the work groups. Forrnal leaders of work
groups cannot be effective in all times in all circumstances. Hence they have to
dependon other members. When there is cooperation from other members,it leads
to organisational effectiveness.
Suppressed emotions and feelings among individuals adversely affect the
76 capabilities,skills and attitudes work group members. It requires careful handling

of people and.it
Downloaded has to https://t.me/Pdf4Exams
from:- be seen that they should not suppress their emotions, both Organisational Emeclivenesr
positive and negative for too long. It also requires open communication and trust
among people working in the organisation. Finally, most of the problems of the
organisations can be solved t h o u g h improved relationships among individuals and
groups. Though, individual is an important unit of work groups, the importance of
groups in an organisation cannot be underestimated.
c) People in organisations : A number of assumptions about people in organisations
are, given due weightage in organisational development efforts. A n administrator is
a part of a work group as a member and also as a superior. Thus he has an
opportunity to influence the attitudes and behaviour of people in organisations. In
addition, an administrator is a member of two work groups, viz., the one he is
leading and theone in which he is a peer among other administrators. For example,
a district collector is a head of administration at the district level; and at the same
time he is one of the collectors at the state level. It is believed that the administrator
tries to pass on his leadership style and culture from the higher level work group (in
which he is a peer) to the lower level work group (which he is leading). Another
assumption is that at times of conflicts, a person or a group wins. However, such
happenings are not beneficial in the intercsts of the organisation. Organisations
should create an environment where everyone feels that he is a winner.
Organisational development efforts need timc and practice. It is a long drawn
process.
38.7 TYPES OF ORGANISATHONAL DEVELOPMENT

INTERVENTIONS
As described earlier, organisational development is a flexible approach with a number
of interventions. We will discuss about some of the major interventions.
a) Diagr~ostic: This includes collection of data on the nature of the organisation and its
problems. Mcthods of data collection includes, interviews, questionnaires,
meetings, etc. This data is used in analysing the reasons for lack of effectiveness in
the organisation.
b) Team Building : Organisational Development depends on t l ~ cooperation
e and
communication among varioi~sworking members in the organis;~tion.'This rcquircs
leadership and communication skills on the part of mernbcrs of various work
groups. Hence, team building is a major organisational dcvclopment intervention.
c) Inter-group : Different groups in an organisation have differcrit views about cach
other. If it is made possible to develop positive feelings among thc people about each
other, it leads to effectiveness. 'This requires information sharing, resolution ot'
conflicts and openness in communication.
d) Survey Feedback : This is some what relatcd to diagnostic type activities. In stlrvcy
feedback, data is collected about the state of affairs in the organisation and that
information is discussed among the work groups in the organisat ion. 'Thc discussion
is followed by appropriate action to set the organisation right.
e) Education and Training : Educational and training programmes are arranged for
people working in an organisation to improve their skills; and influence their
attitudes. This is done to develop positive attitudes Lowards other people working in
the organisation.
f ) Structural activities : This includes rcorgntlisation of the entire organisation or its
departments to improve the effectiveness. Reorganisation also include,
reorganisation of technology, tasks and functions in the organisation.
.The concept of organisational effectiveness was mainly criticised on two grounds, viz.,
(a) Organisational effectiveness is a matter of larger system such as a nation; (b) lack of

-
Concepts in orgiisations 111 agreemefit on definition and measurement of organisational effectiveness among social
scientists.
According to oneview point, organisational effectiveness is a matter of effectiveness of
the large social system such as nation States. Organisation effectiveness is related to
national effectiveness. In the history of the mankind there has always been a rise and
fall of nations in terms of effectiveness. This rise and fall is influenced by the nature of
leadership, commitment and national interest of the people at the highest levels of
authority in government. That is why certain nations rise into higher levels of
effectiveness under certain leaders, circumstances and times.
Ahother view point is that there is little agreement on the definition and measurement
of organisational effectiveness, among social scientists. As Rosabeth Moss Kanter
mentions:
"some leading scholars have expressed impatience with the very concept of
organisational effectiveness, using researchers to turn their attention to more
fruitful fields."
There are too many terms which are used to denote effectiveness. These are growth,
productivity, results, performance, success, etc. Each word is again seen different]yby
different people. Above all, there is no equivalent term to "profit" in social sciences.
Profit is a term used in accountancy and it is un Jcrstood by all. Whereas there is no such
termin social sciences which can be understood by all. Profit is one term which denotes
organisational effectiveness. In the absence of a common measure, the whole concept
and discussion on organisational effectiveness becomes vague. This in brief is, another
criticism on the concept of organisationai cffectiveness.
C
Despite these criticisms, we cannot leave the organisations to the circumstances.
Moreover, these criticisms are more methodological than practical. Wc cannot wait for
the 'Golden agc' to come. Wc have to strive hard tomake our organisations effective
~ n purposeful,
d so that our nation will be effective.
..,
Check Your Progress 2 I
Note: i) Use tlle space below for your answers.

1 What is organisational development?
2 Discuss different types of organisational development interventions.

3 What is the major criticism against organisational effectiveness? Orgnnisational Effectiveness
38.9 LETT US SUM UP

Organisations come into existence with specific purposes justifying their birth. How
well an organisation achieves its purposes is known as organisational effectiveness.
Organisations can be maintained effectively over an indefinitely long period of time in
'future. The Roman Catholic Church is an example of a long standing organisation with
a purpose, living effectively in the environment. Organisational development efforts
are necessary to keep organisations effective continuously in the long term future.
Organisational development efforts include a wide variety of methods. Therefore,
people have a wide range of choices. In India organisational development efforts have
been used to improve the effectiveness of organisations. We have examples of
organisational development cfforts in post offices, public enterprises and government
departments. To be successful, organisational development efforts require the
cooperation of all the people working in organisations, commitment and support of top
decision makers, and time and patience of the organisational development experts and
all those concerned with organisational effectiveness. Though there is some criticism of
the concept of organisational effectiveness, we cannot leave our organisations to
circumstances. We have to strive hard for the success of organisations, which will lead
to the success of our nation.
38.10 KEY WORDS

Official goals : The broad goals which are mentioned in the key documents of an
organisation.
Operating goals : Goals which are to be implemented and operationalised to achieve
the official goals.
Organisational characteristics i These characteristics refer to the procedures of an
organisation-its forms and its structure.
Normative environment : Values which guide one, in the surroundings one grows up.
Professional societies : Association of journalists, teachers, doctors, engineers.

French, Wendell L. and Bell,. Cecil H., 1983. Organisation Development.
(2nd edition); Prentice Hall: New Delhi.
Kanter, Rosabeth Moss and Brinkerhoff, Derick, 1981. Organisational
Performance; Recent Developments in Measurement, Annual Review of
sociology, VoI. 7, pp 321-49.

-
Concepts in Organisations 111 1079. Managementin Government; Publications Division,
M a t h u r , B . C . et al ( e d . ) .
Ministry of Information and Broadcasting, Govt. o f India.
Michalman, Hans J . , 1978, Organisational Effectiveness in a Multinational
Bureaucracy. Saxon Mouse : Hampshire, England.
Matt- Paul E . , 1972. Tt?e C1lar;lcteristics o f Effective Cbrganisntions; Harpcs 8:
Row : New York.
price, James Z,.,1968. OrganisationalEffectveness,Richard D. Irwin : kio~newood,
Illinois.
38.112 ANSWERS 11'0CHECK YOUR PROGRESS

EXERCISES
1 See Section 38.2
2 See Section 38.3
3 See Section 38.3
4 See Section 38.4
1 Sec Sec. 38.5
2 See S ~ C 38.7
.
3 See Sec. 38.8

Structure
39.0 Objectives
'39.1 Introduction
. 39.2 Theory : Significance and Characteristics
39.3 Public Administrative Theory : Significance
39.4 Administrative Theory : Evolutionary Perspective
39.5 Administrative Theory : An Evaluation
39.6 Conclusion
39.7 Let Us Sum Up
39.8 Key Words
39.9 Some Useful Books and Articles
39.10 Answel-s to Check Your Progress Exercises
39.4) OBJECTIVES
After reading this unit, which is the last unit in the course on Administrative Theory,
;you should be able to:
explain the need and significance of theory
@ identify the characteristics of a good theory
e evaluate the status of public admiriistrative theory
39. P INTRODUCTION
In this course you have studied various aspects of administrative theory, its evolution,
different theories and approaches, concept of bureaucray, concepts of organisation likc
hierarchy, span of control, etc. Before we complete this course, it is desirable to review
and evaluate what you have studied. It is in particular, important to know the role and
contribution of administrative theory to the growth of the discipline. This unit,
therefore, is devoted to'an evaluation of administrative theory.
39.2 THEORY : SIGNIFICANCE AND

CHARACTERISTICS
You have started the course with a discussion on the nature of the discipline, its
evolution, importance, and scope. You did not have the opporttmity to know what a
theory is. We will begin, therefore, with the theory and its role and significance.
Theory is an essential tool for the progress of civilisation. It is a symbolic representation
of reality. It enables people to communicate quickly and effectively.'lt is an
intellectual shorthand, which saves each generation from relearning the all that has
already been discovered and learnt.
Theory is based on logical reasoning and, therefore, consists of a set of certain
principles and generalisations which represent universal truths. These may initially
constitute testable hypotheses which, in different situations, may prove to be true or
untrue when tested. The hypotheses which fail to stand the test are discarded, and the
others are incorporated into the theory. Gradually, a body of knowledge emerges
containing a set of interrelated concepts, definitibns and propositions that provide a
systematic view of the phenomena. They specify relationships between variables with
. the objective of explaining and predicting the phenomena. Theory is a systematic
grouping of interdependent concepts and principles which give a framework to a
significant area of know1edge:'Theory pulls together existing knowledge, explains
events or relationships and in the end predicts what has not yet been observed.
Theory is a concise presentatioh'&facts and a logical set-up of assumptions from which
'empirical laws o r principles can be derived. It is a patterning of logical constructs or
'i?

- m
t s~~isotiisotir~m
c ~ n ~ e ph~ interrelated symbolic concepts into which the known facts or theoretical hypothe.
may be fitted. A theory is a generalisation applicable within the stated boundaries
which specify the relationships between factors.
Developing a theory is important for more than one reason. It provides a perspective
to the reality, stimulates new visions from familiar scenes; and constitutes a base for
further theorising. All of them aid in prediction.
Theory acts as a guide to initiate action, to collect facts; to explore the knowledge and
to explain the phenomena that is being examined. It aids in the identification and
classification of the problem. Theories help us to understand the working of
organisations. They help us to understand, predict, influence o r minage the future.
Thus theory becomes a means to achieve the goals. Hence, theory building becomes an
inevitable part of the growth and development of any discipline, including Public
Administration.
ScisntiWe Method
Scientific enquiry must evolve causal theories that would hclp analyse concrete
situations and would have predictive use. Science is a systematic body of knowledge,
and themes are its major expressions; they provide the general relationship or .
framework that allows us to understand, explain and predict phenonnenon within the
science we are focusing on. Development of a theory should be in consonance with
adoption of scientific approach to analyse and understand any particular phenomenon.
Theories which are developed through scientific method involves more than inere
obsewa ion, generalisation and experimentation. The scientific niethod is as rnuch an
attitude, characterised by curiosity, rationality, open mindedness, objectivity and
honesty among other things.
The process of scientific theory corlstructlo~~ and confirmation can be viewed as
involving the following steps.
a) The formulation of a problem or problems based on observation.
b) The construction of a theory to provide answers to the problem or problenis based
on inductions from observations.
c) The deduction of specific hypothesis from the theory.
d) The recasting of hypotheses in terms of specific measures and the operations
required to test the hypotheses.
e) The devising of factual situations to test the theorem.
f) The actual testing in which confirmation does or does not occux..
Characteristics of a Good Theory
a) A theory is good to the extent it contributes to the goals of science. This nleons that
better theories are more comprehensive in that they reduce a large number of
diverse observations t o a much lesser number of underlyhg qtatenlents: The more
the theory can explain, the more useful it is.
b) Second, good theories, include explicit statements regarding the limits of their
application.
c) Third, theory should be helpful in focusing research. It should tell us what facts arc
important and ought to be gathered.
d) Fourth, is the closely related aspect that good theory should serve to increase the
usefulness of any results that are obtained from research.
e) Fifth, good theory should be logically consistent, both internally and cxternally.
f) Sixth, to be of value theory must be subject to test; and
g) Seventh, the best: theory, all other . . things being equal, is the one that is most
. . . . .,!...........;. ..., . i f ....
parsimonious ....................;. .........................................
, .
, ,
+
Check Your Progress 1 I .
Note: i) Use the space given below for your apswers.

ii) Check your answers with those given af the end.of th; unit.
[
I
'1 What is.a theory?
..............................................................I.............*..........

2 What are the features of a theory? Administrative Theory-An Evaluation
3 PUBLIC ADMPNISTRATI'e7E THEORY-

SIGNIFICANCE
~raditionally,administrative theorising has been the work of practitioners and
reformers particularly in the United States of America. The evolving discipline of
administrative theory is in many ways helpful in understanding the working of public
organisation. But, most writings on organisation theory-are based on the study of
business administration. The special features of government organisations are often
ignored or are not properly understood by organisation theorists.
Admittedly, theory-building in Public Administration is not an easy task, as there are
various kinds of public organisations, administrative structures and proccssch. Clearly,
Public Administration theorists have gone far and wide in-scarch of new ideas, concepts
and models that may have varying degrees of success in public organisations. Their
search has carried them far beyond the appi-opriate boundaries of administrative
theory. This made Alberta Ramos to observe that "Public Administration may have
lost a sense of its specific assignment and become a hodgepodge of theoretical
ramblings, lacking both force and direction". More importantly it has lost its bearings
to the ~nystificationof both practitioners and students who can no longcr relate theory
to practice o r vice-versa.
As Martin Landau comments, administrative theory is marked by a plcthora of
competing schools, a polyglot of fhguages, and as a result a confusion of logic. There
is neither a common research tradition nor the necessary consensus for a common field
of inquiry. Each of thc competing schools questions the others, adventurism is rampant
and commonly accepted standards of control d o not exist. Consecluently the whole field
is confused. Tlie core concepts need clarification. Thc theorists have not contributed
much of their own. Too little relevant Public Administration theory exist.
Governmental functions throughout the world are o n the increase thereby, increasing
the role of Public Administration in achieving societal goals. Dynamic nature of society
and complcx nature of governrnerital activities, make it difficult for the conventional
generalist administrator to function and realise the administrative goals. There is need
for a broader understanding of the administrative phenomenon in its eatirety. One of
the reasons f ~ther failure of the administrator to realise his goals is his inadequate
undesstanding of the administrative theory. Coupled with this, the inflated serise of
achievement and overrated intellectual superiority of the generalist administrator,
have contributed to the failure of ad~ninistration.One finds a general prejudice against
theory and the theory is called 'Ivory tower Thinking' far removed from reality which
the administrator represents.
In general, the bureaucratic pretentions of emotions, is another reason for the present
day problems of administration. T h e bureaucrats believe that power is knowledge and
his experience is greater than theory. This has created several bottlenecks for the
smooth functioning of the administration. Because of these reasons, the bureaucrats
zealously guard their traditionalism. There is need, therefore, for a broader and deeper
understanding of administrative theory which would help the administrator to fashion
the administration as per societal requirements and enable him to manage the
administrative system effectively and efficiently.
Knbwledge will mould the attitudes of people in the right direction. Administrative
theory will help the administrator to conceive proper reasoning and sound arguments.
It will add to the richness of his mind. It adds t o his ability to comprehend rhe
phenomenon and provides self-confidence. Administrative theory educates the
administrators scientifically, as theory is the conceptualisation of experience.
.
Concepts in Orgmisations IEI Understanding of theory builds asound system of administrative engineering and not a
half-backed mechanic. It will enable him to change from a mere instrument of socia]
control to an agent of social change. In the final analysis, it can be said that if one who
closes his mind to knowledge, theory will not open his cars. The adnlinistrators have to
be responsive t o the people's needs, but if they close their minds to theory, they will
be giving a deaf ear to the problems of the people. This makes administration
unresponsive and far removed fro111 the society.
39.4 ADMINISTRATIVE THEORY-EVOLUTIONARY

PERSPECTIVE
A systematic and scientific study of public organisation can be traced to the 10th and
early part of the 20th centuries. F.W. Taylor who conducted several studies on
scientific management can be considered as a pioneer in the systenlatic study of work.
Taylor and Fayol were almost the first to formulate certain postulates, which were later
synthesised as "Principles" that form the basis and substance of classical approach to
the study of organisation. The airn of each principle is to raise the level of efficiency of
the organisation. But from the Public Administration view point, several doubts arise
as to whether the principles are valid in a political setting or not, whether administrative
problems can be treated purely in process terms or not, whether the discipline should
be wholly concerned with the solution of practical problems and guidelines to
administrators and politicialis or not, whether the principles are related to actual
behaviour in real-life situations o r not.
The field of Public Adnlinistration is being continuously expanded. The assumption of
rational efficiency was superseded by concepts of social efficiency, quality of
government, political ends and public wants. In this state of affairs the validity of
organisational principles has been questioned by modern public ndministrationists. For
instance, the issue of centralisation and decentralisation revolves round the location
and also the extent of power of decision-making in the organisational set-up. Neither
centralisationnor decentralisation can be accepted as a principle of good organisation.
They have situational relevance. Similarly, there are several points of distinction
between theline and the staff agencies, However, on closer examination, it is realisect
that the distinction is unreal. Authority in modern organisation is collsidered to be
more a matter of influence than of command.'In short, it all depends on a number of
inter-related external and internal variables. Despite such criticism, classical thcory has
its importance in the history of administrative thought.
In the study of administrative themes, Max Webcr's thcory of the aclministrative
system, provides an influential conceptual framework and a closc historical
understanding. The dominant form of public organisation in the contemporary society
is bureaucracy. Consequently bureaucratic analysis has become crucial in the study of
Public Administratian. Contemporary bureaucratic analysis focuses largely on the
functional and dysfunctional aspects of bureaucratic administration, behaviour, the
cultural environment of bureaucracy, bureaucratic power and the burcaucratisation of
the administrative culture. By concentrating largely on the formalities of public
business, the social dynamics of inner working of public bureaucracy is neglected.
Modern societies are now too complicated for either traditional o r arbitrary rulc alone.
Public officials have become major political actors in their own right.
Public bureaucracy has been the central concern of Public Administration. Due to this
reason, Comparative Public Administration has been equated largely with
Comparative public bureaucracies. The province of bureaucratic theory grows
'
increasingly complex as theorists became aware that they must go beyond their own
culture, values, conceptions and approaches to achieve the objectives. Studies of
Cohpara'tive Administration show that bureaucratic systems are not all alike. There is
no universal pattern although each system may contain common elements. On the
contrary, there are specific bureaucratic culti~resand a wide variety of instituriona!
forms and arrangements.
Misgivings about the organisational society, bureaucratisation and the managerial
revolution were not significantly represented ill administrative theory until the 1950s.
In the 1960s a revolt against the organisatio~~al
society resulted in the emergence of

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in Public Administration, objected to bureaucratic Administrative ~heory-A" Evaluation
theory because of its emphasis on technocracy ............, absence of humanism etc.
The counter-culture opposes the managerial revolution. It wishes to restore personal

responsibility,self-management, individual participation and collective
decision-making and to replace totalitarian technocracy and meritocracy with
democratic egalitarian and humanistic values. They believe that the post-industrial
society will be more service-oriented, more-people oriented, more sensitive, more
human, more responsive to lrunlan rather than technocratic values. It will de-emphasise
bureaucracy and tolerate a wide variety of organisational structures that will exhibit
greater adaptability, flexibility and creativity. In Public Administration the excitement
of the counter culture challenge was rellected in the New Public Administration
movement of the early 1970s.
The classical theorists from Taylor to Weber laid emphasis on the physiological and
mechanistic aspects of public organisations. The next histotical stream of
administrative thought is described as neo-classicalor human relations approach to the
study of administrative process. Starting with the human relationists many and varied
contributions from behavioural scientists have enriched administrative theory and
management practices. Thc structuralist-mechanistic approach to public management
was challenged by innovative behavioural science studies which focused on the human
and social elements. From the Hawthorne experiments of the 1920s onward, clinical
investigationsinto human behaviour in organisational settings opened up new vistas of
administrative behaviour studies that: led to substantial modificatiins in the concepts
and methodologies of Public Administration. The' works of Follett,'Barnard and Simon
resulted in a significant change in direction of administrative theory. Chester Barnard's
social system theory has broadened understanding of the relationship between Public
Administration and society.
Althozgh, much of Public Administration theory is culture-bound, the study of
Comparative Public and Development Administration, a field virtually unknown
before the Second WorlP War, broke through cultural barriers and stimulated much
original thinking. The ecological approach to the study of administration originated in
the wake of the emergence of the Third World.and increasing realisation of relevance .
of most of the Western organisation theories to the study of administration. F.W. Riggs
and the Comparitive Administrative Group of the American Society of Public
Administration pioneered a new administrative vocabulary to describe different
societal typologies, administrative cultures, and administrative systems. The result has
been a questioning of the traditional framework of Public Administration and Western
egocentricity.
This brief survey of administrative theories shows that traditional Public Administration
assumptions are frequently shattered by contemporay happenings. The actual
configuration of Public Administration is in a constant state of flux. It is never the same
from one moment to another simply because perceptions change incessantly and with
them the boundaries of Public Administration. The subject matter is exploding in all
directions. Communal activities subject to political directions are expanding fast in
response to contemporary needs. New types of public organisations are being created.
New techniques and processes for improving the performance of public service delivery
are being searched. The result is modern administrativb theory.
Modern administrative theory is probabilistic, multidisciplinary, descriptive and
multivariable, viewing administrator as an adaptive ecological system in its
environment. It has a number of distinguishing characteristics:
a) Modern theory views an organisation as a system consisting of five basic parts:
input, process, output, feedback and environment.
.<b) The emphasis in modern theory is on the dynamic process of interactions that occur
1: within the structure of an organisation,
c) It is multilevel and rnultidimentional.
d) It recognises that an act may be motivated by several desires.
e) It is descriptive.
f) It assumes that an event is caused by numerous interrelated and interdependent
factors.
g) Finally it views the organisation as an adaptive system.

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concepts in Organisations IIP https://t.me/Upsc_Zone_Official
This theory appears to satisfy the.requirement that it tnust be comprehensive enough
to cover all generally significant events that occur in a modern organisation.
To understand administrative theory one must understand the milieu in which it
evolved, Scientific management, classical principles, and bureaucracy are all
appropriate responses to the problems classicists faced. On the other hand, human
relationists and social-psychologists faced very different situations and problems. As a
result they changed their strategies from efficiency to adaptability. The new
r,dministrative theories are aimed at dealing with these conditions.
-.
*
ii) Check your answer with those given at the elid of the unit.
1 Explain the major trends in administrative theory.
............................................................................................................
2 What is significance of theory building in public adminisrration?
3 Critically evaluate the present state of administrative theory.
39.5 ADMINISTRATIVE THEORY : AN EVALUATION ,
The contributions to the discipline of Public Administration have come mainly fro171
the West and more so from the USA. American Public Administration is naturally
rooted in American political and civic culture which is widely acknowledged as
advanced capitalism blended with pluralism. Thc spirit of the discipline is naturally
instrumentalist and management-oriented. !.gainst this background. the contribution
_ of Marxist social theory of Public Administration may bc con~ibcredas an ulternativc
paradigm. Marxist concernfor macro social structures and the historical transformation
of the whole political economics needs to be related to organisational analysis and tllc
study of ~u6lic~drninistration.
A theory of Public Adrnirlistration has to be inferred from
the large body of Marxist and neo-Marxist literature on the nature of the state.
Conventional, empirically-oriented administrative theory is now being dhallenged by
what is called "radical administrative theory". A radical Public Administration
grounded in the Marxist perspective is yet to take a definite shape. But the broad
outline of this new disciplines is steadily emerging with obvious attraction far the
"Third World" scholars who are groping for a new paradigm to explain the
socio-political reality of the Third World.
The perspective of Public Administration today is influenced by two major streams:
a) the general system seeking universal validity for thcory, and
b) efforts to evolve a theoretical model with a specific reference to the Third World
experience. The Third World experience should be the basis for developing a new
perspective on the discipline of Public Administration.

The value of administrative theory cannot be underrated in the organisationa] society. ~ ~ ~ ~ ~ ~ ~ ~ ~ vE ved ~T~ a~t i oen o r y - ~
Stephen Bailey believes that "the objectives of Public Administration theory are to
draw together the insights of the humanities and the validated propositionsof the social
and behavioural sciences and to apply thesc insights and propositions to the task of
improving the processes of government and aimed at achieving politically legitimated
goals by constitutionally mandated means". Bailey would select from the whole body of
human knowledge whatever appears relcvant and useful in explaining the nature of
Public Adrninistration, verifiable through observation or experiment and capable of
predicting the behaviotar of public organisations and the people who compose then1 and
come into contact with them.
The discipline of Public Administration, has yet to develop a systematic body of theory
of its own. The administrative theory should seek to explain the causation and direction
of changes. This would and should become increasingly an integral part of the emerging
perspective on the discipline of Public Administration.
public Administration as a discipline, has tb go beyond the forms arid processes of
administration and look for explanations in social structure, class hegemony, and the
dominant forces shapirrg the character of the state. Several attempts at integration of
thc theory, largely remained fruitless. It is very difficult to evolve a general theory-of
Bublic Administration duc lo ~ross~cultural nature of the discipline, Unmistakably, the
goal is not to arrive at a theory of aclministration but to formulate a series o r a set of
theories and models which can contribute to better understanding of the complex
administrative "reality" in a variety of settings-institutional, national, cultural and
temporal. Such a pragmatic approach is bound to lead to a proliferation of concepts,
operations, methods of observation and measurements, assumptions and cxplanations. .
The forcgoing clearly indicate that theory building in aclministration is very recent and
is inter-disciplinary and multi-disciplinary. In s$te of the contributions of a large
number of Public administrationists no valid theory that explains the administrative
universal phenomenon has yet emerged. This clearly indicate that the phenomenon has
not been deeply fathomed in all its ramification. The nature of the state, social
relations, political culture, etc. heavily influence the working of ail public
organisations. Any theory that cloes not take this illto consideration and ignores these
factors would analyse the phenomenon only partially. In such a case scientific validity
of such generalisations would be doubtful. It is this aspect that is hindering the growth
of theory in Public Administration. Another factor is the analysis by wastern scholars,
or westcrn oriented scholars who analyse the phenomenon without deep insights into
the milieu within which public orgitnisations have t o operate. Thirdly, profession of
Public Administration which considers itself omniscient and a panacea for all social
and political ills, harbinger of peace and prosperity, policy formulator and implementor
has systernaticaily endangered the growth with their touch-me-not attitude vis-a-vis the
academic. Even the Public Administrationists, coming as they do from different
disciplines could not integrate in themselves as to what is the administrative
phenomenon which they attempted to fathom. It is thcse factors that have hindered the
growth of the discipline.
39.7 LET US SUM UP

Theory which consists of a set of certain pri~lciplesand gerlcralisations is said to
' ripresent universal truth. Theories help in understanding the working of organisation
and becomes a means t o achieve the goals. Hence, theory building becomes very
important for the growtli and development of any discipline, An understanding of
administrative theory helps the administrator in managing the administrative system
effectively and efficiently. A brief survey of the evolution of administrative theory
brings forth the contributions of scientific management, classical principles, and
bureaucracy to Public Administration. The subject matter of Public Administration is
expanding and new directions in the form of Comparative Public Administration,
Developn~entAdministration, New Public Administration are coming up. But, the 87

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Concepts In Qrganismbions
discipline of Public Administration is yet tohttps://t.me/Upsc_Zone_Official
In have a theory of its own. It is difficult to
evolve a general theory of Public Administration due to its cross-cultural nature. The
goal is to formulate a set of theories and models which can help in better understanding
of the complex administrative phenomena in different settings.
39.8 KEY WORDS

Fathom : Penetrate, probe
Harbinger : A person o r thing that announces or indicates the approach of something
Hypothesis : A suggested explanation for a group of facts or phenomena, either
accepted as a basis for further verification or accepted as likely to be true
Incessantly : Continuously
Omniscient: Having unlimited or great knowledge or understanding
Panacea : Remedy for all ills or diseases
Ramification : Act or process of branching or dividing out
39.9 FURTHER READING

Arora, Kamesh K.(ed), 1979. Perspective in Administrative Theory; Associated,
Publishing House, New Delhi.
Baker, R.J.S., 1972. Administrative Theorx and Public Administration; I-Iutchinson
University Llbrary: London.
Bhattacharya, Mohit, Public Administration in India: A Discipline in Bondage; The ,
Indian Jour~ialof Public Administration, Vol. XXXII,No. 2, April-June 1986,
pp. 219-229.
Carder, Gerald E.,1982. Public Administration; Palisades Publishers: California.
Denhardt , R.B., "Toward a Critical Theory. of Public Organisa tion "; Public
Administration Review, Vol. 4 1 , 1981, pp. 628-635.
Desler Gary, 1980. Organisation Theory-Integrating Struciure and Behaviour,
Prentice Hall: New Jersey.
Edward, H. Litchfied, "Notes o n a General Theory of Administration ";
Administrative Science Quarterly, Vol. I, No. 1; January 1956, pp. 3-29.
Hicks, Herbert G. and Gullett Ray C., 1975. Organisations : Theory and Behaviour;
Mc Grew Hill Book Conipany : New York.
Miner, J .B., 1982. Theories of Organisational Structure and Process; Dryden
Press : Chicago.
Mosher, F.C., "Research in Public Administration"; Public Administration Review,
Vol. 16, 1956, pp. 177.
Prasad, Ravindra D. et al, 1989. Administrative 7'hinkers; Sterling Publishers,
New Delhi.
Rarnos, A.G., "Mispiacernent of Concepts and Administrative Theory"; ,Public
Administration Review, Val. 38, 1978, pp. 550-556.
Sayre, W. "Premiscs of Public Administration : Past and Emerging"; Public
Administration Review, Vol. 18, 1956, p. 105.
39.10 ANSWERSTQ CHECK YOUR PROGRESS

EXERCISES
Check Your Progress t Check Your Progress
- 2
1) See Section 39.2 1) See Section 39.4
2) See Section 39.2 2) See Section.39.3 .
3j See Section 39.5

EPA-01
BACHELOR’S DEGREE PROGRAMME

(BDP)
ELECTIVE COURSE IN PUBLIC ADMINISTRATION

EPA-01 (Administrative Theory)
For July 2011 and January 2012 Sessions
SCHOOL OF SOCIAL SCIENCES

INDIRA GANDHI NATIONAL OPEN UNIVERSITY
MAIDAN GARHI, NEW DELHI – 110 068


Tutor Marked Assignment (TMA)
2011-2012
Dear Student,
As per laid down guidelines of the University, you have to complete one assignment for
each course opted by you.
Each assignment has questions to be answered in 500 words, 250 words, and 100 words. You will
find that the questions in the assignments are analytical and descriptive so that you can better
understand and comprehend the concepts.
It is important that you write the answers to all the questions in your own words. Your answers
should be within the approximate range of the word-limit set for each question. Remember,
writing answers to assignment questions will improve your writing skills and prepare you for the
term-end examination.
You are to submit the assignment/s to the Coordinator of your Study Centre. You must obtain a
receipt from the Study Centre for the assignment/s submitted and retain it with you. It is desirable
to keep with you a photocopy of the assignment/s submitted by you.
Once evaluated, the Study Centre will return the assignment/s to you. Please insist on this. The
Study Centre will send the marks to the SE Division at IGNOU, New Delhi.
Submission
You need to submit the assignment as mentioned below for being eligible to appear in the term-
end examination:
March 31, 2012 for July 2011 Batch
September 30, 2012 for January 2012 Batch
Guidelines for Doing Assignments
We expect you to answer each question as per instructions in the assignment. You will find it
useful to keep the following points in mind:
1) Planning: Read the assignments carefully, go through the Units on which they are based.
Make some points regarding each question and then rearrange them in a logical order.
2) Organisation: Be a little selective and analytical before drawing up a rough outline of your
answer. Give adequate attention to question’s introduction and conclusion.
Make sure that:
a) The answer is logical and coherent,
b) It has clear connections between sentences and paragraphs,
c) The presentation is correct in your own expression and style.
3) Presentation: Once you are satisfied with your answer, you can write down the final version
for submission. It is mandatory to write all assignments neatly in your own handwriting.
If you so desire, you may underlining the points you wish to emphasize. Make sure that the
answer is within the stipulated word limit.
Wishing you all the best.


Tutor Marked Assignment (TMA)
2011-2012
Course Code: EPA-01

Assignment Code: EPA-01/AST/TMA/2011-2012
Marks: 100
Dear Student,
There are three Sections in the Assignment. You have to answer all questions in the
Sections
Section - I
Answer the following questions in about 500 words each. Marks
1) Define Public Administration, and discuss it’s domain and scope. 20
2) Distinguish between Line and Staff agencies 20
Section - II
Answer the following questions in about 250 words each.
3) Discuss briefly the relation between Public Administration and other Social Sciences 12
4) Explain Taylor’s concept of Scientific Management and discuss its principles. 12
5) Examine the concept of Anonymity in the context of Civil Services. 12
6) Explain the prerequisites of Authority. 12
Section - III
Answer the following questions in about 100 words each.
7) Write a note on Citizen and Administration. 6
8) Discuss the Principles of budget-making. 6

- -
UNIT 1 DEVELOPMENT
ADMINISTRATI-ON : CONCEPT
AND MEANING
Structure
1.0 Objectives
1.1 Introduction
1.2 Meaning of Development Administration
1.3 Difference between Traditional Administration and Development
Administration
1.4 Genesis of Development Administration
1.5 Features of Development Administration
1.6 Let Us Sum Up
1.7 Key Words
1.8 References
1.9 ~ n s w e r s ' t oCheck Your Progress Exercises
1.0 OBJECTIVES
After reading this unit, you should be able to :
discuss the meaning of development administration
distinguish between traditional and development administration
trace the evolution o<dcvelopment administration; and
highlight its features.
1.1 INTRODUCTION
The essence of development administration is to bring about change through
integrated, organised and properly directed governmental action. In the recent past
the governments in most of the developing nations have shifted their focus on
development by means of planned change and people's participation. With this shift
of administrative concern towards developmental objectives the researchers and
practitioners of Public Administration have been forced to conceptualise the
developmental situation and to bridge the gaps in administrative theory. The growing
welfare functions of the government have brought into limelight the limitations of the
traditional theory of administration.
The essence of administration in the present conditions lies in its capacity to bring
about change in the structure and behaviour of different administrative institutions, to
develop an acceptance for the change and to create a system which can sustain change
and improve the capacity of institutions to change. All this calls for renewed efforts
on the part of institutions engaged in the tasks of development. Thus development
administration as an area of study and as means to realise developmental goals
assumes importance. This unit will highlight the meaning, features and genesis of
development administration.
1.2 MEANING OF DEVELOPMENT ADMINISTRATION

There is no uniform definition of development administration which is agreeable to
all. But we can atleast arrive at certain basic features and characteristics of
order to understand the concept of development administration, we should try to

understand the meaning of the concept viz., administration of development and
development of administration.
i) Administration of Development
Development is integral to the aims and activities of the government especially in the
developing countries. Because of paucity of resources, human and material in their
counties, the need for making optimum utilisation of available means and
augmenting new means assumes a great importance. Development administration
thus becomes a means through which the governmen€brings quantitative and
qualitative changes in an economy. Government is engaged in not only fixing
priorities but also making efforts to realise them. Though Weidner is said to be the -
first to conceptually explain the definition of development administration, many other
scholars, like Riggs, Ferrel Heady, Montgomary, Gant, Pai Panandikar have
attempted to define the term in their own ways. However, before we analyse the
different definitions and meanings of the term, it should be mentioned that all of them
agree that development administration is an effort towards planned transformation of
the economy involving not only the sphere of administration but also formulation of
policies and indeed the society as a whole. It is an effort at the synchronisation of
changes in all spheres of development-economic, political, social and cultural. Thus
development is not only viewed in terms of growth process, but it includes a process
of social change.
The State plays a leading role in bringing about development through its
administrative system. In order to discharge this role it requires a distinct type of.
support by administration which involves, as'has been observed by Swerdlow, special
understanding of problems in the developing countries. These must be perceptible at
different operative levels i.e., officials must make enough different decisions, adopt
enough differknt policies and engage in enough different activitiest o warrant the
different designations of development administration. Thus devel-opment
administration is simply termed as an action or functioning part of the government
administration. It is action-oriented and places the administration at the centre in
order to facilitate the attainment of development objectives.
For Harry J. Friedman development administration means:
i) the implementation of programmes designed to bring about modernity (i.e.
socioeconomic progress and nation-building), and
ii) the changes within the administrative system which increase its capacity to
implement the programmes. According to Hahn Beenlee, development
administration is involved in managing a government or an agency so that it
acquires an increasing capability to adapt to and act upon new and continuing
social changes with a view to achieve sustained growth. Gant observed that
development administration is "that aspect of Public Administration in which
focus of attention is on o r g ~ i s i n kg n ~ d m i n i s t e r i npublic
~ agencies in such a
way. as to stimulate and facilitate &fined programmes of social and economic
progress. It has the purpose of making change attractive and possible." Thus
development administration involves two elements:
1) the bureaucratic process that initiates and facilitates socio-economic
progress by making the optimum use of talents and expertise available; and
2) mobilisation of administrative skills so as to speed up the development
process.
Development administiation concentrates on the needs and desires of the people, It is
concerned with formulation of plans, programmes, policies and projects and their
implementation. It plays a central role in carrying out planned change i.e. it is
concerned with plinning, co-ordination, control, monitoring and evaluation of plans
and programmes. It is not only concerned with the application of policies as
determined by the political representatives in existing situation but also with
introducing efforts to modify existing situations so as to serve the cause of the masses.
The administration of development implies:
i) the execution of programmes designed https://t.me/Upsc_Zone_Official
to bring about progressive improvement
ii) the changes within an administrative system which increases its capacity to Development AdmhWstion :
implement such programmes. In brief, administration of development involves Conctpt and Mclaiag
the following objectives:
i) application of innovative strategies for development
ii) emphasis on development at the grassroots level. Development has to be a
need-oriented and self-reliant process
iii) stress on social development and human capital as a major resource
iv) development has to be viewed not merely as a technological problem but
also as an ideological norm
v) profound and rapid change in order to establish a distinct and just social
order
vi) recognising and highlighting the unity, rather than dichotomy between
politics and administration
. vii) effective and efficient use of scarce resources
viii) creation of a politics-administrative environment which is oriented towards
securing basic needs of the population
ix) freedom of administrative machinery to express its values and beliefs
without fear or favour on programmes and projects.
'ii) Development of Administration or Admiitntive Development

Development Administration has to be efficient and effective. For that puQose it has
to aim at enlargement of administrative capabilities and structural and behavioural
change. It is this aspect of administration that is called administrative develspment or
development of administration. In simple terms it means development of
administrative system,'of administrative health by introducing-administrative
rationalisation and institution building. The purpose implicit in this concept is not
merely changing the administrative procedures and channels but also bringing out
fundamental change in administration thar leads to:
1) political development,
2) economic growth, and
3). social change.
T ~ Ladministration should evolve so as to commensurate with societal goals.
Development of administration further means cultural change in administration. The
cblonial administrative culture is unsuitable to the changed socio-political ethos 9f the
developing world. Our British legacy has adversely affected rhe administration. The
obsolete Acts e.g. Police Act, 1861,'cannot take us towards the path of change.
Development of administration should refer to the creation of ability to adjusi to new
stimuli or changes. The development of administration aims at qualitative and
quantitative transformations in administration with an eye on the performance of
management of affairs. The term also implies technological changesin administration
so as to enable it to adopt new modes or techniques of administration. Thus
administrative development focuses on adaptability, autonomy and coherence in .
administration.
In short, administrative development is concerned with:
1) The capacity of an administrative system to take decisions in order to meet the
ever increasing demands coming from the environment and with the objective of
achieving larger political and socioeconomic goals.
2) Increase in size, in specialisation and division of tasks and in the
ptofessionalisation'of its personnel.
3) A pattern of increasing effectiveness in the optimum utilisation of available
means and further augmentation of the means, if necessary.
4) Increase in administrative capability and capacity.
5) Transformation of existing administrative mechanism into aonew machinery
through modernising the bureaucracy by external inducement, transfer of
technology and training. . --
6 ) Replacement bf initiative, practices etc. with those bas@ on ~eakstic-negd?,-._-
cwccped Appmebcs 7) Reducing the dependence on foreign experts by producing adequate trained
manpower.
8) Promotion of development initiative.
9) Administrative reorganisation and rationalisation.
10) Making modernisation culturally related.
11) Removing or reducing bureaucratic immobility and widespread corruption.
12) Reorientation of established agencies, and the delegation of administrative
powers to them.
13) Creation of administrators who can provide leadership in stimulating and
supporting programmes of social and economic improvement.
The meaning and importance of administrative development as an ingredient of
development administration has been well summed up by Caiden in the following
words, "Administrative reform is an essential ing;edient of development in any
country, irrespective of the speed and direction of change. Administrative capacity
becomes increasingly important in the implementation of new policies, plans and
ideas. The improvements in administrative capacity may involve the removal of
environmental obstacles, structural alternatives in traditional and innovatory
institutions bureaucratically organised or otherwise. This would also necessitate
changing individual and group attitudes and performance." The behaviour pattern of
bureaucrats is as crucial to development administration as the institutions and
structures. The purpose of development of administration is to remove the
administrative lag which seriously handicaps governments in planning and executing
co-ordinated programmes of economic and social reforms.
The predominant concern of development administration is to design and administer
such development programmes which meet the developmental objectives. It is the
administration geared to the task of achieving certain clearcut and sp-ecified
objectives and goals expressed in operational terms. Thus develodment administration
is defined as a process of action motivated by and oriented to the achievement of
certain predetermined goals.
Actually administration of development and development of administration are
interrelated concepts. Both are dependent on each other. Administration of
development is as important as development of adniinistration. To achieve
development goals it is essential that there is proper assessment of resources, proper
plan formulation, evaluation and. implementation, adequate involvement of people,
emphasis on technological change and self-reliance. At the same time we also need
developed bureaucracy, integrity in administration, initiative, innovativeness,
delegation of powers, decentralised decision-making etc. Administrative development
cannot take place without administrative change and reform. Both the concepts
support each other and development of administration is needed for administration of
development. As per F. Riggs 'development administration' and 'administrative
development' have a chicken and egg kind of relationship. Superiority of one concept
over the other cannot be established.
1.3 DIFFERENCE BETWEEN TRADITIONAL

ADMINISTRATION AND DEVELOPMENT
ADMINISTRATION
Many scholars like George Gant, Ferrel Heady and others have sought to
conceptualise development administration as different from traditional
administration. They explain that these two types of administration differ from each
other in terms of purpose, structure and organisatiun, attitudes and behaviour,
cepabilities, techniques and methods. This is the implicit meaning of the observation
of John Gunnel who says, "The increasing shift of development scenario requires
increased diversification and specialisation of. km,wledge and skills and high level of
managerial ability for integrative do-&dination. https://t.me/Upsc_Zone_Official
quicken the pace of development
there is an additional need for a new bre& of administrators of superior calibre and Development A6ministration : '
vision with a passion for achieving results a n i o f those who can take risks and Concept and Mclninq
introduce innovations. There is an increasing rreed to have hightened seniitivity to the
welfare of the poor secticns and greater responsiveness to the political process." It
follows that development administration has to have different features and should be
based on different requisites than the traditional or law and order or general
administration. The distinction between the traditional and development
administration has been presented by S.P. Verma and S.K. ~ h a r m aas follows:
Traditional Developmental
i) ~ e g u l a t o Administration
r~ (routine i) Unpredictable riew tasks or
operations) . problems (rapidly changing
environment)
ii) Oriented towards efficiency and ii) Oriented towards organisational
economy (emphasis on individual growth and effectiveness in
performance) achievement of goals (emphasis on
group performance and inter-group
collab~ration)
iii) Task orientation and conformity to iii) Relationship oriented with
rules and procedures (Concern for emphasis on high programme
security, playing safe, comfort, standards (willingness to take risks,
status and power) encouraging innovation and
change)
iv) Sharp and elaborate hierarchical iv) Structure shaped by requirements
structure (strict and authoritative, ot goals (flexibility and
climate of mistrust) continyously changing roles,
mutual trust and confidence)
v) Centralised decisimrmaking (past v) Wide sharing decision-making.
experience as the main guide to (Empirical approach to problem
problem solving) solving and use of improved aids to
decision-making)
vi) Emphasis on maintaining status vi) Continuing organisational
quo (resistance to organisation development in response'to
change) environmental demands
(development of an organisation .
which is dynamic, adaptive and
futuristic)
Traditional administration has been visualised as one concerned with fulfilling all the
legal requirements of governmental operations and maintenance of social stability. In
the main, this type of administration confines itself to the maintenance of law and
order, collection bf revenues and regulation of national life in accordance with the
statutoty requirements. The assumption behind the differentiation between
development administration and traditional administration is that administration in
newly emergent nations must switch completely from law-and order values to
developmental values. Thus the qualitative goals of development administration i.e.
planning for the people, with people's support and co-operationdistinguishes it from
the quantitative goals of Public Administration i.e. implementing rules. Another point
that distinguishes development administration as a separate identity is that "it is not a
closed system; the linkages with experts, relationships with the grassroots level'and
with the people are more important than Central structures. Though there are
technical and behavioural techniques common to all forms of management, in
development administration, external relations have to be optimised tiefore resources
can be focused on limited incremental goals. Development administration is
concerned with attitudes and processes rather than procedures and structures."
However, there are scholars, like W. Wood, who do not favour separation or division
of administration into such distinct categories. Wood objects to such dichotomisation
on the grounds that:
i) the division of government servants into developers and non-developers might
result in the loss of esteem to one and gain in over-importance t a the others.
This would demoralise administration
Approaches ii) the of innovation and new design is neglected
iii) There is insufficient analysis of the term development in that, on the one hand, it
is treated as an extension of the 'supposed' law and order and revenue collecting
State and on the other, it appears to have a special relationship with
independence and post-colonialisation. The commonness of the two could also
be observed from the following facts as;presented by V.A. Pai Panandikar:
1) The prevailing structure of general administration has a decisive influence
on the strength and weakness of development administration.
2) Both have a common source of authority within the structure of the
government, for instance, a Cabinet responsible to a legislature.
3) A number of key officials, like divisional commissioner, and district
collector, cambine general and developmental functions.
4) Citizen sees and judges as a whole the acts of administration, drawing no
fine distinction between general and development administration.
The differences of views on the question of dichotomy still persist leading to an
inconclusive debate. However, it may be maintained that the administration for
fulfilling the developmental tasks needs to be exclusively studied and explained. The
creation of new and separate development agencies and organisations is a further
pointer to the growing incapability of the law and order function and revenue
collecting administration. That is why in some states in India an attempt has been
made to vest the office of deputy development .commissioner or district development
officer with only the development administration, That development administration is
not synonymous with Public Administration is pointed out by Gant in the following
words:
"Development administration is distinguished from, although not independent of,
other aspects and concerns of Public Administration. Certainly, the maintenance of
law and order is a prime funaion of government and is basicto development,
although it precedes and is not usually encompassed within that definition of
development administration. Similarly, the provision of essential communications and
educational facilities and the maintenance of judicial and diplomatic systems, would
have an impact on but not be an integral part of development administration."
Thus a rigid distinction cannot be made between traditional and development

administration. The traditional functions of maintenance of law and order are also
basic to development. Development administration has assumed the responsibility of
formulating and implementing various development and welfare functions because of
growing complexities of administration and aspirations of people. These functions are
not absolutely separate from traditional functions. In fact maintenance of law and
order, and security is a precondition for an economy to undertake developmental
tasks. But as development administration is wider, broader, participative, innovative
and change-oriented, the traditional administration has to create the conditions for
the effective working of development administration.

Note: i) Use the space given below for your aliswers.
1) What is meant by the term 'Administrative Development' ?
2) Distinguish between traditional administration and development administration.

.. ........................................
r
L . . . . . . . . . . . . . . . . . . . . . . . . . .
Development Administration :
Concept and Meaning
1.4 GENESIS OF DEVELOPMENT ADMINISTRATION

i
When India gained Independence from the British rule, we were confronted with the
problems of unemployment, poverty, squalor, hunger and disease. We were shbrt of
material and human resources and our progress in industrial and agricujtural fields
was also nominal. Moreover, the private entrepreneurs were not ready to take Up the
tasks of development in a ful-fledged manner. Thus the State had to shoulder the
responsibility of bringing about systematic development through a process of
comprehensive and uniform planning. This led to an increase in the functions of
State. Our planners set before them the goals of achieving modernisation,
industrialisation, self-reliance, social justice and economic growth. (These goals of
development will be dealt in detail in Unit 8 of the next Block.) It was realised that
the western concept of development and the ways to achieve development could not
be applied to developing countries like India. The western countries had already
achieved a certain level of development, had a strong bureaucracy, their problems
were different and their resources were abundant. The western models of development
were not conducive to the social, economic, political and cultural milieu of countries
l&e India. Thus a diffkrent kind of administrative system suitable for the needs of
third world countries was thought of. This model saw administrative system as a part
of a larger socioeconomic and political system and established a certain definite
relationship between the environment and administration. Development was s e n as
an overall development, development in industrial, agricultural, technological, social,
cultural and political fields. Thus a new concept of development administration came
into being with emphasis on people's participation and support and planned change.
The Technical Assistance Programmes under the Marshall Plan and New Deal
Programme of Roosevelt failed to make an impact on the administration of third
world nations. The realities of third world called for the adoption and execution of
new approaches of change. This realisation led to the emergence of the concept of
development administration.
The demands of equity and justice called for renewed efforts to understand and define
development as it was relevant to third world countries. Hence, development came to
be defined as a holistic term inclusive of all elements-ecqnomic, social, culturd and
political. Thus it was defined as a process, the aim of which Was not only confined to
economic development'but on over all welfare activities. This changed the meaning of
development and introduced a nck thinking about the methods and techniques to be
applied for bringing about development. For instance, it was emphasised that to
achieve the developmental goals, the poor or developing nations should concentrate
on their own internal resources, administrative mechanism and technology. Thus
dependence on the developed world was sought to be reduced or discarded and
indigenous system was to be developed in which people would participate in the
developmental process. Hence, mere insistence on the lack of infrastructure,
industrialisation, education and modernisation etc. for the prevailing'situation in the
developing countries
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provision of basic needs for all. .
Conceptually, therefore, dweropment administration rests upon the discovery that the
administrative practices and structures are not and should not be the same in.all the
countries. And also on the realisation that administration in a given country can be
understood and evaluated only in the light of its cultural and political setting. These
factors can be termed as environment or ecology of Public Administration. Therefore,
to bring about development the State carries on its role of a change agent through its
administrative machinery. In fact, it is the administration which is to be an instrument
of development. It iithe administration that carnies the services to the doorsteps of
the people. The eradication of poverty, unemployment, ignorance and the like is
impossible without an active and determined role performance by the administration.
This leads us to an important question, whether the administrative systems of newly

-
emergent nations of Asia, Africa and Latin America are adequate to meet the
developmental challenges facing these societies or not? Many people believed that the
old administrative system was unable to cope up-with the stupendous task of meeting
the development needs and aspirations of the people who were subjected to
discrimination, deprivation, exploitation and inhumanisation for decades. The
colonial type of administration was suitable neither structurally nor behaviourally to
the changing environment of these polities. Hence, the politicians, the administrators
and the scholars thought alike to approach the problems of Public Administration
from a different aspect. They coided a new concept of Public Administration known
as 'development administration'. The emphasis shifted from the steel-frame to open
structure, from maintenance of law and order to provision of basic amenities for all
and general welfare. The objective was to emphasise on administrative ethos the
purpose of which was to usher in, shape and direct development and change. Thus
development became the central theme for analysing the role of Public
Administration.
The end-objective of a separate focus on development administration; says Edward

Weidner, the architect of the concept, is to "relate different administrative roles,
practices, organisational arrangements and procedures to the maximising of
development objectives." Ramesh K. Arora shares the same view when he says that
the concept is designed to study how Public Administration in different ecological -
settings operates and changes in order to achieve a set of social goals. The
administration is at001 to achieve the object of "change that is desirable and broadly
predicted or planned. It means development administration is concerned with :
increasing ability of human societies to shape their physical, human and cultural
environments." Thus the main thrust of development administration is on directional
change and on Public Administration as a mechanism for promoting and guiding
modernisation w d economic development. The aim of the governmental tasks was
the rationalisation of economic life, expansion of modern centres, stability, security,
democracy, industrialisation and gradual penetration into the traditional institutions
of the rural periphery through the State bureaucracy. The concept of development
administration came in vogue because of the shift of emphasis from mere maintenance
of order in the society to enhanced responsibilities of development not only in terms
of growth but also in terms of human development. This shift presupposes
administration to'be the prime-mover and energiser of this process of achieving the
goals of welfare and well-being of the common masses.
To s w up, in the words of Caiden, "It (Development Administration) is grounded in

normative concepts-that development is desirable; that development can be planned,
directed or controlled in some way by administrative systems, that improvements in
quality and quantity of societal products is desirable; that obstacles to development
c'an be overcome, and that macro p.roblems handicapping societal progress can be
solved. Because the conditions of mankind are so obvious, so real and so compelling,
development administration is also grounded in reality- the practical solution of
human problems, the nitty-gritty of Public Administration, the real world of people,
the practitionersdomain." Thus the manifest objective underlying the notion of
development administration is to introduce modernisation through augmented socio-
economic chan4e qualitatively and quaqthatively.
Development AdnhhistfPtion :
1.5 FEATURES OF DEVELOPMENT -- Concept and Meaning
ADMINISTRATION
There are certain distinct features of development administration. We would now
discuss them briefly:
Change Orientation
The first and foremost element of development administration is its change
orientation. Change forms part of philosophic values of development administration.
Development administration involves itself in establishing a new social order in which
growth and distributive justice coexist. For Pai Panandikar the central theme of
development administration is socioeconomic and political change.
Development administration cannot be status-quo oriented. No development can take
place unless and until it introduces certain positive changes in a system. Changes such
as structural reorganisation of administration, innovative programme to increase
production, remove unemployment, poverty etc., new schemes to improve employer-
employee relations must form a part, of development administration.
Coal Orientation
Developing countries are facing the problems of poverty, squalor, injustice, unequal
distribution of wealth, lopsided agricultural growth, underdeveloped technology etc.
These colossal issues need to be tackled systematically by fixation of priorities and
goals. Development administration is the means through which the goals of
development viz., social justice, modernisation, industrialisation and economic growth
can be achieved.
Innovative Administration
Development administration focuses on replacing/ improving the existing governing
structures and norms with the ones that suit the changing political and social
environment. In other words deve1opment.administrationis one that is dynamic and
progressive in thought and action. It is interested in identifying and applying new
structures, methods, procedures, techniques, policies, planning projects and
programmes so that the objectives and goals of development are achieved with
minimum possible resources and time. India, for example, has experimented with
many new institutions and procedures which can be termed as the hallmarks of
development administration. We have introduced various development programmes
like IRDP (Integrated Rural Development Programme), TRYSEM (Training Rural
Youth for Self Employment), NREP (National Rural Employment Programme),
DWACRA (Development of Women and Children in Rural Areas), Tribal
Development Programmes etc. These pragrammes broadly aim at removal of
unemployment, creation of job opportunities and reduction of poverty. These
programmes will be discussed in detail in Block 4 of this course. We have also
established some development agencies like the District Rural Development Agency,
District Planning Cells, State Planning Boards, Co-operatives etc. Thus development
administration has to be innovative enough in order to realise the pre-determined
objectives of development. In fact, innovative and creative administration leads to
speedy realisation of goals.
Client-Oriented Administration
Development administration is positively oriented towards meeting the needs of the
specific target groups, like small and marginal farmers of landless agncultura!
labourers and rural artisans in India. The socio-cultural and politicoeconomic
prsgress of these sections forms the essential basis of performance appraisal of
development administrators. Many target group centred or beneficiary-group oriented
organisations have to be created so as to provide these under-privileged sections the
requisite goods and services. It has been suggested that development administration is
'people-oriented' administration which gives priority to the needs of its beneficiaries
by preparing, reviewing and, if necessary, changing the programmes, policies and
activities aimed at the satisfaction of the needs of people in question. The
administration is involved in the betterment of the lot of the deprived and the weak.
Their upliftment becomes a part of the whole administrative ethos. The welfare of the
weaker sections
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Concepts and Approaches are highly motivatdd and committed to a progressive philosophy aiming at cutting the
roots of vested interests in the society. 'This is possible if the people of initiative, extra-
dedication and perseverance are inducted into the development administrative
structures. Training of personnel can be one effective method of creating such a team.
Development administrators should not just formulate plans for the people but even
monitor them in such a way that the beneficiaries are actually benefited.
Participation-Oriented Administration
Development administration accepts for its purposes the principle of associative and
participative system of administration. Here, people are not treated as mere passive
recipierits of benefits or goods and services. They are taken as active participants in
the formulation and execution of development plans, policies and programmes. It is
recognised that centralised administration will not only be unable to take cognisance
of local problems in a realistic frame, but it would also be deprived of the use of local
initiatives, energies and resources. Hence, effective formulation of programmes and
their implementation with the help and association of the local people is now a well
recognised principle of administration. It involves giving people an increasing share in
the governance and management of developmental affairs of the government. That is
why the involvement of Panchayati Raj institutions in planning and administration
has found renewed support in the development strategy of India.
Effective Co-ordination
Since development implies increasing specialisation and professionalisation, the
number of agencies and organisations involved in development tasks has considerably
gone up. In order to have the maximum benefit of this emergent administrative
system, co-ordination between various administrative units and activities is essential.
To achieve maximum results, wastage of resources, time and cost has to be avoided.
Development .administration has to co-ordinate the activities of development agencies
and organisations to integrate their efforts and energies for the realisation of
development goals. This would even save the administration from the problems of
duplication of functions, neglect of important functions and unnecessary focus on
irrelevant or marginally relevant activities. It would thus minimise administrative lag.
Ecological Perspective
Development administration shapes the environment-political, social and economic
and also gets affected by it in turn. It is not a closed system. It receives a feedback
from the social system and responds to the demands put on it by the system. In a way,
development administration is related to the environment and involves close
interaction between the administration and environment. The environment sets forth
the operative parameters of development administration. It requires the qualities of
*
flexibility and responsiveness in administrative actions and methods. The changes in
administration affect its environment and changes in environment also has its bearing
on administration.
Check Your .Progress 2

1) Highlight the genesis of development administration.

Discuss any three features of development administration. Development Administration :

2) Concept and Meaning
1.6 LET US SUM UP
In this unit we tried to explain the meaning of development administration, the

concepts of administration of development and development of administration were
discussed. We highlighted the difference between traditional and development
administration. The evolution of developmerlt administration was traced and the
various features of development administration were clearly dealt with.
1.7 KEY WORDS
Administrative Capacity: ability to mobilise resources and convert them into

activities. This process has to be in conformity with the environment taking a
comprehensive view of problems.
Administrative Lag: gap between the development needs and administrative response.
Beneficiary Group: is the target group identified for assistance under a development
programme. The people who are identified as targets and who are to be benefited by
the development schemes are called beneficiaries.
Delegation of Powers: delegation is one of the main ways for dividing and distributing
authority. It is not abdication of responsibility and does not connote the transfer of
final authority. The person delegating authority does not surrender hislher social
responsibility and retains the power of inspection, supervision and control.
Marshal Plan or European Recovery Programme: a co-ordinated effort by the US
and many nations of Europe to foster European economic recovefy after World War
11. First urged (5th June 1947) by US Secretary of State, George C. Marshal, the
programme was administered by the Economic Co-operation Administration (.ECA)
and from 1948 to 195I dispensed more than $ 12 billion in American aid. Sixteen
European countries led by the UK and France, set up the Committee of European
Economic Co-operation to co-ordinate the European participation. It later became
the Organisation for European Economic do-operation (OEEC) (as per the Longman
Encyclopaedia).
New Deal Programme: Term for the domestic reform programme of President
Roosevelt. It had two phases. The first (1933-34) attempted to provide recovew and
relief from the Great Depression (explained in Block 2 of this course) through
programmes of agricultural and business regulation, inflation, price stabilisation and
public works, numerous emergency organisations, e.g. the National Recovery
Administration were established. The second (1935-41) while continuing with relief
and recovery measures, provided for social and economic e.g, social security, to
benefit the mass of working people. Neither phase succeeded completely in restoring
prosperity but remained intact till the end of World War II (the reference : Longman
Encyclopaedia).
Nitty-Gritty: realities or basic facts of a matter.
Responsive Administration: administration that identifies the needs and fequirements
of people and formulates plans in accordance with those needs. It evaluates
development programmes in order to ascertain that people have been benefited and
develops procedures for future improvements.
Target Group: group
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(Development of Women and Children in Rural Areas) is women aiid childrer) from
substantially deprived sections of the community.
1.8 REFERENCES
Bansal, Prem Lata. 1974. Administrative Development in India. Sterling: New Delhi.
Friedman Harry J. 1966. Articles on Development Administration in Pakistan.
Michigan State University, Asian Studies Centre : Michigan.
Gant George F. 1979. Development ~dministration:Concepts, Goals, Methods.
University of Wisconsin, Madison: Wisconsin.
Pai Panandikar V.A. (ed.) 1974. Development ~dministrationin India. Macmillan:
Delhi.
Swerdlow Irwing (ed.) 1963. Development Administration: Concept and Problems.
Syracuse University Press: Syracuse.
Verma S.P. and S.K. Sharma (eds.) 1984. Development Administration. IIPA:
New Delhi.

EXERCISES
development administration has to aim at enlargement of administrative
capabilities
it has to bring about structural and behavioural changes in administration
it brings about political development, economic development and social'
change
it means cultural change in administration
professionalisation of personnel is its important component
reduction of dependence on foreign aid
promotion of development initiative
delegation of powers and
specialisation of administrative tasks
Traditional administration is concerned with regulatory functions.
it emphasises on individual performance
it adheres to rules and norms
it is hierarchy bound
decision-making is centralised and
emphasis is on maintenance of status-quo.
Development administration is concerned with functions of unique and
unpredictable nature.
emphasis is on group performqnce
goal is to achieve organisational effectiveness
there is a willingness to take risks
it is a flexible system
decentralised decision-making
constant interaction between the organisation and outside environment and
strict dichotomy between the traditional and development administration
must not be made as traditional functions set the conditions and pace for
-
development functions. https://t.me/Upsc_Zone_Official
Check Your Progress 2 Development Administration :
Concept and Meaning
the third world countries like India were confronted with many problems at
the time of Independence
the State intervened in order to take up development tasks;
increase in functions of State to shift the focus from maintenance of law and
order to planned change
the western models (Technical Assistance Programmes under the Marshal
Plan and New Deal) could not be applied to third world nations
there was a need for development process suitable to Indian conditions
development came to be viewed as a holistic concept. It implied development
in political, economic, social and cultural spheres
the demands of equity and justice called foi renewed efforts to understand the
concept of development and
dependence on western countries was sought to be reduced and emphasis
came to be laid on people's initiative, uniform planning, self-reliance and
technological advancement.
2) Your answer should include any three of the following points :
Change Orientation
Goal-Orientation
Innovative Administration
Merit-Oriented Administration
Participation-Oriented Administration
Effective Co-ordination and
Ecological Perspective.

UNIT 2 SCOPE AND SIGNIFICANCE
'Structure
2.0 Objectives
2.1 Introduction
2.2 Scope of Development Administration
2.3 The Ideals of Development Administration
2.4 Significance of Development Administration
2.5 Let Us Sum Up
2.6 Key Words
2.7 References
2.0 OBJECTIVES
highlight the scope of development administration
explain the importance of development administration; and
discuss the ideals of development administration.
INTRODUCTION -
You have read in the last unit that development administration is a process of action
motivated by and oriented to the achievement of progressive goals*of development. It
aims at creating and/or mobilising the will and skills to utilise in an optimum manner
the resources of the country leading to the realisation of development objectives. Thus
development administration is a process of planned change.
The administration is being studied now a days in the contextual perspective.
Comparative analysis of the administrative system in terms of organisation,
administration and development management brings out two distinct elements of
' administration : (1) Administrative reforms are improvements that each nation has
been trying so as to match administration with development needs and

(2) Concentration of efforts at acceleration of rate of growth and change so as to
meet the challenges of socio-political development and nation-building effectively. It
is in this context that the concept of development administration has come to be used.
However, the concept has varied dimensions-social, cultural, economic and political.
The issue regarding the focus or scope of development administration as a discipline
and as a process has assumed importance. Thus in this unit, we shall try to discuss the
ideals, scope and significance of development administration.
2.2 SCOPE OF DEVELOPMENT ADMINISTRATION

The scope of development administration is expanding day by day. Development
administration aims at bringing about political, social, economic and cultural changes
through proper planning and programming, development programmes and people's
participation. T o achieve development goals the administration constantly interacts
with environment. It shapes the environment and is .also shaped by it. In this section
we would briefly highlight the scope of development administration.
Development Administration is Culture-Bound
There is a close link between administration and culture of a country. The culture,
provides an operational framework for administration. The administration, it is said,
- https://t.me/Upsc_Zone_Official
is affected by the political leadership t h i guides it Bnd the developmental policies that Scope Md Siylifiuace
it implements. It cannot easily or rapidly break away from the compulsion of
historical legacy or the resources of the economy or the behaviour patterns in society.
However, it does not imply that cultural system of a country is static. Rather, both
the cultural and administrative systems can change each other. The commitment of
administration to the ideology of development and change can definitely usher in
cultural change. For that purpos-e it should also be able to prepare suitable plans,
programmes and projects keeping in view their feasibility, operationality and
desirability. Development administration should serve as a steering wheel that directs
society to pre-determined goals according to the will arid skills of the 1eaders.and
personnel engaged in the development process. It removes the lag between
development requirements and administrative development.
Wide Spectrum of Development Programmes
The spectrum of development programmes, the central theme of development
administration, is very wide ranging from provision of industrial and infrastructural
development programmes to programmes relating to development of agriculture,
health, education, communication, social services and social reconstruction (e.g.
community development, family planning etc.). Thus development administration
covers a whole gamut of the multifaceted tasks of administration and management of
development programmes.
It may also be mentioned here that the principle of politics-administration dichotomy
cannot be accepted for the purpose of development administration as the formullrtion
of policies and programmes about development are intricably related to their,
administration. Otherwise, for unsound and vague policies.and,prograrnmes,tHe
implementing machinary should not be held responsible. The fact, however, is that the
people blame administration for its imperfections in or incompetence of
administration in implementation of a programme. The source of failure can be
policies and plans, administration, management, leaders or people or all taken
together. Development administration is an effort at homogenising all these
institutions/agencies engaged with the tasks of development into a unified system.
Nation-building and Sociakwelding
Development administration further involves the tasks of nation-building and social-
welding. It is concerned,not merely with the function of creation or expansion of
grawth structures, (institution/agencies established to achieve development) but also
to mould social behaviour or reconstruct social structures. Many a countries of the
third world tend to get affected by traditional and parochial set of social relationships
based on kinship, caste, religion and region. These parochial structures need to be
broken and an era of modernisation is to be inducted into the society putting an end
to the patronising approaches of a traditional culture. Hence, the focus of
development administration is on expediting the process of industrialisation,
urbanisation, education and democracy. It is a recognised proposition that
developmental policies should identify and strengthen the strategic growth factors.
The aims of development have to be economic growth, technological advancement,
equity, justice, removal of unemployment and other social and economic problems.
! The social customs or traditions that hamper the development process have to be
modified or done away with. The task of nation-building can only be successful if
development activities bring about social change.
Planning and Programming
Many countries of the world both developed and developing have opted for
development planning. This type of planning lays emphasis on the proper assessment
of resources, determination of plan priorities, formulation, implementatign,
monitoring and evaluation of plan with an aim to achieve maximum results with
minlmum time and cost. Thus development administration comprise wide number of
activities. These are all-round efforts to realise developmental goals, provision of basic
nqcessities, introduction of social change, reorganisation of societal structures and
fuhctions, involvement of people as the ends as well as means of development and
emphasis on planned growth. Scope of development administration is vast and varied
in developing countries like India. In fact, the very survival of the government
programmes depends on the efficiency of the development administration to
implement, monitor and evalute them. Jt also stresses that planning should take note
of the linkage between 'economicdevelo~mentnormatives' and 'neo-social ~ositives'.
In other words, plans and planning process has to relate a country's economic'needs
with its administrative and managerial capacity, if they are not to be reduced to a
level of mere propaganda.
Programming is yet another important component of development administration.
Programming is that process which throws out knowledge about gaps in information
or skills needed and the groups oE people who have the necessary willingness to take
initiative. People's resistance to change, it is believed can be easily overcome through
a proper method or improved communication technology. A few words here about
centralised and decentralised planning are also called for. Centralised planning may
be defined as an act of working out the priorities and the pattern of programmes and
schemes as related to content, staff, finance, institutional arrangements, locations and
beneficiaries at the Central and state levels. This practice is favoured in the name of
administrative efficiency, effective supervision, avoidance of wastage and uniform
assessment of performance. However, developmen! administrators lay emphasis on
decentralised planning or what we call planning from below. They point out many
advantages of such a development strategy. In the first place, it is possible to adapt or
adjust resources to local needs. It can even make best use of locally available natural
and human resources leading to much saving of national resources. Secondly,
centralised planning gives a feeling of an imposed programme and policy planning
and, therefore, does lack in evolving commensurate enthusiasm or involvement of the
local community leading to low performance in terms of plan-implementation.
Moreover, it leads tb bureaucratisation of the whole planning process, beginning from
its formulation to its implementation. Thirdly, decentralised planning helps the local
administrators and communities to grow into self-reliant, self-governing units with
regard to plan formulation and mobilisation of local resources in order to meet the
demands of plan implementation. All matters of local importance may be left t o the
local-self governments and local people. Initially, for this purpose, the local bodies
may be assisted both in terms of provision of adequate funds (in case they lack them)
and also trained manpower in the area of planning. This process will iniroduce an
element of flexibility in administrative technology which is an underlying philosophy
of development administration. Thus through planning and programming
development goals can be realised to an adequate extent.
Development Administration and Ecology
Adminisiration works under the constitutional, political and legal framework. It
points out the fact that not only.the adoption of foreign know-how may be difficult in
a country, but also that even the best technological assistance froln abroad may not
yield the desired results in the recipient country. The sociocultural edonomic and
political milieu may not be ready to assimilatk the'values and innovations applied m
advanced countries. This reality was very well brought out by the students of
comparative administration during the 60s. In other words, development
administration is ecological in nature. It affects the environment around it and in turn
is affected by it.
Development administration, as we read in Unit 1 also, cannot survive in a vacuum, it
has to change in accordance with the changing political, economic, social and
cultural scenario. It affects the environment and is in-turn affected by it. No growth
model, no sophisticated technology, no developed schenies can be planted on a
developing system blindly. A system has to be ready to receive the change. The change
has to be suitable to its conditions.
Development Administration is Organic
Development administration, it is argued, cannot be conceived and operated as a
machine made of nuts and bolts. As development programme envelops and affects
every aspect of life and activity in society, administration for development must be
conceived and approached as sub-culture within a major-culture and with same
responsibility to create a new culture appropriate for the times dominated by science
and technology, ubranisation and material comforts. Technology affects and is
afiected by administration. This approach suggests a systematic study of development
administration. Human element forms an important part of development
administration. Development Administration comprise human beings at all levels.
Planners seek t o achieve development goals with the help of people. People's
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Thus development administration is organic, it does not work like a machine
following set rules and regulations and working in a pedictable and routine manner.
Though a proper and systematic planning process ii an essential component of
development administration, it does not have to rigidly adhere to the process.
The above discussion stresses the fact that the determination and realisation of
development goals to a large extent depends on a systematic planning process. In
India, through the help of Five Year Plans, we fix up plan priorities in terms of goals
to be achieved and determine the ways and means for realising them. The objective of
planning has to be fixation of prioritieslgoals, assessment of available resources,
augmenting scarce resources, determination of machinery to carry out plans and
monitoring and evaluation of plans. In India, we have the Planning Commission,
National Development Council, State Planning and District Planning Cells to
undertake the task of comprehensive planqing. Planning is badly needed at the
grassroots level in order to secure people's support.

Note : i) Use the space given below for your answer$.
ii) Check your answers with those &en at the end of the unit.
1) Discuss the scope of development administration.
.......................................................................
2) Bring out the relationship between development administration and ecology.
2.3 THE IDEALS OF DEVELOPMENT

ADMINISTRATION
Development administration, as has been made clehr many times, is not yerely
interested in economic growth. Rather, its objective is economic growth with social
justice. It works for the purposes of a social order based on the principles of equity,
justice, freedom, offering equal opportunities to all. The fact is that all "major
decisions regarding production, distribution, consumption and investment and all
other important socioeconomic relationships must be made by the agencies
committed to social purposes". It works on the premise that wealth and incbme
should be equitably distributed among various people of the society. The philosophy
of development administration is that "the benefits of economic development must
accrue more and more to the relatively less privileged classes of society and there'
C&m!ptg .ad Approaches should be progressive reduction of the concentration of income, wealth and economic
power. However, the methods and approaches to bring about this changed process
must be cqmpatible and effective within the environment in which change must take
place.
Institution-building
The tasks of development administration are not confined only to the formulation of
plans, policies, programmes and projects, but it also includes creation of suitable
institutions to accomplish the objectives of development. The term institution means
planning, organising, implementing and evaluating, through well designed structures.
In the words of Donald C. Stone, "we use this term to identify the process involved in
moving from an objective to be accomplished to the actual creation of the
organisation, service system, new practices or relationships which evidence that
change has actually taken place. This may be a school, a pan~hayat,a water
distribution system, or any kind of organised efforts that requires acceptance and
response." A different set of organisational values and constructs are therefore
necessary to tackle the tasks of development administration, In India our experiments
with development administration have been in the form of Community Development
Programme, Panchayati Raj Institutions, Anti-poverty programmes, district level and
block level planning etc. In the process various institutions such as Zilla Parishads,
Panchayat Samitis, Gram Panchayats, Municipal Corporations, District Rural
Development Agencies, Rural Development Banks, State Planning Cells etc. have
come up. These institutions ate involved in development activities and so are certain
functionaries like the Block Development Officer, Village Level Workers etc.
Administrative Development
The administrative aspect of planning and development in terms of building up
adequate administrative capacity and capability is another integral part of
development administration. In order to make administration a 'perfect instrument' of
development, the changes in structures, attitudes, skills and behaviour of
administrative organisations are taken as essentials. For these purposes, a proper
arrangement for training of administrators engaged in the task of socio-economic and
cultural transformation of the society is called for. In sum., it is concerned with
creating in administration a sense of dynamism, flexibility, democracy,
responsiveness, imagination and innovativeness. It aims at creating a people-centred
administration replacing the colonial attitudes of authoritarianism and rigidity. The
idea is to bring the administration closer to the people, to make the administration
responsive to the people and to make the people an integral part of administration. As
you have read in the previous unit development of administrative capacity and
capability to carry out administrative programmes is a necessity for development of
administration. Another aspect of administrative development is related to
simplifidation of procedures and techniques of work so as to make them
romprehensible and accessible to the people who are mainly ignorant and illiterate.
Administrative development aims at building a new generation of men and women
trained and motivated to operate a modem society.
Communication
Communication has become a watch word for development. It assumed more
importance because new ideas are introduced into a social system committed to bring
about social change. In order to produce higher per capita income and levels of living
through more modern production methods and improved social organisations, the
patterns of corrimunication acquire added significance.. It would be difficult to achieve
developmental goals without an effective communication network: It is through the
process of communication that transinission of information, decisions and directives
among factors takes place and knowledge, opinions and attitudes are formed or
modified. In the words of Pfiffner and Presthus, "administration can be viewed as a
configuration of communication patterns relating individuals and collectivities
(groups) of varying sizes, shapes and degrees of cohesion and stability". However,
communication, for the purposes of development administration, may mean mainly
development communication i.e. communication of messages related to all aspects of
development programmes. Moreaver,~ommunication,an integral component of
development administration, is both vertical and horizontal in addition to being
formal and informal or written and oral one. The process of communication promotes
the elements of personalised relationship which is an important plank of development
administration.
Participatory Development Scope .adS i g n U f ~ c g

The concept of development administration is based on the premise that people have
an immense capacity to conlribute to development. That is why a renewed stress is
laid on the need to involve people more actively in all stages of development planning,
implementation, controlling and evaluation. Participatory development implies
development of the people by the people. The success of policies, programmes and
projects depends to a larger degree on the success in obtaining more and more
participation of the beneficiaries in development process.
In other words, the focus of development administration is' on seeking people's
involvement at all the stages of development. The voluntary associations, interest
groups, pressure groups and beneficiary organisations are encouraged to participate in
both plan formulation and execution. This is so beciuse the governmental agencies
involved in the task of progressive mobilisation of the society alone may not prove to
be suitable instruments for the job. Though, the concept of popular participation in
development emerged in more developed countries, the societies of the third world
have also perceived its relevance for achieving fast rate of development. The
implication of all this reference is that participatory development process is the key
factor in development administration because it is the only way qualitative
development can take place.
Our centrally sponsored schemes for rural development and poverty eradication
(NREP, TRYSEM, IRDP etc.) have not been much of a success. The lack of success
is not due to faulty premises underlying the schemes but the fact that we have not
been able to involve people in the formulation, implementation and evaluatiop of
these schemes to a needed extent. These programmes have been in a way im-posed on
rural people without taking into due consideration their requirements and needs. The
suitability of a scheme in a particular area has also been overlooked. The emphasis
has been on completing targets rather than actually helping people. To give an
example, TRYSEM (Training Rural Youth for Self Employment) has been
introduced in areas where people are more inclined towards wage employment. No
development programme can achieve its targets if it does not keep in view the needs of
the people, the beneficiaries and all those affected. Development programmes must
also try to satisfy the basic needs of people such as food. sheher, clothing and health.
Development Administration as a Process

Development administration is also a process which involves, as mentioned by
J. Khosla, four crucial elements: (1) Development goals and their feasibility
(2) Development policies and programmes (3) Organisational logistics and personnel
to implement these programmes, and (4) end results. This dimension of development
administration further stresses on (a) 'treating administration as one of the resources
in the planning process; (b) working out in operational terms the administrative
requirements of each developmental programme ,or activity; (c) formulating
a clear cut scheme of priorities as between the different developmental
goals and objectives; and (d) designing an effective strategy of implementation'. Thus
development follows a proper plan procedure.
Co-ordination
As we read in the previous unit also, co-ordination is a basic component of
development administration. It is taken as a means for planned change. Development
administration has to establish co-operation and co-ordination at various levels of
governmental organisations and functioning. According to V.A. Pai
Panandikar, "the key formula of development administration could be
expressed in the initial letters of co-ordination of resources through organisation of
personnel and procedures i.e. CROPP (Co-ordination, Resources, Organisation,
Personnel and Procedures). In development administration it is the key factot because
scarce resources seldom permit overlapping or wastages without serious damages to
developmental pace and process". ~lternatively,development administration focuses
on 'management of scarcities' or 'optimising opportunities', through better co-
ordination and utilisation of resource inputs. There is no area of development where
co-ordination i.e. structured formal co-operation and cultivated informal co-operation
does not permit and determine the tone and tempo of development. Indeed, success in
development administration could be measured by the degree of-coherenceand co-
ordination achieved in administration.
2.4 SIGNIFICANCE OF DEVELOPMENT

ADMINISTRATION
We have seen in the foregoing discussion how the concept of development
administration his served as a means of comprehensive analysis of the problems of
development and the necessary requisites to meet these challenges. The emphasis on a
multitude of dimensions of development and the administrative inputs in terms of
skills, attitudes, beha&our and structure required have clearly added to the
understyding of the multidisciplinary linkages of change and development. The sub-
discipline of development administration has been able to draw the attention of the
scholars of Public Administration as well as its practitioners to the fact that the
western models and concepts of Public Administration may not be wholly applicable
in the context o f t & countries of the third world. Since the nature of the problems of
these countries are different from the ones in developed countries, it requires a
different set of administrative answers too.
The emphasis of development administration on the ecology of administration has not
only brought to light the need for synchronisation of political, economic and socio-
cultural aspects of development, but also the vivid contextual character of
development administration. It lays stress on developing indigenous administrative
means, procedures, methods and techniques to meet multifaceted challenges thrown
by the pressing demands from the 'new envii..lrment' upon the State. The State also
has to provide leadership to improve standards of societal living.
Development administration, further, calls for new perspectives, insights and
understanding. It promotes democratic spirit in administration and includes people's
participation in the management of developmental affairs and processes of social
change as a technique. Newness in thought, action, organisation and behaviour is the
crux of development administration. It calls for higher standards of group
performance, inter-group collaborations and participative management. A high degree
of achievenlent-motivation and a continuing innovation of organisation to meet
environmental change and internal needs is also called for.
The study of development administration makes it explicitly clear that politics-
adminiatration dichotomy is a myth and in an era of expanding science and
technology, knbwledgt explosion, the clear functional demarcation between politics
and adrhinistration is neither desirable nor possible.
It may be mentioned here that development administration has served as a useful
construct to explore the dynamics of change and administration in the developing
countries of the third world. It is a fact that administration has fallen short of
development aspirations. Development administration seeks to fill the gap between
developmental needs and administrative responses. It also seeks to lay its hand on
certain common themes in the area of administration and environment of different
countries. Hence, it is a move towards contributing to development organisation
theory. It helps us to find answers to the following questions :
1) What is location of the clients?
2) How to identify their needs?
3) What structural and behavioural changes are required to construct a new social
order based on the principles of dignity of human being guided by the principle of
fraternity and equality?
4) How to bring about the desired change in,society and administration?
5) How to raise the level of administrative and political capabilities?

Note : i) Use the space given below for your answers.
1) Discuss any two ideals of development administration as dealt in this unit.
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L................ ..............
. .
Scope and Sipfilunce
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2) Highlight the significance of d e v e l o v ~ r r qdministration.
t
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2.5 LET US SUM UP

In this unit, we have studied the scope and significance of development
administration. We have highlighted the'multi-dimensional issaes of development
administration viz. political, economic, social, cultural and administrative. The
importance of development administcation and its relevance to modernisation, nation
building, social change, industrialisation and people's participation has also been
discussed.
2.6 KEY WORDS

Fraternity : the ideal of fraternity ensures the dignity of the individual and unity and
integrity of the nation.
Horizontal Communication :flow of information (regarding the procedures, rules,
policies and programmes of an organisation) from one person to the other at the same
hierarchical level.
Informal Communication : flows through friendship circles and other small groups in
the organisation. One positive feature of these channels is that it removes some of the
problems in upward communication. These also facilitate downward and across
communication.
Planning from below : involvement of block and district bodies in planning process in
a full-fledged manner. Preparation of plans at the block and district planning cells.
Per capita Income : is the average income of a country. Jt is derived byP
dividing the
total national income of a country by its population.
Pressure Groups : Pressure Groups are forms of organisations which exe? pressure
on the political or administrative system of a country to extract benefits out of it and
to advance their own interests.
Social Justice : it is the sine qua non of a welfare state. It prohibits discrimination on
any grounds, religion, sex, caste or colour. It also means prohibition of forces creating
artificial social barriers. State must make efforts to i m p r ~ v ethe lot of the deprived.
and weaker sections
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Colmpb and Approrehen Trained Manpower :Trained personnel required or employed by an organisation to
carry the administrative tasks in a skilled and knowledgeable manner.
Vertical Communication :flow of information (regarding the procedures,
programmes and policies of an organisation) from topmost level to the bottom level
of hierarchy and vice versa. It is also classified as "up" and "down" commu~ication.It
can be written as well as verbal.
2.7 REFERENCES
I
Khosla J. 1979. Crisis in India's Development and Administration.

University Press : Bangalore.
Panandikar, V.A. Pai and S.S. Kshirsagar (Eds.) 1978. Bureaucracy and
Development Administration. Centre for Policy Research : New Delhi.
Sharma, S.K. (Ed.) 1978. Dynamics o f Development :An International
Perspective. Concept : Delhi.
Stone, Donald. C. 1964. Administration for Development and Effective
Administrators: Two Lectures. IIPA : New Delhi.
Trivedi, K.D. 1987. Perspective in Development Administration : Mittal : Delhi.
Verma, S.P. & S.K. Sharma, (Eds.) 1984. Development Administration. IIPA :
New Delhi.
Waldo, Dwight. 1964. Comparative Public Administration :Prologue, Problems and
Promise. American Society b r Public Administration : Chicago.

EXERCISES
1) Your answer should include the following points :
development administration is culture-bound, the commitment of
administration to the ideology of development and change to usher in cultural
change.
it compiises wide spectrum of development functions and programmes. The
success or failure of a programme depends on formulation of policies, their
execution, management, leadership or all taken together.
it is involved in nation-building and social-welding.
through planning and programming development administration can serve
various objectives.
its relationship with ecology helps to realise the developmental objectives
adequately.
it works for the people and with the help of the people.

administration works under constitutional, political and legal framework.
only those programmes of development should be implemented which are
conducive to local conditions.
development programmes of western or developed countries should not be
blindly imposed on developing countries.
administration affects environment and is in turn affected by it.
a system has to be ready to receive the change.

1) Your answer should include any two of the following points :
, Institutisnal building
Communication
Co-ordination
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Participatory development Scope md SigniOcance

Process of development administration.
the concept of development of western countries may not be applicable in the
context of develcping countries.
the problems in developing countries are different and require different
answers or solutions also.
through development administration synchronisation of political, economic
and socio-cultural aspects of development can be achieved.
development administration lays stress on developing indigenous.
administrative procedures, methods and techniques.
it calls for new perspective, insights and understanding. .
it stresses on people's participation and inter-group collaborations.
co-ordinates the tasks relating to policy formulation and implementation.
brings structural and behavioural changes in administration.

UNIT 3 EVOLUTION
Structure
Objectives
Introduction
Genesis of Development Administration : The 1950s
Development Administration in the 1960s
The Thrust in the 1970s
The 'Trends: in the 1980s
Let Us Sum Up
Key Words
References
3.0 OBJECTIVES
After studying this uriit, you will be able to :
understand the evolution of development administration as a discipline as well as
a process;
explain various approaches to the study of development administration; and
discuss the recent trends in the theory and practice of development
administration.
3.1 INTRODUCTION
The concept of 'development administration' has appeared on scene mainly after the
Second World War. The problems faced by the nations of Asia, Africa and Latin
America which got free from the colonial rule in 1940s were altogether different than
the problems of the developed nations. Consequent upon the positive policies and
programmes made by the developing nations to help the under-developed or
developing ones, the concept of Development Administration caught the fancy of the
scholars to understand and analyse this concept and the role which Public
Administration could play in meeting out the challenges. In this unit, we will discuss
the evolution of development administration as a discipline as well as a process and
also emphasise on various approaches to the study of development administration.
Lastly, we will highlight the recent trends in the theory and practices of development
administration.
3.2 GENESIS OF DEVELOPMENT ADMINISTRATION :

THE 1950s
Ushering development in the developing and under-developed countries, the concept
of development administration emerged. Besides, the success in dealing with the
effects of depression and Second World War, the ~ a r s h a Plan
l for the reconstruction
.
of Western Europe, and the process of decolonisation provided the requisite
background amounting to the coining of the theory of development administration. It
was an Indian scholar, Goswami, who used the concept for the first time in 1955.
Later on good number of scholars all over the world have contributed to its
enrichment.
Classical economists' view on develppment has been the important basis of the
development'theory in the 1950s
+-- with emphasis on increase in the GNP or per capita
income. The economic growth model based on the Keynesian economic approach
(macro-economic approach) which paved the way to development thinking sought to
transform the ascriptive, particularistic and functionally diffused underdeveloped
societies into the one having modernisation-achievement orientation, universalism and
functional specificity. 'Besides Economics, disciplines like Political Science and
Sociology, which viewed the underdeveloped society as a closed traditional society
stagnating in p,rimitive isolation, also contributed towards the concept of development
administration.
It was the Instrumental Theory of Administration and popular Government which
occupied the front rank in the development administration model in 1950s and early
1960s. This theory generated prescription or normative approach viewing
administrative reforms as a precondition to development. The government became a
crucial instrument in designing and administering goals for achieving developmental
objectives. It was argued that the twin objectives of stability and growth could be
achieved if the government designs monetary and fiscal policies. I: amounted to the
concept of planned development having the assumption that the developing countries
could be helped to develop with the aid of western technology of administration. The
important ingredients of the development administration model were :
(i) establishment of planning institutions and agencies; (ii) improvement of the
Central administrative systems; (iii) budgeting and financial control; and
(iv) personnel management and organisation and methods. This model had stress on
(i) reforming the administrative structures; (ii) creation of new agencies improving
the administrative technology in terms of methods; and (iii) procedures and practices
on the lines of western-administrative thought.
The theories propounded by Weber, .GuW,;-Taylor and others were implanted into '
the administrative practices in the developing countries. In order to ensure the validity ,
of Such techniques and methods in the developing nations' environment, the
administrative techniques and methods developed in the West were to be injected.
The administrative values prescribed in this period were efficiency, economy and
rationality. Besides, the principles of professionalism, hierarchy, unity of command,
formalisation and impersonality, span of control, authority commensuralc with
responsibility, staff and line, decentralisation and delegation of authority became the.
basis of organisational structure.
Administrative development was another aspect which drew the attention of
academics and executives during this period. Personnel administration reforms
centred on the problem of setting up merit systems, position classification schemes,
and central personnel agencies. The introduction of the concepts of performance or
programme budgeting in the US were termed as crucial for improving efficiency and
rationality in decision-making. During 1950s and early 1960s, which is considered as
'Technical Assistance Era in Public Administration', the US alone spent $ 180
million on aid for Public Administration, stress was also on training of administrators
to capacitate them to cope with the complex problems of development. In the training
programmes, techniques, like role-play, Case Method, T-groups, etc. were made use
of. The Technical Assistance Programme insisted on creating training institutions in
many a countries of Asia, Africa and Latin America on the one hand and imparting
training to the people from these countries in one donor country on the other.
However, there was an adaptation gap between the training programmes and the
needs of the recipient country. It has been argued by Esman that the rationale behind
the technical assistance was as follows :
1) Economic growth and modernisation occurs through a deterministic sequence of
stages. All societies are destined to participate in this beneficial evolution, but it
can be accelerated by wise policy.
2) Development can be facilitated by transfer of resources and technologies from
advanced to underdeveloped countries. Imparted capital speeds up growth, while
technology increases efficiency and facilitates modernisation.
3) State is a benevolent institution and the principal instrument of development. The
Roosevelt reforms and the Keynesian prescription for economic management all
requried a proactive state.
4) Balanced development requires the mastery of modern science, including the
science of economics and control of the maid levers of public policy.
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Development decisioiis should be in the hands of benevolent technocratic
planners, protected by enlightened, modernising political leaders.
5) Bureaucracy is the main vehicle and exemplification of modern administration.
When its membets,are adequately trained and equipped with appropriate
technologies, it can be a reliable and effectlve instrument of modernising elites.
6) The attentive public, specially the leaders of the developing countries eager for
growth and modernisation, will sacrifice other values in order to achieve these
goals, and welcome the material cantributions and intellectual tutelage of
Westerners.
7) The'transformation from backwardness to progress will be rapid and benefits will
be widely shared. Since economic growth produces full employment and increased
labour productivity, there is little need for explicit concern with distributive
issues.
8) Development will yield enhanced well-being as well as the preconditions for
political democracy, but t h c ~ edepend on the maintenance of political stability.
Since premature democrat~cparticipation could overload and destabilise fragile
political institutions, it should not be emphasised during the transition period.

ii) Check your answers with those ~ i v e nat the end of the unit.
1) DISCUSS
the key elements oC development administration model.
2) Briefly mention the proposition of the Technical Assisiance Approach given by

Esman.
3.3 DEVELOPMENT ADMINISTRATION IN THE 1960s

-
Failure of Technical Assistance Programme in Public Administration

It could be said that the Technical Assistance Programme advanced the principle of
emulative development administration for building up of administrative capabilities in
a prescriptive manner. However, it has been criticised by many a scholars. Dwight
Waldo, for example, has termed it as "naive" and "a sad waste of scarce human
resources". The reasons for the failure of technical assistance can be summed up as
follows :
1 ) The applicability of the development model was taken for granted in all countries,
ignoring the relevance of environmental context to administration and
technology;
2) The concepts like efficiency, economy and rationality might be differently
interpreted by the developing or recipient country than the meaning given to them
in the West;
3) It was planning without implementation. Furthermore, since planning has social,
economic, political and cultural dimensions also, many proposals for
administrative reforms, for example, could not be implemented for the lack of
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4) Protagonists of Technical Assistance Prograxime did not have adequate
knowledge and information about administrative problems of specific sectors, like
agriculture, health, education, industry, labour, population control.etc., which
was much needed to be dealt with in more details.
5) The modern administration1 management techniques like CPM, PERT, Linear
Programming, network analysis, long-range planning and forecasting, cost-benefit
analysis etc., were not included for the purposes of transfer to the developing
countries.
6) Administrative reforms attempted during this period concentrated mainly on
structural change and not on attitudinal change.
The technical assistance approach to development administration has been criticised
by Esman when he offers the following views :
1) Neither economic growth nor institutional modernisation are unilinear or
historically inevitable. Economies may stagnate, instit'utions may decline in
effectiveness and societies may fail to deal with their central needs. The benefits of
rapid economic growth, especially, derived from mainline urban-industrial
investment model, have been skewed towards a relatively small minority in the
modern sector, leaving rapidly increasing majorities especially in rural areas as
impoverished, insecure and powerless as they were three decades ago.
2) Confidence in the efficacy of planning, in science and in the benevolent role of the
State have d s o been shaken. Most of the States of the Third World have taken on
vast new functions in econoniic management and the provision of public services.
The size of their bureaucracies has expanded and so have their budgets, but many
have proved to be incompetent or repressive and sometime both.
3) Public Administration is being looked now as a plural rather than a universal
phenomena. In.the words of Esman, "the management,of Central bank, of a
.research station, of a postal service, or of a small irrigation system confront the
analyst with different administrative requirements even within the same political
system. Regular (e.g.'~olice),promotional (e.g. co-operatives), service (e.g. health
clinics), construction (e.g. road building) activities directed at the same rural
public produce distinctive set of problems and require different treatment"
The early dc:elopment theorists ignored the issues of agency-client linkage and the ,
impact of administrative action on the clients. This approach ~esultedin urban bias at
the cost of rural periphery.
The Contributions of the Comparative Administration Group (CAG)

It was Fred W. Riggs, under whose chairmanship the Comparative Administration
Group was formed in 1961 by the American Society for Public Administration. The
CAG was made to carry out research in Comparative Administration with 'special
focus on the problems of development administration. The financial support to the
CAG was given by the Ford Foundation, which was interested in the analysis of the
relations between administrative system and its socio-political, economic, and cultural
contexts.
The Group felt that as the classical concepts of administration in the third world were
rigid, narrow, and parochial and thus unfit in explaining for the cross-cultural
situations as these concepts were unable to answer the irrational, informal, and
.emotional behaviour of administration. Further, &hepostulates of conventiopal
organisational theory were suitable only for "maintenance needs" rather than for
"development needs". The technological-managerial school having emphasis on
planned and managed change, was challenged by'the Ecological School which insisted
on relating the organisational structures to other social structures. It resulted into the
idea that sociological context of administration is more relevant than mere
'organisational change and personnel manipulation'.
The scholars in CAG insisted on a comparative analysis of the administrative systems
of the third world. The Group also advocated concentration on the strategies and
requisites for attaining public policy goals in the developing countries. The Group
which organised its activities through various seminars, symposiums, conferences and
evolving committee system, published more than 100 occasional papers. It is a fact
that the Group initially shared the assumption of technical assistance experts, but it
was not without
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- - ' .
concepts ma Approaches developmental thrusts in the context of a "belief in the possibility of (initiating and)
managing change by purposive intervention by administrative institutions". .As a
result of its efforts, the Group was able to innovate many concepts viz : Systems
Analysis; Patterns Variables; Traditional-Modernity Dichotomy; Information Theory
and Pluralism.
The 1960s ushered in a period of evaluation of results, doubts and repetition of old
strategies. It was also a period of a search for new concepts or analytical constructs
which have cross-cultural validity. The Public Administration academics sought
alternative approaches to development administration. They sought to examine the
relationships between Public Administration and social, economic, political and
cultural'environment. In other words, Public Administration was seen in 'ecological
perspective. The most renowned exponent of this approach has been Fred Riggs. We
shall discuss his views in some detail below.
The Contribution of Fred W. Riggs
Riggs has criticised the development administration model by observing that GNP
increase may not necessarily lead to improving the real life conditions of the people.
Thus increase in the per capita income does not serve as an indicator of development.
He has rather preferred the physical quality of life indicators and social and
psychological quality of life index as the success of a development policy.
Riggs has analysed the structural functional features of the social and administrative
systems of the developing countries in his industria-transitia-agraria formulation. He
puts the developing countries in the category of prismatic society which is caught in
between tradition fused and modernity defracted and is undergoing the process of
social change. The ecological approach provided a vision that reflected interest in the
examination of the relationship of non-administrative factors to administrative ones.
Administrative aspects, it is argued, cannot be explained and analysed in their abstract
forms where effective behaviour, despite the establishment of formal political and
administrative institutions, is still guided in modern traditional societies, to a great
extent, by traditional structures and pressures, family, religion, region, caste and
persisting socio-economic practices. Therefore, an attempt is made to understand the
sociocultural and administrative factors as related to the implementation of
Technical Assistance Programmes. The strong primary group affdiations and
conservative mode of thought, where not much importance is given to the factors of
accuracy, promptness and time, have behavioural implications.
The Emp~r~cal
Approach to Uevelopment Administration
The period of the 1960s also saw a shift from normative approach to empirical
approach. This approach was undertaken to make a systematic study of the processes
of institution-building basic to the technical assistance enterprise of the United
Nations and other aid agencies. The fundamental units of analysis were the structures
and their functions in different systems having parallel characteristics. It is in contrast
with the normative approach in which the main aim is to prescribe ideal or atleast
better patterns of administrative structure and action. This approach is implicit in .
most of the so-called principles of Public Administration works of Woodrow Wilson,
L.D. White, Fayol, Gullick, F.W. Taylor and others. It reflected American practice as
a model, especially for the people of the third world countries. This category includes
numerous reports and studies by experts, visiting consultants, technical assistants, and
by sonie western trained Public Administration specialists of the new States. The
basic orientation is the quest for ideal patterns and the identification of difficulties
and obstacles to be overcome and problems to be solved. Such endeavours seek to
identify the universals of the administrative process.

1) What are the weaknesses of technical assistance approach?

2) How did CAG contribute to the understanding of development administration?

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3.4 THE THRUST IN THE 1970s

Review of Development Strategies of the 1960s
By 1970s not only the meaning of development underwent change in so far as
development goals'were conceived in terms of meeting basic human needs but also the
development administration model, to meet these objectives, saw changes in strategies
and substantive programmatic actions. The shiftsin the approaches to the study of
the theory and practice of development administration were also discernible. Public
Administration shed its love for unidirectional emphasis. This period of the second
U.N. Development Decade, however, began in the background of report of the
Commission on International Development on Technical Assistance Programme in
1969. The report has made it vividly clear that the focus of the 1960s on
administrative modernisation depicted as a technical process involving the expert of
western administrative methods, procedures and practices to the newly Independent
States needs a review and recast. It has been pointed out that the local people were,
though poor, yet not so irrational in decision-making. The development
administration problems were rooted in the political economy of the aid receiving
countries and stressed on inter-theoretic'linkages to social explanation.
The Political-Economy Approach
Many scholars sought to explain the dynamics of societal transformation and
management of change by undertaking political-economy approach which attempted
to seek politics-administration union and economics-administration confluence. It was
asserted that administrative questions are political questions. The political economy
paradigm seeks to relate administration to political and economic environment. This
paradigm which is concerned with both political and economic dimensions of
decision-making and resource allocation deals with "organisational constitution" and
"internal polity". In the words of Mohit Bhattacharya, "Theoretical formulations in
line with the classical study of political economy-explore relationship between
political and economic power in society." The politicaleconomy approach subserves
'goal paradigm' and 'rational model*. These new concepts refer to the concepts of
power and action. The thrust of the paradigm consists in examining development
administration in the context of power-relationships and in terms of the real process
of conflicts and their resolution. The political-economy paradigm provides for the
analysis of the context of administration.
The Ecological Approach
Many a scholars have attempted to understand development administration with an
ecological perspective. The ecological approach has been applied to relate Public
~dminisirationwith social, economic and political-cultural structures of the country.
It has been argued that development is a holistic concept. There is a growing
realisation that political development is necessary for national development and
administration. Thus political environment acquires a special significance in relation
to the 'ability of Pyblic Adniinistration to play its role in the national development*.
The politics-adminl~trationdichotomy principle is not a favoured principle now,
specially in practice. It is a known fact that administration plays a decisive role both
in policy making and its implementation. On the other hand political environment
provides a conditioning effect on administrative environment in so far as effective
and
efficient administrative ~erformancereauires the s u ~ ~ oofr t~oliticalexecutive. Even
Coaccpta md Approschea the question of administrative reforms is a political question. Moreover, it is stated
that development is dependent on strong political institutions and practices. If the
bureaucracy is more developed than the political leadership and structures, it might
lead to negative impact on development efforts. It may be said that political context
provides strategic opportunities for accomplishment. This political framework must
be taken into account while studying development activities.
The cultural context also plays an important role in determining administrative

performance. Both goals and methods shall have to be related to these ecological
factors. In the words of M.J. Esman, "At both project and programme levels of action
behaviopr that produces and protects innovation depends on combinations of
sanctions and incentives that meet the tests of political and cultural feasibility.
Available incentives and sanctions are not only individual and economic, but also
collective and non-material, the latter especially are derived from indigenous culture
and experience". The point here is that special characteristics of a country prescribe a
different role for its government and administration. It is equally important to have
the economic and sociological understanding of administration in developing
countries. The economic and social dimensions of development administration are a
part of the process of nation-building and socioeconomic progress. The
administration creates conditions for economic development by mobilisation and
better utilisation of resources on the one hand and by determining the extent and
context of training to be given for modernising labour forces on the other. The
importance of social development has also been recognised in the 70s. Many
organisations have argued for introducing programmes and policies and evolving
relevant strategies to bring about change in the minimum standards of living of the
people and to ensure human dignity. This is the focus, for example, of Declaration on
Human Rights, Declaration on Social Progress and Development and the New
International Economic Order. The emphasis here is on the reduction of poverty,
improved delivery of social benefits like education, health, nutrition, transport etc.
and removal of socioeconomic disparities in the society.
Basic Needs Approach to Development Administration

By the end ot 1960s and early 70s, it was experienced that poverty, hunger, squalor,
unemploqment have been on the rising scale despite achievements in the area of
economic growth. The role of human factor in development process began to attract
the focus ot the students of development and development administration. How to
provide the millions and millions of poor people with the bare minimum of life
became a major concern of the scholars as well as the policy makers. Meeting the
basic needs of food, clothing and shelter, along with education and public health
became the indicator of development. Thus development acquired a social and
economic meaning during the U.N. Second Development Decade (1971-8 1 ) instead of
economic growth. The concern was obvious for qualitative change rather than mere
quant~tativeone. It was realised by the developmentalists of this period that the <;UP
(Gross National Product) model has benefited only a small minority of the rlch and
prhileged persons who were already an entrenched class. The need for new economic
framework and accordingly a new approach to development administration was felt.
The economists like G. Myrdal argued in favour of social and institutional
preconditions for progress. This called for the adoption or creation of new strategies
as well. A group of scholars from Third World Forum also advanced the new
framework of development, more so in the year 1975 when they met at Karachi. The
development ideology as has been mentioned by ~ a r c ' ~ e f r i m
was, characterised by
need orientation, ecological orientation, self-reliance orientation, rural development
orientation based on development and creation of endogenous techniques and
institutional structures. The objectives of development were identified as reduction
and removal of poverty, inequality, hunger, squalor, disease, illiteracy, unemployment
and malnutrition. Thus the impact of economic growth occupied central place instead
of the increase in the production of goods and services per se. In other'words, the
problem of increased production was to be seen along with the problem of distributive
justice. The process of efficient and fair/social choices became a matter of analysis for
the students and practitioners of Public Administration. Anti-poverty planning and
policies aiming at the removal of disparities were treated as key elements of this new
developmental thought. N..Islam and G.M.Henault have presented this shift as
follows : https://t.me/Upsc_Zone_Official
Shift
From To
Industrialisation Agriculture
Urbanisation Rural Development
Market Determined Priorities Politically Determined Basic Needs
GNP Per Capita Welfare of Individual
Capital Intensive Labour Intensive
Top Down Planning Participative-Interactive Planning
Parallel Development of Sectors Integrated Development of Sectors
Foreign Dependence Self-reliance
Advanced Technology Appropriate or Intermediate Technology or
Inherent Technology
Economic Orientation Socio-Economic Political Orientation
Service Oriented Rural Production-Welfare Rural
Development Development
De-bureaucratisation and participatory management were regarded as the appropriate
strategy to implement this shift. The development of regional, local and sectoral
structures was focused upon rather than central organisations. M~reover,rural
development became a new management strategy for development. The implication is
the design of a strategy to improve the socio~conomicconditions of the life of the
rural poor. The key elements of this approach are : satisfaction of the basic needs,
increase in production in the agricultural sector, development of labour-,intensive
technology for agriculture, providing the s e ~ i c e sof, credit, technological information,
marketing facilities and assistance, seeds and fei-tilisers t o the peasants and small and
marginal farmers. However, the problem is to find an appropriate
organisational/administrative model to achieve these goals. Some scholars have
suggested the following strategy for development :
1) Decentralisation and Devolution :Decentralisation in administrative language
means delegation of authority from the functional department to the regional and
local to formulate and implement projects, to allocate funds and to raise
resources. Decentralisation is also political when provincial, regional and local
governments work under autonomous regions of authority and functions.
Devolution of powers and authority implies creation of autonomous
administrative instjtutions and agencies at various levels having freedom to plah
and implement development projects and programmes.
2) Strengthening of local self governments and creation of intermediary
organisations.
3) Peoples' participation in plan formulation and implementation.
4) Development of communicational co-ordination and integration channels.
5) Removal of negative socio-political conditions e.g. rural, social and class
structures-persistence of dependency-relationship-factional politics.
3.5 THE TRENDS IN THE 1980s

The 1980s present a third world view of development administration in which
attention has been given to indigenous concepts, methods and theories of
development and administration. Arvind Singhal mentions two contemporary
approaches to development (1) pluralistic, recognising many pathways to development
(2) less western in their cultural assumptions. These approaches stress on the new
socio-economic goals and strategies. The works of Roger, Korten and Klaus, Bijur,
Bryant and White have identified the following as key elements of the modern
approaches to development administration: (1) greater equality in distribution of
development benefits (2) popular participation, knowledge-sharing and empowerment
to facilitate self-development efforts by individuals, groups and communities (3) self-
reliance and independence in development, emphasising the local resources
mobilisation and use (4) the problem of containing the population-increase, and
(5) integration of appropriate technology with big modern technologies in order to
facilitate development. Development administration theory today focuses upon the
involvement of non-government, voluntary and community organisation in the
Con- and Approaebeu development process and emphasises localised, decentralised and participative
approaches to development administration. The shifts in development adpinistration
theory in the 80s have been very well summarised by Arvind Singhal who sees
h a r n i n g Process Approach and People-Centred Approach replacing Blue-Print
Approach and Production-Centred Approach respectively.
Blue-Print Approach to Learning-Process Approach
The conventional development administration theory was concerned with preparing
blue-print for administering a development programme. This approach involves
designing a specific plan of action in advance for implementing a development
project. Lately, this .approach was found inappropriate in so far as it is rigid and
closed and, therefore, unable to respond to the needs of a changing environment.
Hence, many scholars prescribe a learning process approach which is not only a
relatively openended strategy to planned social change, but also involves a cybernetic
process by which development administration can adapt themselves to changing
environment and incorporate mid-course corrections, based on existing local
conditions. Distinguishing the two approache's, A. Singhal states, "The blue-print
approach emphasises advanced planning for the people. The learning process
approach emphasises planning with the people and doing so during the process of
administering a development programme ." The philosophy of action-learning
repudiates the management theory and lays stress on learning by experiences of each
other. The action-learning approach attempts to look at oneself and others around
oneself and seek solutions rather than look beyond the shares for chosen people to
raise them from impoverished conditions in which they live.
The Participatory Approach to Development Administration

This approach is also termed as people-centred approach. The approach stresses upon
peoples' empowerment and promotion of psychological strength so as to enable the
people relate themselves with the officials on a partnership basis. It is based on
developing community action through people. The key elements of participatory
approach include :
1) respecting the ideas of employees and the beneficiaries without evaluation or
criticism;
2) raising of certain diagnostic questions of what the administrators are doing;
3) stimulating ideas from all levels and acceptance of good ideas for implementation;
and
4) attitudinal change by different ways and close observations and discussions
among officials and the people.
The major theme of participatory or people-centred approach is the growth to
capacity via equity. It concentrates on the distribution of development benefits
economic as well as social. Equity became a primary issue in development plans and
programmes. The concern for equity reinforced participation and micro-level
concerns. These concerns focused on direct attack on poverty and rural development.
The set of priorities in the people-centred approach, says Esman, includes :
1) an emphasis on reaching large mass of public often in remote areas;
2) developing programmes that are responsive to their very diverse needs,
capabilities and preferences;
3) organising the public so that they may interact more effectively with the service-
providing agencies of the State;
4) devolution to constituency organisation and the fostering of local action
capabilities;
5) innovation of appropriate Services and practices in support of basic needs
strategies, not'the plantation of established and replicable techniques. However, it
may be mentioned here that some Western administrative methods and practices
like record-keeping, monitoring and reporting methods, public information
procedures etc. may provide useful assistance to programmes oriented to poor
masses.
The participatory approach to development administration provides a link between
beneficiary needs, programme outputs and the efficacy of the assisting agency. The
effective popular involvement in decision-making and decision-implementation
through local skills, knowledge and institutions like local self governmental
institutions or voluntary agencies is given importance. The participatory developme~t
involves leadership and teamwork, besides sharing of knowledge and-resources
between the beneficiaries and the programme officials. The people-centred approach
also lays emphasis on sustainability of development programmes and creating
opportunities for change. This objective can be achieved by (1) creating a felt need
among beneficiaries about the efficacy of the programme (2) developing institutions
which continually adapt (3) providing (or self-generation) of resources and
(4) building support among political elites and community groups.

ii) 'Check your answers with those given at the end of the unit:
1) Discuss the key elements of the modern development administration theory.
2) What are the features of people-centred approach?

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3.6 LET US SUM UP

The preceding discussion on evolution of development administration shows that it
has emerged only very recently in the last four decades as the study and practice of
induced socio-economic change in the developing countries. Beginning in the 1950s as
a study of foreign aid, it has come to mean the approaches and strategies indigenously
developed by the Third World. The techno-managerial approach showing great faith
in big government and administrative changes to match the expanding functions of
the State, ecological approach, basic needs approach and social justice approach to
the study of development administration have also been discussed in this unit. It may
be concluded, as has been stated by Arvind Singha1 that in the 1950s and 60s,
development was viewed as a process by which traditional Third World society could
be transformed into a modern western society. A general optimism about
development was then widespread among both academic scholars and government
officials. In the 70s it became increasingly apparent that western theoretical models
did not successfully predict development in the Third World countries of Asia, Africa
and Latin America. Optimism about development turned into pessimism and a
questioning instance about development characterised the 1970s. The main viewpoint
about development (and development administration) in the 1980s is pluralism, a
willingness to recognise many pathways to development. Present day development
approaches emphasise greater equality, self-reliance and people's participation.
3.7 KEY WORDS

Basic Needs :Food, shelter, clothing, education and health.
Ecology : The study of the relationship of a system with its environment. The
environment includes the physical, cultural and social aspects of the system.
Normative : Pertaining to value judgements or standards. Originated from the word
"norm", meaning-a rule or value that provides a generally accepted standard of
behaviour within
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3.8 REFERENCES
Bryant C. and L. White, 1982, Managing Development in the Third World, Boulder,
Westview Press.
Davld C. Korten and R. Klaus (eds.) 1984, People-Centred Development:
Contribution towards Theory and Planning Frameworks, Hartford, CT, Kumarian
Press.
Edan R.S. 1976, Social Change, New York, W.C. Brown.
Everett M,. Rogers, 1983, Diffusion of Innovations, New York, Free Press.
Hansman C.R. 1975, Rich Against Poor :The Reality of Aid, Penguin, London.
Montgomery J.D. and W.J. Siffin (eds.) 1966, Approaches to Development, Politics,
Administration and Change, McGraw-Hill, New York.

EXERCISES
it was the instrumental theory of administration and government which did
occupy the front rank in the Development Administration Model.
it amounts to the concept of planned development having the assumption
that the developing countries could be helped to develop with the aid of
western technology of administration.
9 the important ingredients of the m,odel are (i) establishment of planning
institutions and agencies; (ii) improvement of the Central administrative
system; (iii) budgeting and financial control; and (iv) personnel management
and organisations and methods.
this model stresses on (i) reforming the administraiive structures; (ii) creation
of new agencies improving the administrative technology in terms of
methods; and hii) procedures and practices on the lines of western-
administrative thought.
economic growth and modernisation occurs through a deterministic sequence
of stages.
development can be facilitated by transfer of resources and technologies from
advanced to underdeveloped countries.
State is principal instrument of development.
development, which is balanced, needs the mastery of modern science which
should include3he science of economics and control of the main levers of
public policy.
training could make the bureaucrats perform better and it is much needed
because modern bureaucracy is the backbone of modern administration.
it is expected that the leaders will welcome the material contributions and
intellectual tutelage of Westerners.
the.transformation from baikwardness to progress will be rapid and benefits
will be widely shared.
depending on the much called maintenance of political stability, the
development will yield enhanced well-being as well as the pre-conditions for
political democracy.

the applicability of the development model waS taken for granted in all
countries, ignoring the relevance of environmental context to administration
and technology.
the concepts like efficiency, economy and rationality might be differently
in!erpreted by the developing or recipient country than the meaning given to
Downloaded from:-
them in the West.
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proposals,https://t.me/Pdf4Exams
for administrative reforms, for example, https://t.me/Upsc_Zone_Official
could not be
implemented for the lack of political support and support from,even the
bureaucracy.
modern management techniques were not included for the purposes of
transfer to the developing countries.
Administrative reforms attempted during this period concentrated mainly on
structural change and not on attitudinal change.
Your answer should include the following points :
the classical concepts were often seen as inadequate in responding to the new
administrative realities of the Third World as they were considerec' to be
rigid, narrow and parochial and therefore were unfit in explaining for the
crosscultural situations.
the American Society for Public Administration formed CAG in 1961 with
Fred W. Riggs as its Chairman to carry out research in comparative
administration with special focus on the problems of development
administration.
the efforts of the CAG were able to innovate many concepts like systems
analysis, patterns variables, tradition-modernity dichotomy, information
theory, pluralism and others.
Riggs has offered criticism of the old model of development administratior,
by observing that an increase in the GNP may not necessarily mean
improvement in the real life conditions of the people.
Riggs prefers the physical quality of the indicators and social find
psychological quality of life index as the success of development policy.
the 1960s ushered in a period evaluation of results, daubts,'and repetition of
old strategies.

1) Your ansyer should iliclude the following points :
greater equality in distribution of development benefits.
popular participation, knewledge-sharing and empowerment to faciiitate self-
development efforts by individuals, groups and communities.
self-reliance and independence in development ernphasising the local
resources mobilization and use.
the problem sf containing the population increase.
integration of appropriate technology with big modern technologies in order
to facilitate development.
respecting ideas of employees and beneficiaries without evaluation o r
criticism.
raising of certain diagnostic questions of what the administrators are doing
stimulating ideak from all levels and acceptance of good ideas for
implementation.
attitudinal change by different ways and close observations and discussions
among officials and the people.

. UNIT 4 GROWTH OF DEVELOPMENT

ADMINISTRATION
Objectives
Introduction
The Planned Change
Land Reforms in Independent India
The Community Development Programme
The Democratic Decentralisation in India
The Approaches to Development and Development Administration
Administrative Development in India
Let Us Sum Up
Key Words
References '
4.0 OBJECTIVES
After studying this unit, you should be able to :
identify the various stages from 1950 till date through which the development
administration h& evolved and grown
explain the role of various techniques, strategies and structure in development
administration and
discuss the various,approaches to development as adopted in India.
4.1 INTRODUCTION
At the time of Independence, India faced numerous challenges and problems, like,
hunger, disease, unemployment, etc. coupled with shortage of skilled manpower to be
made use of for meeting these problems. Besides, the country had more or less a semi-
feudal social structure meaning thereby the concentration df wealth in a fewer hands.
The need of the hour was to put the nation on the rails of development for the benefit
of all. To begin with, the process of planned change was ushered into both for
meeting the challenges as well as the planned change. The strategies and programmes
adopted for the same are analysed in the following pages.
4.2 THE PLANNED CHANGE

India adopted the strategy of planned change which implied among other things that
planning was to be the basic strategy of social reconstruction. Planning was to be used
ix an instrument of socio-economic progress and nation-building. It was recognised as
central to the societies where public sector has to play a role of commanding heights
in the economy so as to fulfil the expectations and aspirations of the peoplh Thus
planning was regarded as a conscious effort to achieve the desired objectives.
In 1936 Dr. M. Visveswarayya underscored the need for planning for industr~afisation
of the country. He suggested a 60 member advisory body from different social
sections and interests for the purposes of plan formulation and execution. He also
recommended the setting up of a Planning Commission, responsible for day-to-day
administration, and a Development Department at the Centre and Economic Councils
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in the provinces.
. Growth of uwelopment
The Congress atter assuming pbwer in.the provinces in 1937, recommenaed the
establishment of an Expert body for eyolving schemes for national reconstruction and Admhishtion
planning. As a result of it, in 1944, a $arming committee under the chairmyship of
Pandit Nehru was formed. It published 3 plans-the Bombay Plan, the Gandhi Plan,
and the Peoples Plan. A Planning and Advisory Board was formed in 1946. The
major aim of these efforts was to bring about rapid improvement in the living
standards of the people.
After Independence, efforts were made to bring forth development and to fulfil basic
needs of all concerned in accordance with the spirit of the Constitution through
planned moves. The brief enumeration of the aims and objectives of the planning is as
follows :
1) Growth of National Income
2) Reduction of inequality'of income and inequality in the ownership of means of
production.
3) Prevention of concentration of wealth in a few hands.
4) Reduction in unemployment and removal of poverty.
5) Provision of basic human needs.
6) Conservation of ecology and environment protection.
7) Self-reliance of the national economy.
A simple analysis of the objectives mentioned above will explain that the objectives of
planning are basically aimed at securing growth with social justice and generating
self-reliance.
The Planning Commission

For the formulation, implementation, and-adniinistration of plans, the central cabinet
adopted a resolution on March 15, 1950 to set up the Planning Commission'with the
following features of its organisational set up.
It is a plural body withmulti-member organisation.
It has two types of members :full time members and part time members.
The size of the Planning Commission in terms of number of its members is not
fixed.
It is a mix of staff and line agency.
It is a mix of political representation and the varied socioeconomic expertise.
The Prime Minister is the chairperson of the Planning Commission.
The full-time members are in charge of various divisions and sections through
which the Planning Commission functions.
There are programme advisors in different divisions.
The other officers of the Planning Commission are known as chief consultant and
joint advisors.
The organisation of Planning Commission as on 15.3.1991 was as follows :
1) Chairperson-Prime Minister.
2) Deputy Chairperson-Minister of Planning and Programme Implemeotation.
However, it appears that it is not necessary for the deputychairperson to hold
this portfolio. For instance, last two governments at the centre appointed full time
Deputy Chairperson.
3) The following Ministers of the Central Government are the part-time members of
the Commission:
A) Finance Minister
B) Agriculture Minister
C) Energy Minister
D) Industry Minister
E) Minister of HRD (Human Resource Development)
F) Minister of Environment and Forest
G) Minister of Law and Justice and Water Resources
H) Minister of State for Planning and Programme Implementation.
Besides, there are 6 full time members of the cchmission drawn from the fields of
economics,,engineering;agriculture etc. They are the experts with long experience in
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Concepts md Approache Tke Planning Commission, belng a composite organlsation, gives collective advice on
itd important matters.
The ftqctions of Planning Commission are assessment of resources, formulation of
plan; determihation priorities, augmenting of scarce resources, monitoring and
ev,alu&on of plans.
P
The Planning Commission performs variety of functions covering the entire-economy

t of the nation. It is concerned with the issue of financial resources, international
economics, development policies, socio-economic research, labour, employment and
manpower, plan co-ordination, monitoring and evaluation, rural development, village
and small industries, education, rural energy, social welfare and nutrition,
communication and information, health and family welfare.
4
The Committee on Plan Projects
In order to properly gear up the developmental activities through plan projects, a
committee on Plan Projects was created in 1956. It includes the Home Minister (as
chairman), and the Finance Minister, Deputy Chairman of the Planning Commission,
c,? and two Chief Ministers to be nominated by the Prime Minister. The functions of this
committee are :
1) T o organise investigation, including inspection of important projects, both at the
Centre and States through specially selected teams.
2) To initiate studies aiming at evolving appropriate form of organisation, methods,
procedures and techniques for economical and efficient execution of projects.
3) To implement the recommendations made in reports submitted to it.
4) To perform such other functions as may be assigned to it by the National
Development Council for the promotion of efficient implementation of the plan.
The committee, however, is not in existence since 1970 as a separate institution.
The Programme Evaluation Organisation (PEO)

Under the general guidance and direction of the Planning Commission, the
Programme Evaluation organisation was created in 1952 for evaluating the
Community Development Programme and Intensive Area Development scheme.
Later on its sphere of operation was enhanced including therein the evaluation studies
of plans, programmes, and co-operation, health, family welfare, rural industries, rural
development, public distribution etc. The PEO is mainly involved in :
i) the appraisal of performance in the light of objectives and targets.
ii) the assessment of the 'impact of programmes on beneficiaries and the social and
economic structure of the community.
iii) provision of services to the target groups.
iv) rendering technical guidance to the state evaluation organisation and
v) training of state evaluation personnel.
--
Another agency concerned with the formulation of development planning and policies
is the National Development Council, which has the Prime Minister as its chairman,
and the central ministers, the chief ministers, the Lt. Governors, members of the .
Planning Commission and the administrators of the union territories as the members.
Briefly, the role of the'NDC in the planning process is as follows :
a) It acts as a link between the Union Government, the Planning commission and
the governments of the states.
b) It c re scribes the guidelines for the formulation of the Nationai Plan.
c) It considers the plan as formulated by the Planning Commission.
d) It considers all important issues relating to social and economic development
policy. '
e) It reviews the plans and suggests measures, to achieve the set goals of the plan
including the steps to secure peoples active participation and co-operation,
improve the efficiency of the administrative services, ensure the fullest
development of the less advanced regions and sections of the community and -
build up resources for national development.
The importance of the National Development Council lies in the fact that it has been
largely responsible for giving Indian, Plan a national character and for ensuring
national unanimity in approach and unifor~itty
- - in
.-working.
-
The Strategy of Planning Growth of Development

The major thrust of the planning was to evolve strategies to atleast minimise the Administration
problems being faced by the people at large. In order to have self-reliant economy,
such thrust areas were picked up where state intervention is required. Keepjng in view
the vital and crucial role to be played by public sector'in industrialization and
modernisation, the state monopolised in the areas of atomic energy, defence,'railways,
airways, iron and steel, minerals, coal, ship building, air craft, electricity, etc. Even the
Industrial Policy Resolutions of 1948, 1956 and 1978 clearly stated that the industries
of basic and strategic significance and also those dealing with public utility services
would be in the public sector. The state also aimed at providing fiscal and supportive
measures to certain other industries to be set up in private sector.
To cope up with the problems of unemployment, under-employment and disguised
employment, the state has taken good number of measures. Some schemes, like
Jawahar Rozgar Yojna, National Rural Employment Programme, Rural Labour
Employment, etc. along with the employment opportunities being provided in the
public sector undertakings are landmarks in this regard. Besides, the financial
incentives are also given to the rural as well as urban educated unemployed youth for
starting self-employment ventures.
In the fieid of a iiculture, the first step was taken in the abolition of Zamindari
systefn, followetby various land reforms Acts like tenancy reforms and Land Ceilings
~ c t s .The
' agricultural production was sought to be increased through intrbducing
\
high technology iti agriculture which is popularly known as green revolution. The
purpose was to achieve self-sufficiency in food grains. However, the scheme was"
implemented ohly in some selected parts of Punjab, U.P., Haryana and Tamif Nadu.
The measures ended in increasing food production to the levelof self-sufficiency, yet
it further widened the gaps between regional development levels.
1) Describe the functions of the Planning Commission.
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........................................................................
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2) Mention the objectives and str&egies of planning in India.
4.3 LAND REFORMS IN INDEPENDENT INDIA .

The Objectives of Land Reforms
One of the major problems before the country at the time of Independence was
unequal concentration of land ownership in the hands of few and prevailing
conditions df semi-feudalism. As stated earlier,t_he cougtry had a semi-fuedalistic
Concepts and Approaches structure of society having wealth concentration ir. few hands. To do away with this-. .
unequal distribution of wealth, the Poverty Alleviation became the priority item o n -
the national agenda. It was believed to be achieved through Land Reforms on a
quantitative and qualitative scale.
The Land Reforms Measures

The land reforms objectives were sought to be achieved through the following
measures: .
i) Abolition of zamindari system
i) ~enanc~?eforms
iii) Impositi~nof land ceiling and re-distribution of surplus land
iv) Consolidation of land holdings.
There were many intermediaries like Zamindar, Jagirdar, etc. between the state and
the tiller of the land. This resuIted not only in concentration of land in the hands of a
few persons, but also in the neglect of agriculture and consequently decline in
production adding more to the poverty of the peasantry. In other words "Land to the
Tiller" became an accepted policy. Hence, many state governments passed Zamindari
Abolition Actsin the early fifties. This measure gave ownership rights in land to
about 20 million cultivators. Similarly, system of tenancy was also a source of
exploitation of the poor peasantry in the village by the landlords. Hence Tenancy
Reforms also aimed at extending the policy of land to the tiller. The Tenancy
Reforms Acts provided for: regulation of rent; and security rights. However, the
tenancy reforms have been ineffective because of lacunae in the tenancy acts, absence
of proper records of land, lack of effective administrative machinery and interaction
of lease, labour and credit market.
-
The land ceiling was also imposed in many states through legislation. However, there
was no uniformity either in case of the limit or approach. For instance, the ceiling was
4 hectares in Gujarat as against 136 hectares in Rajasthan. It should be stated here
that the objective of fixing the highest limit of the size of holdings was to eliminate
inequalities in the ownership of land. These reforms, however, proved ineffective to
achieve the objective again because of legal flaws, manipulation of law, loose
,
definition of the term and too many exemptions from the application of land ceiling
laws.
The Government of India, during 5th Five Year Plan, started giving financial
assistance to the assignees of surplus land scheme so as to enable them to improve
production and productivity. This grant was made available to the assignees of
surplus land for the purposes of land development, minor irrigatiorretc. Such-grant
or subsidy was not to exceed Rs. 80001- per allottee from all schemes together.
The consolidation ot' landholdings aimed at all rbund improvement in the production
along with diversification of rural economy and provision of common services to
small land-holders like community irrigation wells, scientific planning for irrigation
et.c. However, the progress in these areas also has been slow as only 518 lakhs hectares
area has been consolidated up to 6th Plan period.
Implementation of Land Reforms

. The land reforms programmes were sought to be implemented through the existing
bureaucratic set up. The tall objectives of eliminating poverty, removal of exploitative
socio-economic structures, increase in agricultural output were only partially
obtained. While there were many politico-cultural factors responsible for tardy
implementation, the administrative set-up also presented many problems to effective
implementation of land reforms throughout the country. The administrative system
-- -. - of growth with
was not prepared to respond to the demands of change. The principle
equity remained largely unrealised because the administrative setlup was unresponsive
to the hopes and aspirations of the targeted groups. The old colonial administrative
practices and behaviours kept the beneficiaries away from the processes of
implementation of these laws. The administrative non-performance is responsible
mainly for the continuation of the.practices of conceal or informal tenancy system.
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Growth of Development
4.4 THE COMMUNITY DEVELOPMENT Administration
PROGRAMME
The introduction of Community Development Programme could well be termed as
the beginning of development administration in India. The Programme was launched
with the folbwing objectives:
1) to secure total development of the material and human resources of rural areas.
2) to develop local leadership and self-governing institutions,
3) to raise the standard of living of the rural population by means of rapid increase
in food and agricultural predlce, and
4) to bring attitudinal changes towards life in the rural people.
The assumption was ihat the overall development of the rural community needed,
people's participation supported by technical and other services. Moreover, there was
also the realisation that the problems of rural development could be dealt with only in
a holistic perspective rather than being tackled in an isolated manner.
The Institutional Arrangements

The CDP covered to begin with, 53 prbjects with wide ranging programmes for
'
agricultural development along with the development of animal husbandry, rural
industries, health, housing, education and communication in rural areas. The
Programme was administered in phases at 5 levels-National, State, District, Block
and Village. The unit of operation was the village and the block. was taken as the main
.
development unit. The Block Development Office~.fBDO)was the chief executive
officer who was to be assisted by seven extension officers who were experts in each of
the following areas of rural development:
a) agricalture;
b) animal husbandry;
c) rural industry;
d) public works;
e) .social education;
f) co-operative; and
g) panchayats.
There were 10 village level workers (redesignated in many states now as village
development officers) in each block. 10 villages were put under the charge of one
VLW or VDO. The district collector and the development comclissioners were made
the executive heads of the CDP at the District and State levels respectively. At the
national level separate wing known as community projects administration wing under
the chairmanship of the Prime Minister was created. A separate Ministry of
Community Development was formed in 1957.
The Government of the USA made a major contribution under the Technical
Assistance Programme in terms of funds and technical assistance in impiementing the
programme. The rest of funding came froin the.centre and the state governments. For
purpose of implementation the Country was divided into development blocks and 5.5
projects as mentioned earlier, were launched. Each of the project covered about 3500
villages and about 300000~population.Each project was further divided into three
development blocks each of which covered about 100 villages and a populationof
about 70000. About 1060 blocks were covered in the First Five Year Plan which
extended to all the blocks by the end of the third 5 year plan.
Community Development Programme-An Evaluation
The Community Development Programme was viewed, at the time of its introduction,
as a revolutionary step to bring about societal transformation in the rural areas. The
Community Development Programme was innovative in so far as it provided a
different machinery and a delivery system than the revenue administrative system to
bring about socio-economic change. It represented an organised administrative system
l , and local to execute the development programmes .
at all l e v e l ~ ~ n a t i o n astate
throughout the country. The programme was also,the admission of the fact that social
change is not possible unless the --
efforts are peopje-centred aRBinvolvemenfof people
Concepts and Approaches in their development 1s not ensured. It underIined the neccessity of comprehensive
planning and long-term investments from gbvernment for the purposes of rural
reconstruction. Another achievement of thc community development was the
recruitment and trainingoof a large number of personnel and introduction of modern
technology in agriculture, under the programme, many institutions such as farmers
co-operative credit societies, primary schools, family welfare centres, hospitals and
dispensaries were established.
However, despite some positive impacts of the Programme, it became clear by the end
of the Third Plan that it failed to meet the hopes and aspirations of the policy-makers
as well as the people. The rural socio-economic structure and problems continued as
befo*. The elite forces in the rural areas governed the benefits from the Programme.
The administrators either failed to understand the operational implications of socio-
economic and cultural framework existing in the villages or they themselves were not
favourable towards the weIfare of weaker sections. The programme also faiIed in
ensuring people's participation in either the formulation or implementation of the
Programme. The objective of promoting attitudinal and cultural change could not be
achieved. The bureaucratic response to the Programme was unsuitable in the context
of complexities of rural socio-economic structures. The administration was
characterised by redtapism, lack of proper co-ordination, interdepartmenta1 rivalries,
and the absence of well defined functional responsibilities at various levels. Inter-
village and intra-village imbalances in the distribution of benefits was another
outcome of the programme.
1) Discuss the objectives of land reforms programmes in India?
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2) Discuss the objectives of community development programme.
4.5 THE DEMOCRATIC DECENTRALISATION

IN INDIA
The Panchayati Raj system in India was a product of the assessment of the progress
or failure of the Community Development Programme in the country by Balwant Rai
Mehta Committee report on the programme. Owing to the Gandhian approach to
development and administration, the Panchayati Raj System was set'up in India.
Besides, the assessment of the success or unsuccess of the C D P also added to the
factors responsible for the emergence of P.R. system. Through this, system, it was
sought to achieve a prosperous, genuinely democratic, and dynamic India. P.R.
system introduced in 1959 had the following objectives:
i) decentralisation;
ii) participation in development administration;
iii) replacement of vested interest with the widening mass involvement iq the task of
establishing a gen@ge socio-political and economic democracy;
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v) planning from below;
vi) increasing the agricultural production and productivity; and
vii) involvement of the weaker, poorer sections in the development process.
Besides, some other objectives of the P.R. system as delineated in the 3rd Five Year
Plan are:
a) development of rural industries;
b) fostering co-operative institutions;
c) encouraging the spirit of self-help within the village community; and
d) progressive dispersal of authority and initiative with emphasis on the role of
voluntary organisation.
The Structure of Panchayati Raj /
The Balwant Rai Mehta Committee had a different idea in view when it suggested a
three-tier system of Panchayati Raj with freedom to the states to structure the system
in line with their socio-political environment. One could see now that the thinking of .
Balwant Rai Mehta did not get the positive response and amounted to lack of
uniformity in the implementation of the scheme. In Jammu and Kashmir, for
example, only VillagePanchayats were established while in Orissa Village Panchayats
and samitis were esiablished. However, there is no variation in case of the highest tier,
i.e. the Zilla Parishad of the Panchayati Raj. Even there, the structure of Panchayati
Raj includes Zilla Parishad at the district level, Panchayat Samiti at the block level
and Gram Panchayat at the level of the village. Balwant Rai Mehta suggested that the
'Block' was to be the unit of planning and development with supervisory and
controlling role left to the Zilla Parishad. Again, there is no uniformity in this regard.
For example in Maharashtra, Zilla Parishad is vested with planning and
developmental functions rather than Panchayat Samiti. The arguments advanced in
favour of assigning these functions to the Zilla Parishad, among others, were as
follow:
A) District is the stable and easily manageable unit;
B) District traditionally has been recognised as the administrative unit; and
C) The technical manpower is already available at that level.
Next to the Zilla Parishad is the Panchayat Samiti at the block level. The village
pradhans or sarpanches,are the members of this important body apart from the co-
optted and ex-officio members. There is reservation of seats for women, scheduled
castes and scheduled tribes. In some states, the MLAs and M.Ps of the area are also
the members. The chairman of the Samiti is elected by the village pradhans
(Presidents of Gram Panchayat).
The basic unit of the Panchayati Raj is the village panchayat. This body is directly
elected by the people of the village and ensures more direct involvement of .
development progTammes. The civic and development functions are entrusted to the
Panchayats in almost all the states. At the village level, there is another body called
the Gram Sabha. It is constituted as an instrument of popular participation. The gram
sabha considers the accounts and approves the proposals for taxation and plans for .
development submitted by the gram panchayat. However, the gram sabha enjoys
these powers only in theory. The Sabha hardly meets and it has proved quite
ineffective.
The number of members of the Panchayat varies between five to thirty seven. The
Fanchayat Act, as passed by the state fixes this number. The members are elected
through the principle of one man one vote and secret ballot. i'he women and
scheduled castes and tribes are also given representation in the Panchayat.
The Ashok Mehta Committee on Panchayati Raj ,
The Panchayati Raj system that was introduced with much fanfare and with multiple
objectives could not be a success. It came to be treated mainly as an instrument of
increasing agricultural production. "The activities of Panchayati Raj institutions were
meagre, their resource base weak and the overall attention given to them viggardly."
It was in this context that the Central Government appointed
-.
a Committee, popularly

Concepts and Approaches known as Ashok Mehta Committee, https://t.me/Upsc_Zone_Official
to suggest steps to strengthen the Panchayati Raj
institutions. The maj6r-i'ecommendations of the committee, among others are:
i) . Replacement of three-tier structure with two-tier structure-one at the level of
the district and the other at the Mandal Level;
ii) The composition of various tiers is specifically given. he Zilla Parishad shall
consist of (a) elected members from suitably demarcated wards, (b) Presidents of
the Panchayat Samitis, (c) nominees of the bigger municipalities and the district
co-operative federatipn, (d) two women, (e) two co-opted members one having
special interest in rural development an4 one from the local teaching profession,
and (f) representation to scheduled castes and scheduled tribes.
The Chairperson of the Zilla Parishad shall be elected indirectly by its members from
amongst themselves:
The Mandal ~ a n c h a ~shall
a t have 15 members to be elected directly, including
representation from farmers' service societies, women and scheduled castes and tribes.
iii) Panchayati Raj institutions should be entrusted with 'compulsory powers of
taxation';
iv) Constitutional status should be awarded to Panchayati Raj system;
v)' Open participation by political parties in the elections to Panchaxati Raj bodies;
vi) Election t o these bodies should be conducted by the Chief Election Officer of the
state in consultation with the Chief Election Commissioner;
vii) Regular social audit and monitoring by a district level agency to safeguard the
. interests of SCs and STs;
viii) Creation of a Social Justice Committee in each Zilla Parishad; and
ix) Ordinarily the Panchayati Raj institutions should not be superseded. In case
supersession is unavoidable, their elections should be held within six months
from the date of supersession.
As discussed under Section 4.5, the Panchayati Raj System was introduced in order to
have development of all concerned by having their involvement and participation in
the total schemes to be launched. For one reason or the other the results of the efforts
made through this system could not be as grand as expected.
4.6 THE APPROACHES TO DEVELOPMENT

AND DEVELOPMENT ADMINISTRAT-ION
Regional ~ i ~ r o a c h e s
The first approach to development, specially rural development, was regional with
emphasis on economic activities to be established in different sub-regions of the
district. This approach is popularly known as Growth Centre Approach. s he
philosophy behind this approach is that the process of development in rural areas can
be fostered by developing natural resources, build up infrastructural facilities and
social services, and foster the growth of towns and cities in a manner that would help
the district to develop in a directed way. The assumption is that each village could not
be provided with those facilities simultaneously because of financial limitations and
for reasons of economic emcien~y.This approach is also known as Induced Economic
Growth Approach.
Area Development Approach
Th'e area developsent approach focuses on two points :
i) development of*optimuminfrastructural facilities; and
ii) spatial and functional integration for the development of an area.
The purpose of these approaches was alleviation of rural poverty. In the last four
decades, many area-based development programmes-Intensive Agricultural District
Programme, Drought Prone Area Programme, Command Area Development
Programme, and Desert Development Programme-were prepared and implemented.
Since agriculture plays a very important role in the economy and in social life of the
people, the area development strategy was considered essential. The Drought Prone
Area Development Programme, wgs,.for i n g n c e , envisaged- in the seventh
- -- - five year -
-

plan to increase productivity from dryland and arid areas. The characteristic of such Growh of Development
Admlnlstrrtion
an area is maximum concentration of the poor and the unemployed. Hence, their
development called for the use of appropriate technology of development. The
Drought Prone Area Development-Programme included six major sectoral areas
including fisheries, irrigation, forestry, horticulture. Similarly, Desert Development
Programme was another area based programme aiming at :
i) afforestation;
ii) maximum exploitation and conservation of water resources;
iii) creation of water harvesting structures;
iv) rural electrification; and
v) development of agriculture, horticulture and animal husbandry.
The Target-Group Approach

The third approach to development is Target-Group Approach or Beneficiary
Oriented Approach. This may also be termed as people-centred approach. It was
realised that economic growth model of development which laid emphasis on trickle
down theory (which believed that fruits of development will automatically reach to
the people in rural areas. That is, the fruits will trickle down by themselves) was
unsuitable to solve the problems of poverty and unemployment. Hence, it was
considered necessary to undertake such programmes and projects which deliberately
and in a determined manner aimed at reduction in poverty and lead to distributive
justice. The main principle came to be economic growth with social justice. With this
objective in view a number of target-group oriented programmes were implemented.
Some of them have been:
i) Rural Manpower Programme: It was initiated towards the end of'1960-61 to

provide employment opportunities for hundred days to ak teast-225 niillion
people. It ended in 1968-69. Again during the 4th Five Year Plan ii special
programme-Crash Scheme for Rural Employmenf was started for providing
employment to 1000 people every year;
ii) Pilot Intensive Rural Employment Programme was launched in 1972 in 15

selected community development blocks for a period of 3 Tears. The programme
aimed at creating additional employment for unskilled labour, creation of assets,
creatibn of new skills and to enter into some kind of manpower budgeting.
iii) Food for Work Programme was initiated in April 1977 with the following
objectives:
a) Improving the nutritional level and strengthening of rural infrastructure.
b) Creation of additional gainful employment in the rural areas to improve the
living of the people in rural regions.
c) Making use of surplus foodgrains for human resource development. This
programme was renamed as National Rural Employment Programme in
October 1980. The implementation of the programme was made the
responsibility of the District Rural Development Agency established at the
level of the district. The projects were to be prepared keeping in view the felt
local needs.
d) Another beneficiary-oriented programme is Rural Landless Employment
Guarantee Programme (RLEGP). This aims at.to' provide employment to
landless rural farmers. Its objectives include :
1) lmprovement of employment opportunities, specially to provide
employment to at least one member of a family of rural landless labour for
100 days.
2) Improving the overall quality of rural life.
3) Creation of productive and durable assets for direct continuing benefits to
the pqorer groups and
I 4) Strengthening
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which would lead to
Concepts and Approaches Under this programme, the preference was to be given to women, scheduled
castes and scheduled tribes. The execution of the programme could be left to
a voluntary organisation or to DRDA or to any other agency deemkd fit for
the purpose. The voluntary agencies are regulated by either the agency of
People Action for Development or the DRDA where this agency is not in
existence; For the purposes of planning, monitoring and implementation of
the programme, a central committee at the level of the centre was
established. Besides, every state was to have state level co-ordination
committee for. rural development and project approval. The programme is
centrally supported and 10 per cent allocation is earmarked only for the
benefit of SCs/ STs.
In 1989, new scheme called Jawahar Rojgar Yojna was launched. Its basic
objective was to give employment to people in most backward districts with
high incidence of poverty and unemployment. The earlier two programmes
NREP and RLEGP were merged into this new programme along with the
Million Wells Scheme. This is Centrally sponsored scheme where 80 per cent
funds are to be provided by the Centre and that too directly to the DRDAs
who will further forward 80 per cent of the allocation to the village
panchayats.
5) Development of Women and Children in Rural Areas (DWCRA) : Though
development of women as a human resource was made a part of the
Integrated Rural Development Programme, no significant results were
achieved. Therefore, to provide specific alteration to the improvement of
nutritional levels of women and children and also to improve their status,
the scheme of DWCRA was implemented in 1982. The objectives of the
programme included assistance to individual woman to enable her to make
use of facilities provided under IRDP, provision of supportive services at
the work-site and provision of childcare facilities like security, health care
and nursing for the children of women at work.
Training of Rural Youth for Self-Employment (TRYSEM.) was conceived.in order to
make the poor productive and self-reliant, two lakh persons per year were to be given
training. Under the programme, one third of the beneficiaries were to be women. The
main focus of the scheme was to provide the rural youth within the age group of 18-35
years with the necessary skills and technology to enable them to take vocations of self-
employment. The preference was to be accorded to.the scheduled castes, scheduled
tribes and ex-servicemen.,
Minimum Needs Programme Approach
The earlier approaches ignored the social aspect of development. The main thrust of
those approaches was on economic development or income and assets generation for
.the specific areas or target-groups. However, it was realised lately that social
development was equally important. The provision of social selvices and basic
necessities to improve quality of life occupied increasing attention of the planners and
developers, This approach emphasises 'investment in human beings'. The objectives of
this approach are :
i) Establishment of a network of basic services and facilities of social consumption
in all the areas up to nationally accepted norms, within a specified time-frame.
ii) raising of the standards of living and reduction of the regional disparities in
development.
The Minimum Needs Approach concentrates on basic needs of food, shelter,
sanitation, health, education, drinking water and roads. The programme has fixed
'following priority areas. Elementary and adult education, health, rural water supply,
rural road:, rural electrification, housing, environmental improvement of urban slums
and nutrition.
Primary Health Care Approach based on equity, access and social justice is very vital
philosophy of social development. The programme includes (a) provision of curative,
preventive and promotional health services, (b) control and eradication of major
communicable diseases, (c) training of medical and para-medical personnel and
(d) establishment of,network of primary health services. In terms of housing the 7th
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sector housing schemes, (d) augment resources of agencies like HUDCO and State Growth of Development
Housing Boards, (e) providing housing in employment schemes like NREP and Administration
RLEGP, and (0 promotion of research in low-cost rural housing technology and
building materials.
Another important prograinme under MNP is Nutrition Programme which includes
(i) Special Nutrition Programme and (ii) Mid-day Meals Programme. In 1972-73 the
Government of India introduced another special programme for Accelerated Rural
Water Supply. It aimed, among other things, at providing adequate and safe drinking
water to the rural population, prevention of water pollution, educating the public in
conservation of quantity and quality of water etc.
The People-Centred Approach -
The main thrust of this approach is to treat the individual as an active participant in
the development process, rather than viewing him merely as subject of development.
The people-centred approach comprises human growth and well-being, equality, self-
reliance and peoples' participation as its key elements. Similarly, the involvement of
voluntary/ non-government organisations, is also becoming an important part of
development administration in India.
4.7 ADMINISTRATIVE DEVELOPMENT IN INDIA

The development of administration is an integral pm of develdpment administration.
It is now well recognised that development goals cannot be achieved in the absence of
a very capable and competent administrators. They (the administrators) have to cope
with the emerging complex challenges with a different approach. Development
administration does not stop a t merely formulation of plans and programmes for
development, the crux of development is the implementation of development plans
and policies. Hence there is a need to build up administrative capabilities and
capacities to deliver the goods. Administrative development refers to the behaviour
necessary for the formulation and eiecution of schemes and programmes and projects
aiming at change and underlying the understanding in the belief that administration
should be responsive to the needs and aspirations of the people. The civi! services
have to undergo behavioural and attitudinal change, besides the changes in the
structures, procedures and methods or work so as to fit into the need of a developing
country like India. It was with this view that Central government and many state
governments appointed many committees and commissions to suggest measures to
improve administrative capacities and capabilities. The most well-known among them
were : N. Gopal Swamy Ayyangar Committee (1949), A.D. Gorwala (l951), and
reports submitted by Paul H. Appleby in 1953 and 1956. The Appleby Report made
important recommendations regarding work procedures recruitment, training etc. The
I
Estimates Committee of the first Lok Sabha also suggested changes in adminis'trative
machinery of the Central Government through its reports presented in 1950-51 and
1953-54.
The successive Five Year Plans have been indicating the need for improvement of in-
service training, performance evaluation on systematic basis, establishment of 0 and
M (Organisation and Method Division) etc. As the First Five Year Plan saw the
actual advent of development administration in India (1951-56), some new agencies
concerned with the responsibility of administrative evaluation were established :
National Development Council (1952); Programme Evaluation Organisation in the
Planning Commission, and Special Reorganisation Unit. Efforts have been made to
attune the administrative structures, procedures, staffing patterns, techniques of
planning, etc., to the goals and processes of development. Since late 70s it is
increasingly realised that development need not merely mean changes in
administrative technology, but it also entails changes in administrative culture. This
change has been attempted in India through the mechanism of training. Enhancing
the levels of skills and knowledge of the civil service is the other important objective
of administrative development which again is sought through the mechanism of
tr&ning. Experience is transformed into knowledge and knowledge is b e d to build up
~xberience
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Concepts and A p p r w h a in terms of knowledge, skills, and attitudes required in performing organisational
tasks and functions within relatively short span of time.

1) What are the major approaches to development?
2) Discuss the nature of administrative development in India since Independence.

......................................................................
......................................................................
4.8 LET US S U M UP
In this unit we have studied the evolution of development administration in India as a
process as well as a discipline, we examined the evolution of development
administration as a concept both in terms of structures as well as programmes and
projects. We have also studied various approaches and themes to development
administration in India.
4.9 K E Y WORDS
Agrarian Structure :Agrarian strueture is understood to mean institutional
framework of agriculture. This institutional network relates to tenure system, forms of
employment credit institutions, trade unions etc.
Tenancy Reforms :It is a part of the land reform programme. It includes the
institutional measures meant for the tenancial security of the cultivators.
Land Ceiling : Imposition of restriction of the size of land-holding.
Tiller :Cultivators of land.
4.10 REFERENCES
Trivedi, K.D. 1987. Perspective in Development Administration :Mittal Publication
Delhi.
Verma, S.P. and S.K. Sfiarma (eds) 1984. Development Admini5tration :Indian
Institute of Public Administration. : New Delhi. https://t.me/Upsc_Zone_Official
Growth of.Development
4.11 ANSWERS TO CHECK YOUR PROGRESS Administration
EXERCISES
to make an assessment of the material, capital and human resources of the
country.
to formulate a plan for the most effective utillsation of the country's resources.
determination of priorities.
to monitor and evaluate the plan implementation.
2) Your answer should. include the following points:
growth of National Income.
reduction of inequality of income and ownership of means of production.
prevention of concentration of wealth in a few hands.
reduction in unemployment and removal of oowrty.
provision of basic human needs.
conservation of ecology and environment protection.
self-reliance of the national economy.

- abolition of Zamindari System.
tenancy reforms.
.
impositions of land ceiling and re-distribution of surplus land.
consolidation of land holdings.
to secure total deveiqment of the material and human resources of rural
areas.
w develop local leadership and self-governing institutions.
to raise the standard of living of the rural population by meam o f rapid
increase in food atrd agricultural produce.
to bring attitudinal change towards lifein rural areas.

Regional Approach
The Area Development Approach '
The Target-Group ~ p p r o a c h
Basic Needs Approach
The People-Centred Approach.
the development of administration is an integral part of development
/administration.
there is seed to build up administrative capabilities and capacities to deliver
the goods.
in other words, administration itself has to be developed in order to meet the
requirements of development.
it was felt that it was only with the change in administration that we can make
it a fit instrument of development.
the Appleby Report made important recommendations regarding work
procedures, recruitment, training etc.
Estimaks Committee of First Lok Sabha suggested changes in administrative
machinery of the Central government.
Successive Five Year Plans have been indicating the need for improvement of
in-service training, performance evaluation on systematic basis, establishment
of 0 and M.
Late 70s it is increasingly realised that development need not merely mean
changes in administrative technology, but it also entails changes in
administrative culture.

UNIT 5 INDIA'S SOCIO-ECONOMIC

PROFILE AT INDEPENDENCE
Structure
5.0 Objectives
5.1 Introduction
5.2 The Social and Economic Conditions of India during the British Period
5.3 A Profile of India's Stagnant Economy
5.4 Colonial Legacy of Urrderdevelopment
5.5 Let Us Sum Up
5.6 Keywords
5.0 OBJECTIVES
After reading this unif you should be able to :
discuss the eamomic and social conditions prevailing in India during the British
de,
comment upon tb profile of India's w an t e m a n y at the timo of
Indcpcn&na in terms of population, wak fonx, nrtional income, occupationrrl
structure, agriculture, industry and foreign tnde, and
highlight the nature of our colonial legacy.
5.1 INTRODUCTION
As a studmt of development administration, you must understand the social and
economic umditions prevailing in t k country at tk time of Independence. The pace
and spread of development of an economy over a given period of time depends upon
tk resource base it atarts with. Any schema of devebpmcnt has to be band on the
nature of social and bconomic conditions of a country. Witbout understauding these
conditions one cannot determiqe the seriousness of the problems, their size and
complexity, their mutual relationship and the approach to their solution. In India,
where we come across diverse conditions, such type of understanding assumes greater
importance. The state of the Indian economy and society at Independence also
provides a point of comparison with the changes and development which have taken .
place in the post-Independence period.
Though the state under the British rule played an active role in Indian eamomy, it did
not contribute towards any structural change and development of the country. The
questions like, what was the nature of state intervention in colonial India ? Did such
intervention lead to the welfare of people? What was the socieeconomic p d e of
India at the dawn of Independence ? Why did the state undertake the task of active
participation in the development process etc. ; need praper answers. This unit will try
to give you an idea about the conditions prevailing in India in 1947. The Government
of free India inherited most of the elements of the state structyn (laws, bureaucracy,
policies and schemes) rules and regulations, administrative cuiture etc., from the
British government. An assessment of tk inherited socieeconomic situation would
help you in understanding the necessity for the changes in various parts of the
Development Stmtegy and

Planning 5.2 THE SOCIAL AND ECONOMIC CONDITIONS
OF INDIA DURING THE BRITISH PERIOD
From the mid-eighteenth century to the mid-twentieth century, the British ruled over
India. Globally this was a period of tremendous scientific and technological
advancement. Europe, North America and Japan witnessed a fast and steady social
and economic growth during this period. They also dominated the world politically
and economically. But for India, this was the time of severe economic and social
crisis.
The coming of Britishers in India proved ruinous for her self-sufficient village
economy. As an inevitable result of foreign rule, India lost ground in economic, social
and technological advancement The worst affected were India's village industries,
handicrafts, agrarian economy and trade.
The influx of British and non-British machine-made goods at cheaper prices in Indian
market proved detrimental to the village handloom industry. Import of cheap aniline
dyes adversely affected the village dyers. The condition of village potters also
deteriorated due to the presence of metal ware in the market Village tanners and
carpenters also lost their hold on market. The growth of modern industries in India
was mainly dominated by the British capital. Though accumulation of sufficient
savings in the hands of Indian merchant class did give rise to some Indian-owned
modem industries in India but these were really nominal as compared to the British-
owned modem industries. The industries that flourished during this period were
plantation industries such as indigo, tea and coffee, cotton and jute mills and coal
mines. Engineering and railway workshops, iron and brass foundries grew rapidly
during this period But there was a practical absence of basic heavy industry
(metallurgical and machine producing industry) in the country. There was hardly any
appreciable advance in shipping, aircraft industry, etc. There was a little development
in the fields of banking and insurance but that too largely under the control of the
British. One of the striking features of economic development in India in the sphere of
trade, industry and banking, was the concentration of a big proportion of enterprises
in a few hands, which led to the establishment of monopolies and trusts. The trusts
e.g., Tatas, Andrew Yule and Co. etc., in industry, transport and financial fields
controlled economic enterprises of almost all categories.
Indian handicrafts were almost ruined during the British rule. Our handicrafts became
a prey to British goods and exploitative policies of the colonial regime. Heavy duties
were laid on Indian goods. Artisans were not able to sell their products to Indian and
foreign merchants. British put an end to the internal trade of Indian handicrafts.
Destruction of native states which were the greatest customers of our handicrafts and
also patronised the handicraftsmen came as a severe blow to Indian artisans. Due to
the wide network of railways, Indian markets were flooded with British and other
foreign goods. Iron smelting industries were also undermined. As a result of all this,
many handicraftsmen migrated to cities and took to various kinds of menial jobs.
Some became wage workers, some diverted to agriculture and became farmers and
land labourers.
One of the most alarming and ruinous features of Indian economy under the colonial
rule was the change in agrarian structure and relations. The introduction of private
property in land led to the division of family land which proved to be one of the major
reasons for disintegration of joint family system. The British introduced
commercialisation and specialisation in agriculture. Agricultural produce began to be
sold in market and special crops began to be produced for the purposes of sale. The
new land revenue system eliminated the village as the unit of assessment. The new
land revenue system, excessive land revenue, low productivity, etc., forced the
farmers to take recourse to borrowing of money and seeds from money lenders. This
led to a vicious circle of indebtedness and almost every farmer became a victim of it.
To meet the heavy taxes on land and basic necessities and debt interests, land usually
passed on from the cultivator to the money lender who' further let and sublet i t Thus
a new class of tenants, sub-tenants and absentee landlords emerged which never had
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The pressure on agriculture increased to a large extent during this period. Due t o ruin India's Socio-economic profile
of handicrafts and village industries, artisans made farming their livelihood. This led at Independence
to excessive overburdening of land. Even the pasture land providing fodder and
livestock was increasingly encroached upon for agriculture. Thus a highly inequitous
agrarian system enabled its top sections of zamindars and landlords to live off the
labour and toil of the working peasantry. Moreover fluctuating agricultural output
dependent on the vagaries of monsoon made the farmers easy victims of the
exploitative commodity and market operations.
The British rule was thus a sorry story of the systematic exploitition UL India The
benefits of British rule, if any, were only incidental. The main motive of the British
policies and developmental programmes was to serve the interests of their own
country. Thus, in 1947, when the British transferred powcr to India, we inherited a
crippled economy. As Jawaharlal Nehru in his book 'Discovery of India' put it,
"India was under an industrial capitalist regime, but her economy was largely that of
the pre-capitalist period, minus many of the wealth producing elements of that pre-
capitalist economy. She became a passive agent of modem industrial capitalism
suffering all its ills and with hardly any of its advantages."

Note : 1) Use the space given below for your answers.
2) Check your answers with those given at the end of the unit
1) Discuss the need for mderstanding the resource base .3f an economy.
2) In what way did the British rule affect the agrarizn system in India ?
5.3 A PROFILE OF INDIA'S STAGNANT

ECONOMY
In order to produce increasing quantities and services, a society needs a framework of

government, laws, policies, commcn facilities and institutional. environment which
foster and rewards work, enterprise and innovation. Such a framework makes people
the means and ends of development. The British rule was just the opposite of such a
development conducive system. In this section we will discuss the condition in which
the Indian economy was in 1947 iii terms of national income, work force,
occupational structure, condition of agriculture, land, capital, foreign trade, monetary
and fiscal system, etc. Since 195 1 was the census year, we have a lot of information
for that year. The first two or three years were spent largely in stabilising economy
and administration, the situation of 1951 may well represent the situation on the
morrow of Independence as no concrete changes were introduced between 1947 and
1951.
Populatim and Work Force

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Development Strategy and 51. During this period, birth rate per thousand was 41 and death rate 27. Thus the
Planning natural rate of growth of population was 1.3 per cent per annum.
The percentage of population which actively participates in economic activities like
production, trade, etc. gives the work participation rate. In 1951, it was 39.18 for the
population as a whole. For males it was 53.9 and for females it was 23.4. The total
number of workers engaged in varied activities was 14.32 crores. The work
participation rate was 46.1 per cent in 1901. It became less as years went by. It
means during the last five decades of English rule, the dependency tatio among the
Indians increased It is an indicator of worsening off of the economic situation.
Occupational Structure
An. economy is an interrelated set of activities or occupations by means of which
people earn their livelihood. Therefore an economic profile of a country must also
describe the distribution of the population, particularly of the work force in various
occupations. Generally, the activities are clubbed into broad categories like
agriculture and allied activities, industry and services. Among these activities, some
are formally organised whereas others are unorganised, given the basic rural and
agricultural nature of the economy which witnessed sizeable de-industrialisation under
the impact of the British rule. As a result of exploitative socieeconomic and foreign
trade policies followed by the British, 72.3 per cent of our work force was dependent
on agriculture for its livelihood. Of these lan&holder cultivators were over 50 per cent
and landless agricultural labourers constituted a little under 20 per cent. In 1901, the
agricultural workforce was a little over 7 1 per cent and in 1921 it was as high as 76
per cent The inter-war years did see a little growth in industrial sphere and trade but
it was not much Thus at the time of Independence, agriculture was supporting
practically the same proportion of workers as at the beginning of the century. As the
population increased, the dependency on agriculture increased further.
Mining, factory establishments and various types of cottage, village and small
enterprises were the next important users of India's workforce. One-an&a half more
workers, that is, a little less than 11 per cent (10.7 per cent) of total workers were
engaged in these establishments and enterprises. Even during 1901, the industry
engaged 12 per cent of our workers. The remaining workforce was engaged in trade,
transport, professions, govement service and other services. In 1951, these activities
engaged over 17 per cent (6.6 were engaged in trade and transport, 9.3 in services 1.0
and 0.1 per cent in railways and banks) of our workforce.
This means that there exjsted a very unbalanced distribution of workforce,
particularly in view of low productivity in agriculture and small size of landholdings.
It means that the hold of traditional activities at the time of Independence was
extensive. Relatively small share of industry, particularly in the manufacturing sector,
shows that we were really deixxlustrialised and whatever industries made their
appearance in our midst failed to provide a steady source of livelihood to a large
number. The number of workers in factory establishments was just about 30 lakhs. It
means high productivity activities could become available to only a very small
number of people.
National Income or Flow of Goods and Services

Total value of current year's production of goods and services, despite its limitations,
is regarded by many economists as the single most important indicator of economic
conditions. In a country Eke India with a large agricultural and unorganised activities,
the national income figures can never give a true picture. However their salience
cannot be doubted.
At the then prevailing prices national income of India in 1950-51 was estimated to be
Rs. 8,853 crore, which in terns of 1970-71 price level would be equivalent to
Rs. 16,798 crom On this basis annual average per capita income at the dawn of
Independence amounted to Rs. 265. It means on the basis of that year's prices,
average daily income was less than Rupee One. Comparable per capita incomes in
U.K, U.S.A, Japan, France and Australia were Rs. 3,598, Rs. 8,840, Rs. 820,
Rs. 3,280 and Rs. 4,340 respectively. It is clear that in terms of international
comparisons, India had a very low level of production per person. It was hardly
sufficient for meeting even the minimum human needs. In view of the large
inequalities existing during that period, it is clear that miliions had an income even India's ~ o c i ~ c c o n o mProfile
!~
below the level indicated by the per capita income figure. at Independence
Given such low and unequal levels of income and an agrarian system incapable of
providing incentives for savings, investment and improvement of productivity, the rate
of savings and capital formation were quite low. According to the First Five Year
Plan, saving available for net investment amounted to Rs. 450 crore only. It mearis
that the rate of savings was a little more than 5 per cent.
According to the estimates of the National Income Committee Report, agriculture,
animal husbandry, forestry and fishing contributed 5 1.3 per cent of our Net
Domestic Product (NDP). As 70 per cent of our population was dependent on these
activities, about half our total product was produced by them. Mining and Industry
produced 16.1 per cent of NDP. Of this, factory establishments produced 5.8 per cent
and small and village industries 9.6 per cent. Trade, commerce, transport (including
railways), communications, banking and insurance contributed 17.7 per cent of our
NDP. The share of housing, construction, public admini~trationand other professions
and services in our national income was 15.7 per cent. Thus it can be seen that the
primary sector was the most prominent sector of the Indian economy in terms of
output. The secondary sector was not so well developed and hence its contribution
towards the national income was rather small.
Aericulture
Since agriculture is the most important sector of economic activities in terms of share
in occupational structure as well as in NDP, it would be insightful to have a closer
look at this group of activities.
In a country with very low level of income, food is the most important item of
consumption A majority of poor people after attending to their food needs are hardly
left with any purchasing power to spare for the other necessities of lie. It means
agriculture has a close bearing on the life of not only the people engaged in
agricultural operations but others as well. At the time of Independence, tea, jute and
raw cotton (all falling under the primary sector) accounted for the major part of
India's export earnings. Even the modem industries like textiles, jute, sugar, edible
oils, etc. which developed during this period, obtained their basic raw material from
agriculture. Agriculture's contribution to public exchequer was also quite substantial.
Thus our economy was basically an agricultural economy.
In 1950-51, the total cultivated area was 324 million acres. Per capita cultivated
area, had started declining since 1901. In 1901 it was 3.2 acres. By 1951, it had
come down to 2.2 acres only. About 35.5 million acres were used for growing more
than one crop, the rest were single crop areas. Food was grown in 78 per cent of the
cropped area Plantation and spices accounted for just 1.1 per cent area but it was
highly lucrative. Over the period 1917-1947 multiple cropped area increased by 20
per cent and irrigated area increased by 10 per cent mainly by means of extension of
canals. Irrigation was available to 18 per cent of the cultivated area in 1951.
By the end of 1949-50, there was a decline in yield per acre from 619 lbs to 565 lbs.
There was a food shortage in the country during this period necessitating imports. ,
During 1948 to 1950, total food imports amounted to 8.6 million tons. Total food
production was nearly 50 million tons, of this over 40 per cent was rice (over 20
million tons) and wheat around 6 million tons. The rest were various coarse grains,
which in their total far outweighed wheat. dmong non-food crops, cotton, jute, tea,
'coffee, oil seeds, sugar cane, rubber, tobacco, potatoes and spices were important.
Per capita food production continually declined after 1900. In 1905-06, it was 200.2
kgms per year, giving 594 grams of food per day. In 1950-51, the annual and daily
availability was as low as 155.2 kgms and 425 grams respectively. It shows that
during the colonial rule, economy was marked with hunger and chronic malnutrition.
According to Agricultural Labour Enquiry Report, 1954, over 22 per cent of rural
families were landowners, over 27 per cent were tenants, over 30 per cent were
agricultural workers (of which about 50 per cent were without land) and 22 per cent
were non-agricultural families. There were many intermediary interests in land and
the actual tillers' rights in land were limited and insecure. In 1950, agricultural
labourers and their
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were attached and the rest were casual workers. The
Development Strategy and
Planning attached workers were made to work, on an average, 326 days in a year. Wages were
very low. Among agricultural workers 4.6 per cent were children, 77 per cent of child
labour was casual and the rest attached.
Industry
Some modem industrial enterprises were started in India in mid 19th century. These
enterprises were managed generally under the managing agency system. At
Independence the major industries were the textiles, jute, sugar, cement, paper, oil
crushing and light engineering. Total finished steel production was about 89 lakh tons
and steel inputs were 13 lakh tons. Per capita yearly steel production amounted to
just 3 kgs. Other industrial achievements comprised about 4.3 thousand million yards
of cotton piece goods, over 10 lakh tons of jute products, over 9 lakh tons of sugar, 3
crore tons of coal, about 15 lakh tons of cement etc. The production of rice, wheat
and cereals was also very high
In 1947, there were 14.5 thousand factories in India. Around 22.75 lakh persons
worked in these establishments. There was a noticeable degree of concentration of
industries in terms of share capital and fixed assets, indicating the presence of
monopolistic traits. Twenty industrial houses controlled over 34 per cent of total
share capital, nearly 38 per cent of net fmed assets and about one-third of gross
capital stock of the corporate sector. It means that even in the early stage of industrial
growth, monopolistic trends which are a feature of advanced capitalist economies
were visible in India.
Foreign Trade
In 1947-50, exports, valued at Rs. 509 crore were less than 6 per cent of our
national income. Imports amounting to Rs. 590 crore, were less than 7 per cent of
our national income. India had negative trade balance that year, it was Rs. 82 crore.
Principal exports composed of agricultural products, minerals and other raw
materials. Other export items were tea, jute, raw cotton, hides and skins, iron and
other ores, tobacco, spices, lac, gum and oil seeds, etc. Textiles were the major
manufactured goods that we exported. Our imports consisted of manufactured goods
like machinery, metals, chemicals and dyes, foodgrains equipment and machinery, etc.
United Kingdom, the USA, Pakistan, Egypt and Australia were the main sources
from which our imports originated. These countries plus Burma and Canada were the
main buyers of our exports. Overall balance of payments deficit for that year was in
the range of Rs. 150-200 crore.
Other Aspects
Education
The literacy rate in India in 195 1 was very low. The overall literacy rate was 16.7
per cent, 24.9 per cent of the male and 7.9 per cent of the female population was
classed as literate. Among agriculturists, literacy rate was only 12 per cent Females
engaged in agricultural activities had a literacy rate of 4.5 per cent. Total number of
graduates was just 11.74 lakhs. Enrolment facilities were available to only 40 per
cent of those in the age group of 6 to 11, to 10 per cent of those in 11 to 17 years
and to 0.9 per cent of those in the age group of 17 to 23 years. In 1948 49, the total
number of educational institutions from nurseries to universities was 1.82 lakhs only.
Health
There were only 5.56 thousand hospitals with about 8.5 lakh hospital beds. Epidemic
diseases accounted for 5.1 per cent of total mortality. Hundred million people were
estimated to have suffered from malaria and 2.5 million were active cases of
Tuberculosis. Tuberculosis caused half a million deaths annually. Life expectancy
rate was little over 32 years.
Taxes
National income comprised 7 per cent taxes. Of this, 17 per cent came from
import duties, 28 per cent from direct tax= and 8 per cent from land revenue. Total
national debt in 1946-47 was Rs. 2,285 crore. In 1947, the external debt of India
stood at Rs. 36.52 crore.
India's Socio-economic Profile

Scheduled CastesIScheduled Tribes at Independence
There were nearly 5 crore persons who belonged to 779 scheduled castes and 245
scheduled tribes. In terms of access to productive resources, land, infrastructural
facilities, employment opportunities, social services and modem technolo& these
groups were in a specially disadvantaged position This was in addition to the social
discrimination to which these people were subjected.
Thus in terms of social and economic infrastructure, financial development and
availability of social services, the situation of Iridia was indicative of gross
inadequacy. This shows how some of the basic conditions of decent living
and development were denied to us.
5.4 COLONIAL LEGACY OF

UNDERDEVELOPMENT
Our social and economic profile at Independence paints a rather grim picture of the
country. India, an ancient land of great diversity and potential became subject to a
ruthless and exploitative regime. The British succeeded in extracting manifold support
from India in terms of secured markets, cheap raw materials, savings, employment
opportunities for the Englishmen, men and material for war and cheap labour for
further expansion of British empire. To make things worse, the crucial state support
needed for acceleration of the processes of development was totally denied.
The profile discussed in this unit shows that at Independence, an overwhelmingly
large majority of Indians were living in abject poverty. They did not possess any
productive skills, modem scientific knowledge, instruments and objects of labour and
opportunities for participation in productive activities. The ignorance, disease,
illiteracy and ill-health of millions of Indians living under the shadow of a system of
colonial capitalism imposed on a system of decadent feudalism describes the nature of
our underdeveloped economy. There were groups in India like the princes, kings,
zamindars, big landlords, industrialists, financiers, big merchants, highly qualified
professionals and top echelons of bureaucrats, who being collaborators and underlings
of the colonial rulers, commanded a lot of property, wealth, high incomes and all the
luxuries of life. But the majority of population was denied even the of basic
needs. Education, health, civic amenities for common people were neglected
altogether. Transport, railways, communication system was developed to serve the
British interests. In fact these were half- hearted efforts which had adverse effects on
Indian economy. Lack of a well-balanced and evenly dispersed infrastmctural
facilities of roads, railways, power, technical and skilled man power exercised
negative influence on the growth of industries.
Huge surplus was extracted from the development of railways, plantations, industries,
banking, etc. and this formed a major part of the British capital. India was forced to
contribute to British wars within India and abroad right up to the Second World War.
To the exploitative nature of British rule were added the atrocit;*s of native rulers,
zamindars and feudal lords.
India was actually deindustrialised during the British period as the rate at which pre-
modem indigenous industries were mined was much higher than the rate at which
modem industries were established. Moreover British government did not grant any
great degree of protection to Indian industries till 1924. Insufficient cadre of
technicians available in the country was also one of the reasons for lopsided industrial
growth. The min of India's well-integrated industries which had a high name for
quality and sophistication could not be compensated by some limited progress of
modern light consumer industries based on imported technology and equipment
located in some large cities.
The agrarian system neither provided incentives nor the means to actual cultivators to
go in for methods of improving productivity. The destruction of urban handicrafts
without parallel growth of substitute modem industries led to disequilibrium of
industry and agriculture in India
Greater mobility was introduced within the caste system in India due to various
changes brought about by the British in the economic sphere. The high castes such as
Development Strategy
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at an advantage, as these were literate
Plannlng classes and could exploit new opportunities in a more profitable manner. Members of
privileged castes became clerks, school masters, lawyers and doctors, etc. The new
intelligentsia mainly came from these castes. The building of roads, introduction of
railways, postage, telegraph, printing, etc., helped to organise the castes to a
considerable extent The civil and penal codes and the new principle of justice
introduced by the British viz. all men are equal before the law, affected the caste
panchayats adversely. Their power was considerably curtailed but they continued to
exist. The use of law courts did not put an end to the caste panchayats. Both the
systems of justice were made use of. Though the traditional hierarchy of caste system
was upset by the British, it did not become weak. This was due to the fact that the
newly rich castes did not demand the abolition of caste system but only higher status
for themselves.
With new social relations in production, distniution and exchange, appeared new
institutions. The colonial period witnessed the emergence of new social classes viz.
absentee landlords, tenants, peasant proprietors, agricultural labourers, merchants,
money lenders, wage workers, capitalists and petty traders. Professional classes of
teachers, doctors, lawyers, journalists, managers, clerks, etc. also came up during this
period.
India's foreign trade was made subservient to British interests. We were turned into
exporters of raw materials and agricultural produce and importers of manufactured
goods. Indian trade was used to generate export surplus which was used by the British
to finance Britain's own external deficit. Through various devices such as funding of
military and administrative expenses of the British, India's wealth was drained away
to Britain in large quantities.
Thus in addition to the sins of omission, that is, nowintroduction of steps for
development, sins of commission, that is, introduction of steps that hampered and
held back development in the country were also committed by the British. The result
was a stagnant and crippled social and economic state of affairs, where the growth
of domestic production barely kept pace with the growth of population and the per
capita income remained very low.

2) Check your answers with those given at the end of the unit.
1) What was the occupational structure of India at Independence ?
2) Comment upon the profile of agriculture and indusrq in India in 1947.

........................................................................
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3) Discuss the nature of colonial legacy of underdevelopment and its impact on
various sectors of Indian economy.

........................................................................ India'a Socio-economic Proflle

......................................................................... at Independence
I
5.5 LET US SUM UP

The profile of Indian economy at the morrow of Independence presents a picture of
ravages caused by colonial exploitation. The post-colonial India was thus
underdeveloped and their structure of socieeconomic relations lacked the dynamism
and capacity to provide growth and social justice. This unit gave us an idea about the
social and economic conditions prevailing in the country at Independence and the
nature of our colonial legacy. With this resource base, our planners initiated the task
of development and adopted various strategies to achieve the developmental pals.
The next units of this block will deal with these aspects.
5.6 KEY WORDS

Absentee Landlords : In those cases where the land legally (as per land records)
stands in the name of a person who does not actually till the land. Usually the
people entrust the farming to some other people who actually till the land but get only
wages. All the profits go to the absentee landlords.
Direct Tax : Tax which is paid by the -person on whom it is levied
Gross Capital Stock : The accumulated stock of past purchases of capital goods
before the deduction of depreciation.
Gross Domestic Product : It is the value of total goods and services produced in the
economy during a particular period of time (normally one year).
Land Revenue Syattm during the British Rule : Till the village ownership of land
existed, the village was the unit of assessment With the introduction of new land
revenue system during the British rule, the village ceased to be a unit of assessment
British introduced a system of individual land assessment and revenue payment
instead of fixation of revenue at a specified portion of the annual produce, a system of
fixed money payment came up. Due to this, the villagers had to pay a fixed sum as
revenue in cash irrespective of the produce.
Managing Agency System : By this system a relatively small number of managing
agency f m s promote, control and finance the various industrial enterprises and
companies, govern their operations and output and market their products. A large
share of the profit passes to these agencies.
Net Domestic Product: The gross domestic product less capital consumption.
Net Fixed Assets : Durable instruments of production such as factories, machinery
etc. by which commodities are produced. This is worked out after deducting the
depreciated value of the fixed assets.
Primary Sector :Agriculture, animal husbandry, forestry, fisheries are collectively
known as the primary sector. These activities are primary because they are the fist
and oldest occupations of people. Further they produce goods which are essential for
human existence. Role of nature is important to these occupations.
Secondary Sector : Manufacture, in small and large workshops factories etc. is called
the secondary sector. Such occupations come after the primary occupations for
example production of raw cotton is a primary activity but conversion of cotton into
cloth is manufacturing and thereby a secondary activity.
Share Capital : The,amount of money subscribed by the shareholders, at par, to a
company. It represents an amount owned by the company.
Balance of Payments : The balance of payments is a kind of income statement that
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-between individuals, firms
. . and
. . governmental
. .
Development Strategy and Participation Rate : It &notes the proportion of population (usually in percentage)
Planning who belong to the generally accepted working age group (say 16 to 60 years). They
constitute the labour force of the economy. Those members of the labour force who
actually succeed in finding productive work constitute the workforce of the country.
The participation rate denotes that part of workforce that contributes economically to
the country.

Bettelheim, Charles. 1968. India Independent ; Khosla Publication, Delhi.
Chaudhuri, Pramit. 1978. The Indian Economy :Poverty and Development ;Vikas
Publication, New Delhi.
Dutt, RP. 1947. India Today; People's Publishing House, Bombay.
Shelvankar, KS. 1940. The Problem of India ; Penguin Books : Harmondsworth.
Middlesex.
Singh, Tarlok. 1974. India's Development Experience ; Macmillaa, Delhi.
Wadia, P.A. and K.T. Merchant 1954. Our Economic Problem ; Popular, Bombay.

EXERCISES
to base the scheme of development on the nature of social and economic
conditions of the country
to determine the seriousness, size and complexity of the problems
to provide a comparison with the changes that take place in different time
period
to understand the need for a particular strategy, the resources available for its
implementation have to be ascertained
introduction of private property in land
subdivision of land and small size of landholdings
commercialisation and specialisation of agriculture
excessive land revenue
exploitation of cultivators at the hands of zamindars and money lenders
emergence of class of tenants and absentee landlords.
72.3 per cent of workforce was dependent on agriculture
mining, factory establishments and various types of cottage, village and small
enterprises were also important users of workforce
over 17 per cent of workforce was engaged in trade, transport, professions,
government and other services.
ur answer should include the following points :
primary sector was the predominant sector of India at Independence and
accounted for maor part of India's export earnings
modem industries obtained their basic raw material from agriculture
total food production was nearly 50 million tons
per capita food production declined continuously after 1900
there were many intermediary interests in land and the actual tiller's rights in
land were limited and insecure
wages were very low and most of the agricultural workers were casual
industries were managed under the managing agency system
major industries were textiles, jute, sugar, cement, paper, oil crushing and
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there were 14.5 thousand factories in India India's SOCIO-economicProfile

at Independence
there was a noticeable degree of concentration of industries in terms of share
capital and fixed assets.
huge surplus was extrscted from the development of railways, plantations,
banking etc. and this formed a major part of British capital.
Indian economy was marked by abject poverty, people did not possess any
productive skills and scientific knowledge
a very large section of population did not enjoy even the basic amenities of
life
transport and communication systems were developed to serve British
interests
there was lopsided growth of industries. British government did not provide
protection to Indian industries till 1924
there was disequilibrium of industry and agriculture in India
the higher castes were at an advantage, the new intelligentsia mainly came
from these castes
e the colonial period witnessed the emergence of new social classes
Indian foreign trade was made subservient to British interests.

UNIT 6 MIXED ECONOMY MODEL

AND ITS RATIONALE AND
SIGNIFICANCE
Structure
6.0 Objectives
6.1 Introduction
6.2 Concept of Mixed Economy
6.2.1 Mixed Economy : Is not a Pure System ?
6.2.2 The Mixed Economic Nature of Indian Economy
6.3 Rationale Behind Mixed Economy System
6.4 Features of Mixed Economy
6.5 Significance of Mixed Economy
6.5.1 Infrastructure bvelopment and the Public Sector
6.5.2 Role of Private Sector
6.6 Growth'of Mixed Economy in India
6.7 Planning in Mixed Economy
6.8 Conclusion
6.9 LettUs Sum Up
6.10 Key Words
6.11 SorneUsefulBooLs
6.0 OBJECTIVES
After reading this unit you should be able to :
discuss the meaning of mixed economy,
explain the various instnunents of mixed economy in India,
state the reasons behind the adoption of mixed economy,
highlight the significance of mixed economy in our country, and
discuss the role of planning in a mixed economy system.
6.1 INTRODUCTION
As we read in the previous unit, during the entire period of British rule, though
certain positive changes were introduced such as growth of road and railway netwgrk,
development of ports and harbours, establishment of some industries, expansion of
trade, spread of fonnal education on British pattern in the urban areas and
development of banking and other services, yet the per capita income of Indians by
and large, remained static. No structural change took place in the economic and.
social spheres. India inherited a stagnant economy from the British which was marked
by abject poverty, empty treasury a d exploitative soci~ecmomicstructure. Thus
after Independence, the Indian planners had before them a colossal task of bringing
about planned economic development in the country. India adopted a 'mixed
economy' model for the attainment of this g o d In this unit we will try to explain the
concept of mixed economy and its significance in the Indian context The unit will
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-;--A - n - . r r..s+am
Mixed Economy Model and ita
6.2 CONCEPT O F MIXED ECONOMY Rationak and Slgnllleance
The term 'mixed economy' is relatively a new term. It hardly appears as a

systematically evolved economic system in the classical writings of economists,
political scientists and social philosophers. In popular discourse, we can come across
this term in many different contexts. The term 'mixed economy' means prevalence of
public, private and joint sectors side by side in a system. In a mixed economy, these
sectors play an important role in bringing about development. In some systems one of
the sectors may predominate, but the fact that these types of sectors coexist is
sufficient to tern an economy a 'mixed economy'. Thus generally, this term is used
for any economy in which one can see the coexistence of more than one mode of
ownership, control and decision-making.
With the change in the functions of state, widening of welfare activities, success of
private sector, increase in people's demands and cut throat competition in
manufacture and sale of goods, mixed economy model has become very essential. In
a mixed economy system, state-owned means of production are so used as to promote
social welfare. Privately-owned means of production in such a system serve private
interests within the norms laid down by the state. The underlying theme of a mixed
economy is to attain rapid economic development and ensure that no exploitative and
restrictive tendencies emerge in the economy. In such a system, the state participates
as an active partner with the private enterprise in the process of economic
development.
Thus, we can say that under a mixed economy, the entire economic system in a
country is split up into three parts :
i) Sectors in which both production and distribution are entirely managed and
controlled by the state to complete exclusion of private enterprise,
ii) Sectors in which the state and private enterprise jointly participate in production
as well as in distribution, and
iii) Sectors which are in exclusive and comp4ete control of private enterprise. These
sectors are subject to general control and regulation of the state.
6.2.1 Mixed Economy :Is not a Pure System 1

In actual practice, there cannot exist any pure economic system following one single,
well-defined set of principles of organisation and management. The Soviet economy
of the mid 1920s, when planning was centralised and the major means of production
were under state ownership and control, has been described as a mixed economy. The
same term is used for that of Great Britain of the 1950%when private monopolies
predominated the economy despite an extensive system of social security,
nationalisation of many industries and very active state policies for regulating and
promoting economic activities. India of mid 1950s, when the public sector had just
about made its debut, is described as a mixed economy. India of mid 1980s with the
public sector contributing almost onequarter of her national income is also described
as a mixed economy.
It is clear that there caunot be one definition ofthe term mixed economy. Mixed
economy is an economy where more than one set of principles of economic
organisation and management are used at the same time. It means it does describe a
mixed system but mixtures would be greatly divergent. These Lfferences are not only
quantitative but may even be qualitative. In some cases state structure and processes
are predominant and in others it is the private sector with varying degrees of
concentration of ownership and control that dominates. In some cases it is the market
forces which determine prices, savings, etc., in others these decisions are made by the
existing planning agencies with a view to serve some common ends.
6.2.2 The Mixed Economic Nature of Indian Economy

It is clear from the preceding section that all the economic systems in which different
forms of ownership, control, decisiorrmaking and sharing in production can be found
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branches of the economy can be termed mixed economies.
Development S t e e g y and In this sense it is very difficult to fome across an economy to which the term mixed
Plannlng economy may not be applied witll justification.
I
!
Before Independence, the British ad developed a state sector in railways, posts and
telegraph, irrigation, ordnance fac ones and opium industry. The Sindri Fertiliser
Factory, the Visakhapatnam shipkard and Aircraft factory in Bangalore were set up
by the British. Thus what we ado ted from the British was already a mixed economy.
1
To come to a conclusion, this pro lem can be solved by the fact that an economic
system has to be described in te s of its most influential and growing forms of
development of productive forces b d associated social production relations. Thus the
economies where private capitalist ownership of means of production prevails in most
of the dynamic sectors of econom and where production is organi'sed on the basis of
t
hired factors of production with a iew to sell them in market for earning profits
would be called a capitalist economy. Same would be the case for describing a
socialist economy. It means an economy where there is state ownership of means of
production in most dominant sectors of economy, where the goods are sold on the
basis of prices fixed by the state and where social justice prevails in place of profit
motive.
The presence of a fairly large public sector and use of planning do not eliminate the
basic capitalist character of the economies of the countries like Sweden, France,
U.K., U.S.A. etc. In the same way, the use of private and cooperative forms of
organisation along with the use of market mechanism for some specific purposes does
not change the essential socialist character of the Chinese and Soviet economies. It is
the predominant pattern which is decisive in the characterisation of an economic
system.
The Indian economy neither has the basic characteristics of a capitalist economy nor
a socialist economy. In India, the government has consciously, as a part of a well
thought-out plan, decided to increase not only the promotional and regulatory roles of
the government, but also to go for direct participative role by setting up or tAing over
production facilities of a number of different activities. It is further assured that
overall economy operates according to a national plan. This highlights the mixed
economic nature of Indian economy.
6.3 RATIONALE BEHIND MIXED ECONOMY

SYSTEM
As we have discussed before, the socic+economic profile at the time of Independence
was such that assignment of production and developmental tasks solely in the hands
of private sector or public sector would not have solved any problems. The problems
such as low per'capita income, large proportion of population engaged in primary
sector, high birth rate, chronic unemployment and underemployment, low rate of
capital formation, uneven distribution of income and weaith assets, illiteracy, lack of
technical know-how, poor quality of human resources, low per capita consumption,
poor utilisation of resources, etc. made it imperative for the Indian planners to adopt a'
system which would bring about planned economic growth in a satisfactory manner
and also be conducive to the cond~t~ons prevailing in the country. The minority of
feudal lords, land owners, merchants, financiers and industrialists did not have, during
the fifties, the capacity to discharge the large tasks essential for development. The
private sector was not even prepared to undertake developmental works in heavy
capital and essential consumer goods production because of high initial investment
and long gestation period. Moreover even in the British period the key sectors of the
economy were in the hands of the state itself. Thus a mixed economy system for
attaining social and economic development was adopted.
Government's role in economy is regarded as ,crucial because it can perform various
functions by intervening in development process. The government can coordinate the
interrelated development activities and investments in an appropriate manner. State
sector can take risks beeause it can give preference to social gains over financial
profit. It can take a long term view and tolerate low profits and financial losses to
some extent. The state can also prevent the projects which take into view only
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In a country with limited and lop-sided development, atleast in initial phases, the state Mixed Economy Model and its
has to play a vital role for reaching the conditions in which subsequent development Rstionaie and Si~niflcance
may continue. The Indian planners also realised the limitations of the public sector
and the positive potential of a regulated private sector. Hence neither the public
sector was made all embracing nor the private sector was reduced to non-significance.
A well demarcated role was assigned to the private sector under the Directive
Principles of State Policy, where it has been laid down that the state should strive "to
promote the welfare of the people by securing and protecting as effectively as it may,
the social order in which justice, social, economic and political shall inform all the
institutions of national life."
In the economic sphere, the state has to direct its policy in order to secure a better
distribution of ownership and control of material resources of the cornqunity and to
prevent exploitation of labour and concentration of wealth in the hands of a few. It
would be impossible for the state to attain these goals implied in the Directive
Principles unless the state itself enters the fields of production and distribution. This
explains the ratiotlale behind the deliberate policy of expansion of the public sector to
promote rapid industrialisation and self-reliance.
Thus for protection of the weaker sections of the society, control of distribution of
essential commodities, promotion of infrastructural facilities, prevention of private
monopolies, prevention of opening of the country to foreign capital, creation of
egalitarian and just society, reduction of inequalities of income, India needed'a mixed
econoz~ymodel with state playing a major guiding role and private enterprise acting
= important means for achieving social and economic progress in the country.
Note: 1) Use the space given below for your answers.
2) Check yaw answers with those given at the end of the unit.
1) Which economy can be termed a mixed economy ?
2) Why did India adopt a mixed economy model for the attainment of social and
economic development ?
6.4 FEATURES OF MIXED ECONOMY

Before dealing with the significance and growth of mixed economy in India, we must
familiarise ourselves with various features of mixed economy :
Large Public Sector

As we read earlier in the unit, presence of a big public sector along with free
enterprises makes the character of the economy 'mixed'. In socialist countries, public
sector plays a major role in almost all the sectors of the economy. Even in the
western capitalist countries, the state has not only intervened in their economies in a
big way but has also engaged itself in various productive and distributive functions.
The developmental role of the state is more pronounced in countries where
industrialisation has been somewhat delayed. In a mixed economy also the public
ector plays a very crucial role.
Prlvrte Ownemhlp of Means of Production and Profit-Indwed Commodity
Production
In many mixed economies as well as in India, at present a large segment of the
industrial sector is in private hands. With the exception of some basic industries, all
other industries, for example, cement, vegetable oil, leather, etc. are with the private
sector. Road Transport is mainly in the hands of private sector. Agriculture is also
with the private sector. It means most of the goods are produced for the market and
majority of economic activities are motivated by profit in a mixed economy.
Declsive Role of the Market Mechanism

Market Mechanism has a crucial role to play in Indian economy. India has markets
not only for various products but also for productive factors. Prices of most of the
commodities and factors of production are determined by interplay of demand and
supply forces. Prices of various commodities and price fluctuations influence the
decisions of the producers and techniques of production. Though all banks have been
nationalised, yet their working as well as business dealings with producers in the
private sector are generally determined according to the laws of the market. The
amount of investment and its form is also influenced by the interest rates that prevail
in the money market Still the market mechanism is not totally out of state control.
Through licensing,'distribution of essential goods at fair price shops and government
purchase of agricultural products at support prices, government tries to regulate
market mechanism in Indian economy.
Joint Sector
A joint sector provides a very important avenue for balanced industrial development.
It complements growth in the public and private sectors. It is an important feature of
a m i x y economy, it is basically an extension of the idea of mixed economy. It is a
tool fdr social control over industry, without resorting to complete nationalisation. It
is needed for an equitable and egalitarian economic growth in the country, it can
widen the scope of the industrial scenario. In India, the joint sector has yet to make
its mark in terms of its contribution to economic growth.
6.5 SIGNIFICANCE OF MIXED ECONOMY

Mixed economy is needed as it provides an institutional balance between the socio-
economic forces under whose control and through whose efforts post-Independence
India has achieved her growth. It mobilises popular support for a state-led, state-
directed process of capitalist, modernising development of the Indian economy in
general and impressive growth of industry and agriculture in particular. Growth and
significance of public and private wctors in a system is an essence of mixed economy.
6.5.1 Infrastructure Development and the Public Sector

That part of the economy which functions on the basis of state owned property, forms
the public sector of the economy. It is an important element in the socio-economic
structure of society in India. The only national basis for modernising the productive
forces in the developing countries like India has always been entrepreneurship. This is
the reason behind the emergence and expansion of public sector in our country.
There has been an increasing recognition and acceptance of the state functioning as a
catalytic agent for economic activities in all the core and basic sectors through the
emerging public sector. For India, government regulation is a direct partner in most
economic activities and a silent partner in all economic activities. The primary sectors
came under the control and ownership of government much earlier than the others,
and covered functions without which the state could not exist and the government
. could not function The sectors like central banking, treasury and state refinance, rail,
roads and ports, posts and telegraph are today normally identified with the basic
functions of the state. These are infrastructural d c t o n and are instrumental to
economic development.
In India, the emergence of the public sector gained momentum with the
~mtionalisationof minerals and metals, industries as well as the oil and petroleum
sectors. The trend continued with the nationalisation of life insurance and a major
portion of commercial banking. It was in fact in the form of the public sector that the Mix* b o ' o m ~ Model and
state proceeded to undertake the responsibility for enlarging industrial growth and Ratiooak aad Slgolllaace
providing capital cover and entrepreneurship. The public sector has grown not only
under the central government, but also under the ownership of the different state
governments.
Public Sector's contribution towards net domestic product has risen, its contribution
towards capital formation has also gone up. Capacity for labour abcorption in public
sector has been continuously consistent. Rate of investment and cmital stocks of
public sector has shown a steady rise. The growth of public sector has laid the
foundation for rapid industrialisation of the economy by creating necessary basic
industries. Nearly 85% of needed capital goods are being produced at home as
against 15% at the beginning of planning era Public Sector activities now cover a
bulk of important areas of power generation, transport, banking and insurance and
have been extended to domestic and foreign trade in certain important commodities.
The role of the public sector is connected with the building of infrastructural projects
and branches of the economy. It makes for private sector's inadequacy in organising
research and development, in mobilising financial resources and in utilising new
materials and methods in production.
Public Sector is not free from problems. Low or no profits, low morale of its
personnel political interference, trade unionism, inadequate training and recruitment
measures for personnel, inappropriate pricing policy, etc, adversely affect the working
of public sector. Thus, though one cannot deny the importance of private sector, yet
we still find cases in which public sector undertakes to solve the problem of finance,
construction, personnel training and raw material supply as well as to attract private
initiative for the development of backward regions.
6.5.2 Role of Private Sector

In the core and basic sector, control has now been largely handed over to the public
"
sector, and further growth in these areas is also within the public sector. Nevertheless
substantial development in basic industries like cemenf fertilizers and iron factories is
still within the private sector, even though, the commanding heights continue to be
controlled by the public sectors.
The larger proportion of the growth of the Gross Domestic Product (GDP) has been.
contributed by the private sector. In absolute terms, the production of consumer
goods has gone up. By manipulating production and supply in direct contrast with the
forces of demand and supply, the private sector has in a large measure also
manipulated prices and exerted inflationary pressures on national economy. By
widespread diversion of resources to the parallel economy it has also led to the
concentration of wealth and inequalities in the distribution of output and income
thereby inhibiting the national and spontaneous growth of per capita income and
GDP.
Still the dominant sector in India that is agriculture is completely managed by the
private sector. Trading, both wholesaie retail, has always been in the private
sector. Small and cottage industries in India are in the private sector and they have an
important role to play in industrial development. They are particularly suited for the
utilisation of local employment opportunities, as they are labour-intensive. The
private sector also helps in the effective mobilisation of human and physical capital.
There is thus tremendous scope for expansion of private sector in India and its
importance in a mixed economy cannot be denied in any way.

1) Discuss the various features of mixed economy.


Planning
2 I Expla~rlthe role of private sector in a mixed economy system.
6.6 GROWTH OF MIXED ECONOMY IN J?drslZ &

'
The success of mixed economy depends upon the positive growth 01 ;~k:, :fate
and joint sectors of the economy. The state's role in mixed economy is c r u c ~ dto its
growth. The view that the state has to play a key role in rapid industrialisation and
economic development of the country had gained wide support even during the
freedom struggle. The Indian National Congress had passed a resolution to this effect
way back in 1931, which stated that "the state shall own or control key industries and
services, mineral resources, railways, waterways, shipping and other means of
transport". Actual course of action since Independence has, however, been guided
more by pragmatic than by ideological considerations. As we have mentioned earlier
in the unit that the limited economic and administrative capabilities of the state at the
time of independence forced the government to seek the cooperation of the private
sector in the task of economic development, gradcally the public sector was expected
to grow not only absolutely but also relatively to the private sector. The private sector
was expected to play its part within the framework of the comprehensive planning
mechanism.
From the very beginning state policy was based on the view that small scale
industries and a large part of finance and commerce were to be left in the domain of
the private sector. Even in the domain of big industry, private initiative was not
totally ruled out. The relative spheres of activity of the public and the private sectors
were spelt out soon after Independence in the Industrial Policy Resolution (IPR)
adopted by the Government of India in 1948.
The thrust of IPR of 1948 was on mixed economy i.e. coexistence of both public and
private sectors. It emphasised on attainment of social justice through maximisation of
production Industries were divided into four broad categories :
a) industries under the exclusive monopoly of the central government.
b) the industries that could henceforth be undertaken only by the state.
c) the third category was made up of industries of such basic importance that the
central government would feel it necessary to plan and regulate them.
d) a fourth category, comprising the remainder of the industrial field was left open to
private enterprise, individuals as well as cooperatives.
The 1948 resolution not only emphasised the right of the state to acquire industrial
undertakings in public interest but it also reserved an appropriate sphere for the
private sector. The First Five Year Plan (195 1-56) emphasised the rapid expansion
of the economic and social responsibilities of the state. It gave a call for widening
public sector and stressed the fact that private sector must be reoriented to the needs
of planned economy.
The 1956 IPR *edified the 1948 IPR a little. The resolution laid down three
categories of industries, which w e e more sharply defined and were broader in
coverage as to the.role of the state than the-classification of 1948 I P R These
categories were :
s S F ~ P ~ IA
I I Pthnce. whirh WPTP tn ha ~lndpravcl~iaivarprnnnaihilitv nf the atnta
Mixed Economy and Its

b) Schedule B : those which were to be progressively state owned and in which the Rationale and Significance
state would generally set up new enterprises, but in which private enterprise
would be expected only to supplementthe effort of the stab ; twelve industries
were placed under this category.
c) Schedule C : all the remaining industries and their future development would, in
general be left to the initiative and enterprise of the private sector.
These categories were not water-tight compartments. In appropriate cases private
units could produce an item in category A for meeting the industry's requirements or
as byproducts. Further, heavy industries in the public sector could obtain some of
their requirements of higher components from the private sector while private sector
in turn would rely for many of its needs on the public sector. Moreover, the state
reserved the right to enter category C, when the needs of planning required. The basic
objective of this resolution was to create a mixed economy in India The resolution
aimed at providing non-discriminatory treatment for the private sector, encouragement
to village and small scale enterprises, -removing regional disparities and provision of
amenities for labour.'
The Second Five Year Plan (1958-61) emphasised on the independence of the public
and private sector. The Third Five Year Plan also aimed at curbing the concentration
of wealth through the public sector. The Fourth Five Year Plan envisaged the
emergence of an effective and dominant role of public sector. It called upon the
private enterprise to assume greater responsibilities towards the community as a '
whole. The Fifth Plan stated that the public sector should ensure proper distribution
of resources to the weaker sections.
The IPR of 1970 had various objectives like prevention of concentration of economic
wealth, expansion of production measures and examination of the possibility of
undertaking short gestation gaps for quick yield of profits by the govemment. The
1973 IPR aimed at economic growth, social justice and self-reliance.
The IPR of 1977 emphasised the development of small-scale sector, the basic
industries, capital goods industries and high technology industries. The resolution
aimed at developing the public sector. It assigned an expanding role for the public
sector and recognised the necessity for continued inflow of technology in sophisticated
and high priority areas.
The Industrial Policy of 1980 aimed at optimum utilisation of the installed capacity,
minimising production, correcting regional imbalance, strengthening agricultural base
and promoting export-oriented and import-substitution industries.
The Sixth and the Seventh Five Year Plans have also emphasised promotion of
public and private sectors in a well-defined and properly demarcated spheres.,Thus all
our plans and Industrial Policy Resolutions have aimed at strengthening the mixed
economy system in India.
6.7 PLANNING IN MIXED ECONOMY

Mixed economy is necessarily a planned economy. Since mixed economy operates
under divergent and in many situations conflicting set of motivations, the planning
process in a mixed economy is extremely complex. The conflicting motivations are
those of self-interest on the one hand and social gain on the other. The purpose of
economic planning in a mixed economy is to reconcile the conflicting interests so that
national interest is not neglected. The success of planning in a mixed economy
depends upon the following factors :
i) to what extent is the public sector able to pursue the socially determined goals,
ii) to what extent is the state able to guide the private sector to follow the socially
determined goals,
iii) to what extent is the state able to check the distortions in investment decisions
arising out of private sector interests from going against the public sector.
It was recognised that in a growing economy which gets increasingly diversified, there
is scope for both the public and the private sectors to expand simultaneously. The
Development Strategy and as the key instrument for the economic and social transformation of the country.
Planning
Moreover, the use of resources in the private sector is not left entirely free but is
sought to conform to national priorities through the instrument of economic planning.
In a mixed economy, government uses various instruments to bring about planned
development such as :
i) Industrial Licensing
ii) Land Reforms
iii) Development of Services Sector
iv) Subsidies and Other Measures like Capital Issue Control, Labour Legislation, Price
Regulations and Foreign'collaboration Approval System.
We will now discuss these instruments in brief:
Industrial Licensing
The primary objective of the licensing system is to give effect to the industrial policy
of the government The broad objectives of the system are in consonance with those
laid for the industrial policy. These are fustly, development and regulation of
industrial investment and production according to priorities and targets of various
plans. Secondly, prevention of concentration of economic power in the form of
ownership of industries and thirdly, balanced economic development of different
regions with a view to reduce disparities in the levels of industrial development The
legislative framework for industrial licensing in India is embodied in two different
Acts. These are (a) Industries Development and Regulation Act ( 1981) & (b)
Monopolies and Restrictive Trade Practices Act (1969).
Land Reforms
The objective of land reforms is to bring about institutional changes to make property
relations favourable to the tillers of the soil. It aims to remove all elements of
exploitation and social injustice within the agrarian system. Its goal is to ensure
quality of status and opportunity to the vast sections of rural population and to
increase agricultural pduction. The government has sought to bring such reforms
through measures like abolition of zamindari, tenurial reforms, consolidation of
holdings and cooperative farming.
Development of Services Sector

In the tertiary sector, the mixed economy system has sought to explain the role of the
state in the provision of various services. For this purpose, a number of
nationalisation measures have been initiated, beginning with the nationalisation of
Imperial Bank of India to set up the State Bank of India in 1955. Life Insurance
business was nationalised in the year 1956. The fourteen major commercial banks of
the country were nationalised in July, 1969, followed by the nationalisation of six
more banks in April 1980. Coking and non-coking mines were nationalised in two
instalments in October, 1972 and January, 1973. The General Insurance business
has also been taken over by the government Statutory rationing has also been
introduced in various cities.
Subsidies
Subsidies have become an important part of India's economic system. Subsidies to
exports can be provided indirectly by deliberately running rai!ways etc., at a loss.
Subsidies on foodstuffs ctc., can keep down the cost of living. Farm subsidies can
lead to expansion of the output of farm products. Various subsidies like the subsidy
on land revenue, subsidised industrial housing etc., aim to increase the consumption
levels of the poor, protect and promote traditional and labour intensive industries,
foster entrepreneurship, develop small scale industries, set up industrial estates,
support infant industries, develop backward areas and promote exports and so on.
Other Imtrumenb
Government also tries to regulate the private sector through Capital Issues Control. It
means that corporate sector is required to obtain government's permission for the
issue of any capital, eqbity, debenture ar bond The& we have Foreign Collaboration
Approval System It means that any project envisaging foreign collaboration has to Mixed Economy Model and its
secure prior permission of the government. Through price regulations also, the Rationale and Significance
government regulates the private sector, for many commodities, pricing of goods and
services is under government control. Government is involved in fixation of maximum
prices for cammodities etc. The government has also accorded statutory protection to
labour through enactment of various laws.
Government, therefore, has been consistently making efforts to develop the mixed
economy system in the country. Private initiative and enterprise have been retained in
all the three sectors viz., agriculture, industry and services. But the state has been
providing direction and regulation to their economic activity through different
measures.
6.8 CONCLUSION
The experience of the various types of operational control used in India has not been
very satisfactory. The tendency to excessively rely on administrative control has led
, to bureaucratisation, red-tapism and delay. Little progress has been made towards the
attainment of the socialistic objectives of equality of opportunity and .reduction in the
concentration of wealth. The better-off sections of the society have mainly benefited
from the development programmes. Nearly half the population of the country is living
below the poverty line. Unemployment has increased. Emergence of black money, tax
evasion, failure to check increase in prices reflects that the corrective measures
adopted by the government have not delivered appropriate results.
Still one need not conclude that mixed economy is not capable of attaining rapid
economic progress and social justice. The success of progressive measures like land
reforms, nationalisation of banks, development of basic and heavy industries and
increase in foodgrains production is indicative of the fact that it is possible to devise
and implement policies within the framework of the mixed economy. We have laid
the foundation of a self-reliant and sustained economic growth. Dependence on
foreign aid has reduced. There has been massive expansion of social and economic
infrastructure. Mixed economy system is a feasible proposition for a developing
country like India. Any redesign which may change the relative proportions, power
and position of the two sectors, cannot possibly change the mixed character of the
system.
Check Your Progre88 3

1) Discuss the philosophy underlying the Industrial Policy Resolution of 1956.
................................................... . . . . . . . . . . . . . . . . . . . .
2) Explain the various instruments used by the government to bring about planned
development in a mixed economy.
.......................................................................


Planning 6.9 LET US SUM UP
The mixed economy system can ka powerful instrument for theattainment of
social and economic development of the country. It has to be seen that efforts are
made to ensure that the existing inequalities are considerably reduced, distributive
justice is ma& an integral part of the planning process and suitable institutions are
created for wider and equitable sharing of the fruits of socio-economic growth. This
unit highlighted the concept of mixed economy, its rationale and significance. It
discussed the growth of mixed economy in India and the role of planning in this type
of economy. An attempt was also made to explain the features of mixed economy in
the country.
6.10 KEY WORDS
Bond : A bond is an investment certificate issued by a government or company which

shows that you have lent them an amount of money and that they promise to pay you
a fixed rate of interest. This enables the local holder to redeedencash his bond on
the stipulated date with the principal plus interest.
Cooperative Farming : Due to the non-availability of adequate land, it may not be
possible to increase the size of all small farms. Cooperative fuming thus becomes
relevant. Fanners with land below the desirable limit can pool their lands and operate
more efficiently. They continue to be the owners of their land and will share the
surplus produce as per their contribution of land
Debenture : Debentures are fixed-interest securities issued by the joint-stock
companies in return for longterm loans generally ten to forty years. They may be
redeemed (repayable by the borrower to the holder before the final date) or they may
be irredeemable. They are a debt for the corporation and do not form a part of its
capitat
EQIlitarian Society : Society advocating equality of opportunity for all.
Equity : Equities or equity shares are the ordinary shares in public limited liability
companies. The equity share gives a right to a claim on profits after all prior
claimants have been satisfied. Equity of a company is the value of the net assets as
represented by the ordinary shares.
Gestation Period :Period of time taken from the conception or initiation of the
project till its final completiodproduction stage. While small cottage industries
may need a few months gestation period, an industrial steel or energy plant may
require quite a few years gestation period
Industries (Development and Regulation) Act, 1951 :The chief objective of the
Act is the development and regulation of Indian industries in a manner benefiting the
policy of planning, socialistic society and other social, economic or political
considerations.
Industrial License :An industrial license is a written permission from the government
to an industrial unit to manufacture goods specified in the permission letter.
Inflationary Pressures : Inflation takes place when money incomes rise faster than
the income earning activities. An economy is under inflationary pressures, when the .
total effective demand in monetary terms rises faster than the increase in total supply
of goods and services.
Market Mechanism :The mechanism by which prices adjust themselves to the
pressure of demand and supply and in their turn operate to keep demand and supply
in balance. This is another name for price mechanism.
Subsidies : A payment by the state to help Industry or Agriculture to protect the
producers'/growers' interest and thus keep prices down. The system prevailed during
the British rule.
Sydem of Land Tenure :,Under this system, there were intermediaries between the
government and the cultivator. It had acquired different names in different places such
as zamindars, talukdars, jagirdars, etc. These intermediaries collected rent from
cultivators, a part of which used to be handed over to the government as land Mixed Economy Model and ita
revenue. The abolition of tenures was given topmost priority after Independence. Rationale and Slgniflcance
Tertiary Sector: In these occupations, only sewices are produced as distinct from
the primary and secondary sectors in which goods are produced and therefore, tertiary
occupations are commonly known as services sector. Transport, communication,
banking, finance and personal services such as the services of doctor, lawyers,
government servants, etc. are known as tertiary occupations.
6.1 1 SOME USEFUL BOOKS

Dhingra, LC. and V.K. Garg, 1989. Economic Development and Planning in India ;
Sultan Chand & Sons : New Delhi
Dutt, Ruddar and K.P.M. Sundhararn, t 989. Indian Economy ; S. Chand : New
Delhi
Kabra, Karnal Nayan, 1990. Nationalisation in India :Political Economy of Policy
Options ; VoL 10, Eastern Books :New Delhi.
Mishra, S.K. and V.K. Puri, 1989. Indian Economy: Its Development Experience ;
Himalaya : Bombay.
Ray, S.K. 1989. Indian Economy ; Prentice Hall of India ; New Delhi.
Sinha, RK. (Ed) 1986. Economic Policy and Planning in India ; Deep and Deep:
New Dehi.

EXERCISES
Coexistence of more than one mode of ownership, control aad decisio*
making in aa economy
An economy where state owned means of production are used to promote
social welfare
An economy where state participates as an active partner with the private
enterprise in the process of development
An economy where sometimes the market forces determine the economic
dynamics and sometimes it is the planning agencies which influence the
economic system
All the economic systems in which different forms of ownership and control
can be found operative in different branches of the economy.
Your answer should include the following points :
India inherited a stagnant economy fmm the British
Private sector at the time of Independence was not prepared to perform an
important role in the development of heavy and basic industries
Private sector did not have the resources to undertake large economic
projects which involved high risks and initial investment
Government can coordinate the interrelated economic activities and
investments in an appropriate manner and bring about social and economic
justice
State can take a long-term view of economy and tolerate low profits and
financial losses
Indian planners were also aware of the shortcomings of excessive state
participation on economic development
Private sector was thus provided a significant role within the framework of a
planned economy.
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Large public https://t.me/Pdf4Exams
sector https://t.me/Upsc_Zone_Official
Davelopmmt Strategy and Private ownership of means of production and profit-induced commodity
PI.nning production
Decisive role of the market mechanism
Existence of a joint sector.
Substantial development in basic industries is within the private sector
Larger proportion of the growth of GDP has been contributed by the private
sector
Agriculture is in private sector
Trading, bath wholesale and retail is in private hands
Small and cottage industries in India are with the private, sector
Private sector help in the effective mobilieetim of human and physical
capital.
Check Your Progrc~3
The resolution of 1956 laid down three categories of industries
It wjdened the role of the state
The industries were categorised under three Schedules i.e. A, B and C
The categories were not water tight compartments, private sectors could
produce an item in category A and public sector in category C
The resolution aimcd at providing non-discriminatory treatment for the
private sector
It aimed at development of small-scale industries and removal of regional
disparities.
Industrial Licensing
Land reforms
Subsidies
Development of tertiary sector
Other measures like Capital Issue Control, Foreign Collaboration Approval
System, Price Regulations and Labour Legislation.

UNIT 7 ROLE OF PLANNING
Structure
7.0 Objectives
7.1 Introduction
7.2 Meaning of Planning
7.3 Need for Planning
7.4 Machinery for Planning in India
7.4.1 Evolution of Planning
7.4.2 Institutions Engaged in Planning
7.5 Planning Process in India
7.6 Limitations of Planning in the Country
7.7 Conclusion
7.8 Let Us Sum Up
7.9 Key Words
7.0 OBJECTIVES

discuss the meaning of planning,
highlight the need for planning in India,
analyse the n a t m of planning in the country,
discuss the role of the institutions involved in plan farmulation, implementation,
monitoring and evaluation,
explain the process of farmulation of plan, and
state the limitations of India's planning process.
7.1 INTRODUCTION
Planning is generally associated with the development of an economy. Since plans
attempt to determine how we develop, they affect each and every sphere of the
society. The need for planning in India arose because of the complex nature of
problems of development. The development tasks of the country had to meet the
challenge of backwardness and poverty. India needed excessive resource mobilisation,
high rate of investment, technological advancement and institutional overhauling. For
all these reasons national economic planning became imperative.
Indian plans have repeatedly stressed their adherence to democratic planning They
have aimed at increase in production, economic growth, balanced regional
development, more employment opportunities, removal of poverty, self-reliance and
social justice. To understand the role of planning in India, we must try to familiarise
ourselves with the concept of planning in India, institutions engaged in planning,
objectives of our plans and the achievements and limitations of Indian planning
system. This unit would highlight these aspects and enable us to understand the
nature of planning in India
7.2 MEANING OF PLANNING

Planning means to determine what is to be done and how it is to be done. In a very
broad https://t.me/Upsc_Zone_Official
- and
- - general. .way, planning
. .. - as a systematic
may be .treated - -.- - - -
pre-thought
- .
out
Development Strategy and process of determining the objectives of administrative effort and of devising the
PIanning means calculated to achieve them". According to Seckler Hudson, "planning is the
process of devising a basis for a course of future action". Planning, according to
Urwick, is "fundamentally an intellectual process, a mental pre-disposition, to do
things in an orderly way, to think before acting, and to act in the light of facts rather
than guesses. It is the anti-thesis of speculative tendency".
It is often said that planning is a rational method of decision-making and organisation.
It means that planning involves the following steps :
i) a clear perception and definition of the problem
ii) determination of objectives and availability of resources
iii) choice of activities and means for achieving the goals
iv) coordination of these mutually dependent means and activities
v) formulation of programmes
vi) choice of consistent and most effective methods of implementing the coordinated
programmes
vii) systematic review and feed-back in order to continue and sustain the process.
Thus planning is the process of devising a sound basis for a future course of action.
Planning is needed for all types of tasks, whether big or smalL It can be used by
countries at various stages of development and in different social and economic
conditions. Planning has to be flexible, dynamic and adaptable. It involves various
methods for the achievement of defined objectives. These methods are based on
foresight and clarity of goals.
7.3 NEED FOR PLANNING
The role of planning varies according to the social and economic conditions prevailing
in a country. Planning plays a very crucial role in'the developing countries. The need
for planning arises on account of the nature, magnitude and complexity of various
problems persisting in a system. Planning has sewera1 advantages.
Planning Enables Comprehensive and Sciendflc Understanding of Probiems

Planning enables, though does not necessarily ensure the emergence of comprehensive
and scientific understanding of the problems of a system. In the context of
development planning, it is essential that a comprehensive and meaningful
understanding of underdevelopment and the factors, forces and processes which hold
back progress is arrived at. This has to be the first step of development planning and
it stresses upon the need for having a systematic planning mechanism.
Revendon of Wartage and Improvement in Productivity

On the basis of a comprehensive and scientific understanding of the problems,
planning plays a crucial role in assessment, mobilisation and appropriate utilisation of
the resources available. It prevents underutilisation, mimtilisation and inappropriate
allocation of resources.
Highiights the Ron and Conr of Variour Declsionr

On account of extension of the field surveyed, sectorally and spatially, in order to
arrive at decisions, planning plays a useful role. It highlights the external
repercussions of various decisions. It brings out both the positive and negative
dimensions of thedecisions and enables the planners to take steps to make use of
either the positive effects or to lessen the negative effects of decisions.
Increase the Rationaiity of the Syrtem

Planning plays a very impoltmt role in increasing the rationality of the system by
avoiding arbitrariness, duplication, inconsistency, neglect of collective and long-term
interests. As a result, many of the defects of decentralised, uncoordinated decisions
baaed laxgely on the motivation of individual gain can be rectified by planning.
Preventa Incondrteney of Indiddad ~ e d r i o &on Interconnected Matterr

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mutually consistent way collective
social decirricmmakinn on imwrtnnt issues of ncneral social relevance with individual
decision-making in areas where minute details, local conditions and frequently Rolc of Planning
changing situations have to be taken into consideration.
Brings about Structural Change

Planning, rhrcugh collective decision-making and direct or indirect control over social
resources, enables the country to undertake large tasks and bring about changes in the
struzture or me syskzi. Through planning, motivational and informational handicaps,
which are the characteristic features of uncoordinated decisions, can be avoided
Enables Orderly Reconclliatlon of Conflicting Interests

?!YK play an important role in ushering an orderly change and preventing counter-
nrductive conflicts from emerging after the decisions are taken. It invites such
conflicts in advance so that efforts towards their reconciliation may be made at the
earlit-ct. Thus, by ensuring in advance that the various planned activities and changes
are mutually consisten: plans prevent wastage of resources and efforts.
Therefore, planning is a very crucial component of any system oriented towards
bringing about social and economic development. Planning has to play an active
organisational and decisian-making role from the stage of conception to the final
implemectatim and evaluation of the schemes. It facilitates socio-economic change in
accordance with pre-dztermined objectivee in a most effective and rational manner.
As we have read in tlie previous units of this block, India inherited a stagnant
economy marked with abject poqerty and lopsided growth. The nature of the tasks
and changes essential for d e v e l ~ p m eat
~ ' the time of Independen~ewas such, that it
could not have been hanaled =.*ithou, ,]per and concrete recourse to plamhg.
Private enterprises were not in a position to make full use of economic and human
resources. Agrarian relations, small size of land holdings, fragmented holdings, heavy
indebtness of the farmers, persistence of low productivity methods of production had
led to agricultural backwardness. Without a base of productive and prosperous
agriculture, which was the mainstay of more than two-thirds of Indians, there was no
possibility of modem industrial growth. The ruin of Indian handicrafts and absence of
cottage industries aggravated the crises further. This called for a systematic planning
process.
Modem infiastructural facilities for making use of natural resources, human
resources, science and technology, international trade and economic relations and for
directly meeting the need for various social services was not developed in a way and
to an extent conducive to development. The colonial state neglected these vital
investments and drained India of her precious resources. Winning of freedom,
unification of the country after partition, institution of Sovereign, Democratic
Republican Constitution made it clear that there was an urgent need for planning as a
consciously adopted means of economic organisation and decision-making with a
certain inevitable degree of mtralised control. The state had to intervene in order to
augment the resources for development. These tasks were not performed by the
bureaucracy during the colonial d e . Thus without conscious choice, coordination of
activities, large scale mobilisation of resources and centralised efforts, the problems
facing the country at the time of Independence could never have been tackled
properly. Planning, therefore, became a method of responding to the multifaceted,
interrelated and stupendous tasks of development.

Note : 1) Use the space given below for your anbwers.
1) What is meant by planning ?

Development Strategy and 2) Discuss the need for planning in a developing country like India.
Plannins
.......................................................................
.......................................................................
MACHINERY FOR PLANNING IN INDIA

In a country like India where the bulk of the means of production are owned by
private individuals, planning should be such that it regulates and controls private
socieeconomic activities that contribute to development and is consistent with the
aims and actions of public policy. Planning in India aims at ensuring social and
economic development for the basic objectives laid down in our Constitution.
As mentioned in unit 6, Indian planning may be tenned as development and
regulatory planning in a mixed economy framework. It means that it is a planning
process for both public and private sectors. To understand the nature of planning
pmass in the country, we must have an idea about the evolution of planning in India
and different institutions involved in plan fonnulation and implementation.
7.4.1 Evolution of Planning

Planning was not an unfamiliar concept for I d a n leaders when freedom dawned in
1947. Awareness and hportana of planning was clearly visible even in the pre
Independence period. In 1936, Dr. M. Visveswarayya had published an essay on the
desirability and feaaibility of p l m h g for industrialisation. In 1938, National
Planning Committee under the chairmanship of Jawahdal Nehru did substantial
work in collecting material lbr pl.nning Later in 1944, the government established a
Planniq and Development Board A Planuing Advisory Board was also constituted
in 1946. These preIn&pendence efforta stress upon the unity of approach that our
leaders possessed for the achievement of common goals. After Independena, a
systematic process of planned development was initiated Since then our plans have
been trying to pramate balanced socieeconomic devebpment and welfare of Indian
people-
7.4.2 Inatitations Earned In Planning

There are various institutions that are involved in plan formulation, implementation,
monitoring and evaluation. The Natiohal Development Council (NDC), Planning
Commission together with its working p u p s and advisory panels, State Planning
Boards, District Planning Cells, Planning Cells in Central and State ministries and
Parliament are involved in this effort. Association with private sector is also secured
through various Development Councils a d representatives of Commerce and
Industry. It is a multi-stage, multi-level and multhagency planning system.
Planning Commission is a multi-member body which was established by the Cabinet
resolution of'March 15, 1950. Its objectives and hctions are to make an assessment
of the resources of the country, investigate possibilities of increasing these resources,
formulate a plan for the moot effective and balanced utilisatioa of the country's
resources. Planning Commission has to define the stages in which the plan should be
carried out, propose the allocation of r m u r a s for due completion of each stage. It
determines the conditions and machinery fa the successful implementation of the
plan by pointing out the factors hindering economic development. Planning
Commission also has to review from time to time the progress achieved in the
execution of each stage of the plan and recommend changes where required.
For evaluation of the plans, we have Programme Evaluation Organisation (PEO). It
was set up in 1952. It works under the general guidance of Planning Commission.
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The main functions of PEO are to undettake evaluation
studies, to assess the
aranrarnme results a&t the stated obiectives. to measure their h a c t on
beneficiaries and the socieeconornic structure of the society and to give advice to Role of Planning
State Evaluation Organisation that are involved with plan evaluation at the state
level.
Another very important organisation that helps in planning is the National
Development Council (NDC). The NDC acts as a bridge between the union
government, Planning Commission and state governments. It prescribes guidelines for
the formulation of the plan. It considers the plan formulated by the Planning
Commission. It also considers important questions of social and economic policy
affecting national development. It reviews the work of plan from time to time and
recommends measures necessary for the of plan objectives. F e NDC tries
to secure people's participation in planning and pays attention to the improvement of
administrative services and development of less advanced regions. .
Each state has a State Planning Board or State Planning Cell to help in plan
formulation. It prepares a plan for the state with the help of ministries and
departments in the state, representatives of districts and members of District Planning
Cells. The State Planning Board calls for the various projects from the district, which
are then combined on the basis of priorities and fmancial implications and a state plan
is prepared and placed before the Planning Commission.
The districts have District Planning Cells for plan formulation. Soon after state
budget is voted in the assembly, the various departmental heads prepare a district-
wise break up of the outlays provided in the plan. The district authorities together
with District Planning Cells prepare a district plan which is an aggregation of
departmental schemes received from the state government.
The Constitution of India includes the subject of 'social and economic planning' in the
Concurrent List India draws up plans in the form of five year programmes. The
formulation of five year plan is a time-consuming and complex process. This process
can be divided into five stages.
Rnt Stage :This stage begins three years before the commencement of a new plan.
Studies are undertaken by the Planning Commission to examine the state of economy
and scrutinise the problems. Tentative conclusions out of this effort are arrived at and
a framework of the plan is drawn This framework is submitted to the central cabinet
After this it is placed b e f m the NDC. The NDC indicates the rate of growth and
broad priorities to be assumed for the purpose of W e r work on the plan.
Second Stage: Planning Commission works out general dimensions of the plan in the
light of guidelines given by the NDC and a draft memorandum outlining the features
of the plan is prepared.
Third Stage : Drafi memorandum is placed before the NDC and after NDC's
consideration, the work for preparation of draft outline of the plan starts. This draft
plan is open for the comments of state and central ministries. After NDC's approval,
this plan is circulated b r public discussion. It is then considered by Informal
Consultative Committee of Parliament and also by Parliament as a whole.
Fourth Stage :Planning Commission holds detailed discussions with central
ministries and state governments regarding their plans. Discussions are also k l d with
npresentatives of mJor organised industries in the private sector. Planqhg
Commission then prepares a paper in which principal features of the issues needing
more consideration are outlined. This paper is placed before the NDC and central
cabinet for their consideration. Final report on the plan is based on the conclusions
reached on this paper.
Fiicb S w : A draft of the final report on the plan is considered by central ministries
and state governments and then submitted for approval of the NDC and central
cabinet After their approval it is presented before Parliament for discussion and
approval.
After the plan
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Development Strategy and governments. Planning Commission and the NDC are not involved in plan
Planning implementation. Planning Commission only determi~esthe machinery for proper
implementation of plan, it does not by itself carry out the formulated plan. Monitoring
and evaluation of plans is done by the Planning Commission and the NDC through
Programme Evaluation Organisation and other agencies engaged in appraisal of plans.

1) What are the functions of Planning Commission ?
2) Discuss the process of planning in Inii;
--
7.6 LIMITATIONS OF PLANNING IN
THE COUNTRY
Our Five Year Plans have broadly aimed at increase irl growth rate, extensive
modernisation, establishment of socialistic pattern of society, attainment of self-
reliance, up!iftment of backward classes, balanced growth, systematic regional
development.,removal of poverty and promotion of heavy and capital goods industries. All
these objectives wil: be discussed in detail in unit 8 of this block But here it is essential to
note that despite four decades of planning, we have not been able to solve the
problems of unemployment, under-employment, rise in prices and poverty. Regional
ineqiialities continue to persist. We have not been able to utilise our manpower
resources to the maximum extent Our growth rate has been inadequate.
Concentration of economic power has increased. Thus there has been a wide gap
between targets md achievcments. These problems can be attributed to several
limitations in our planning process.
Administrative Refo~msCommission (ARC) in its Repdrt on the Machinery for
Planning ( 1968). noted that there was a lack of proper coordination between the
Planning Commission and the private sector. Private sector is only involved at the
time of plan formulation, even here the consultations between the two are held very
rs:,ely. The ARC criticised the functioning of Central Advisory Council on industries
and various Development Councils which have been created by the government for
consultations with the industrial sector. It noted that these councils suffer from lack
of proper leadership and technical support and thus have been generally ineffective.
The Planning agencies also suffer from lack of trained personnel with requisite calibre
and experience. There is lack of coordination between the re!ated sectors of economy
at the time of plan formulation and implementation. Moreover, implementation of the
plans has been rather inadequate. While form'ulating plans, the practicability of the
schemes must be kept in view. Proper attention has to be paid to agencies and people
involved in implementation and evaluation of plans, and a proper feedback
mechanism has also to be established.
Economic development alone https://t.me/Upsc_Zone_Official
will never lead to overall development of the country, it
is, therefore, imperative to bring about structural and institutional changes in the Role of Planning
society. Usually it has been found that there is an absence of realism in planning.
Though agricultural production has increased, process of land reforms has been very
slow, the small and landless labourers continue to live in poverty. Planning in India is
not geared towards undertaking continuous and scientific investigation of social
obstacles such as the kinship and hereditary relations based on caste system which
come in the way of economic reforms and development. Financial incentives to
reduce backwardness are not enough. Certain non-economic, political and social
factors have to be kept in mind.
Our plans have not been able to adhere to time schedules, as a result there have been
cost overruns. The process of execution of plans is so slow that the financial outlays
for plans become insufficient after a certain period of time. Expenditure increases
because with the passage of time the prices go up. There is no emphasis on sense of
urgency in plan implementation and evaluation. Supervision of plans at all the levels
has been ineffective. Plan execution and evaluation is marked with red tape and
wastage of resources.
Regional and Area Planning in the strict sense of the term has never been introduced
in India. Planning in India has been sectoral. Plans at the state, district, block and
village levels have just been mere break-ups of sectoral plans. Planning at the grass-
root level is very weak. The district, block and village bodies merely collect data for
the state and central governments. No full-fledged planning is done at these levels.
Usually the policies are handed over from above and people at the local levels are
required to fill in this framework. Participation of people and voluntary agencies in
planning has also been quite inadequate.
7.7 CONCLUSION
Though our planning process is facing several problems, the situation is not all that
grlm. We have been able to maintain a moderate growth rate. There has been a
growth of infrtstructure and basic industries. We are no longer dependent on food
imports. Education, social services and human capital has developed and expanded to
some extent. Domestic investment has increased. There has been development of
economic infrastructure, energy resources, irrigation works and transport facilities.
Industrialisation nas been quite impressive. There has been a diversification and
expansion of India's industrial capacity with public sector playing a leading role.
Indigenous production of consumer items has also gone up.
Proper emphasis on administrative research and evaluation of plans, simplication of
procedures of work to avoid delay and reduce costs, better coordination between
various sectors of economy on interconnected tasks, better trained personnel and
development of grassroot planning can remove the bottlenecks confronting the
planning system in India.
No effec;ive planning can be possible without people's participation. People have to
be not just the goals but also the means of development strategy. People and voluntary
agencies have to be involved in plan formulation and decision-making, implementation
of planned activities, distribution of benefits of development and monitoring and
evaluation of plans.

1) Briefly discuss the objectives of planning in India.

Development Strategy and 2) What are the limitations of our planning process ?
Planning
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7.8 LET US SUM UP
Thus we saw that planning is an indispensable component of any country committed

to the goals of socieeconomic development Plan formulation, implementation and
evaluation calls for the participation of various planning agencies, central and state
ministries, Parliament, private sector and voluntary organisations. Our plans have
always aimed at bringing about social, economic and structural changes in the country
in order to attain systematic and balanced growth. The unit has analysed the system
of planning in India by explaining the importance of planning, evolution of planning
and the nature of planning process in the country. India's plan objectives and various
constraints behind proper fulfilment of these goals have also been discussed in
the unit
7.9 KEY WORDS
Economic Overheads : Building of economic overheads means development of

network of roadways, construction of irrigation and hydreelectric works, development
of railways and other capital intensive projects which are economic assets for the
country.
Fragmented Holdings : These are very small holdings of land that are formed due to
subdivision and fragmentation of land into small parts. This type of fragmentation
leads to wastage of agricultural land, rise in cost of agriculture, and underutilisation
of labour and capitals,
Kinship Relations : Family relations or relations between close and distant relatives
that govern the social behavioural pattern. They are rooted in the caste system of
Indian society.
Regional Planning : It involves coordination of various sectors of the economy in a
specific region, these sectors have to be correlated with certain natural and economic
homogeneities.
Sovereign Socialist Secular Democratic Republic : The preamble (serving the
introduction) to our Constitution declares the ultimate sovereignity of the people of
India and that the Constitution rests on their authority. The Constitution envisages
that the state representatives have to be elected by the people. All the religions in the
country will have the equal status, prestige and respect from the state. The
Constitution also envisages a democratic form of government infused with the spirit of
justice, liberty and equality. The words 'secular' and 'socialist' were inserted in the
preamble of the Constitution by the 42nd Amendment Act, 1976.
Avasthi, A. and S.R Maheshwari. 1988. Public Administration ; Laxmi Narain

Agarwal : Agra.
Jain, RB. 1976. Contemporary Issues in Indian Administration ; Vishal
Publications : Delhi.
Sarup, A and S. Bramhe. 1990. Planning for the Millions ; Wiley Eastern : New
Delhi.
Clppal. J.S. 1984. Indian Economic. Planning https://t.me/Upsc_Zone_Official
; Macmillan : Delhi.
Role of Planning
7.1 J ANSWERS TO-CHECK YOUR PROGRESS
EXERCISES

Planning is a systematic prathought out action
It involves clear perception of the problem, determination of objectives,
choice of means, formulation of a plan, ascertaining suitable machinery to
carry it out and proper evaluation of the plan
Planning is needed for all kinds of tasks committed towards development.
India inherited a stagnant economy
.Private sector was not in a position to solve the problems prevailing at that
time
There was a need for development of agriculture and industry, infrastructural
facilities also had to be developed
Planning enables a comprehensive understanding of problems, avoids wastage
and leads to increase in production
Planning increases the rationality of the system, prevents inconsistency of
individual decisions and brings about structural change.
Planning Commission assesses the resources available
It formulates plans for effective utilisation of resources
Defines the stages in which plans should be carried out
Allocates resources and determines the machinery for plan implementation
Points out the factors hindering development
2) See Section 7.5
Plans aim at strengthening the socialistic pattern of society
They aim at increasing the growth rate
Bringing about balanced regional development
Accelerating balanced gmwth
Provision of employment opportunities
Upliftment of backward classes
Promotion of self-reliance.
lack of coordination between related sectors of economy at the time of plan
formulation and implementation
Absence of grassroot planning
Lack of people's participation
Absence of regional planning
Increase in expenditure due to non-adherence to time schedules.

UNIT 8 GOALS OF DEVELOPMENT
Structure
Objectives
Introduction
Concept of Development
Development Goals in India
Our Plan Objectives
Conclusion
Let Us Sum Up
Key Words
Some Useful Books
Answers to Check Your Piogress Exercises
8.0 OBJECTIVES
discuss the meaning of development and highlight its relationship with economic
growth,
state the goals of development in the country,
state the goals of development in the country,
discuss the diffcrent objectives of our Five Year Plans, and
highlight the problems and loopholes hampering the proper achievement of
development goals.
8.1 INTRODUCTION
Development is a complicated and multi-faceted concept. The goals of development
depend on the concept of development which in turn depends on the social, economic
and political conditions prevailing in the country. Development can neither be
identified with economic growth, nor with the level of per capita income. It is a
holistic and integral concept dealing with all the aspects of social existence in their
organic unity.
Development goals or objectives can be short term as well as long term. They can
also be real or stated, depending on whether they are actually or effectively pursued
or nof. India adopted development planning within the framework of a mixed
economy system with a conscious choice of a number of objectives or goals. The
primary objective which overshadowed every other objective is the growth of output.
Social equity is the other objective which assumed a lot of importance because of its
relevance to Indian conditions marked by unemployment, poverty, income inequalities
and regional imbalances. Other goals of development which our country has been
pursuing are attainment of modernisation, industrialisation and self-reliance. This unit
will try to clarify the relationship between development and growth and highlight the
different goals of development which have received a good deal of emphasis in all the
Five Year Plans. An attempt will also be made to bring out the problems that we are
facing in the formulation and implementation of development strategies and
programmes.
8.2 CONCEPT OF DEVELOPMENT

Before analysing the various goals of development, it is essential to know the meaning
of the term 'development'. Though the concept of development has been highlighted
in unit 1 of block 1, it is necessary to bring out the relationship between development
and growth. Development is a difficult concept to define, generally speaking, it means
moving to the next stage of condition which is better. According to Hahn-BeerrLee Goals of Development
"Development is a process of acquiring a sustained growth of a system's capability to
cope with new, continuous changes toward the achievement of progressive political,
economic and social changes". Development means change plus growth. According to
Gerald M. Meier, the definition that would gain wide approval is one that defines
economic development as the process whereby the real per capita income of a country
increases over a long period of time, subject to the stipulation that the number below
an "absolute povertyline" does not increase, and that the distribution of income does
not become more unequal.
The term development should not be equated with the term growt!!. Though growth is
a precondition to development; mere growth of an economy does not make it a
developed economy. Charles P. Kindleberger rightly asserts that economic growth
I
merely refers to a rise in output whereas economic development implies changes in
technical and institutional organisation of production as well as in distributive pattern
of income. Compared to the objective of development, economic growth is easy to
realise. By mobilising larger resources and raising their productivity, outpllt level can
be raised. The process of development is far more extensive. Apart from a rise in
output, it involves changes in the composition of output as well as shift in the
allocation of productive resources so as to ensure social justice. In some countries,
the process of economic growth has been accompanied by economic development.
This, however, is not necessary. Though development without growth is
inconceivable, growth without development is possible.
In India, the planners realised the fact that the concept of development must
incorporate the following elements :
i) Economic growth cannot be equated with development. In fact, there is no
guarantee that growth of investment, capital formation, industries and national
income would by themselves bring about overall development, which would lead
to better lives for the poor. Hence development must be viewed in its totality as
one single, unified concept incorporating social, political, cultural and economic
dimensions.
ii) Social justice is basic to development
iii) Development has to be a participative exercise and. not one in which a select
minority of the elite controls and directs the process of development
iv) Self-reliance is an integral part of development. It means that the developing
countries should be able to participate in the development process on the basis of
full equality in international relations for the mutual benefit of all concerned.
v) Due to scarcity of natural resources, it is essential that the pursuit of growth
should lead to neither excessive nor imbalanced use of those resources in order to
maintain their natural balance.
These aspects of development have been given due emphasis in our Five Year Plans.
The next section would deal with these aspects.
8.3 DEVELOPMENT. GOALS IN INDIA

Growth and development continue to dominate the public policies of both the
developed and developing countries. Everywhere, the collective efforts of the state are
given a role in development, which varies qualitatively and quantitatively among
different countries. This depends on a number of factors, the most important being the
objective or the goal of development It means that there is a different understanding
of the concept of development in digrent countries. These difTerences relate to the
variety and diversity of goals of development adopted by different countries. The
differences in the objectives of development reflect the differences in the conditions
and approaches of different countries depending on their history, natural conditions,
political and social system, place in the world community and values. The concept of
development in India is also dependent upon the goals of development in the country.
These objectives are self-reliance, industrialisation, modernisation, economic growth
and social justice. We will now discuss these goals in dctail.
Economic ~ r o w t h
Development Strategy and have tried to increase the stock of capital goals, viz., machinery, tools, equipment and
Planning infrastructure facilities This is essential as it helps our labour force to produce a
steady flow of goods and services which ultimately leads to an increase in the rate of
savings and capital formation. Thus development through increase in production has
become the corner stone of Indian planning. It has featured in all our development
policies and strategies. It is clearly evident from the very character of Indian Plans,
that major focus of our planning has been on economic growth. The underlying
objective behind the setting of plan targets and allocating the resources to various
sectors has been economic growth.
The era of economic planning, starting with the First Five Year Plan (1951-56) laid a
target of 2.1 per cent per annum increase in the national income. The Second Five
Year Plan envisaged a target of 4.5 per cent increase in national income by laying
emphasis on the development of the public sector. The Third Plan aimed at securing a
5.6 per cent annual increase in national income. It laid stress on raising agricultural
output The main focus of the Fourth Plan was growth and stability. The Fifth Plan
aimed at 5.5 per cent increase in national income. It treated the objective of economic
growth as a complementary goal to the other goals of eradication of poverty and
achievement of self-reliance. The Sixth Plan aimed at 5.2 per cent increase in the
Gross Domestic Product (GDP). To achieve this target, it laid emphasis on
improving the efficiency level of existing capital stock utilisation, raising the
investment rate, making the investment pattern more rational and keeping the balance
of payments within certain limits. The Sevmenth Plan aimed at 5 per cent per annum
increase in the national income.
Thus the major thrust of our plans has been on economic growh While evaluating
the performance of a plan, its growth rate is always looked into. High rate of
production is considered to be essential to meet the basic needs of the people. Thus
emphasis has always been laid on utilisation of our resources in an appropriate
manner so as to satisfy the needs of our population. It is believed that growth
impulses arising from our production process would gradually spread to the entire
economy. The role and importance of suitable technology in increasing production
has also been stressed upon. Right from the beginning of our planning era, we have.
been giving highest priority to economic growth by introducing ways for increasing
production in the economic sphere. Increase of production is regarded as an
essentiality for removal of poverty, establishment of just and equitable society and
raising the standards of living of the people.
Our plans also seek to achieve a balanced rate of growth, that is, a balance between
industry, agriculture, light industry (industry producing consumer goods) and heavy
industry (industry producing capital goods) has been sought by our plans.
Self-reliance
A country can be regarded as economically independent only if it follows the path
of development according to its own needs, resources and values. The developing
countries such as India cannot become self-reliant unless and until they are able to
detach themselves from the dependency relationship which they have with other
countries in trade, investment and technology.
Our plans stress upon the different dimensions of self-reliance :
i) reduction in the dependence on foreign aid
ii) diversification of domestic production
iii) reduction in imports for certain critical commodities ; and
iv) promotion of exports to enable us to pay for imports from our own resources.
As foreign exchange can become a constraint in promoting development, its
management has been sought by our Five Year Plans through emphasis on self-
reliance and import substitution. We have been trying to achieve import substitution
by development of machinery manufacture within the country. We are also trying to
buildup our capacity in the fields of project consultancy and design engineering.
Through achievement of self-reliance, a country is able to ensure a more equal
relationship with the world economy and reduce its vulnerability to outside pressures
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Goals of Development
foodgrains, defence etc. It is needed from the point of view of national security. In the
remaining sectors, only self-reliance is sought, it means that in these areas, normally
demand is satisfied from domestic production, but where it is necessary to import
from other countries, purchases are made on the basis of foreign exchange earned
through exports. That is, demand for foreign exchange (equal imports) is set equal to
supply of foreign exchange (equal exports). This is the essence of self-reliance.
In the 1 9 5 0 India
~ ~ was dependent on foreign countries because the output of
foodgrains was not adequate, basic industries were virtually non-existent and rate of
savings was sufficiently low. Due to these reasons, it became imperative for Indian
planners to give due emphasis on the goal of self-reliance in our plans. Self-reliance
did not receive much emphasis in the first two Five Year Plans. In the Third Plan, for
the first time, it was stated that "the country would endeavour to become self-reliant
over a decade or so". It stated that "the balance of payments difficulties that the
country is facing are, not short term or temporary, they will continue for several years
to come. External assistance is essential for this period, but the aim must be to make
the economy more and more self-reliant, so that it is able to support within a period
of ten or twelve years, an adequate scale of investment from its own production and
savings. The normal flow of foreign capital may continue but reliance on special
forms of external capital has to be reduced progressively and eliminated". The Fourth
Plan concretised this goal and determined the time phasing for its realisation. The
subsequent plans have also laid stress on the objective of self-reliance.
Indurtrlalimtion
As we know the central theme of India's planned development has been an
increase in the growth rate of national income. To achieve this, the need for
development of capital goods and basic industries was strongly felt at the be- of
our planning era. Thus the development of capital good industries has been assigned a
key role in the growth profile of the country. Emphasis has been laid on the
production of basic materials and goods like coal, steel, machines, electricity,
chemicals etc. This is essential for setting up of infrastructural facilities end
accumulation of capital. Despite the initial problems of industrialisation such as
production of only heavy and basic goods, non-production of consumer goods and
lack of increase in employment opportunities, it is felt that emphasis on this objective
ultimately leads to expansion of capital and consumer goods, availability of job at
higher levels of income, capital formation a d increase in rate of growth.
Our plans have given a high priority to the objective of industrialisation. They have
laid emphasis on organising an adequate supply of consumer goods. Cottage
industries are being promoted to produce consumer items. Such type of industries do
not require large amount of capital and are also labour intensive. Our stress on
increased rate of savings and investment, import substitution and export expansion
has given a b o a t to our industrial production. In order to ensure the speedy
implementation of this strategy for industrialisation, large amount of funds have been
allocated to the industries in our Five Year Plans. Our Plans have accorded a very
high priority to the development of certain sectors of the economy such as industry
and mining, power and transport and communications.
Moderni~tion
As per the Sixth Five Year Plan document, the term 'modernisation' means a variety
of structural and institutional changes in the framework of economic activity. A shift
in the sectoral composition of production, diversification of activities, advancement of
technology and institutional innovation'have all been a part of the drive for
modernisation. Indian planners have always emphasised the role of science and
technology in bringing about development Application of science and technology in
production raises the output leveland accelerates the pace of economic growth. Our
plans have stressed upon the need for research and development (R & D) in order to
avoid our dependence on foreign technology. Though structural diversification
commenced with the Second Five Year Plan, the concept of modernisation was
clearly spelt out only in the Sixth Five Year Plan.
To bring out modernisation, efforts have been made to promote industrial growth and
diversification. Besides this, the strategy for modernisation, involves a shift in the
industrial sector towards industries producing basic materials and capital goods and
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sector in industry. The development of the public sector has
Development Strategy and been the principal element in our drive for industrial diversification. The public sector
Planning as we read in unit 7, plays an important role in industries such as steel, petroleum,
fertilisers, petmchemcials etc. The crucial role of private sector has also been
recognised by our government and it has been accorded due recognition in our plans.
A m t of network in the form of banking institutions has been established to promote
and finance private investment in industry. The government has set up a variety of
institu!ions to assist in the provision of infrastructure, supply of raw materials and the
development of marketing and technology. Small scale industries and artisans are also
being protected through product reservation i.e. by restricting production of specified
commodities by small-scale industries and fiscal concessions. Besides industry, our
plans have also aimed at achieving modernisation in the sphere of agriculture. As we
read in unit 5 of this block, at the beginning of our planning era, our agricultural
growth was not much because of the then existing outmoded land tenure system, the
primitive technology of cultivation and lack of infrastructure for raising productivity.
Thus modernisation in this field was a very difficult task. The elimination of
zamindari and other ~ntermediarytenures, spread of high-yielding varieties and
extension of irrigation has brought about considerable change in the technology of
cultivation. The elaborate network of agricultural research and extension set up,
production of major food grains and horticulture crops, establishment of a system of
support prices, procurement and public distribution of goods are the results of
modernisation

1) Bring out the relationship between growth and development.
2) Discuss the need for having a self-relian~economy.

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3) What is the strategy adopted by India towards attainment of industrialisation ?

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4) Discuss the strategy for bringing about modernisation in India.

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Sociai Justice
One importact cause of underdevelopment and backwardness is widespread and
multi-dimensional inequalities. Social, economic, political and cultural spheres in
India are marked by serious disparities. There is no use of political rights (guaranteed
in the Constitution) if social inequalities continue to persist. For removing poverty,
unemployment, regional imbalances and income inequalities and for making
democracy effective, it is very essential to introduce greater equity. Indian plans have
stressed upon the transformation of her economy into a socialistic pattern of society.
The Second Five Year Plan highlighted the need for a socialistic pattern of society
within the framework of a mixed economy. It stated that the basic criterion for
determining growth should not be private benefit but social gain. It sugge~-:d that the
major decisions regarding planning should be made by agencies committed to social
upliftment and that the less privileged classes should benefit most from our plans. The
concentration of income and wealth must be reduced and the public sector should
play a very crucial role in the economy.
The objective of Social Justice laid down in our plans, aims at
i) increase in the living standards of the poorest groups in society
ii) reduction in inequalities in asset distribution
iii) removal of unemployment
iv) bringing about balanced regional growth ; and
v) upliftment of backward classes.
We will now discuss these objectives briefly.
i) Reduction in Income Inequalities
Another way of achieving social justice in India can be reduction in income in-
equalities and concentration of wealth. The issue of income inequalities in India is
linked with the inequalities in the ownership of agricultural land and concentration of
economic power in the industrial sector. This is a cause of inequalities in rural areas.
In urban areas, also, inequalities due to the rapidly growing assets of big business
houses have been growing. Income disparities between urban and rural areas are also
on the increase. Economic growth and industrialisation, instead of solving the
problems, have aggravated them further.
According to the Planning Commission, the existing economic inequalities in India
have their roots in the remnants of the feudal system and privileges associated with
them, and these semi-feudal relations must be destroyed. In order to achieve this
objective, the Government of India through its plan objectives has made a
commitment to eliminate all intermediaries from the area of agriculture by appropriate
legislation in this regard. Ceiling on agricultul-al holdings could be another measure
towards elimination of inequalities. One more step in this connection could be fixing
up of ceiling on incomes.
Ln developing countries, there are mainly three source5 of high income :
i) capital gains receipts
ii) entrepreneurial profits
iii) salaries and perquisites of business executives.
Thus according to the Planning Commission, removal of inequalities should involve
firstly, restriction of capital gains and speculative profits and secondly, our taxation
system must be geared to the need of detecting the income from the above mentioned
sources and must punish the tax evaders severely. Other measures that can be
undertaken in order to reduce inequalities are rise of agricultural production,
development of agro-based industries and social services, ensuring fair price to the
products of farmers, increasing the rate of growth, improving the productivity of
weaker sections and fair dispersal of ownership of means of production.
ii) Removal of Poverty and Unemployment

Our Five Year Plans have stressed on removal of poverty and unemployment through
creation agd expansion of job opportunities. Our plans do not merely envisage the
establishment of labour intensive industries, small scale industries and promotion of
handicrafts, but also to make employment productive and output per worker
higher. The plans aim at fuller utilisation of available production capacity, provision
of credit and from:-
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programmes in areas, specially
Planning
nual, with high incidence of unemployment and poverty. Eradication of poverty has
featured in all the Five Year Plans. The real thrust on poverty removal came with the
Fourth Plan but it was the Sixth Plan that replaced the term 'poverty removal' with
'poverty alleviation'. The Sixth Plan approached the problem of poverty alleviation hi
three major ways, firstly, by identification and measurement of poverty, secondly, by
developing realistic targets and thirdly, by formulating specific programmes to match
the tagets. In the Fourth Plan, emphasis was laid on removing poverty completely,
since for total eradication, reduction is a major step, the government's approach
towards Sixth Plan changed towards realistic norms and emphasis was rightly placed
on moving step by step towards the goal. The Seventh Plan continued with similar
stress and the Eighth Plan will also lay a good deal of stress on poverty alleviation.
A major step towards poverty alleviation is land reforms. It includes measures such
as abolition of intermediary tenures and tenancy rights, fixation of ceiling on land
holdings, development of institutional credit and marketing, improvement of
agriculture taxation, agriculture extension education, supply of modem inputs etc.
Another step towards this goal is poverty alleviation programmes. Some important
programmes are the Integrated Rural Development Programme (IRDP), Training
Rural Youth for Self-Employment (TRYSEM), National Rural Employment
Programme (NREP). These programmes aim at creation of employment opportunities
for rural poor and landless, provision of training for those seeking self-employment,
creation of self-employment opportunities, establishment of training centres and
assisting rural poor thrwgh credit and inputs.
We have a special programme for helping rural women and children known as
DWCRA, thai is Development of Women and Children in Rural Areas. It seeks to
provide income generating activities to women which will have a positive impact on.
the economic and nutritional status of their families.
In the past also we have had programmes like the Community Development
Programme which was launched in 1952, which aimed at making rural people self-
reliant. Its objective was to inculcate among them a feeling of cooperation through
better utilisation of human resources and science and technology. Then there were
Intensive Agriculture District Programme (IADP), High Yielding Variety Programme
(HYVP) and Multiple Cropping Programme which were started in the 1960s to give a
boost to agricultural production and attain self-sufficiency in foodgrains production.
Rural Works Programme was launched in 1967. It aimed at providing employment
during the lean agricultural season. Small Farmer Development Agency (SFDA) was
started in 1969 which provided assistance to target groups and credit institutions by
ensuring credit and subsidies.
Pilot Intensive Rural Employment Projects (PIREP) and Crash Scheme for Rural
Employment (CSRE) were started as employment generation schemes through
execution of labour intensive projects. Minimum Needs Programme (MNP) aimed at
meeting the basic needs of the poor in order to enable them to improve their standard
of living It provided for elementary education, rural health, water supply, electricity,
rural roads, assistance to landless for rural housing and nutrition and improvement of
urban slums. Food For Work Programme (FFWP) which was started in 1977 aimed
at developing nual economy and generation of employment.
Thus, all these programmes not only aimed at removal of poverty and unemployment
but they also tried to curb the rural-urban migration. They aim at reducing the
problems of unemployment and poverty in urban areas too, as most of the problems
are a result of influx of rural population in urban regions. For urban areas, a new
programme called the Self-Employment Programme for Urban Poor (SEPUP) was
initiated in the Seventh Plan Period.
iii) Removal of Regionel Imbalances

As we read earlier, if development has to be fruitful then it has to be a balanced
development, that is, development of all the regions in the country. Growth of a few
areas or regions at the cost of others will always have negative effects on the
economy of a country. The Finance Commission, thus, pays special attention
to backward regions o f m r country at the time of allocation of funds. The
policy is to locate public sector undertakings in backward regions and encourage the
private sector to invest in those areas. https://t.me/Upsc_Zone_Official
To attain balanced development, differentlocation centres have been evolved by the Goals of Development
planners for the two set of industries, that is the capital intensive, large scale
industries and labour intensive small scale consumer goods industries. The need for
dispersal of industries as a means of attaining a balanced development of the
economy as a whole has been emphasised in the industrial licensing policy also. The
Planning Commission is of the view that the States can play a major role in the
reduction of regional disparities. The States are asked to prepare their plans in a
manner that would result in the reduction of disparities between different areas and to
give due attention to backward regions, while distributing the plan resources between
differe~tprogrammes.
The Fourth Five Year Plan provided for formulation of a national policy for
development of backward areas in the country. The policy laid down the need for
undertaking the identification of areas, selectioil of special area development schemes
and evaluation of policy and instruments for the implementation of the policy. The
main objective of the area development planning was to provide a concrete
programme for sustained overall development of the area As a result some Area
Development Programmes were started such as the Hill Area Development
Programme (HADP) which aimed at maximising agricultural production in hilly areas
through demonstration campaigns which were organised to teach the farmers about
the need for improved seeds, pesticides, fertilisers, new agricultural technology etc. It
provided for development of forestry, better marketing and credit facilities in hilly
regions. Drought Prone Area' Programme (DPAP) aimed at restoration of ecological
balance, development of agricultural and d i e d sectors jn drought prone areas through
optimum utilisation of land, water and livestock resources. Desert Development
Programme (DDP) was launched in 1977-78 as central sector scheme to specially
cover extremely arid areas. It aimed at curbing the growth of deserts through
afforestation, conservation of surface water and grass land development. There was
also a special area development programme for tribal regions known as Tribal Area
Development Programme (TADP). It was launched in 1972, it aimed at increasing
agricultural production, developing animal husbandry, horticulture, constructing
roads, controlling shifting cultivation, conservation of soil and land and cattle
development. These programmes, thus aim at making the backward areas of the
country economically developed.
iv) Upllftment of Backward Classes

Our plans have always included programmes for social welfare. Special schemes for
the betterment of the disadvantaged groups has been an important feature of the
plans. In the Fifth Plan, the National Programme of Minimum Needs was conceived
as a means of enabling the disadvantaged areas and weaker sections of the society to
achieve parity in the basic social consumption levels.
Special programmes have been started for the welfare of scheduled castes and tribes.
The Fifth Plan has evolved tl new strategy of specific subplans for tribal areas
operating through the Integrated Tribal Development Projects (ITDPs). The long
term objectives of these tribal subplans are to bridge the gap between the level of
development of tribal and other areas and to bring about a qualitative change in the
life of the tribal community. With the Sixth Five Year Plan, three more programmes
were started :
i) the Special Component Plan of the states and central ministries which tries to
provide benefits to scheduled castes and scheduled tribes from general sectors of
plans of states and central ministries. Through income generating schemes and
provision of basic amenities, it aims to benefit the scheduled castes and tribes
financially and physically.
ii) the Special Central Assistance Scheme--aims to provide for development of
scheduled castes and tribes through income generating schemes.
iii) Scheduled Castes Development Corporations (SCDCs) in the States - The
SCDCs are visualised as an interface between poor scheduled castes, and
financial institutions in respect of bankable schemes of economic development
Besides these programmes, there are other ways of safeguarding the rights of SCs and
STs in India Tne Special Officerfor SCs and STs is appointed vide Article 338 to
investigate all matters relating to safeguards provided for SCs and STs underhttps://t.me/Upsc_Zone_Official
the
Development Strategy and 3 of the Fifth Schedule provides for an annual report on the STs to be sent by the
Planning Governor to the President who can give direction to the Governor regarding any
important matter concerning tribals and harijans. Para 4 of the Fifth Schedule
provides for the establishment of Tribal Advisory Councils in States. Para 5 of the
Schedule calls upon the Governor to make regulations for the peace and good
administration of any area in a State which has been identified as the scheduled area.
Article 275 provides funds from the Consolidated Fund of India for raising the levels
of administration of scheduled areas in the form grants-in-aid to the States.
8.4 OUR PLAN OBJECTIVES

O L Five
~ Year Plans, as we read in unit 7 of this block and as it is clear from the
preceding sections of this unit, have consistently placed emphasis on the attainment
cf the objectives of self-reliance, social justice, industrialisation, modernisation 'and
economic growth. All plans do not place equal emphasis on each objective. Whereas
earlier p!ans laic! more stress on rapid economic growth, the later plans attached more
importance to self-reliance and removal of poverty. The Seventh Plan laid emphasis
on the attahment of modernisation Thus an overview of our Five Year Plans would
give us an idea about the different objectives and priorities under each plan. The First
Five Year Plan (195 1-56) was started after the process of political and administrative
unification of the country was completed The situation at the beginning of the plan
was not very good. We had to tackle the massive problems of backwardness and
underdevelopment Thus the plan aimed at :
i) restoring the economy, resist the inflationary pressures, improve the food and raw
materials position and develop the transport system
ii) formulating and implement such development programmes that could lead to
future progress
iii) initiating measures of social justice
iv) building up such administrative and other organisations that would be conducive
to development. .
This was basically a rehabilitation plan as Indian planners had to correct the
disequilibrium in the economy caused by influx of refugees, severe food shortage and
inflation. It emphasised on increase in agricultural production, improvement in living
standards and growth of national income.
The Second Five Year Plan ( 1956-6 1) laid emphasis on industrial development. The
plan aimed at rapid industrialisation with particular emphasis on the development of
basic and heavy industries. The plan laid special emphasis on increased production of
iron aud steel heavy chemicals and development of heavy engineering and machine
building industries. It also aimed at an advanced increase of five per cent in national
income, provision of additional employment and reduction of inequalities in income
and wealth
The Third Plan (1961-66) set as its goal the establishment of a self-reliant and self-
generating economy. It aimed at :
i) securing five to six per cent annual increase in national income,
ii) achieving self-sufficiency in foodgrains,
iii) expanding basic and key industries,
iv) utilising to the fullest possible extent the man-power resources of the country,
v) increasing employment opportunities,
vi) establishing progressively greater equality of opportunity ; and
vii) bringing about reduction in disparities in income and wealth and a more even
distribution of eoonomic power.
The Fourth Plan (1969-74) laid emphasis on the major objectives of removal of
poverty and achievement of self-reliance. It aimed at achieving a 5.5 per cent annual
growth rate. Its objectives were to :
i) b o a t up industrial productivity
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ii) help weaker producers and increase employment
opportunities
iii) increase agricultural production, specially production related to the primary
iv) use monopoly legislation and appropriate fiscal policy for reducing concentratibn Goals of Development
of economic power.
v) utilise Panchayati Raj institutions in planning at the local level.
The Fifih Plan (1974-79) proposed to achieve two main objectives : i) removal of
poverty and ii) attainment of self-reliance.
It aimed at achieving these goals through promotion of higher rate of growth, better
distribution of income, increase in the rate of growth of agriculture, production of
level and expansion of production of consumer goods.
The focus of the Sixth Five Year Plan was on enlargement of the employment
potential in agriculture and allied activities, encouragement to household and small
industries producing consumer goods for mass consumption and raising the incomes
of the lower income groups. Its main objectives were :
i) strengthening the strategies adopted for modernisation
ii) achieving economic and technological self-reliance
iii) reducing the incidence of poverty
v) improving the quality of life of the people in general with special reference to the
economically and socially handicapped population
vi) reducing income inequalities
vii) promoting policies for controlling the growth of population ; and
vi) promoting the active involvement of all sections of the people in the process of
development.
The basic objectives of the Seventh Plan (1985-90) are the same as stated in the
earlier plans, but the stress is more on growth, modemisation, self-reliance and social
justice. The major goals of the plan are :
i) to eliminate poverty and illiteracy
ii) to achieve near full employment
iii) to achieve self-sufficiency in the basic needs of clothing and shelter and to
provide health for all
iv) to augment agricultural production ; and
v) to improve technology in the fast growth areas and control inflation.
Thus all our plans have aimed at achieving economic growth, industrialisation, self-
reliance, modernisation, and social justice in some form or the other.
8.5 CONCLUSION
Thus, it is clear that our planners have been trying to bring about development by
pursuing five mdor objectives viz, economic growth, self-reliance, modernisation,
industrialisation and social justice. India's experience shows that a considerable
amount of success has been achieved in certain areas. In agriculture and rural
development, a large number of new programmes have been started. Along with
these, a diversity of organisational arrangements and administrative structures have
been established. There has been a substantial diversification of the industrial base
over the last four decades. Now we are able to produce a broad.range of industrial
products. We have achieved self-reliance in basic and capital goods industries.
Indigenous capacities have been established. The process of industrialisation has
fostered entrepreneurship. A wide variety of technical, managerial and operative skills
have been developed. The major thrust for development of heavy industries has been
provided by the public sector. An elaborate network of specialised development
banking institutes, has been established to help finance industrial investment in the
private sector.
Though the list of achievements is exhaustive, we still cannot conclude that we have
been able to develop in the way we wanted to. The list of failures and the problems
hampering our drive towards development is equally exhaustive. Some economists
doubt 1ndia9sachievements on self-reliance. w e have achieved considerable self-
sufficiency in food but that is not the case in other areas. Import of capital goods,
technology, petroleum products, edible oils, etc. make a huge dent in our external
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resources andfrom:-
we have https://t.me/Pdf4Exams
a. heavy balance of trade deficit. Though-the .growth ratehttps://t.me/Upsc_Zone_Official
has
. .. . - . . -
Development Strategy and modernisation in agriculture has just begun. Average yield levels in most regions and
PIaanin6 farming systems are below what can be attained with known technology. India now
has a large and wide scientific and technical workforce in the world, still the capacity
of the system to absorb these skills fully in productive employment has been less than
adequate. Also in pure and applied research, advances have been limited except in a
few areas like agricultural research, atomic energy and space. Average productivity
levels are below h e targets.
Monopolies in industry have grown. Progressive taxation has been quite ineffective.
circulation of black money has increased in the market. Increase in production has
also led to increase in economic inequalities. The objective of income equality in
terms of priority, has always got a very low place in our plans. The publications of
Planning Commission and Plan Documents have never provided estimates of
inequalities of income and wealth distribution. The Fifth and Sixth Plans did not
clearly lay down the measures to be followed for eliminating income inequalities. The
Seventh Plan also did not make any reference to it. We have been under the
misconception that fiscal policy, industrial licensing, monopoly control measures and
additional employment opportunities would be enough to reduce income inequalities.
We have also not been able to make a dent on poverty problem. Anti-poverty
programmes have brought only temporary relief. Improper identification of
beneficiaries, lack of awareness among the poor regarding the benefits of programmes,
wastage of funds, lack of monitoring and evaluation, overemphasis on wage
employment schemes, lack of training of staff involved in implementation of
programmes and less involvement of voluntary agencies and cooperatives in nual
development have proved to be the major problems facing our programmes. Neither
the incidence of poverty has reduced nor the living standards have improved.
'
Land refonns have not been implemented effectively. Shortage of updated land
records, existence of benami transactions, distribution of bad quality of land,
declaration of less land as surplus, lack of participation by benefactors, almost non-
existent cooperatives for land refonns, use of inappropriate technology in agriculture
have impeded their success.
In the early phase of planned development in India, regional factors were not given
enough weightage. Moreover, the major indusvial projects in the public sector located
in industrially backward areas have not produced the desired effects. It has also not
led to diversification of the regional economy. We have achieved some success in the
development of huge irrigation power projects, which have led to agreindustrial
development, but our policy of attracting private sector to invest in industrially
b a c h d regions has not succeeded much.
In education, health care and family welfare, past efforts have been concentrated on
target-oriented expansion in facilities or on enrolment and coverage. The greater
access of the poor to secondary and higher education has not been able to reduce the
illiteracy rate. Our Five Year Plans accepted the objective of equity, however, the
concrete details of this objective such as the extent to which income and wealth would
be distributed, different types of social equity to be introduced, the extent to which
concentration of income and wealth would be reduced etc., have not been spelt out
Various policies and programmes for bringing about equity and steps needed for this
purpose were never specified
Certain measures can be adopted to improve this state of affairs. There is an urgent
need for re-examining our priorities and strategies in pursuit of development. There is
a need for refinement in the process of identification of schemes relevant for
scheduled castes, scheduled tribes and rural poor, both by the state governments and
central ministries. Adequate attention has to be given to these schemes, their
economic base has to be strengrhened. We should try to involve the voluntary
organisations, cooperatives and'people in the formulation, implementation, monitoring
and evaluation of the schemes for the poor and the downtrodden. A strategy is
required whereby we can improve the perfonnance of staff engaged in development
tasks, ensure their accountability to people and increase their accessibility to the
common man. Similarly problems of corruption and red-tapism can be tackled
properly.
To stremthen the countrv's scientific and technoloaical base, its domestic
and research and development efforts in crucial areas of science and technology hsve Goals of Development
to be initiated The evaluation of social welfare schemes in quantitative terms is not
going to solve any problem. We must try to find out the qualitative effect of such
programmes, for example, we must know their ultimate effects on literacy, educational
status. incidence of diseases, mortality rates, nutritional status and living standards.
T o remove regional imbalances, what is needed is a strategy which identifies the
natural, physical and human endowments and potential in different districts and
formulates viable projects which are based on these resources. The plans must also
bring out overall sectoral and spatial requirements of the backward districts which
would help in the inter-district disparities within the States.
Unemployment problem can be solved if our poverty alleviation programmes are able
to produce the desired results. Besides this, the employment potential of an investment
project should be clearly studied. It should also be kept in mind that for each region,
sector and economic class, different employment plans should be initiated, keeping in
view their specific needs. We have to mobilise our resources in an effective manner,
expand our exports, increase our agricultural production, develop proper technology
for ecologically handicapped regions, utilise fully our irrigation potential, develop
effective substitutes for imported products, technology and energy, revitalise our
family planning programmes, strengthen the Panchayat Raj system and introduce a
pboriented education system in order .to solve our goals of development
E:;k Your Progress 2

Note: 1 ) Use the space given below for your answers.
1) Our plans have always aimed at bringing about social justice through various
strategies and programmes. Comment.
2) Discuss the various methods adopted by the government for removal of poverty
and unemployment.
LET US SUM UP
Our major goals of self-reliance, economic growth, modernisation, industrialisation
and social justice have been ardently pursued by our Five Yea. Plans. The dimculties
impeding the f d achievement of the goals can be removed with the help of people's
participation and right political will. The aim should be to make India a
technologically viable and progressive economy where everyone would enjoy the
basic amenities of life. To attain our goals we need to expand economic and
technological growth, initiate development programmes for the poor and weaker
sections of the society, improve our health and education facilities, bring about sharp
reduction in the rate of population growth, inculcate awareness among the people and
revitalis our panchayats, cooperatives, voluntary agencies and other decaying
administrativefrom:-
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Developmeat Strategy sad

Planning 8.7 KEY WORDS
Capita1 gains receipts: A fmancial gain resulting from the sale of a capital asset at a
higher price than was paid for it. The gain arises out of an appreciation of capital
value. It creates in the hands of the receiver a clear capacity to pay taxes.
Ceiling on agricultural holdings : Maximum limit fmed under the system of
regulation of holdings. A person cannot possess agricultural holding beyond a certain
fixed limit
Diversification of domestic production : Production of new domestic products while
continuing the production of existing products.
Entrepreneurial p r o w : The difference between the receipts and outlay in business.
It reflects the excess of receipts over the expenditure.
Foreign Exchange : The means of payment in which currencies are converted into
each other and with which international transfers are made.
Labour Intensive production : A form of production requiring a high proportion of
labour in relation to the other factors of production employed.
Marginal cultivators : A cultivator who has minimum means of cultivation and slight
reduction in these means would make him landless or totally non-operative.
Poverty line :The usual method is to fix a poverty level on the basis of minimum
level of per capita expenditure required for normal calorie intake (2250 calories as
average per capita per day requirement). The extent of poverty is measured by
estimating the qumber of people whose overall per capita consumption falls below this
level. This level is called the poverty h e .
System of support prices :The policy of the administration by which a minimum
price is fixed for procurement of certain commodities specially food crops so that the
producprs do not suffer a fmancial loss in case of a glut in production. Such a price
also takes into account the cost of various inputs used by the farmers for production.

Agrawal, A N . 1986. Indian Economy: Problems of Development and Planning ;
Wiley Eastern :New Delhi.
Datt. Ruddar and K.P.M. Sundaram, 1989. Indian Economy ;S. Chand and
Company : New Delhi.
Desai, P.R, 1979. Planning in India (1951-78) ; Vikas Publication : Delhi.
Government of M a . 1990. Towards Social Tmnsfonnation :Approach to the Eight
Five Year Plan ;New Delhi.
Government of India 1981. Sixth Plan Document. Planning Commission : New
Delhi
Government of India. 1989. Seventh Plan Document. Planning Commission :New
Delhi.
Misra, S.K. and V.K. Puri, 1989. Indian Economy :Its Development Experience ;
Himalaya Publishing House': Bombay.
Sarup, Anand and S. Bramhe, 1990. Planning for the Millions ;Wiley Eastern : New
Delhi

EXERCISES

Downloaded from:- Development means progress, it includes
https://t.me/Pdf4Exams growth as well as change
Growth refers to rise in output Goals of Development
Development implies changes in technical and institutional areas of
production
Process of development is far more extensive than growth
Development includes rise in output as well as changes in the composition of
output
While development without growth is inconceivable, growth without
development is possible.
Self-reliance is needed for economic independence
Through self-reliance, a country is able to ensure a more equal relationship
with the world economy
It reduces a country's vulnerability to outside pressures and disturbances
To avert foreign exchange crisis
Help a country to support adequate scale of investment from its own
production and savings
Reduces dependence on foreign capital.
Emphasis on development of capital goods and basic industries
Expansion of consumer goods industries
Cottage industries are being promoted
Labour intensive industries needing less amount of capital are being
developed
Five Year Plans have allocated large amount of funds for promotion of
industries.
Emphasis on the role of science and technology in bringing about
modernisation by the government
Emphasis on the need for Research and Development
Promotion of industrial diversification
Development of the public sector
, Promotion of a support network of financial institutions
Protection of small-scale industries and artisans
Elimination of zamindari and intermediary tenures to bring about
modernisation in agriculture
Establishment of a system of support prices.
Check Your Prolpzrs 2
1 ) Your answer should include the following points :
Indian plans have stressed upon the transformation of her economy into a
socialistic pattern of society
We aim to achieve social justice through improvement in the living standards
of the poor
Through reduction in income inequalities
Through removal of poverty and unemployment. For this purpose many anti-
poverty programmes have been launched
Through reduction of regional imbalances
Welfare of scheduled castes, tribes and rural poor has been sought by our
plans.
Our Five Year Plans have stressed on removal of poverty and unemployment
through creation and expansion of job opportunities
We aim to provide credit and other assistance to people living below the
poverty line
Fuller utilisation of available production capacity is sought
Special employment programmes such as the IRDP, TRYSEM, NREP,
etc., have been started
Land reforms is considered to be a major step towards removal of poverty.

UNIT 9 PLANNING COMMISSION AND

NATIONAL DEVELOPMENT
COUNCIL
Structure
9.0 Objectives
9.1 Introduction
9.2 Functions of Planning Commission
9.3 Planning Commission : Structure
9.4 National Develodment Council
9.5 Planning Procedure
9.5.1 Five Year Plans
9.5.2 Annual Plans
9.6 Role of Planning Commission
9.7 Let Us Sum Up
9.8 Key Words
9.9 References
9.0 OBJECTIVES
explain the structure and functions of the planning Commission
highlight the ctmposition and role of the National Development Council
discuss the process by which Five-Year and Annual Plans are formulated and the
role of agencies involved in the process.
9.1 INTRODUCTION
India is a developing country. It does not yet fall under the category of economically
advanced nations. But this was not the case always. In the seventeenth century we
were economically more advanced than Europe. But it was the colonial rule and the
impact of the industrial revolution which destroyed our economy resulting in
widespread stagnation $nd poverty. Dadabhai Nauroji, writing in 1876, focussed on
the detrimental impact of British rule and the laissez-faire policy on the lndian
economy. Many nationalist leaders stressed the point that for removal of mass
poverty the state must play an active role. And that this was to be done by an
independent and popular government. As the freedom struggle progressed these ideas
got concretised and took the shape of National Planning Committee in 1938 under
the lndian National Congress. However due to the Second World War, when most
of the leaders were imprisoned, not much progress could be made in this sphere.
appointed which recommen t

Again in 1946, before the tra fer of power, a Planning Advisory Board was
the appointment of a Planning Commission to
devote total attention to the task of planned development. This unit will highlight
the structure and functions of the Planning Commission and the National
Development Council. The process of formulation of Five Year Plans which has
been discussed in the previous block will also be dealt with in some'detail. The
planning process at the state, block and village levels will be explained in the
subsequent units of this Block. We will now first look into the task assigned to the
Planning Commission in independent India.

The role of the Planning Commission is directly related to the economic and social
Phaafms Roc- tasks assigned to the government by the Indian Constitution in its Directive
Principles. The Directive principles of State Policy urge upon the state to secure
right to adequate means of livelihood for its citizens and control the inequalities in
the ownership of wealth and means of production. In other words, the state is
required to ensure reduction in mass poverty which implies that it has to ensure
growth in production and its equitable distribution among the various sections of
people.
In March 1950 when the Planning Commission was set up by a resolution of the
Government of India it meant that the state had decided to play a major role in
socioeconomic transformation as required by the Directive Principled of State
Policy. The functions of the Planning Commission with which you must be already
familiar are as follows :
1) Planning Commission makes an assessment of the material, capital and human
resources of the country, including technical personnel, and investigates the
possibilities of augmenting such resources which are found to be deficient in
relation to the nation's requirements;
2) formulates a plan for the most effective and balanced utilisation of country's
resources;
,
3)' on a determination of priorities, defines the stages in which the plan qhould be
carried out and proposes the allocation of resources for the due completion of
each stagc;
4) indicate the factors which tend to retard economic development, and determines
the conditions, which in view of the current social and political situation, should
be established for the successful execution of the plan;
5) determines the nature of the machinery which will be necessary for securing the
successful implementation of each stage of the plan in all its aspects;
6) appraises from time to time the progress achieved in the execution of each stage
of the plan and recommends the adjustments of policy measures that such
appraisal may show to be necessary; and
7) makes such interim or ancillary recommendations as appear to it to be
appropriate either for facilitating the discharge of the duties assigned to it or on
a consideration of prevailing economic conditions, current policies, measures and
development programmes or on an examination of such specific problems as
may be referred to it for advice by the Central or state governments.
In addition to the functions referred to above, the Planning Commission has been
entrusted with responsibility in respect of the following matters as provided for by
the Government of India Allocation of Pusiness Rules :
a) Public Cosperation in National Development;
b) Hill Area Development Programme;
c) Perspective Planning;
d) Institute of Applied Manpower Research; and
e) National Informatics Centre.
The functions appear to be really colossal. But a little explanation will make them
clear. In simple teuns it means that the Planning Commission has been made
responsible for almost all aspect of planning except its execution. To plan we must
have a set of objectives or goals which we try to achieve like the growth of national
income, reduction of the percentage of people below the poverty line and so on. We
' must also decide on the time-frame and the stagesjn which these goals are to be
achieved. Butlo do this we need to estimate our tesources. For example, do we have
enough resource$ to give gainful employment to everyone in say five years? Together
with estimating resources we must also determine a strategy by which we can make
the best use of our limited resources. For example, the decision whether to use our
foreign exchange for importing petrol or food has to be made or not? In shoc, the
formulation of a plan implies the setting up of priorities and stages; estimating %he
resources ,and deciding on a strategy. This is the task of the Planning ~ornmissich.
After the d,lan is formulatw its'execution is the responsibility of the Central
ministries ahd the state governments~whichhttps://t.me/Upsc_Zone_Official
through thqir departmemu execue the
plan by building bridges, setting up factories, importing oil and raising taxes. The
Planning Commission has to keep an eye on the progress of the plan and must
identify impediments and suggest remeQial measures. Further it must also make a
postmortem of the past plan and learn lessons which can then be used to build
subsequent plans. Monitoring and evaluation of plans are therefore essentially the
responsibility of the Planning Commission. The Planning Commission is assisted in
its tasks by the National Informatics Centre which runs a national computer based
information and data system and by the Programme Evaluation Organisation which
periodically undertakes detailed or quick studies of the implementation of selected
development programmes for the Commission. Under the present scheme of things
the National Informatics Centre and the Programme Evaluation Organisation are
attached to the Planning Commission and together the three form the Department of
Planning.
9.3 PLANNING COMMISSION: STRUCTURE

We have seen that the Planning Commission was set up by a resolution of th6
Government of India. It is therefore not a statutory body and the plans formulated
by it have therefore no legal status. Further, we noted that its tasks are primarily the
formulatioq, monitoring and evaluation of plans and not their execution or
implementation. All this makes the Planning Commission appear as an advisory
body though in practice it wields considerable amount of power. 'To understand this
we have to understand the structure of the Planning Commission and its position
relative to other governmental agencies. Let us now explain the internal structure of
the Planning Commission.
Chairman
The Prime Minister of India has since the very inception been the Chairman of the
Planning Commission. This has sometimes been a subject of difference of opinion. It
lends status to the Planning Commission and is a great'aid in coordinating functions
of ministries. However, the Administrative Reforms Commission recommended
against this practice. It must be noted that the Prime Minister attend8 odly the mod
important meetings of the Commission which ensures that'the Commission's
proposals coming up before the cabinet are viewed objectively.,
Deputy Chairman
The day-today work of the Commission is looked after by a full-time Deputy
Chairman who is usually a politician of standing belonging to the ruling party at the
Centre. He has the rank of a Cabinet Minister although he/she may not necessarily
be a member of the ministry. If this be the case, then for answering to the -
Parliament a Minister of State, sometimes assisted by Deputy Minister, is given the

portfolio of planning.
Memkm
There are two types of members of the Planning Commission in addition to the
Minister of State for Planning who is also an ex-oficio member of the Commission.
First, there are a few full-time members who are eminent public persons,
administrators, economists br technical experts. In addition, the Commission has d
its members a few important Cabinet Ministers who attend only the most important
meetings of the Commission. The meetings of the Commission which all membCrs,
full-time and minister-members, attend are called the meetings of the full
Commission. These are few and cover only important decisions. Otherwise the
Commission consisting of full-time members alone meets frequently and acts as a
team.
The day-today work of the Commission is looked after by the Deputy Chairman
and the full-time members. The full-time members are appointed by the Prime
Minister after consulting the Deputy Chairman from among prominent public
persons and experts. They are given ndfenure but normally continue till there is a
change in government. Only in 1990 we had the odd case of three Planning
Commissions in a single year (the full-time members were changed thrice). Each
member looks after a specific set of subjects as indicated in Chart I.. However, the
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member individually deals with the technical and other aspects of his/her allotted
subjects, all important cases requiring policy decisions and cases of differences of
opinion hetween members, are considered by the Commission as a whole.
Office of the Commission
The Commission is assisted in its tasks by an office comprising various technical and
subject divisions. Each of the divisions is headed by a senior officer or expert often
designated as the 'advisor'. However, officers with other designations like Chief
Consultant, Joint Secretary, Joint Advisor may also be put in-charge of divisions.
The advisor normally has the rank of an Additional Secretary of the Government of
India. The heads of divisions function under the guidance of the member incharge
of the subject. The tasks of co-ordination and overall supervision and guidance of
the work of the division, specifically relating to non-technical matters, is the
responsibility of the Secretary, Planning 'Commission who is a senior civil servant.
The divisions concerned with plan formulation, monitoring and evaluation are
-classified as (a) subject divisions and (b) general divisions. The subject divisions look
after some specific subject areas like the agriculture division, education division,
rural development division, transport division, etc. The number of subject divisions
have gradually increased and at the end of March 1990 stood at eighteen. The
creation of divisions seem to be based on short-term considerations.
The general divisions arc concerned with broad matters which have either to do with
overall planning or with coordination or with technical matters which are relevant
to all divisions. One example is the project appraisal division which is required to
technically appraise large projects being undertaken by different departments Other
exan~plesare perspective planning division concerned with long-term overall
planning and the plan-coordination division responsible for coordination. In March
1990 there were eight general divisions. The functions of these divisions are (a) the
setting up of steering groups and working groups to help in plan formulation, (b) the
sponsoring of studies and seminars, (c) liaison with ministries for formuiation of
projects and schemes, (d) analyses of proposals received from ministries and
(e) formulation of plans for minhries and states in specified subjects.
Chut I
The chart below will give you a clear picture of the structure of Planning Commission.
PLANNING COMMISSION
+
(PRIME MINISTER)
I DEPUTY CHAIRMAN I
Ir-l
MINISTER
MEMBERS MEMBERS STATE FOR
I
(PART-TIME) PLANNING
(EX-OFFICIO)
I
D SECRETARY
ADVISER/ JT. ADVISERS/
OFFICES OF DIVISIONS
Clearly, thaefore, the cask of formulation of a plan is a massive effort requiring

tecbnicnl inputs of various kinds and specialised knowledge of the subjects. The
precise manna in which national plans art formulated and concretised by the
Planning Commission needs to be discussed in detail. This will also help in
understanding the relation between the Commission and other agencies of the
government. This discussion on the process of plan formulation will be taken up in Pluralng Conmbdon and
National Lkvelopmrnt Coundl
section 9.5. But before that we need to look at the National Development Council,
the other important body associated with national planning.
9.4 NATIONAL DEVELOPMENT COUNCIL

The National Development Council is the product of the Planning Commission's
recommendations. In the draft outline of the First Five-Year Plan, the Commission
recommended the need for a body comprising the central and state governments to
enable the plans to have a national character. It laid down that "In a country of the
size of India where the states have under the Constitution full autonomy within their
own sphere of duties, it is necessary to have a forum such as National Development
Council at which, from time to time, the Prime Minister of India and the Chief
Ministers of States can review the working of the plan and its various aspects".
The National Development Council was set up in August 1952 on the basis of a
resolution of the Government of India. The Council is composed of the Prime
Minister, the Chief Ministers of States and the members of the Planning
Commission. However, other central ministers who are not members of the Planning
Commission also have attended the Council's meetings. Sometimes outside experts
have also been invited to the Council's meetings whenever considered necessary.
The functions of the National Development Council (NDC) as laid down in the
Government of India resolution are as follows:
1) to review the working of the national plan from time to time;
2) to consider important questions of social and economic policy affecting national
development; and
3) to recommend measures for the achievement of the aims and targets set out in
the national plan, including measures t o secure the active participation and
cooperation of the people, improve the efficiency of the administrative services,
ensure the fullest development of the less advanced regions and sections of the
community and, through sacrifice borne equally by all citizens, build up
resources for national development.
As you can see for yourself the functions assigned to the NDC are fairly general. The
NDC can take up almost any issue related to national development. In'the past, the
NDC has deliberated and decided on a number of diverse issues like inter-regional -
disparities, panchayati raj, prohibition, agrarian cooperation and even irrigation
levies. However, given the large size of the NDC and the fact that it comprises of
very important and busy personalities it has not been possible for it to meet
frequently and go into great details on specific matters. The NDC is required t o meet
at least twice a year though it has sometimes met more often. The agenda for thest
meetings generally include the approach paper t o the Five Year Plan, the draft Five
Year Plan and the final Five Year Plan. (These terms are explained in section 9.5).
Other matters form a part of the agenda if raised by the Central or State
governments. The Secretary of the Planning Commission is also the Secretary of the
N DC.
The decisions of the NDC have been in the nature of policy formulation. It would
not be an exaggeration to call it the highest policy making body in the country.
Though the NDC is a non-statutory advisory body which makes recommendations to
the Central and State governments, the very stature of the Council has ensured that
these 'recommendations' have the prestige of directives which are usually followed
and obeyed.

Note : I) Use the space given below for your answers.
I) Discuss the functions of the Planning Commission.
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2) What is the structure of the Planning Commission?
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3) Highlight the role of the National Development Council.
9.5 PLANNING PROCEDURE

brief discussion has already been made on the planning process in Unit 7 of Block
2. In this section we shall try to familiarise ourselves with the planning process in the
country in a little detail. But before that we must know the meaning of the term
national plan. A national plan comprises the plans of the Central government, the
State governments, the Central and State public-sector undertakings and the entire
private sector of the economy especially the private corporate sector. If you take a
look at any Five Year Plan document you will find the size of the plan-i.e. the
amount of money that is proposed to be spent 'under different plan heads during the
five years is broken up into public sector outlay and private sector plan outlay. The
total is the proposed national plan outlay. The public sector plan is the more
important part as the government has only indirect and limited control over what the
private sector would spend during a five-year plan period. The private sector plan, in
practice, is only slightly more than an estimate or a projection. The public sector
plan, with which we shall be concerned here, is further divided into the Central plan
and state plans indicating projects and schemes to be launched by the different levels
of governments. There is also an indication of the amounts t o be spent and the
projects and schemes t o be undertaken by various departments and public sector
undertakings. The preparation of the national plan therefore is a mammoth effort
involving many parties and encompassing almost the entire economy.
The,national plan, if it is to be a meaningful document, must therefore have the
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concerned parties. Thus every plan
involves a large amount of didcussions and meetinprs in addition to a considerable
amout of t e c h n i d work. Through discussio~is,by an interactive process, a consensus Planning Commhdon and
is built up by the Planning Commission. National Development Coundl
The need for building a consensus arises principally from the facts that India has a
federal and democratic polity. The federal system lays down demarcation of powers
between the central, the state and the concurrent lists. Planning as a subject falls
under the concurrent list and is therefore the responsibility of both the Central and
State governments. However, many areas like agriculture are the primary
responsibility of the states while some others like communication are Central
subjects. The national plan must therefore be able to carry along the Central
ministries and state governments on a generally accepted course of action. Moreover,
the democratic structure requires that the national plan is formulated through
consensus and not by a Central 'Directive'. The people are to be persuaded and not
coerced into accepting the plan. This involves widespread discussions and
participation of non-departmental agencies. Besides involving a large number of
specialised institutions like the Reserve Bank of India, the Central Statistical
Organisation etc., the discussions are aimed at involving non-governmental
institutions also like universities, research institutions and the press. Representatives
of the people are also involved at various stages and the general public opinion is
also sought to be gauged on the more important aspects of the plan.
9.5.1 Five Year Plans

This elaborate consensus-building process-the process of plan formulation-has
three clearly distinguishable stages. The first and the preliminary stage involves the
preparation of an 'approach' to the plan. The approach paper is a brief document
broadly outlining the goals to be achieved during the proposed Five Year Plan
period. The approach paper reflects the basic economic and social objectives of the
political leadership (the government in power) and also has a background of a long-
term ( 1 5 to 20 years) perspective. The ,-\pproach paper is discussed by the full
Planning Commission and then by the Union Cabinet and the NDC.
The broad five year targets of the approach paper finally accepted are then given as
guidelines to a number of Working Groups. These Working Groups are set up by
and work with the assistance of the divisions of the Planning Commission. They are
generally subject or area-specific and function under the concerned divisions. For
example, the education division of the Planning Commission set up in August 1988
thirteen Working Groups on various aspects of educational development for the
eight plan ( 1990-95).
The Working Groups usually consist of economists, concerned technical experts and
administrators in the concerned Central ministries and in the Planning Commission.
The primary task of the Working Groups is to work out the detailed plans for each
sector and sub-sector on the basis of the preliminary guidelines. They are expected to
spell out the details of policies and programmes needed for achieving the targets.
Since there are a large number of research studies on many of the areas, the
Working Groups are expected to benefit from them. In cases of gaps in knowledge,
t
the concerned division often promotes specific research studies or holds seminars,
etc. Thus a large amount of technical and detailed subject-specific work goes into
this second stage of plan formulation. The state governments are encouraged to havr
their own Working Groups and the Central Working Groups are also expected to
interact informally with their state countenparts. On the basis of the exercises done
in the second stage, the Planning Commission prepares a 'draft' Five Year Plan. As
in the case of the approach paper, the draft pl;? that gives tentative details of the
plan is first discussed by the full Planning Commission and then by the Union
Cabinet and is then placed before the National Development Council.
The draft plan is subjected to public scrutiny in the third and final stage of plan
formulation. It is discussed with and commented upon by various central ministries
and state governments. Also the draft plan is publishecf (like the approach paper) for
wide public discussions. The draft plan is discussed by the Parliament first in a
general way and then in greater detail through a series of parliamentary committees
which individual members join according to their preferences. In.this stage the
Planning Commission also holds detailed discussions o? the plans of individual
states. With each state the discussions are held at the experts level as well as the
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with
state governments lead to an understanding between the Commission and the states
regarding the details of the plan including central finahcial assistance, etc. On the
basis of these various discussions at different levels with diverse parties and on the
basis of reactions from elected representatives, experts and the general public the
Planning Commission prepares the final plan document. This document is again
scrutidised by the full-Commission, the Union Cabinet ind the NDC. Thereafter, it
is presented to the Parliament which after discussions gives its assent. In India the
general approval of the Parliament is considered to be sufficient and no law is
required for taking up the plan for implementation.
9.5.2 Annual Plans

The discussion above broadly highlights the for~nulationof Five Year Plans. In the
course of actual'implementation however the effective instrument is the annual plan.
Due to delays in the formulation of Five Year Plans or due to political or significant
economic changes during a Five Year Plan, a great deal of importance has come to
be assigned to annual plans. Since a considerable part of the Central and State
governments, expenditures are for plan-projects, the annual plan has become an
integral part of the budgeting exercise at both the Central and state levels. It has also
tecome an important feature of our federal financial structure.
You are aware that the financial year in the government starts on 1st of April and
the budget is prepared by February end. The task on the ?nnual plan therefore has
!o start a few months earlier, usually around September, of the preceding year. The
Planriing Commission indicates to the state governments the important objectives of
the annual plan and the likely quantum of central assistance they may expect. The
states then propose draft annual plans detailing, among other things, mobilisation of
resources. These drafts are discussed in meetings, held in November-December every
year, between the Planning Commission and state governments. The state annual
plan outlays are decided in these meetings which also decide the important item of
Central plan assistance. This channel of transfer of resources from the Centre to the
States is outside the purview of the transfers recommended by the Constitutional
body-namely, the Finance Commission. Fiscal transfers through the Planning
/
Commission, a no statutory and supposedly advisory body, has therefore been a
subject of controv rsy. But this is the practice that is being followed. The state
budgets are crucia ly dependent on annual plans, but so are the budgets of Central
ministries. The C ntral ministries' budget allocations are also to a great extent
dependent on the r annual plans which are worked out in consultation with the
Planning Comm' sion. The Planning Commission therefore is in practice not merely
an advisory body as it is supposed to be. It wields considerable power in the
allocation of substantial volume of financial resources between Centre and States
F
and between dif erent departments. By going into details of developmental schemes
and projects it ields considerable influence regarding their acceptance or substantial
modification.
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9.6 ROLE OF PLANNING COMMISSION
We have by now got a fair idea about how national plans are formulated. The
functions of the Planning Commission and the NDC in this process must have also
become clear. We have also seen how important these two bodies are despite the fact
that they are non-statutory advisory bodies. This expectedly has been one of the
subjects of controversy. The Planning Commission has been criticised for trying to
assume the role of a super-cabinet and being yet another bureaucratic hurdle in the
initiation of development schemes. However, diammetrically opposite views have also
been expressed. It is sometimes argued that the Commission is practically ineffective
as it has little power in the process of implementation of the plans. And even during
plan formulation, the Commission is guided more by political pressures or
expediency than by its expert judgement. The truth perhaps lies somewhere in
between. As .we have sees, the Planning Commission makes the plan but cannot do
so without the active involvement of Central ministries, State governments, public
sector undertakings and other agencies. Its non-statutory character perhaps helps the
process as it is seen as an agency independent of the Central and State governments
and ministries. It also has some control over plan https://t.me/Upsc_Zone_Official
implementation through the
mechanisms of annual plans, project appraisal, plan allotments, etc. It is therefore Planning Commbsion and
neither an ineffective ornamental body nor a super-cabinet but merely a co-ordinator Natioryl Development Coundl
in the process of evolving a framlework for governmental schemes and projects for
development. In this process it also has to make compromises and give weightage to
political considerations in addition to its own technical inputs.
This brings us to the actual process of plan formulation which some believe has lost
its meaning and has become merely a ritualistic and cumbersome exercise. We have
seen that the process of plan formulation is a lengthy one and crucially dependent on
the political leadership's development perspective. Therefore either due to political
changes or due to the elaborateness of the process or other reasons, Five Year Plans
are seldom perpared on t i p . The Eighth Plan's approach paper alone is ready after
almost a year of the plan-period has passed. Annual plans however have been
, continuing dejacto as budget time tables have to be met. But annual planning in the
sense of an overall, co-ordinarea and directed multi-instrument governmental
initiative is often absent. Significant changes need to be brought about in the
planning procedure if its relevance is to remain.
The final, and a related question, is that why should we have a Planning
Commission? With planning going out of fashion in even the centrally planned
economies and with the reemergence of the free-market economy ideology, this
question is being increasingly asked. It is obviously related to the question 'why
plan?'. The Department of Economic Affairs in the Ministry of Finance, it is argued,
is adequate to-decide upon macro-economic priorities and policies. The other
ministries can decide similarly on sectoral matters'. But in India the economic role of
the State involves not only macroeconomic policy formulation, as in fully capitalist
countries, but also substantial public sector involvement in production and
distribution. The public sector is a very substantial part of the Indian economy and
has been developed keeping in view the Directive Principles of State Policy. The
need for a Planning Commission arises from this fact. The role of the government in
our mixed economy involves market regulatiori and public sector initiatives. The
Planning Commission similarly is a product of the mixed economy logic. Its
i. functions lie somewhere in-between those of the Department of ~ c o n o m i cAffairs
and the planning agencies of centrally planned economies. As long as our
commitment to a mixed economy continues the Planning Commission will remain
relevant.
2) Check your answers,with those given at the end of the unit.
I) Discuss the procedure of formulation of Five Year Plan in India.
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2)- In the course of actual implementation of plan the effective instrument is the
annual plan. Discuss.
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9.7 LET U S SUM UP

In this unit we have studied the functions of the Planning Commission which has
also helped us in understanding the meaning of planning. We have examined the
structure of the Commission and its office. The role and composition of the National
Development Council have also been examined. We gained some insight into the
plan formulation process and the manner in which different agencies interact in this
process. Finally, we discussed a few current controversies regarding the role of the
Planning Commission.
9.8 KEY WORDS

Directive Principles of State Policy : Chapter IV of our Constitution contains the
Directive Principles of State Policy (Article 35-51). These are in the nature of general
direcfions or institutions to the State. They embody the objectives and ideals which
the Union and state goyernments must bear in mind, while formulating policy and
making laws. The Directive principles are not legally enforceable by any court and
the State cannot be compelled through the courts to implement them. Nevertheless,
the Constitution declares that they are fundamental in the governance of the country
and that it shall be the duty of the State t o apply these principles in making laws.
Laipsez Faire Policy :It is the policy that is based on the idea that the government
and the law should not interfere with business and other economic activities.
Macro Economic Policy : Policy relating to the national economic system as a
whole. For example, policy relating to total employment, the level of prices and
production in the entire economy.
.-
Monitoring : It means keeping a check on the progress of a plan, project or scheme
during the course of its implementation.
Perspective Planning : Long term overall planning taking into view all aspects of
socio-economic problems.
Poverty Line : It is defined as the income necessary to purchase foodgrains to fulfil a
minimum standard of calorieslfood intake.
Project ~ ~ ~ r a: iEvaluation
sd of a projea in order to estimate its achievements as
against the established goals, estimated cost, time and resources.
9.9 REFERENCES
Paranjape, H .K. 1964. The Planning Commksion :A Descriptive Account,
Indian lnstitute of Public Administration, New Delhi.
Planning Commission. 1975. The Planning Process; Government of India, Delhi.
Prasad, Kamta (Edited). 1 984. Planning and Its Impkmentation, Indian Institute of
Public Administration : New Delhi.

EXERCISES
Planning Commission plays a major role in socioeconomic transformation of
the country
it makes as assessment of the available resources
investigates the possibilities of augmenting these resources

formulates a plan for the most effective and balanced utilisation of country's
resources
defines the stages in which the plan should be implemented
indicates the factors that retard economic development
a determines the machinery requiged for successful implementation of the plan
monitois the progress achieved in the execution of each stage of the plan.
Planning Commission consists of a Chairman, who is always the Prime
Minister, a Deputy Chairman, part-time members (ministers), full-time
members, Minister of State for Planning as an ex-officio member, advisers,
secretaries and offices of subject, and general divisions.
National Development Council came into being to enable the Five Year Plans
to have a national character
a it is a body comprising representatives of states' and central governments
a it reviews the working of the national plan from time to time
a it considers important questions of social and economic policy affecting
national development',
a it recommends measures for the achievement of the aims and targets set out
in the national plan
a it suggests measures to Secure active participation and cooperation of the
people, improve administrative efficiency, ensure balanced regional
development and the development of the less advanced sectiois of the country
it aims at building up resources for national development.

a preparation of an 'approach' to the plan
a discussion on approach paper by Planning Commission and setting up of five
year targets
a the Working Groups of Planning Commission work out the detailed plans for
each sector and sub-sector
a they spell out the details of policies needed for achieving the plan targets
a the C 6 t r a l and state governments have their own 'Working Groups
a Planning Commission prepares a 'draft' Five Year Plan which is first placed
before the Union Cabinet and then the National Development Council
the draft plan is subjected to public scrutiny
a the draft plan is discussed by the Parliament and by the Parliamentary
Committees
a Planning Commission also holds discussion on plans of individual states
final document is prepared after the meetings of the Planning Commission
with states, diverse parties, experts and general' public
a the final document is then approved by the Union Cabinet and the NDC
a finally it is presented to the Parliament and approved by it.
a since a considerable part of the central and state governments' expenditures
are for plan-projects the annual plan has become an integral part of the
budgeting exercise
a the work on the annual plan starts usually around September
Planning Commission indicates to the state governments the important

objectives of the Annual Plan
it also indicates the likely quantum of central assistance they may expect
states propose draft annual plans
the drafts are discussed thoroughly and state annual plan outlays are decided
state budgets are dependent on annual plans
Central ministries' budget allocations are dependent on their annual plans.

UNIT 10 STATE PLANNING MACHINERY

Structure
10.0 Objectives
10.1 Introduction
10.2 Role of State Planning Boards
10.3 State Planning Boards : Composition
10.4 State Planning Departments
10.5 State Plan Procedure
10.6 Conclusion
10.7 Let Us Sum Up
10.8 Key Words
10.9 References
10.0 OBJECTIVES
After studying this unit, you should be able to
highlight the composition and role of state planning boards
describe the structures and tasks of the state planning departments
explain the process of plan formulation at the state level
discuss the relation between state planning and national planning.
10.1 INTRODUCTION
Economic development with equity is not only the responsibility of the Planning
Commission and the Union Government. The federal democratic nature of our state
calls for national economic development. National development should be a national
endeavour involving a large number of parties. Various levels of government are
therefore necessarily involved in the formulation and implementation of plans. The
Constitution provides for a demarcation of subjects under the central, the state and
the concurrent lists. The state governments have clearly demarcated sources of
revenue, like sales tax and land revenue. In addition to statutory rights in the
transfer of financial resources from the Centre the large area of developmental
activity and resource mobilisation is therefore guaranteed to the states by the
Constitution.
In view of this, national plans cannot be prepared without giving adequate
importance to state plans. State plans in fact account for nearly half of the total -
public sector plan outlay. They cover developmental activities in the state-list
subjects like agriculture, irrigation, power, cooperation, social services and so on.
They also involve mobilisation of financial resources at the state level, in addition to
flows from the centre, to finance a part of the developmental plans. The success of
national planning is therefore crucially dependent on the effectiveness of state
planning. In this unit we will study the machinery of state planning as it exists in a
large number of states. Since there is substantial variation between the planning
machinery, existing in different states, the unit will focus mainly on the basic
structures and functions of the agencies explicitly responsible for the formulation of
plans at the state level.
10.2 ROLE OF STATE PLANNING BOARDS

At the central level a non-statutory advisory body, the Planning Commission, was
set up in 1950. This body, as we have seen, had technically competent personnel and
necessary independent
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Planning Proem8 departments. In the states however no analogous institution existed for a long time.
It was the state planning department which had the sole responsibility of planning in
the first decade. Though the absence of an agency on the lines of the Planning
Commission at the state level had been felt since the early 1950s, it was only in 1962
that the Planning Commission specifically suggested that the states should set up
State Planning Boards (SPBs).
The State Planning Boards, the Planning Commission recommended in 1962, should
be entrusted the tasks of preparation of Five Year Plans and long term persp.ective
plans. In addition, the SPBs should recommend policies and measures for the
mobilisation of financial resources and devise strategies for the achievement of social
objectives. They were also to be entrusted the tasks of project appraisal and were to
evolve policies for selection of project locations.
Administrative Reforms Commission's Recommendations
Following the suggestion of the.Planning Commission, a number of state
governments constituted SPBs. In some states the names were different, like State
Development Board or State Advisory Committee for Planning. However, as the
Administrative Reforms Commission discovered in 1967, the SPBs were not given
clearly defined functions and their progress was not very satisfactory: "The
appointment of the Boards or other similar bodies has thus not helped in the past to
strengthen either the Planning machinery or the process of planning in states."
The problem, according to the Administrative Reforms Commission, was partly due
to the fact that "the functions assigned to the State Planning Boards have been
rather vaguely defined". The Commission therefore in its recommendations explicitly
suggested the following functions for SPBs :
I) To make an assessment of the state's resources and formulate plans for the most
effective and balanced utilisation of those resources;
2) To determine plan priorities of the state within the framework of the priorities of
the National Plan;
3) To assist district authorities in formulating their development plans within the
spheres in which such planning is considered useful and feasible and to co-
ordinate these plans with the State Plan;
4) To identify factors which tend to retard economic and social development of the
State and determine conditions to be established for successful execution of
Plans ; and
5) To review the progress of implementation of the Plan programmes and
recommend such adjustments in policies and measures as the review may
indicate.
Clearly, the proposed functions would give SPBs the pivotal role in state planning.
The SPBs would formulate plans, make assessment of resources, determine priorities,
promote and coordinate district planning, devise development policies and strategies
and be responsible for monitoring and evaluation. The SPB was therefore to be built
in the image of the Planning Commission. It was also to have a secretariat of its own
dealing with subject matters (like agriculture) and other planning tasks (like
evaluation) on lines similar to the divisions of the Planning Commission.
Planning Commission Guidelines
The recommendations of the Administrative Reforms Commission did not find warm
acceptance from both the central and state governments. The need for an expert
advisory body for planning at the state level ccpld not however be ignored. The
Planning Commission therefore in 1972 issued guidelines for strengthening the state
planning machinery. The 1972 Planning Commission proposal suggested that SPBs
should be set up at the apex level and should include a number of technical experts.
The work of the SPB should be effectiveiy supported by the constitution of steering
groups dealing with subjects like agriculture, irrigation and power, social services,
etc. Each steering group was to be under the overall charge of an expert member of
the SPB. This arrangement clearly was similar to the Planning C3ommission system
where full-time members are responsible for specific subject-matters. However, unJike
the Planning Commission, the SPBs were to function only through steering groups.
The actual planning was to be done primarily by the Planning Department as before.
And to strengthen the department's 'planning capabilities more technical units were
to be added. The Government of 1nSia sirnultanebyi&ame foiiard with a scheme State PImnIng Marbinaj
providing,financial assistance for strengtktnrlig ;he state planning machinery. These
efforts have met with some degree of success. States have set up SPBs, or their
equivalent organisations under different names, to assist in planning. However, as
the Sarkaria Commission discovered in mid-1980s. the functioning of the SPBs has
k e n unsatisfactory in many cask.
Sukuir Commission's Reeornrnendatiom
The Sarkaria Commission, or the Commission on Centre-State relations, noted in its
1988 report that although SPBs had been created in all states except one, they have
not been involved in "real planning work". The state planning departments continued
to discharge this responsibiIity. Only some technical studies were assigned to SPBa
The SPBs in general did not command due status and authority in the state
governments. The Sarkaria Commission therefore recommended that SPBs should
perform functions for the state governments as the Planning Commission does'at the
national level. The state planning department's role should be similar t o that of the
Union Ministry of Planning and limited to legislative assembly work and some
executive functions.
Therefore even after forty years of national planning the role and functions of the .
SPBs in practice refnain somewhat ambiguous. Studies relating to state planning
machinery have thrown up the disturbing conclusion that only in a few states do
SPBs have a direct and specific involvement in plan formuIation. The SPBs have
generally not k e n involved in the preparation of annual plans and therefore in
discussions with the Planning Commission. The Sarkaria Commission has
recommended the active involvement of SPBs in annual planning exercises. The
effo~tsat setting up SPBs with functions similar to that of the Planning Commission
have therefore had only limited success uptil now.
,10.3 STATE PLANNING BOARDS : COMPOSITION

I
The SPBs, as you must have gathered from the discussion in the previous section,
have had an uneven development, despite the fact that there have been persistent
'efforts for evolving more competent and effective SPBs over the decades. There has
also been considerable variation in their composition, it has varied from state to
state.
, Evolution :Following suggestions from the Planning Commission in 1962 a majority
' of states set up SPBs or similar organisations. The Administrative Reforms
Commission noted that there was no uniformity between states regarding the
functions and the composition of the SPBs. According t o the Administrative
Reforms Commission the composition of the SPBs constituted a major defect in the
state planning machinery. First, the SPBs had too large a membership for them t o
function as effective planning agencies. For example, in ~ i j a s t h a nthe SPB had 65
members and in West Bengal and Kerala there were 27 and 26 members respectively.
Second, the choice of members was rather whimsical with only "a sprinkling of few
specialists and experts." Generally, members were drawn from state ministers,
members of Parliament, government officials, members of state legislature, vice-
chancellors, representatives of commerce, industry and districts. Clearly, there was
no rational criterion for the selection of members. "Most of the Boards", the
Administrative Reforms Commission observed, "can better be described as
'Consultative Bodies' or 'Public Relations Committees' of the government on the
subject of planning. Because of the large membership, their ineetings cannot be held
frequently nor can there be any pointed and purposive discussion".
T e ARC therefore suggested a scheme for re-organisation of the SPBs. It stated
P
t at each state should have a SPB with the Chief Minister as its Chairman. There.
should be four other full-time members chosen on the basis of their expertise and
experience of different aspects of state development. The members should be people
of eminence and able to command respect of different political and regional interests.
The ARC also suggested that SPBs should have their own secretariat with normally
the following units. -
I) Economic Unit; 2) Agriculture and Rural Development Unit; 3) Power, Transport
and IndustpUnit; 4) Social Services Unit; 5)Coordination Un~t,and 6) Evaluation

Unit. These'units wete to be manned by technically competent staff.
The next phase %I re-organisation of SPBs followed the Planning Commission's
letter to states written in 1972. The Planning Commission suggested the setting up of
an apex planning body at the state level constituting of the Chief Minister, the
Finance Minister, other important ministers and a few respected professional experts.
The SPB was t o have a full-time non-official Deputy Chairman having previous
experience and association with the planning process. The SPB was t o be associated
in its work by a few steering groups constituting of various technical experts drawn
preferably from outside the government. The SPB would have as its secretariat the
State Planning ~ e ~ a r t m e nThis,
t . in btief, has been the evolution of guidelines
regarding the structure of the SPBs. The actual structure of the SPBs presently show
a number of similarities as well as diffetences between states. We will now briefly
outline the actual structures of the SPBs in the states.
Cb.irman md Deputy/Vice Chrinnnn
The Chief Minister of the state is the Chairman of the SPB. However, if the s t a t e 6
under President's rule, the Governor holds the position of the Chairman.
The SPBs h v e the position of Vice Chairman in some states whereas in others the
nomenclature is Deputy Chairman. The position has been held usually by the State
Finance Minister or the Minister for Planning. In some cases even non-official
experts have held the post. During President's rule a n Advisor to the Governor ad
even the Chief Secretary of the state has filled the position. The position is therefore
similar to that in the Planning Commission where the Deputy Chairman's post has
usually been held by a politician of a Cabinet Minister's rank.
Members
There is considerable inter-state difference regarding the composition of SPBs. First.
the SPB has what is called 'official' members, or ex-officio members. They are
government officials. These include t h t Chief Secretary. development commissioner,
finance commissioner, planning secretary, (who is generally the member8ecretary of
the SPB), finance secretary and heads of development departments. 'The second
category is of non-official members which can be further split into either full-time
and part-time categories or into the expert and nonexpert classification. The non-
official members include ministers, Members of Parliament, members of .the State
Legislature, members of district councils or development committees and non-official
experts.
/
The non-official experts are drawn from the fields of economics, technology,
science, industry, law, education, etc. They are usually eminent people in their
respective fields. The non-offrcial experts quite often, though there are exceptions,
serve only as part-time members of the SPB.
The number of members and their distribution between part-time and full-time or
between expert and nonexpert varies considerably between states. The total number
of members has been seen to range from one to nearly forty between states. The
number of part-time members exceed the number of full-time members in perhaps a
majority of the states although the proportion varies considerably between states.
Similarly, there is no uniforvity in the ratio of expert to nonexpert members
between states. In fact there are cases of SPBs having no expert member and, at the
other extreme, all members who are economists. Nevertheless, a common feature
seems to be the presence of a large number of politicians in the SPBs in many states.
Clearly the heterogeneity in the composition of SPBs, both regarding the number
and quality of members. is a source of problem. T
50 is compounded by the fact that
in a large number of states there is no clear division f work.(subjects) between
members. The entire planning is supposed to be done collectively. This has
contributed to the inadequate effectiveness of SPBs in a large number of states. The
SPBs in only a few states have been effective instruments of planning.
Secrdariat/Offke of the State Planning Board
A key administrative post in the SPB is that of Member Secretary. In a majority of
states this post is held by the Secretary of the Planning Department. Officers of
other designations and sometimes of slightly lower ranks have also filled this
position. Only in exce~tionalcases have non-officials served. as the Member-
Secretary. The Member-Secretary plays a pivotal role in state planning and serves as
a link between the SPB and the Planning Department.
As already mentioned,. in a large number of states the SPBs do not have independent
secretariats. In a few states where independent Secretarhtes exist the work of plan
formulation and evaluation is divided into a number of subject divisions and/or
Working Groups as in the case of the Planning Commission. The number of such
divisions and their subject-titles differ between states. However, it has been a
common observation that by and large the SPBs.are inadequately equipped-both in
terms of number and technical competence of the staff to handle the massive task of
state planning, monitoring and evaluation. Some states have only a small ofice
attached to the SPBs and in others the Planning Department looks after all the
detailed work relating t o planning. We will now examine the.role and structure of
the State Planning Department.
.........................................................................................

state planning-from plan formulation to progress reporting in which it is aided by

the State Bureau of Economics and Statistics. Despite this similarity in functions, the
Planning Departments in different states show considerable variations and
inadequacy for the task of planning: "Thus the organisation, pattern of Planning
Departments vary from state to state. Further, the Planning Departments have not
been organised with any conscious design so as to enable them to undertake the
heavy responsibility of planning. Even though some of the states have established
independent Planning Departments, in practice, the Departments are guided only by
junior officers. Very little consideration seems to have been given to selection and
training of officers for the Planning Departments. The Planning Departments are
thus not very different from the other Secretariat Departments in the States."
Clearly lot needs to be done to strengthen the technical capabilities of the Planning
Departments. In 1972, the Planning Commission suggested to the states that the
Planning Departments should be made technically competent by establishing the
following units wherever they did not exist:
i) Perspective Planning Unit to prepare long-term perspective plans;
ii) Monitoring, Plan Formulation .and Evaluation Unit;
iii) Project Appraisal Unit;
iv) Regional/ District Planning Unit;
v) Plan Coordination Unit, and
vi) Manpower and Employment Unit.
The process of strengthening of the Planning Departments was to be aided by central
. financial assistance for the purpose.
Structure
Though there are some inter-state differences, a few common points regarding the
structure of the Planning Departments in different states can be noticed. States have
fullfledged Planning Departments in their Secretariat which is headed by a Secretary
or an officer with a different designation, like Development Commissioner.
Historically, the Planning Departments in a number of states have evolved into a
separate identity rather than being a part of the state finance departments.
The numerical strength of Planning Departments shows remarkable inter-state
variations. The planning function of the department is performed by civil servants
drawn from the Indian Administrative and State Civil Services and by officers with
technical expertise and their supporting staff. However, it has been found that in a
large number of states the personnel occupying key positions in the Planning
Departments are administrators rather than persons with experience and expertise in
planning techniques.
The work of the Planning Department is divided between divisions with usually a
Deputy Secretary in-chargemS~he number of divisions, the subjects they deal with and
the strength of the personnel in each division shows a great deal of inter-state
variation. Almost all Planning Departments have a division/unit concerned with
plan formulation. Similarly, divisions dealing with agriculture, plan, finance,
evaluation, monitoring, manpower appraisal and employment exist in a number of
states. Some states also have divisions dealing with regional and district planning in
their Planning Departments. But on :he whole there is little uniformity in the
manner in which planning departments operate. They are also responsible for the
presentation of the state plans to the Cabinet and the Legislature. Outside the state,
their duties include the maintenaqce of liaison with the Planning Commission and
the Centml Working Groups. They hold discussions with the Planning Commission
and are actively involved in the preparation, monitoring and evaluation of the
national plans, both annual and five-yearly.
The Planning Departments therefore do the bulk of planning exercise in the states.
But the states also have the SPBs which are supposed to perform similar functions.
In this context it is often asked as to which of the two agencies should have primary
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We have seen that specialised committees, like the Administrative Reforms
Commission, have favoured a greater role for the SPBs. The state governments, on
the other hand, appear to by somewhat reluctant to hand over planning to a non-
governmental expert body. The arguments for the primacy of the SPB are as follows.
First, the Department being a part of the normal secretariat would not be able to
operate independently. Second, it would be difficult for the Department to attract
and retain outside expertise. Third;the nature of the work of a planning agency is
different from routine secretariat work but no Department can function in a manner
which is radically different from the other government departments. A separate
planning agency, it is argued, is free from these shortcomings. However, there are
)arguments forwarded against diluting the role of the Planning Departments. it is
feared that if the SPB is to decide on expenditure size, allocation and project
selection, it may become a rival and parallel authority vis-a-vis the State Cabinet. It
is also argued that planning work in states is essentially that of implementation and
therefore there is no need for a policy making and plan formulating expert agency at
the state level. But these are weak arguments. The SPB is an advisory body and its
-expert advice should only help the Cabinet reach rational decisions. Further, one
principal drawback of planning in lndia has been its centralisation. Setting up of
SPBs is perhaps the first, though not the only, important step in the direction of
development through democratic decentralisation.
In general, the relationship between the Planning Department and the SPB has been
somewhat awkward. Although the Planning Secretary is the ex-officio member-
secretary of the SPB, the two agencies have often functioned with little practical
interaction or dialogue. A clear demarcation of functions and meaningful interaction
between the two agencies, on the lines suggested by the Sarkaria Commission, needs
to be taken up as a priority item.
10.5 STATE PLAN PROCEDURE

In this section we shall study the manner in which state plans are formulated and
discuss some of the important issues relating t o centre-state relations with respect t o
planning. Centrq-state issues are important because state plans cannot be prepared in
isolation from national plans which means, in practice, that the Planning
Commission has a large role to play in the formulation of state plans.
Five Year Plans
The preparation of the Five Year Plan is an inter active process with both the Planning
Commission and state planning agencies getting involved in several rounds of dialogue.
Since the planning a i n d a r is well known to states, they start 'advance action' on plan
formulation even before they receive guidelines from the Planning Commission. The
advance action is a preliminary exercise in formulating the broad contours of the
proposed plan and in this process the d i e r e n t departments are invqved. The exercise is
particularly useful when the Planning Commission invites suggestions from states
regarding the approach paper for the national plan. After states give in their suggestions,
the Planning Commission prepares a draft approach which is circulated to the states for
their response.
After the National Development Council- approves the 'approach paper', the states
are requested to formulate a draft Five Year Plan keeping in view the objectives and
strategies as given in the apl~foachpaper. The states too have their own approaches
to the Five Year Plgns. In formulating the state's plan approach the state cabinet.
the planning-secretary and sometimes other persons (like the Chief Secretary) or-
agencies (like the SPB) play a key role. The state's approach deals with problems
specific to the state. Based on the national approach and the state's own resource
position, development experiences and priorities, the planning department embarks
on the task of state draft plan formulation. This process involves discussions with
various state departments and disttict and regional planning agencies on the one
hand and discussions with the Central Working Groups, the Planning Commission
and Central ministries on the other. Many states have set up their own Working
Groups t o formulate sectoral plans, schemes, and projects. The state plan proposals
are then discussed by the central working groups and the Planning Commission and
'serves as an input in the formulation of the draft national pbn, ~ h states
k are asked -
pI.anlng Rocem again to respond to the draft national plan and in the NDC meeting, convened to
discuss the draft national plan, the chief ministers exp-ress their views on the
proposed plan. With the endorsement by the NDC, the national Five Year Plan is
accepted by the states. The entire process of formulation of Five Year Plans usually
takes about two years.
Annual Plans
The process of formulation of the annual plan is simpler than that of the Five Year Plan.
The process begins in August or September when, after a preliminary review of resources
and economic trends, the Planning Commission issues guidelines to the State Planning
Departments. These guidelines include the formats for submitting schemes, resources
forecasts, etc. and highlight the short-term priorities that need to be taken into account
while formulating the annual plan. The state finance department, on request, indicates the
likely resource position to the State Planning Department. The Planning Department
makes tentative plan allocations to development departments and calls for sectoral plans
from them. Once these sectoral plans are received, they are first scrutinised by the State
Planning Department and a tentative plan frame is prepared after discussions with the
concerned departments. The draft plan, after, it is discussed and cleared by the State
Cabinet, forms the basis for negotiations with the Planning Commission.
The outlays proposed by the state government are examined by Central Working
Groups concerned with the specific subjects and this process also involves the
relevant Central ministries. The recommendations of the Working Groups are further
modified and consolidated into a report on the state plan by the Advisers (state
plans) of the Planning Commission. In the meeting between the Deputy Chairman,
Planning Commission and the State Chief Minister the state annual plan is finalised
after considering the Advisers' reports: The State Finance Department, in
consultation with the Planning Department, prepares the 'Budget-Plan link' on the
basis of the final annual plan. The budget is placed before the legislative assembly
and, with its passing, the annual plan implementation process starts with the new
financial year.
Relatiom between the Centre and the States regarding Planning :Clearly, in the
procedure of plan formulation, both annual and five-yearly, the state governments
and the Planning Commission are closely interacting. This relation however has not
been free from difficulties. One of the major complaints of states is that they have
little freedom in the formulation of even state plans due to excessive interference by
the Planning Commission. Some of the points of conflict are discussed below
primarily in the light of the Sarkaria Commission Report.
t h e first irritant relates to the procedure of scrutiny of state plans and schemes by
the Planning Commission. Not only is the total size of the state plan examined in
detail but even the sectoral plans are scrutinised in such detail that the details of
individual schemes are thoroughly discussed. Though the Sarkaria Commission
concluded the "the alleged overbearing approach by the Planning Commission, in the
process of formulation, scrutiny and finalisation of state plans, is more apparent
than real", it nevertheless recommended that the "Planning Commission should not
try to scmtinise in detail all the individual sectoral schemes in the state plans, but
concentrate on the key ones involving large outlays."
The second area of conflict relates to financial resources-the mechanism of Central
assistance and the practice of earmarking of resources. Regarding central assistance
the states objections mainly relate to the facts that (a) too much of it is in the form
of loans and not grants, (b) the formula of central'assistance has a'component of
discretion, and some states hold that (c) the formula itself should be revised to give
greater weightage to the needs of the weaker states. Besides the adequacy and nature
of central plan assistance the system of earmarking of resources by the Planning
omm mission has been a source of complaint. About sixty per cent of the resources
are earmarked reducing the freedom and flexibility of the states in utilising resources
in accordance with their priorities. But the Planning Commission claims that only
the important sectors are earmarked and states have all the freedom to utilise the
earmarked resources of these sectors for schemes and projects of their choice. But
the fact remains that given considerable inter-state diversity in resources and
developmental needs, the inter-sectoral allocation of resources becomes less flexible
by having a large chunk of resources earmarked.
But perhaps the most controversial area has been that of the Centrally Sponsored State W i n g M a d h a y
Schemes. A Centrally Sponsored Scheme refers to a scheme relating to a state
subject which is sponsored and financed, at least partly, by the Central government.
To give an example, the Sarkaria Commission noted that though agriculture and
rural development are state subjects about 43 per cent outlay on this had been in the
Central sector in the Sixth Plan. The states have complained that such schemes are
launched without adequately consulting them and involve detailed scrutiny of the
projects and its implementation by the concerned central ministries and also do not
take into account the inter-state diversities. They also distort the process of transfer
of resources and the state budgets as the states have usually to contribute an amount
matching the scheme-specific central assistance. In 1967, the Administrative Reforms
Commission had suggested that limits be put on Centrally Sponsored Schemes.
Later, a committee set up by the Planning Commission un'der the Chairmanship of
Shri K. Ramamurti suggested a set of criteria to form the basis of a policy for
Centrally Sponsored Schemes. Recently the Sarkaria Commission has stressed once
again the need to accept the Ramamurti Committee criteria and minimise the
number of Centrally Sponsored Schemes. This would, together with measures like
the strengthening of state planning machinery, help in promoting more meaningful
planning at the state level.
CONCLUSION
Planning at the state level; is still not adequately developed and there is a great deal
of difference between states in this matter. The most important aspect of planning
that is the technical competence and machinery for planning has to develop further
-for the states to really take on the task of planned economic development. The State
Planning Boards d o not yet command adequate respect and are not a critical agency ,
for planning. Their composition, including the expertise of members and their
secretariat, is also a hindrance to their effective functioning. Debureaucratisation of
the planning process at the state level should be attempted as a first step towards
purposeful planning. B
Together with the develppment of a competent state planning machinery there

should be efforts to give greater autonomy to states to plan in areas which come
under their purview. This would call for lesser control by the Planning Commission
regarding details ahd also a rationalisation of Centrally Sponsored Schemes. This
would also open up the question of transfer of financial resources from the Centre to
states and the states, ;own efforts at resource mobilisation. Giving greater
responsibility to the states and strengthening their capabilities is perhaps the only
way to effective state planning.
Chcck Your Progress 2

;Note: f ) Use the space given below for your answers.
2) Check your answersB
with those given at the end of the unit.
1) Highlight the structure.and functions of the State Planning Department.
.........................................................................................
.........................................................................................
. .
.........................................................................................
2) Discuss the. procedure for formulation of Five Year Plan at the state.level.
.........................................................................................
3) Formulation of plans calls for close interaction between the Planning

Commission and state governments. this relation however has not been free from
I
difficulties. Discuss.
10.7 LET US SUM UP

In this unit we have studied the machinery for state planning in India. The evolution,
role and composition of the State Planning Boards have also been discussed. The
functions and the' structures of the State Planning Departments have been
highlighted. Finally, we studied the process of state plan formulation (annual and
five-yearly) and saw the way in which state and central agencies interact in the
process and discussed some of the problems arising out of this interaction.
10.8 KEY WORDS

Approach Paper : The document outlining the broad objectives and strategies for the
forthcoming Five-Year Plan so that detailed planning exercises develop on the given
lines.
Central Aalbt.nce :Transfer of financial resources from the Centre to states, either
in the form of grants or as loans, to finance expenditures under the plan head.
Centrally Sponsored Sebemes : Plan Schemes sponsored by Central ministries on
subjects falling in the state list with usually fifty per cent financing by the Centre.
Debureaucratifation : Process through which the bureaucratic
characteristics/proceduressuch.as adherence to rules, red-tapism (delay), hierarchy,
rigid division of work etc. are de-emphasised or watered down.
Draft Plan :This is atentative five year or even annual plan formulated by the state
planning agencies or the Planning Commission and is designed to be the basis for
discussion and examination by all concerned parties before it is finally accepted.
10.9 REFERENCES
Khandelwal, R.M . 1985. State Level Plan Administration in India, R.B.S.A
Publishers : Jaipur.

Reddy, K. Venugopal and Kosalram, K. (Edited). 1988. Multi-level Planning in
India : CESS and Booklinks Corporation. Hyderabad.
Somasekhara, N. 1984. State's Planning in India. Himalaya Publishing House:
Bombay.

EXERCISES
-Check Your Progress 1
I) Your answer should include the following points :

as per ARC, the functions assigned to the SPBs were vaguely defined
it suggested certain functions for SPBs. SPBs had to make an assessment of
the state's resources, make effective use of the resources, determine plan
priorities and assist the district authorities in plan formulation
SPBs were to identify factors retarding economic and social development and
review the progress of plan implementation.
according to ARC, the composition of the SPBs constituted a major defect in
the state planning machinery
e. ARC suggested a scheme for reorganisation of SPBs
it suggested that SPBs should have their own Secretariat
the Planning Commission suggested the setting up of an open planning body
at the state level
in accordance with these recommendations, SPBs were constituted, their
actual structure shows a number of similarities as well as differences between
states.
Chairman.and Deputy/ Vice Chairman
official members or ex-officio members
non-official members
Secretariat/Off~ceof the State Planning Board.

I) Your answer should include the following points :
states have full-fledged Planning Departments in their secretariat
Department is headed by a secretary
the planning function of the Department is performed by civil servants
the work of the Department is divided between divisions
the Departments are responsible for the formulation of plans
they look after the day-today matters relating to planning
they make an estimate of financial and real resources likely to be available for
plans
they decide upon the plan priorities
they have to present state plans to the cabinet and the legislature
they have to maintain liaison with the Planning Commission and Central
Working Groups.
for the formulation of plans at the state level the states and Planning
Commission are in constant interaction

states start 'advance action' on plan formulation even before they receive
guidelines from the Planning Commission
different departments are involved in this exercise
Planning Commission invites suggestions regarding the approach paper from
the states and prepares a draft approach which is circulated to the states
after the NDC approves the approach paper the states are requested to
formulate a draft Five-Year Plan keeping in view the objectives given in the
approach paper
based on the national approach, State's own approach, resource position,
development experiences and priorities, Planning Department prepares state
draft plan
various state departments, district and regional planning agencies, Central
Working Groups. Planning Commission and Central ministries help in plan
formulation
state plan proposals are discussed by the Central Working Groups and
Planning Commission
after the discussion on the draft national plan by the states, it is passed by the
NDC.
excessive interference by the Planning Commission in formulation of state
plans.
the state plan, sectoral plans and individual schemes are thoroughly
scrutinised by the Planning Commission
the mechanism of Central assistance and the practice of earmarking of
resources to the states is not welcome by the states.
the Centrally Sponsored Schemes according to the states are launched withou
adequately consulting them, these do not take into account inter-state
diversities. .

UNIT 11 DISTRICT PLANNING

Structure
Objectives
lnt reduction
Rationale Behind District Plannipg
Role of Panchayati Raj Institutions in Local Planning
District Planning Machinery
Problems of District Planning
Let Us Sum Up
Key Words
References
Answers to check Your Progress Exercises
11.0 OBJECTIVES
After studying this unit you should be able to :
discuss the meaning and importance of district planning
explain the steps taken to promote people's participation in planning
8 highlight the evolution of district planning machinery
8 discuss the problems of district planning.
INTRODUCTION
In a vast country like India, with considerable degree of diversity between regions,
planning by a sole Central planning agency can even be counter-productive.
Therefore, ever since Independence there has been a strong trend in the country in
support of democratic decentralisation of the planning process. Broadly, the concept
of democratic decentralisation means the involvement of the p&ple at various stages
of plan formulation and implementation. Under such a scheme of things planning
would have to be done at the Central level, at the state level and at levels below the
state, that is at the block and the village levels. It is only then that planning can
become truly a national endeavour. But this requires that a suitable planning
machinery be established at various levels. It also requires that the tasks of planning
at the various levels are clearly and appropriately specified and links are established
between various levels of planning. Funher, since the ability and the power to decide
on economic matters is an essential part of planning, the process of democratic
decentralisation has as its core the concept of decentralisation of political,
administrative and financial powers.
In this unit we shall study the evolution and functioning of the planning machinery
a$ the district level and in the process discuss the steps taken and the problems
invdlved in attempting to move in the direction of demobratic decentralisation and
planned development.
RATIONALE BEHIND DISTRICT PLANNING

I The Constitution of India provides for the distribution of legislative and financial
powers between the Centre and the states. Further, no politial authority is specified
in the Constitution for the districts. This raises the important issue of the feasibility
of district planning. However, .the Constitution can be amended given the necessary
will. The important question therefore is regarding the desirability of disrict
planning. Should there be planning at an intermediate level that is between the state
and the project .level? If so, then what should be the content of such planning under
altern$tivescenarios of decentralisation of political powe~to the district level?
-.
-
The case for district planning arises, first, from the fact that a coordinated inter-,
departmental effort is likely to give greater benefit from the same outlay than the
sum total of uncoordinated departmental efforts. Usually, development activities at
the sub-state levels are handled by various departments, each having their own
hierarchies. Also, non-departmental public agencies like commercial banks, input
corporations, marketing agencies, etc. also operate at the district and sub-district
levels. Thus developm~ntfunctions get highly fragmented among numerous
departments and agencies. Immense benefits can be reaped by integrating and co-
ordinating these individual efforts into a consistent regional plan framework. This
requires the setting up of planning agency which can benefit from the fact that most
departments and agencies have their regional offices located at the district level.
District planning is therefore necessary for coordination, consistency and spatial
planning.
Another reason in favour of district planning arises from the need to allow for
diversity and different levels of development between regions. A single plan even,at
the state level, it is argued, cannot account for the great diversity in natural
resources, terrain, soil and water availability, skills and cultural factors. It is
therefore desirable that planning is decentralised at least upto the district level so
that effective use can be made of local resources after identifying local needs and
problems. To plan at a centralised level would mean either the neglect of diversity or
would involve costly collection of data and information from a large area and the
processing of such voluminous amount of information to evolve a consistent and
integrated plan. Decentralised planning would therefore reduce information costs and
allow planning to be of manageable size while at the same time accounting for
regional needs and resources.
However, although these arguments related to spatial planning and decentralised
planning are undoubtedly important, the emphasis on sub-state level planning in
India has primarily been the outcome of political values. The influence of Gandhian
ideals of self-managing small communities has underlined many of the efforts at
decentralisation of planning. In fact the ideas of "planning from below" or "grass
roots planning" have been stated time and again since the inception of planning
process in India. People's participation, from the stage of setting up of priorities to
the stage of plan implementation, has been propagated not only as a means of
effective planning but also as an end in itself. Planning at the district and lower
levels has been seen as an input to the process of strengthening democracy in this
country. The political ideals of democracy and socialism have been the concepts
underlying whatever efforts that have been made to decentralise the planning
prgcess. And it is to the study of these efforts and the problems they have
encountered that we should now devote our attention.
11.3 ROLE OF PANCHAYATI RAJ INSTITUTIONS '
IN LOCAL PLANNING
, Planning requires an agency and a process. At the district level the struggle for
setting up a planning machinery has been a torturous one. The earliest attempts in
this direction was the Community Development Programme and its sequel the
Panchayati Raj System. These were attempts of the 1950s to build structures for
people's participation in planned development. They laid greater stress on people's
participation in planned development rather than on the technical aspects on details
of planning as such.
The Community Development Programme was started in 1952 to promote better
living for the whole community with its active participation and initiative. The role
of the government was to plan and orpnise the programmes on a national basis and
to provide technical services and materials beyond the resources of the communities.
As regards the people, community development was seen as "essentially both an
educatioial and organisational process". It was concerned with changing people's
attitudes and practices and was designed as nurseries of community action.
However; the Community Development Programmes in its first few years failed to
evoke public participation. The Balwant Rai Mehta Study Team was appointed in
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1957 to study the Community Development Programme, sp~ciallyfrom the point of
F
I
view of assessing the extent of popular participation and to recornmeneeation of District Planning
i institutions through which greater participation could be achieved. The Study Team
concluded that "one of the least successful aspects" of the Community Development
Programme was "its attempt to evoke popular initiative". At the district level this
was due to inappropriate agencies like District Boards being made responsible for
planning. The District Boards were too large, lacked expertise, legitimacy and even
power due to the fact that some states took over some of the Boards' powersand in
many others there was a dual control both by the states and the Boards.
The Study Team therefore recommended that these bodies be replaced by democratic
institutions to take charge of all aspects of development work. At the district level
such a body was to be the Zila Parishad which was to be an advisory body with the
Collector as the Chairman. The members of the Zila Parishad were to be indirectly
elected mainly through ex-officio members from lower tiers of the Panchayati Raj
institutions. In fact, the Zila Parishad was to be the highest level of the three-tier
,Panchayati Raj institutions viz., Village Panchayats, block-level Panchayat Samitis
and district-level Zila Parishads. The Team's recommendations regarding the
establishment of statutory and elective institutions with definite duties, functions,
powers and resources received considerable amount of support. By 1961 most of the
states established the Panchayati Raj system, sometimes with minor modifications,
on lines proposed by the Balwant Rai Mehta study team.
But planning under the Panchayati Raj institutions was not much of a success.
Perhaps this was not due to any inherent weakness in the decentralisation process.
The main reason seems to be that decentralisation did not go far enough. The
Panchayati Raj institutions were never really given a chance to actively engage in
local planning. Their operations were severely restricted on account of four principal
factors: I) lack of experience, skill and help in planning; 2) domination by the
bureaucracy; 3) inadequate devolution of financial powers, and 4) the subordinate
status of these institutions vis-a-vis the state government. We will now briefly discuss
these factors.
Lack of Experience, Skill and Help in Planning : The lack of experience and ability
I meant that the Zila Parishads could hardly engage in meaningful planning. The
district plan was drawn up by the officials who in turn lacked the requisite sk~lls.In
'fact district plans wherever they existed were no more than a compilation of
departmental schemes and outlays at the district level with the sum total of block
'plan providing a statistical summary. Although the post of the District Plannlng
'Officer or its equivalent existed in many cases, there were no clear procedures
outlined for formulating the district plan. The so-called 'district plan' once prepared
was presented before the Zila Parishad almost as a formality and was then passed.
The legislative process was rushed through giving little time for elected members t o
arti~ulatetheir requirements, make modifications and suggest alternatives. Walter C.
Neale reported a case where the Five-Year Plan was placed before the Zila Parishad
at ten 10 O'clock in the morning and passed by the same evening. All tasks required
in the process i.e. formation of sub-committees, hearing, scrutiny of proposals etc.
were rushed through in a matter of hours. People's participation was therefore
reduced to a token with Zila Parishads taking the role of merq rubber stamps of
official plans.
Domination by the Bureaucracy : The role of the bureaucracy was a factor
contributing to the erosion of the influence of the Zila Parishads. The officials
prepared their departmental plans and pooled these into a 'district plan' and their
primary objective was to get these passed by the Parishad. Since they had more
adequate information and were better educated they succeeded in obtaining the Zila
Parishad's approval for the proposed plan. The fact that the Zila Parishad members
knew little about technical details only helped ip confusing issues. The role of the
Zila Parishads in planning was therefore only peripheral.
Inadequate Devolution of Financial Powers : The Zila Parishads had little financial
powers. Adequate financial powers are really necessary ior planning. The concept of
a district budget which was voted by the Zila Parishad did exist but the Parishad did
not have the right to alter most of the schematic budgets. For example, they Auld
not alter the cost and other specifications of road construction proposals of the
Public Works Departments. Estimates showed that the Parishad had powers to alter
items acc~unting
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about 10 to 15 per cent of the budget amount. With time, this
Plm.ln~Roc- Subordinate Status of Panchayati Raj Jnstitutions : In addition, in most cases, the
District Magistrate had the power to veto acts of the Zila Parishads. Thus in matters
of planning, the Parishads could not force their views on the administration. The
interference by state level politicians (MLAs, etc.) also increased over Zila Parishads
reducing the role of local participation. With the introduction of Centrally
Sponsored Schemes the powers of the Zila Parishads got further curtailed. The staff
under the Parishads would execute the Schemes though the programmes were kept
outside their purview. The staff spared by the state to the district also gradually
came to consist of officers who were not wanted by the state governments. And
filially there was a tapering off of plan allocations for Panchayati Raj institutions
and a gradual curtailment of powers of the Parishads resulting from various
enactments of the state legislatures. The decline of Zila Parishads was completed
with their supersession and the practice of not holding elections. Barring a few
exceptions, the initial experiments with democratic decentralisation were not
successful.
1
As far as decentralised planned development is concerned we could not achieve,
much. T o rectify this defect and to improve the working of democratic institutions at
the district and lower levels the Government of India appointed a Cbmmittee headed
by Asoka Mehta in December, 1977. The Committee known as the Asoka Mehta
Committee rdcommended a two-tier structure for Panchayati Raj with the district
being the first point of decentralisation below the state. The district level was also to
be the basic unit of planning.
Unlike the Balwant Rai Mehta Committee, the Asoka Mehta Committee
recommended direct elections to the Zila Parishads with reservations for scheduled
castes, tribes and women. For planning purposes, the recommendation was for
setting up a Committee of the whole Zila Parishad with MLAs (Members of
Legislative Assembly), MLCs (Members of Legislative Council) and MPs (Members
of Parliament) from the a r m as ex-officio members. The Zila Parishad was to be the
basic unit of decentralisation with a comprehensive range of developmental
responsibilities. In fact the Committee went even further by recommending that all
developmental functions related to the districts be transferred from the jurisdiction
of state governments to the Zila Parishads. p he Zila Parishads, to be able to perform
the developmental role, were to have all the staff under the supervision of the
Parishad. The Parishad was also t o have financial powers and earmarked devolution
of funds for developmental purposes. In short, the Committee visualised a separate
tier of development administration below the state with comprehensive and 'clearly
defined developmental, administrative, financial and legislative functions.
The recommendations of the Asoka Mehta Committee, although fairly radical, did
not find much favour with the state governments. To discuss the Committee's report
a Conference of Chief Ministers was held in 1979. The discussions led to the
preparation of a model bill to ensure uniformity in the Panchayati Raj system. As
things stand today only a few states, most notably Karnataka, has gone ahead and
implemented the Panchayati Raj system on the lines recommended by the Asoka
Mehta Committee. Perhaps a greater involvements of the Centre in the process,
including possibly an amendment to the Constitution to ensure democratic
decentralisation upto at least the district ltvel may be necessary. In fact, two
Constitutional Amendment Bills (64th and 65th) were prepared one by the Congress
and the other by the National Front Government with this broad objective in view.
Till now no further action has been taken on these lines and the issue of effective
decentralisation on an all-India basis below the state level appears t o have been
shelved for the time being.
C
Check Your Progess 1

I) Discuss the need for district planning.

2) What were the reasons for subdued involvement of Panchayati Raj institutions
5
in local planning?
11.4 DISTRICT PLANNING MACHINERY

In the last section we saw that the ideal of people's participation in plan formulation
has had limited success. The attempts at democratic decentralisation has not been
very effective. Despite this, the attempts to strengthen the machinery of planning at
the district level has continued. Due to the limited success of Panchayati Raj
institutions, the attempts at establishing and strengthening of the technical side of the
'planning machinery has gained momentum. In fact the efforu for strengthening
district planning machinery began in the mid 1960s only, this was the period when
(the weaknesses of district planning had bcome clearly visible.
/As a part of the Community Devel~pmentProgramme the states were asked to
iprepare district and village plans as early as in 1954: However, decentralised
Iplanning got a slightly clearer shape with the recommendations of the Belwant Rai
,Mehta Committee report in 1957. The Committee stated that local plans under the
!Community Development Programme was to be the joint responsibility of people's
representatives assisted by the development staff. The states were expected to lay
down the "broad objectives, the general pattern and the measure of Yinancial,
technical and supervisory assistance available". The concept of block and district
budgets were introduced. While the Zila Parishad was the forum of people's
participation the officials in charge of development departments at the district level
were placed under the overall guidance of the District Collector who was to be
assisted by an Additional Collector and a District Statistical Officer for planning and
evaluation purposes. The District Statistical Officer was to function under the
technical control of the Director of Economics and Statistics and the administrative
control of the Collector.
/
A decade after the Balwant Rai Mehta Committee's recommendations, the

Administrative Reforms Commission noted that the attempts at district planning
have not been effective. According to the Commission this was due to the absence of
a clear idea regarding qeairns and resource availability for district planning. This
was compounded by thz fact that "the district had no planning expertise as suchw.
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recommended that an appropriate planning machinery for
the formulation of plans should be provided at the district level. The planning team
in the district would essentially consist of a Planning Officer who may be either an
administrative or a Vchnical officer capable and trained for coordinating
developmental work': ,This oEficer would work full time on the planning side. The
district level technical officers belonging to sectors such as agriculture, forestry,
minor irrigation etc. should be responsible for plan formulation and implementation
at their levels. Planning at the district level, the Commission felt, should primarily be
in terms of physical planning for the development of local resources. The
Commission also felt that since Zila Parishads normally have no representation from
urban areas they are therefore not the best agencies for balanced district planning as
a whole. The Administrative Reforms Commission therefore recommended that
"there should be a District Planning Committee consisting of the representatiTes of
the Zila Parishad, Municipal Bodies in the district, professional talent in the district
and with appropriate association of the district officersw. It recommended that the
District Planning Committee, unlike the Zila Parishads, should be sprall in size to
ensure effective participation by its members. The District Planning Officer should
be the Secretary of the Committee which should meet at least once in two months.
The Administrative Reforms Commission recommendations'were closely followed by
"guidelines" issued by the Planning Commission in 1969. The guidelines stressed the
need for decentralised planning and 'suggested the involvement of government, local
self-government bodies and progressive farmers and entrepreneurs in the assessment
of available resources and the existing administrative situation ard in the fixing of
priorities. It suggested that officials of different departments are to be responsible for
the preparation of schemes pertaining to their departments for inclusion in the
district plan. The task of the planning agency was to integrate these departmental
plans into a consistent and comprehensive plan for the district. In this process of
plan formulation the planning agency was to consult not only various departments
hut also lower and higher level agencies and other district level public institutions
like banks. Thus the guidelines went into great detail about the process of plan ,
formulation. However, it paid almost no attention to the problem of setting up of an
adequate planning machinery at the district level. A suitable planning machinery at
the district level continued to be absent 'even a decade later as the Working Group
on Block ~ e v dPlanning
~ (the Dantwala Committee) observed : "... there are a
number of departments located in the district, each with its own vertical hierarchy
and separate existence at the state level ... The District Collector performs the role of
a coordinator. Even this role is largely undefined and informal and is limited to
issues pertaining to implementationn.
Thus eve" i" 1978 the Planning machinery at the district level was either non- .
existent or extremely deficient. Regarding the district planning machinery the
Dantwala Committee made the following observations :
'In majority of states, no attempt seems to have been made to improve personnel
resources at this level. Even in the case of states which have set up something like
'District Planning Machinery', the composition of the staff reflects that there has
been no serious attempt to induct technical skills in planning. The staff who have
been appointed in these units perform only routine secretariat functions, assisting
the &strict Developme$ Council under the Collector but do not provide much
technical support in the tasks of plan formulation, monitoring, review and
evaluation. Thus in many states, the District Planning Cell consists of District
Planning Officer assisted by Statistical and Research Assistants and clerical staff
who mainly look after the implementation of the district plan somewhat in a
routine manner."
The Dandwala Committee therefore suggested the strengthening of the District
Planning Cells and recommended that a minimum core staff should consist of,
besides the Chief Planning Officer, six other technical oficers-viz.,
i) economist/statistician, ii) cartographerlgeographer, iii) agronomist, iv) engineer,
V)industry officer, and vi) credit planning officer. In addition to the above core staff,
specialists may be engaged according to the needs of the arealprogramme. The Chief
Planning Officer should be a person who can coordinate the work of the planning
team with that of the departmental officers. He can be from any discipline and
should be the principal aid to the District_Collectorand second to him on the
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The recommendations of the Working Group (Dantwala Committee) were followed
by the first serious attempt by the Planning Commission to set up a competent
district planning machinery. In June 1982 the Planning Commission circulated a
document entitled "Scheme for Strengthening of Planning Machinery at the District
Level-Guidelines". The scheme envisaged the induction of technical personnel with
knowledge and skills required for scientific district planning with minimum
supporti'ng staff. Half the cost of the scheme was to be borne by the Centre and the
rest by the states. The proposed planning team was to consist of a Chief Planning
Officer and one economist working with a team of five other specialists chosen from
a suggested list of six specialists-viz, arealprogramme specialist, planning officer
(social development), agronomist, engineer, credit planning officer and a
geographerlcartographer.The guidelines also laid dodn in detail the functions of the
various specialists and officers of the planning team. It also laid down other details
like the status, qualifications and pay of the personnel, the selection of consultants
and also gave some suggestions relating to planning procedure. It clarified that only
those states which take concrete steps to make district planning a reality would be
eligible for financial assistance.
To transform the district planning endeavour from a concept to a reality, the
Planning Commission also set up a Working Group on District Planning in 1982
itself. The Working Group which submitted its report in 1984 was headed by Prof.
C.H. Hanumantha Rao. The Working Group was set up with the objectives of
defining the scope, content and procedure of district planning and to establish links
between planning from the block to the state levels. The Working Group noted that
there was some form of District Planning Body in most of the states though they
were called by various names like District Planning Board/Committee/Council or
Zila Development Board, etc. In some states (Maharashtra, Gujarat, U.P. and Bihar)
the body was headed by a Minister of State. In two states there was a non-official
Chairman and in Sikkim the body was chaired by an MLA. But in most states the
District CollectorlDeputy Commissioner was the Chairman. The Working Group
also found that purely technical personnel in the district planning bodies in the states
ranged from two to six officers, they did not necessarily belong to different
disciplines. They were usually on deputation from other departments and did not
possess any particular.planning qualifications. Thus though by early 1980s district
planning machineries had been set up in states their technical competence was poor.
The Working Group, as per its terms of reference, laid down the functions of district
planning bodies as follows: a) crystallisation of local needs and objectives, b) taking
stock of the natural and human endowments, c) listing and mapping of amenities,
d) formulation of district plans, e) formulation of policies, programmes and priorities,
f) coordinated implementation, and g) monitoring and review of district plans and
programmes. For these tasks the Working Group suggested the setting up of a
broad-based District Planning Body comprising of representatives from the Zila
Parishad, Panchayat Samities, municipalities/corporations, MLAs and MPs from
the district. prominent personalities, workers' and entrepreneurs' representatives,
bank representatives, etc. Thctotal membership of the body could be around fifty. '
In addition t o the District Planning Body there should be a smaller Executive Body
or Steering Committee with the District Collector as the Chairman, the Chief
Planning Officer as the Member-Secretary and other members dl'ahn from important
officers of development departments and agencies. The Working Group therefore
was a de facto group.lt favoured the transfer of the ,planning functkn t o a body
other than the Zila Parishad till the time Zila Parishads become effective and active.
These non-elected bodies, the Group suggested, may be constituted by an executive
order. To aid the District Planning Body in technical matters, the Working Group
further recommended that there should be a District Planning Cell/ Office headed by
a Chief Planning Officer with a status next to that of the District Collector. The
Chief Planning Officer should be specially trained in regionallarea planning and
should be assisted by a team of experts from various disciplines and subject areas.
The Group also suggested the strengthening of the Collector's role and clear
definition of financial and administrative powers for the distict level government and
adequate disaggregation of outlay according to districts. Thus the Working Group
made far reaching recommendations on the technical and administrative aspects of
district planning.
In 1985, just after the Working Group's report, the "Committee to review the
existing Administrative Arrangements'for Rural Development and Poverty

Alleviation Programmes" (in short CAARD) submitted ~ t report s which broadly
supported the recommendation of the Working Group, More specifically, it endorsed
the Working Group's recommendation for setting up District Planning Bodies and
the suggestions for decentralisation of financial and administrative powers. However,
it differed in one important respect in that it called for the separation of
developmental and regulatory activities at the district level and suggested the creation
of a post of District Development Commissioner entrusted with developmental
responsibilities. The regulatory role was to be performed by the District Collector.
The Development Commissioner should be much senior in rank to the District
Collector and should possess wide developmental experience. The CAARD also
recommended the setting up of a State Development Council (on the analogy of the
National Development Council) so that district and state plans can be brought into a
common framework. Thus once again fairly detailed suggestions were made to
restructure the district administrative machinery in order to handle the gigantic task
of developmental planning.
11.5 PROBLEMS OF DISTRICT PLANNING

District planning, despite the fact that its importance has been realised and its need
has been stressed again and again, has yet to become a reality. Large number of
Committees, Working Groups, Commissions, etc. have squarely faced the issue and
made a large number of suggestions. However, very little concrete action has been
taken. It is only when the Planning Commission decided to finance a scheme for
strengthening the technical side of district planning that most districts were able to
have a District Planning Cell. However, these cells have done very little actual
planning in most districts although it appears that their role is likely to increase in
the near future.
Them are various reasons for the relative failure of district planning in India. This
unit has tried to highlight them, though certain major problems need to be
emphasised. First, there is the basic problem that planning and authority must go
hand in hand. Since the district level government is not recognised as a separate tier
of government, like the State and the Centre, it becomes virtually impossible for it to
set targets, decide on priorities, mobilise resources and decide on allocations.
Planning at the district level is therefore reduced to a formality in the absence of
adequate autonomy.
The second, and a related obstacle, is the inadequacy of financial powers at the
district level. If the districts are provided with adequate resources, they can decide on
an o p t i r m pattern of allocation. However, devolution of free resources to districts
is small as most planned schemes are either Ceptrally sponsored or promoted by the
state government. The districts have negligible revenue raising powers and no power
to borrow resources. Therefore, in the absence of financial resources planning loses
its meaning.
Another problem is the absence, in most states, of elected district level bodies to
articulate the needs of the people. The process of decentralisation and Panchayati
Raj has had only limited success. In the absence,of popular initiative planning
reduces to a bureaucratic exercise of formulation, sanction and implementation of
departmental schemes. District planning requires strong and enlightened Zila
Parishads.
Finally, district planning sufferes from the inadequacy of trained and competent
planning personnel at the district level. The officers of the District Planning Cells are
therefore! normally engaged in-routine work and not in technical exercises. For
district planning to be. successful a3and of competent district planners and a popular
and relatively autonomous district administration are being increasingly recognised
as the basic prerequisites.
Cbcck Your Progress 2

2) Check your answers with those given
at the end of the unit.
https://t.me/Upsc_Zone_Official --
r
1) Discuss the r&ommendations of Administrative Reforms Commission regarding
the strengthening of the planning machinery at the district-level.
2) Highlight the attempts made by the Dantwala Committee and Planning

; Commission to improve the district planning machinery.
11.6 LET US SUM UP

In this unit we have discussed the importance and need for district planning. We
have highlighted the efforts that have been made to make the concept of district
planning a reality. These efforts have been on two parallel lines : a) strengthening the
process of people's participation in development at the district level, and b) building
up a competent district planning machinery. Though some progress has been made
in recent years in building up District Planning Cells further steps towards their
development have been retarded due to inadequate decentralisation.
11.7 KEY WORDS

Agronomist : Person specialised in a branch of agriculture dealing with field crop
production and soil management.
Analogy :Comparison or similarity between two things that are alike in some way.
Cartographer : A person whose job is drawing maps.
Dantwala Committee Report :The report of the Working Group on Block Level
Planning (1978).
Defacto :Something that is real.
District Planning Cell : The technical unit responsible for formulation, monitoring
and often evaluation of district plans.
Spatial Planning : Planning of spaces with the objective of optimal location of
services like dispensaries, banks, schools etc.
Vertical Hierarchy : Offices placed in such an order that facilitates issuance of a
command from the level above and the compliance of the same by the level below.
The structure of such authority can be compared with the different rungs https://t.me/Upsc_Zone_Official
of a ladder.
Z i h Parishad : Elected representative body of the district level with legislativeltd

planning functions.
REFERENCES
Department of Rural Development. 1978. Report o j the Committee on Panchayati
Raj Instit~itions.Ministry of Agriculture, Government of India: New Delhi.
Departmentpf Rural Development. 1985. Report o j the Committee to Review the
Existing Administrative Arrangements jor Rural Development and Poverty
Alleviation Programmes (CAARD);Ministry of Agriculture, Government of India:
New Delhi.
Planning Commission. 1984. Report o j the Working Group on District Planning;
Government of India: New Delhi.

EXERCISES
I) Your answer should include the following points
district planning is needed for coordination and consistency in planning
a
it is a must for spatial planning
immense benefits can be reaped by integrating and coordinating the individual
efforts into a consistent regional plan
it is needed for regional development
a single plan cannot account for the. diversity in culture, natural resources and
human skills
it reduces information costs and makes planning manageable.
lack of experience, skill and help in planning, the officials who drew up plans
lacked the requisite skills, the Zila Parishads were not involved in planning
domination by the bureaucracy,, where the primary objective of the officials
was to get the departmental plans approved by Zila Parishad, .the members of
the Parishad did not possess sufficient knowledge
inadequate devolution of financial powers to the Zila Parishads
District Magistrate had the power to veto acts of the Zila Parishads
with the introduction of Centrally Sponsored Schemes the powers of Zila

Paiishads were further curtailed
curtailment of plan allocations for Panchayati Raj institutions
elections to the Panchayati Raj institutions were not held regularly
the two-tier structure recommended by the Asoka Mehta Committee was not
welcom$d by all the state governments
the two Constitutional Amendment Bills (64th & 65th) have not been able to
ensure effective decentralisation.
Check Your Prowess 2

I) Your answei should include the following points:
the ARC recommended that an appropriate planning machinery for the
formulation of plans should be provided at the district-level
it recommended that the planning team would consist of a Planning Officer
for coordinating developmental work
the technical officers should be responsible for formulation and

implementation of plans at their level
planning at the district level, should be in terms of physical planning for the
development of local resources
there should be a District Planning Committee consisting of the
representatives of the Zila Parishad, professional talent and municipal bodies
in the district
the Committee should be small in size and should meet at least once in two
months.
.a Dantwala Committee.suggested the strengthening of the District Planning
Cells
it recommended a minimum core staff of six technical officers and one Chief
Planning Officer for the District Planning Cell
in June 1982, the Planning Commission circulated a document entitled
"Scheme for Strengthening of Planning Mechinery at the District Level-
Guidelines"
Lhe scheme envisaged the induction of technical personnel with knowledge and
skills and minimum supporting staff for proper planning at the district level
the planning team proposed by the Planning Commission was to consist of a
Chief Planning Officer, one economist and five specialists
the Guidelines laid down the functions of the specialists
only states which would take concrete steps to make district planning fruitful
were to receive financial assistance
Planning Commission set up a Working Group on District Planning in 1982
itself
the Working Grou noted that the technical competence of personnel
P
involved in district planning was very poor
it laid down the functions of district planning bodies
it suggested the .setting up of a broad-based District Planning Body and a
smaller Executive'Body or Steering Committee
it suggested the transfer of planning function to a body other than the Zila
Parishad till the time Zila Parishad becomes effective and active
it recommended the setting up of a District Planning Cell and Distrbt
Planning Body in technical matters
the Group also suggested the strengthening of the Collector's role and
adequate devolution of financial and administrative powers to the districts.

UNIT 12 GRASS ROOTS PLANNING

Structure
Objectives
1ntreduction
Community Development Programme
Panchayati Raj
Decline of Grass Roots Planning
Attempts at Revival
1-et Us Sum Up
Key Words
References
12.0 OBJECTIVES
discuss the various steps taken to operationalise grass roots planning in India
explain the purpose and features of structures like the block and the samiti
highlight the problems involved in the process of democratic decentralisation
discuss the recent attempts at operationalising grass roots planning.
INTRODUCTION
Although the ideas of 'grass roots planning' and 'planning from below' have their
basis in Gandhian thought, attempts at crystallising these ideals into concrete
administrative and political structures have been rather tentative in the post-
independence period. The ideas of 'decentralised planning', 'planning from below',
'peoples' participation in planning'. 'multi-level planning' etc. have been mentioned
time and again in the Five Year Plan documents. However, only a few steps have
been taken to turn these concepts into reality. In the 1950s the Cbmmunity
Development Programme and the establishment of the Panchayati Raj institutions
were perhaps the first, and uptil now the most comprehensive attempts at putting the
idea of grass roots planning into action. However, these attempts failed and by mid
1960s agricultural growth through improved technology and government support
became the paramount objective.
FA
However, the policy of centralist?. planning with emphasis on growth has thrown up
a number of problems. Foremost of these are increasing inequality especially between
regions and between rural and urban areas. Centralisation in plan formulation has
also alienated large groups.of people from the development process while at the same
time there has been inadequate use of local resources and specialist manpower.
Another major problem area is that of plan implementation, monitoring and project
execution. Decentralisation and peoples' participation, it is now increasingly realised,
are essential for planning to remove the deficiencies of inequitous growth,
unemployment and tardy implementation. Recent years have therefore witnessed a
revival of interest in grass-roots planning.
In this unit we shall study grass-roots planning in its two phases viz., the Community
Development phase and the recent phase. The focus will be on'block level
administration and planning and its chequered evolution.
12.2 COMMUNITY DEVELOPMENT PROGRAMME

The block level administrative structure was t)(e product of the Community
Development Programme (CDP) https://t.me/Upsc_Zone_Official
launched in.the early 1950s. As you read in the
previous unit, the basic philosophy underlying the Community Development strategy
was the belief that "all aspects of rural life are interrelated and no lasting results can
be achieved if individual aspects of it are dealt in isolation". It is because of this faith
that the Community Development Programme was made multi-disciplinary in
character though agricultural development remained the primary concern. However,
it was always stressed that the economic aspects of village life cannot be detached
from the broader social aspects and that agricultural development is inextricably
linked up with a whole set of social problems. Therefore, social change to enable
economic development was central to the Community Development strategy.
The Community Development Programme, in its conceptual basis, was a good
example of grass-roots planning. The very essence of the programme, as the First
Plan stressed, was 'people's participation". However, sin% small communities like
the villages had limited technical, material and financial'resources, their initiatives
had to be supported by the state. This needed the establishment of an extension
organisation which would give developmental support to the killagers. Therefore the
two key elements of the CDP were people's initiative and participation encouraged
and aided by an extension organisation. This, it was felt, would enable the
mobilisation of local resources, including manpower, and promote the percolation of
modem technology and resources through the extension agencies. To take an
example from agriculture, what the CDP meant in practice was that extension would
be used to motivate farmers to adopt improved techniques and also to develop the
necessary infrastructure through utilisation of rural manpower.
The extension organisation set up under the CDP created the Community
Development block as the key unit of the structure. It was put under the
administrative control of a Block Development Officer (BDO) who had jurisdiction
over an area of roughly 100 to 120 villages, approximately conforming to a tehsil or
taluk. The BDO was assisted by a multidisciplinary team of extension officers for
different functional areas like agriculture, animal husbandry, irrigation and works.
cooperation, social education, village industries etc. It was stressed that the block
level set up was a "mediumw through which the various developmental departments
would function so as to synchronise their efforts and reach the people.
While there were a number of extension officers at the block level, they all
functioned through the multi-purpose Village Level Worker (VLW) or gram sewak.
The VLW was a crucial link between the villager and the block level administration.
The rationale behind this structure was as follows: "The peasant's life is not cut into
segments, in the way the government's activities are apt to be; the approach to the
villager has, therefore, to be a co-ordinated one, and thus to comprehend his whole
life. Such an approach has to be made, not through a multiplicity of departmental-
officials, but through an agent common at least to the principal departments engaged
in rural work". Although, this may sound alright, in reality this meant that the VLW
was expected to do too much as at the cutting edge the entire 'programme of
decentralised development rested on his/ her shoulders.
12.3 PANCHAYATI RAJ

The Community Development Programme, as we have seen, had two pillars :
people's participation and governmental 'extension'. Whereas the extension
agencies-the Block, the VLWs, etc.-were organised fairly early and planned
budgetary allocations were made for the CDP, the important aspect of people's
participation was tackled only a little later. The most important step in this direction
was the establishment of the Balwant Rai Mehta Committee to study, inter alia, the-
question of popular participation in the CDP.
The recommendations of the Mehta Committee, brought out under the title "Report
of the Team for the Study of Community Projects and National Extension Service",
were far reaching. The Team recommended the establishment of a three tier structure
for Panchayati Raj institutions with elected Panchayats at the village level, an
executive body called the Panchayat Samiti at the b l o ~ klevel and an advisory body
called a Zila Parishad at the district level. These local bodies were to be statutory
and largely elected bodies with necessary resources, power and authority devolved
on
them and assisted by a decentralised administrative system working under their

control. The team also recommended that the basic unit of democratic
decentralisation should be located at the block/samiti level.
The Panchayat Samitis, with a jurisdiction co-extensive with a development block,
were entrusted all these development tasks which the block was to undertake under
the CDP. More specifically, these included development of agriculture in all its
aspects, animal husbandry, rural industries, public health, primary education, social
welfare and maintenance of statistics. It was also to be an agent of the state
government in executing special schemes of development entrusted to it.
To enable them to discharge their developmental functions the Samitis were assigned
specified sources of revenue like a percentage of land revenue, cess on land revenue,
profession taxes, proceeds from tolls and leases, etc. In addition, the state
governments were expected to provide conditional and/or unconditional grants-in-
aid. And finally, all Central and state funds spent in the block areas were to be
assigned to the Panchayat Samitis to be spent by it either directly or indirectly. The
Samitis were to have a budget which was to be approved by the Zila Parishad. Thus
the Panchayati Samitis were given resources and assigned developmental functions
and were thus expected to formulate block plans on the basis of people's felt needs
which their (indirectly) elected composition was expected to ensure. To implement
their plans the Samitis were given administrative powers over the technical extension
officers who were to be under the administrative and operational control of their
Chief Administrative Officers, viz., the BDO.
By early 1960s almost the entire country had been covered'by the twin programmes
of Community Development through extension and ~anchayatiRaj institutions. The
atmosphere of confidence it created, reflected in Nehru's characterisation of this as
"the most revolutionary and historical step". It was unfortunately short-lived.
Check Your Progrbs 1
1) What were the objectives of the Community Development Programme?
2) Highlight the structure and functions of Panchayati Raj institutions.
DECLINE OF GRASS ROOTS PLANNING

The ascendency and decline of grass-roots planning,
according to the Asoka Mehta
Committee, had three distinct phases; the phase of ascendency, 1959-64; the phase of
stagnation, 1965-69 and the phase of decline, 1969-77. However, the failure of the
grass-roots planning exercise were visible from its very inception. The causes of this
failure were several and these should be carefully studied so that future attempts at
decentralised planning can be made successful.
I) Among the more important causes ~f failure was the absence of a clear idea and
expertise regarding planning at the block level. Indeed expertise and clarity
regarding the meaning and content of planning was absent even at the district ,
level as we have seen in an earlier unit. In fact there was almost no planning at
the block level as was discovered by scholars like Alice Ilchman: "To talk with
assurance about 'the Block Plan* assumes that a plan exists at every block
headquarters and is available b r examination and use ... In fact, the block plan
turned out to be a singularly elusive document ... When it was demanded,
various pieces of information emerged ... In any event, at none of the blocks ...
was single document which could be copied or photographed as the definite
'Block Plan'." (Quoted in Walter C. Neale's Article on Indian Community
Development ...)
The Block plans, Watter C. Neale reported, "contained a summation of the
information recorded on the scraps of paper that ... VLWs had collected, to which
-were added the programmes administered from block headquarters". Thus block
plans were hardly existent and were no more than some summary statistics and
accounts. Block planning never took off despite the creation of an organisation for
the purpose and the absence of planning capabilities was a major factor for this.
2) The failure is also attributable, in part, to the rigidity in the CDP itself which
was the result of the heavy reliance of the programmes on the bureaucracy. This
causes continual conflict between the Samitis and the officials. "The history of
economic planning and administration at the local level", writes Neale, "has, in
many respects, been the history of tensions between the requirements of
community development and the traditions and responsibilities of the state and
national administrative servicesn. The BDOs role was an unenviable mix of an
"extension officer" and a "programme officern. As a programme officer he was
expected to implement the government's programmes and schemes. As gn
extension off~cerhe was to help the Samiti to articulate their needs and help
prepare a plan. Faced, with the choice of serving one of the two masters more
devotedly, the BDO chose the government and not the Samiti. His choice was
reinforced by the schematic budget of the Community Development Programme.
The 'schematic budget' for a block was the fixed budgetary allocation under the plan
for the Community Development Programme which the BDO was required to spend
on certain specified activities. Though the budget was multidisciplinary, the bulk of
the schematic budget pertained to agricultural development. Not only the heads of
expenditures were specified, the BDOs were also given detailed instructions regarding
the manner of operating the block budget. This gave little freedom to the Panchayat
Samitis and the block officials t o plan according to local felt needs. V.Venkate6an
refers to a case where faced with waterlogging problem certain villagers expressed the
need for a nulla (drain). The BDO was not sure whether his block budget permitted
the construction work and hence referred the matter to the state government which,
in turn, passed the question on t o the Government of India. There have been many
instances of conflict between financial accountability to the authority providing funds
and operational flexibility required for responding to local needs. How could grass-
roots planning operate when for example, the construction of a village drain,
required the clearance of the Government of India?
3) There were other problems also like the problem of co-ordination, the problem
of interference by politicians and officials of the state and central levels and the
problem of existing inequalities and vested interests opposed to egalitarian
development in rural areas. But the decline of the CDP and Panchayati Raj
experiment of the 1950s is directly traceable to the conflict between the urgent
economic needs a t the national level and the local n d s . This was most
strikingly thrown up by the serious food problem the country began to
experience since the late 1950s and which culminated in acute food shortages
during mid 1960s. The food problem manifested itself in outflow of foreignhttps://t.me/Upsc_Zone_Official
exchange to buy food and in rising prices. Though food aid helped temporarily,
the solution, it was realised, lay in rapidly increasing foodgrains production.
Growth in agricultural output through intensive use of inputs like fertilisers,
water, high-yielding varieties of seeds became the accepted government policy.
This was the 'green-revolution' strategy.
This change in strategy of development at the national level changed the content of
the CDP and Panchayati Raj institutions. This major change took the rather silent
form of the community development services being asked to drop "nonessential"
activities and concentrate on raising agricultural production. "ln effect", writes
Neale, "these orders destroyed community development as a joint project of experts
and villagers and turned it into a system of administering specific programmes of
rural credit, loans in kind, subsidies, demonstrations ... and minor social overhead
capital works. The BDO became the man who checked on the conduct of these
programmes. Instead of making the authorities aware of the needs and attitudes of
people at the village level, the BDO started making the villagers aware of the
government's plans and policies and the funds available for them. One might say that
the "spirit had been taken out of community development. Another consequence of
the same cause was to make Panchayati Raj increasingly irrelevarit to economic
planning and administration .... When planning became individualised and
administration became more centralised, the panchayats' economic functions
atrophied".
The decline in the grass-roots planning, it must be emphasised, cannot be dated
strictly as it was a gradual process. The change was visible from around 1960s and
by the end of the decade the Community Development Programme had lost its
spirit. But "at no time was a decision made to replace Community D e v e b p n t and
Panchayati Raj nor have they been abolished". They were simply made ineffective
through neglect.
12.5 ATTEMPTS AT REVIVAL

By mid 1970s the food problem had eased somewhat. However, it was realised that
excessive concern with growth in production has led t o the neglect of the goal of
equity. Studies showed that during the 1960s, while production increased, the
percentage of people below the poverty-line remained virtually constant. Important
segments of the rural population, specially the small and marginal farmers and
labourers, and large parts of rural India, specially the non-irrigated areas, were by-
passed by the green revolution. As disparities grew and discontent mounted, often
manifesting in violent movements as in Naxalbari, policy makers gave greater
prominence to the removal of poverty ('garibi hatao') and attempted to broaden the
base bf development. Several Centrally Sponsored Schemes were launched-for
example, the Drought Prone and Desert Areas Development Programmes; Hill Area
Development Programme; Marginal, Small and Agricultural Labourers'
Programmes; and Employment and Rural Works Programme, reflecting the shift in
emphasis.towards "poverty alleviation". These attempts at broad-basing development
about which you have read in Block 2 of this course logically revived interests in
grass-roots planning. Since mid 1970s a number of attempts have been made to
revive the spirit of decentralised development.
The 'Report of the Working Group on Block Level Planning' (1978) is one of the
important attempts in this direction. This report, known as the report of the
Dantwala Committee, grew out of the concern for a) generating employment,
b) assuring basic minimum needs, c) effective spatial planning for rural socio-
economic infrastructure, and d) promoting equity. In fact, the Committee in its
report enumerated these, inter alia, as the goals of the block-level planning. The
achievement of these objectives through planning required technichl competence to
plan. The Dantwala Committee found that such expertise was absent at the block
level. It stated that the "The present staffing pattern at the block is mainly tuned to
implementation tasks and not so much towards planning functions. 'The set-up
basically consists of a Block Development Officer who is assisted by five Extension
Officers, each in the fields of agriculture, animal husbandry, co-operation,
panchayats and rural industries. The other staff consists of an Overseer, a Social
~ducation'organiser;a Progress Assistant and VLWs. In the block, there are also G m Roots Pluming
Veterinary Stockmen, a Medical Officer, a Sanitary.lnspector and a Lady Health
Visitor, some of them with the necessary supporting staff. In some states there is also
an Extension Officer for programmes relating to women and children. Thus it may
be seen that the staffing pattern at the block, level is essentially meant for getting the
development programmes implemented in the field. There is a Progress Assistant
who keeps record of the plan programmes and their progress and assists the BDO in
sending regular progress reports. Beyond this, there is no other person assisting the
BDO in the planning functions*.
However, despite recognising the absence of planning perionnel at the block level,
the Dantwala Committee did not recommend that such personnel should be inducted
at the block level. Realising that planning skills were scarce it recommended the
constitution of a District Planning Cell which would be entrusted with the task of
formulating both district and block plans: "... we are visualising the-planning team
located in the district essentially as a peripatetic team, which will move down to the
selected blocks and prepare the block level plans in association with the BDO, the
Panchayat Samiti, voluntary agencies and other concerned persons at the block
level". Thus the Committee was trying to introduce block-level planning without
changing block-level administration. It laid greater stress on the technical tasks, like
collection of data and assessment of public opinion, to the block administration.
This emphasis on the technical aspect of planning led it to underplay the roles of
both the administration and the Panchayat Samitis. In the absence of popular
involvement, the Dantwala Commitee's recommendations fall far short of what is
understood by 'grass-roots planning' though its strength lay in its attempt at
upgrading planning capabilities at the sub-state levels.
The Asoka Mehta Committee in its report published in the same year as the
Dantwala Committee report (1978) endorsed the latter's proposal of locating the
technical planning team at the district level. The Asoka Mehta Committee gave
primacy to the district as the basic unit of decentralisation which was a fundamental
departure from the system that had developed following the Balwant Rai Mehta
Committee re,commendations of making the block and the Panchayat Samiti as the
key units of decentralisation. The Asoka Mehta Committte assigned practically no
role to the block. It suggested a two-tier Panchayati Raj structure comprising the
Zila 'parishad a t the district level and Mandal Panchayats at the sub-block level with
a jurisdiction over a number of villages and covering a population of 15,000 to
20,000. The existing block level Panchayat Samitis were to be converted into "non-
statutory executive committees of Zila Parishads and when the Mandal Panchayats
become active, most of their functions would be.taken up by the -Mandal
Panchayats".
The Mandal Panchayats, the Asoka Mehta Committee suggested, would comprise
directly elected members and representatives of Farmers' Service Societies with
provisions for representation of women and of members of scheduled castes and
tribes. As regards planning, their roles were seen as implementation and promotion.
They were to be responsible for implementation of the schemes and projects assigned
by the Zila Parishad. They would also "play a promotional role activating
community action, build up organisation and project formulation". To enable them
to function effectively, the Mandal Panchayats should have "purposive work
allocation and transfer of money component alongwith the functions assigned to
them for implementation". Thus the Mandal Panchayat was visualised as essentially
an implementing authority with clear demarcation of functions and financial
resources. Their role in plari formulation was.to be supplementary to the Zila
Parishad role: "... the Mandal Panchayats ... would have a key role in supplying the
necessary information about the various schemes and suggest the potential areas of
development as well as their requirements to the Zila Parishad ... The Planning unit
at the district level should take note of the views articulated by the hiandal
Panchayats from time to time".
Although both the Dantwala and Asoka Mehta Committees favoured planning at
the district level, the problems of implementation of anti-poverty programmes,
sponsored by the central government, simultaneously increased the need for
operational planning
Downloaded from:- the block level. A set of guidelines were issued by the https://t.me/Upsc_Zone_Official
at https://t.me/Pdf4Exams
Ministry of Rural Development which sponsored most of these programmes and

these guidelines gradually evolved into the "Operational Guidelines on Block Level
Plans for Integrated Rural Development Programmew(1982). This was definitely an
exercise in planning to be undertaken at the block level but it was planning for the
purpose of implementing a centrally sponsored programme and hence had little of
autonomy and people's participation. But it did highlight the important fact that
even implementation of a programme requires planning at the grass roots level.
The idea of compiehensive decentralised planning was again taken up by the
Hanumantha Rao Committee (Working Group on District Planning, 1984). This
Working Group reiterated the earlier recommendation that "block planning should
also be entrusted to District Planning Teamw. The purpose of block planning should
be, in addition to the goals of district planning of which the blocks are components,
the reduction of intra-district disparities for which the district planners should
develop suitable intradistrict variation indicators: However, unlike the aDantwala
Committee, the Working Group recommended the introduction of planning
personnel at the block level also : "There should also be a Planning Officer of BDO's
rank at the block level assisted by two Research Assistants and a Typist and a
messenger to help the (District) Chief Planning Officer t o coordinate the Block Level
Programmes with regard to intra-block gaps in development and amenities". To put
multi-level planning on a sound footing it also stressed the need for a "single
planning cadre for the state comprising the technical planning staff at block.
district and state levels". Thus the need for making changes in the block level
administration was realised.
This need (of restructuring block administration) was an important recommendation
of CAARD (Report of the Committee to Review the Existing Administrative
Arrangements for Rural Development and Poverty Alleviation Programmes, 1985).
The CAARD noted that the "block-level set up has Iost its original preeminent
position in development administration ... (and) there has been proliferation of
agencies and programmes over the last three decades". The size of the budget
handled by the block has increased several fold and the complexities and technical
content of the various schemes have also increased. The CAARD therefore
recommended that the Block Development Officer should be upgraded and should
be headed by an 'Assistant Development Commissioner of the status of a S u b
Divisional Officer'. Though the committee was of the view that the block should be
"the sheet-anchor of the entire rural development process", it was prepared to accept
smaller units like the Mandals, as recommended by the Asoka Mehta Committee, as
the basic unit of grass-roots planning (in addition to the Village Panchayats). In fact,
it left the choice of the appropriate unit of area planning below the district to the
state government. Some states (for example, Andhra Pradesh hnd Karnataka) have
adopted the Mandal as the basic sub-district unit for decentralised planning. But in
most states there has been little change and grass-roots planning below the district
level remains neglected.

1) Discuss the reasons for the failure of grass-roots planning.
.........................................................................................
.........................................................................................
.........................................................................................
2) What attempts have been made to revive the institutions at the grass-roots level.

.........................................................................................
. .
,~ . . .
Craw Roots Phaning
12.6 LET US SUM UP

Grass roots planning in India, we have seen, has not been made operational though
attempts have been made in this direction. The attempts, in their earli - phase,
concentrated on building representative institutions which would reflect the will of
the people and would be the sttuctures of local democratic government. At the same
time the bureaucratic structure was brought to the level below the district and a
significant part of this bureaucracy was entrusted developmental tasks. The aim of
these efforts was to allow people to choose their representatives who, in co-operation
with officials and experts, would draw up and implement development plans. This
attempt had only a limited success due to the paucity of planning skills and th'e
rigidity of the programme.
Recent attempts at reviving grak-roots planning have focused more on the creation
of technical competence and has relatively under-played the importance of people's
participation. What this may lead to is that the lower levels of bureaucracy may be
equipped with planning skills and provide greater autonomy to decide on the
implementation and even the planning of a few projects and schemes. Both these are
welcome developments but are still not enough. Grass-roots planning, in its very
essence, requires people's participation. As more and more of bureaucracy enters the
vilages for developing rural India, the people may lose their dignity and become
mere 'beneficiaries' of development programmes and 'target-groups' for loan-subsidy
schemes. The spirit of self-help', so central t o the community development concept. is
also the key to the process of decentralised planning.
Thus in this unit we have discussed the objectives of the Community Development
Programme and the Panchayati Raj structures which were designed to promote grass
roots planning. We noted that though important structures were created
decentralised planning could not become operational and subsequently declined. The
reasons for this were analysed. Finally, we noted the recommendations of various
recent committees which have attempted to promote grass-roots planning in India.
12.7 KEY WORDS

Cess : A proportionate fee on land revenue levied for building a fund for some
special purpose.
Green Revolution :The strategy, adopted in the 1960s, for rapid growth in
agricultural production through intensive use of high-yielding seeds, water and
fertilisers.
People's Partlclpatlpn :lnvoivement of the populace in plan formulation and
implementation generally achieved through elected local bodies.
Peripatetic : A peripatetic is a person who travels around and stays for short periods
of time in different places, often in order to work in those places.
Poverty Alleviation : Reducing the number of people below the "poverty line"
(defined as the income necessary to purchase foodgrains to fulfil a minimum
standard of food intake).
Schematic Budget :The block budget under the Community Development
Programmefixing the amounts of permissible expenditures under different heads.
Sub-State Level :Level below the state and above the district.
Toll :Money paid for the use of a road, bridge, harbour etc.
47
REFERENCES
Neale, Walter C. 1985. Indian Community Development, Local Government, Local
Planning, and Rural Policy Since 1950 : Economic Development and
Cultural Change, Vol. 33, No. 4.
P>.nning Commission. 1978. Report of the Working Group on Block Level
Planning : Government of India : New Delhi.
Prasad, Kamta (Edited). 1984. Planning and its Implementation; lndian Institute of
Public Administration : New Delhi.
Venkatesan, V. 1986. Rural Development Administration in Dantwala, M.L.and
others, lndian Agricultural Development Since Independence : Indian
Society of Agricultural Economics. Oxford and IBH : New Delhi.
ANSWERS TO CHECK YOUR PROORESS

EXERCISES
the programme aimed a t bringing about economic and social development a t
the grass-roots level
the underlying philosophy of the C D P was that all aspects of rural life are
interrelated
the key elemznts of the CDP were people's initiative and participation
encouraged and aided by an extension organisation
it was stressed that the block level set up was a "medium" through which the
various development departments would function.
the Balwant Rai Mehta Committee recommended the establishment of a three
tier structure for Panchayati Raj institutions
these institutions were to have elected panchayats at the village level, an
executive body called the Panchayat Samiti at the block level and a n
advisory body called'a Zila Parishad at the district level
the team recommended that the basic unit of democratic decentralisation
should be located at the block/ samiti level, the Panchayat Samitis were
entrusted all the development tasks which the block was to hndertake under
the CDP
the development tasks of the Samitis included development of agriculture,
animal husbandry, industries, health, primary education, social welfare etc.

absence of a clear idea and expertise regarding planning at the block level
block plans were mere summary statistics and accounts
heavy reliance of the Community Development Programme on the
bureaucracy, resulting in continued conflict between the Samitis and the
officials
bulk of the schematic budget pertained to agricultural development
conflict between economic imperatives at national level and local needs
community development as a joint project was not successful.

I /
2) Your answer should include the following points : G n u Rootr h m b g

the attempts at broad-basing development by launching several centrally
sponsored schemes revived interest in grass-roots planning
Dantwala Committee was appointed to develoi ru?al socio-economic
infrastructure to assure basic minimum needs and generate employment
the Committee recommended the constitution. of a District Planning Cell
Asoka Mehta Committee suggested a two-tier Panchayati Raj structure
comprising of Zila Parishad a t the district and Mandal Panchayats at sub-
block level
Hanumantha Rao Committee recommended that block planning should also
be entrusted to District Planning Team
Rao Committee recommended the introduction of planning personnel at the
block level
CAARD recommended that block should be the sheet-anchor of the entire
level development process.

UNIT 13 ROLE OF BUREAUCRACY

Structure
Objectives
Introduction
Expanding Role of the State and Bureaucracy
Role of Bureaucracy in Policy Formulation
Role of Bureaucracy in Policy Implementation
Review of the Rojects and Rogramrnes
Problems of Bureaucratisation
Let Us Sum Up
Key Words
Some Useful Books
13.0 OBJECTIVES
After reading this unit, you should be able to:

understand the expanding role of stzte and bureaucracy;
explain the role of bureaucracy in policy formulation;
describe the role of bureaucracy in policy implemeritation; and
highlight the problems of bureaucratisation.
,
13.1 INTRODUCTION
The term bureaucracy refers to the body of employees in a large-scale organisation.

More specifically, it refers to a body of employees in authority relationship within an
organisation. Thus every large business organisation has its bureaucracy; in the
government there are civil and military bureaucracies. In the literature of Public
Administration, the term civil bureaucracy has a wider connotation than the term civil
service. Thus, while employees of autonomous corporations are not counted among civil
servants, they are said to belong to the bureaucracy. It is notable that the bureaucracy
does not include elected politicians: it consists only of appointed employees. In
common usage, the term bureaucracy is sometimes also used to refer to routine and
delay in official work. However, in the study of Public Administration, while routine and
delay are taken into account, the term bureaucracy is used to refer only to appointed
officials.
The term development is generally used to refer to economic, political and social
changes such as increase in national income, industrialisation, strengthening of the
nation state, urbanisation, spread of education and wider use of mass media such as
newspapers, radio and television. The bureaucracy, both governmental and business,
participates in bringing about these changes and, so, is said to be an important
instrument of development. However, there is a big debate about this conception of
development, and hence about the role of the bureaucracy. Thus, Mahatma Gandhi
maintains that such development, modelled on Western Civilisation, accentuates
selfishness and violence, leads to concentration of power and wealth, and puts emphasis
on material needs instead of spiritual development. His ideal society would, therefore,
do away with all concentration of power and wealth, and hence also with bureaucracy.
Karl Marx is also opposed to concentration of power and wealth. In his view, this
concentration reaches its maximum in capitalist society; the supercession of capitalism
would in the course of time, do away with the bureaucracy also. Max Weber maintains
that the bureaucracy is an efficient instrument for implementing policies .of state. But it
is also a source of alienation in the society. We thus, note that both, the conception of
development and the role of bureaucracy, are highly controversial matters. In studying
the role of the
Downloaded bureaucracy
from:- in development, therefore, we should be careful to note
. . . ..- .. . . ... .
Bureaucrncy and Development

13.2 EXPANDING ROLE OF THE STATE AiND
BUREAUCRACY
The people in developing societies suffer from a number of problems, such as poverty,
unemployment, bad health, illiteracy, corruption and authoritarianism. The state is
considered to be the main agency for dealing with these, or, in other words, for bringing
about development. Hence the state has to shoulder more and more responsibility. Since
the state functions through the government, and the government, in turn depends to a
large extent upon the bureaucracy, the bureaucracy's role also keeps expanding. We
shall briefly examine the contribution of bureaucracy in the various aspects of
development.
i) Role of Bureaucracy in Economic Development
In the eighteenth and nineteenth centuries it was believed that the state should restrict
itself to the country's defence and the maintenance of law and order, and that it should
intervene in the economy as little as possible. This view changed, particularly after the
Great Depression of the 1930s, in which millions of people became unemployed the
world over. Nowadays, all governments are expected to regulate the economy so as to
bring about an inckase in production, a high level of employment, mderate prices of
commodities, and check over monopolies and unhealthy trade practices. The need for
such regulation of the economy is all the more @at in developing cohtries like India
due to widespread poverty and unemployment on the one hand, and the great power of
monopolists on the other. The government regulates the economy through fiscal policies
(by modulating taxes), and monetary policies (by modulating money supply). Planning,
which means resource allocation through a centralised administrative process, is
resorted to for achieving economic growth. The government develops means of transport
and communication. It provides loans and raw materials to industrialists and fanners. All
these governmental activities are performed by government departments, nationalised
banks and other public undertakings through their officials. Hence the bureaucracy has a
very important new role, namely that of functioning as the agent of economic
development. More and more economists, statisticians and trained managers are needed
for the proper performance of this role.
ii) The Role of Bureaucracy in the Welfare State
In recent times there has been a tendency for entrusting the state with more and more
responsibility for social services, such as the provision of education, health care,
employment, labour welfare, the welfare of the blind and other handicapped persons,
and the welfare of widows and orphans. So much importance is attached to these new
functions that the state has been renamed as the welfare state.
The provision of such varied social services requires large numbers of different types of
specialists, such as teachers, doctors, nurses, labour officers and social workers. With
their recruitment as members of the bureaucracy, the nature of the bureaucracy tends to
change: the new role requires a new kind of bureaucracy.
iii) The State and Bureaucracy as Agents of Social Change
In olden days prophets and saints like Gautarn Buddha, Jesus Christ, Guru Nanak ahd
Swami Dayanand called for changing various social practices, norms and rituals.
Nowadays, however, many such changes are sought to be brought .about with the help of
laws. Thus, untouchability, bigamy, child marriage and dowry system have been
declared illegal.
iv) The State and Bureaucracy as Agents of Political Development
The emotional bonds of nationalism are often weak in new nations. However, unless
these bonds are strengthened, the nation is in danger of falling apart, as happened, for
example, in Pakistan from which Bangladesh broke away. The state and its bureaucracy
play an important part in strengthening these emotional bonds. Thus national integration
is sought to be promoted through education, radio and television programmes, .
development of native lilnguages, publication of good quality literature in native
languages, cultural and sports activities in which persons from all parts of the nation
participate, and so on. These programhes are often conducted by members of the
bureaucracy.
In a country where the national bonds ark weak, having a bureaucracy which is Role of Bureaucracy
centrally recruited and whose members serve in different parts of the country, also helps
to hold the nation together.
Political development is also promoted by strengthening interest groups, such as labour
unions. Legislation which sanctions and supports trade union activity thus helps to bring
about political development. Insofar as the bureaucracy participates in the formulation
and implementation of such legislation, it has a role in political development.
Political parties also constitute an important part of the political system. In some
countries nowadays political parties are provided with election funds by the state. This
reduces the dependence of the parties on the rich, helps to curb comption, and
promotes political development.
Elections constitute an important part of the democratic political process. They must be
conducted with honesty and impartiality; otherwise the people will lose faith in the
system and it is likely to collapse sooner or later. Insofar as the bureaucracy conducts
elections honestly and efficiently, it helps to maintain and d e v e l o ~the political system;
for, it is through elections that new parties and leaders come to power and implement
programmes of social change desired by the people.
--
13.3 ROLE OF BUREAUCRACY IN POLICY

FORMULATION
Till about fifty years ago it was believed that in democratic government while
politicians formulated policy, the bureaucracy implemented it. However, research work
has shown that this is not wholly true. The making and implementation of policy are sq
deeply interconnected that it is impossible to separate them. Thus the formulation of
new policy requires an understanding of the reasons for the successes and failures in
regard to earlier policies. This feedback can best be provided by members of the .
bureaucracy due to their wide experience and knowledge. In other words, since
members of the bureaucracy often stay in their jobs longer than politicians, and since
they have more detailed information, their advice on policy matters comes to constitute
a valuable contribution. Their role in policy formulation has tended to gain importance
also due to the expansion of the role of the state, as discussed above. Thus, now it is
well recognised that both in developed and developing countries, the bureaucracy plays
an important role in policy formulation. What is notable is that its role in policy
formulation is much greater in developing counmes than in developed ones. We shall
now discuss the reasons for this.
i) Bureaucracy as a Channel of Communication
The society consists of different sections, such as those of farmers, landlords, workers,
small businessmen, big businessmen, and so on. Their interests conflict to some extent.
It is the function of the state to bring about a balance among their interests, so that the
interests of each section are fulfilled as far as practicable in the given economic
situation. Hence the aspirations, needs, problems and grievances of each section have
to be communicated to the government. This communication between the government
and the various sections of the society takes place, to a large extent, through the
bureaucracy. Thus, if the farmers in an area suffer from some problem, such as lack of
water for imgation, they generally approach officials like the Deputy Commissioner,
who communicates the problem to higher level of the administration: they may make
proposals for imgation facilities in the five year plan and the budget. In this way
communication through the bureaucracy may help in the formulation of policy proposals
for meeting the needs of the people.
In developed countries there is another channel also. This channel, between the people
and the government, runs through interest groups and political parties. An interest group
may be an association for putting forward the interests of a certain section. Thus a trade
union is an interest group for articulating the interests of workers. After the demands of
the various sections have thus been articulated, they are considered and collected
together by political parties in their election manifestos. Such aggregation of interests
t'
BurauCraC~and Development workers, as articulated by trade unions and aggregated by political parties, have led to
labour laws in many countries. These laws contain the labour policies. In this way,
communication through interest groups and political parties leads to the formulation of
policies for fulfilling the demands of the various sections of the people.
In developing countries, however, interest groups and political parties are often either
weak or non-existent. Thus in India, there are hardly any associations of landless labour,
or of artisans such as weavers and carpenters. Most political parties exist in villages
only in name. In towns also their offices seem to crop up only at the time of elections.
Due to such weaknesses of interest groups and political parties, articulation and
aggregation of interests is often not possible through them. Hence the bureaucracy often
remains the only mechanism for the conversion of demands into policies. In this way,
the bureaucracy plays a more important role in policy formulation in developing
countries than in developed ones.
ii) The Bureaucracy as a Repository of Information
The formulation of policy requires a lot of information. Thus one needs to know why
certain policies failed earlier. For example, suppose the policy of expanding secondary
education in villages failed earlier mainly because of poverty, boys and girls had to
earn their own upkeep and so parents could not afford to send them to, school. This
information helps in devising a new policy which combines training in productive work
with literary education, so that the youth earn while they learn. The bureaucracy has the
advantage of long experience, while politicians come and go. The experience of the
bureaucracy makes it a repository of information about the past. Further, the
bureaucracy has access to information which is contained in records, such as files. Such
information can be much older than what any person can remember. Since officials
consult these records often, they know about old cases also. We also need .information
about differences in the various regions, so that the policy may provide for these. Thus,
irrigation facilities in the hills may have to be different from those in the plains. Since
officials are transferred from place to place, they come to know about different areas.
What is even more important, members of the bureaucracy have access to secret
information, it can be information relating to control of smuggling, conduct of foreign
affairs and regulation of the economy. Since such secret information is essential for
policy fommlation, the bureaucracy comes to have an important role. Thus we note that
since the bureaucracy has access to often secret information relating to different time-
frame and areas, its advice is considered by ministers to be weighty, and thus it comes
to have an important role in policy formulation.
iii) Bureaucracy as a Group of Technical Advisers
The bureaucracy comes to have an 'important role in policy formulation also because of
the technical knowledge possessed by it. There are three main reasons for it: (i) growth
of science and technology, (ii) expanding role of the state, and (iii) increasing
complexity of the administration. The growth of science and technology changes the
nature of agricultural and industrial production. Thus agriculture nowadays requires the
use of chemical fertilisers, pesticides, high yielding varieties of seeds, pump-sets and
tractors. The formulation of agricultural policy requires knowledge of these. Such
knowledge is possessed by specialists in agricultural science. Similarly, specialists are
required in areas like health, education, industry, control of crime, and so on. Hence
specialists of almost all kinds are nowadays recruited as members of the bureaucracy
and their advice is depended upon in the formulation of policies. The expansion in the
role of the state makes for dependence upon economists, accountants, lawyers and
others since their advice is needed for regulation of the economy: checking the growth
of monopolies, providing employment, controlling prices, and so on. As the role of the
state expands, the administration tends to become bigger and more complex.
Maintenance of administrative effectiveness and efficiency, then, requires persons
having specialised knowledge and experience of administration and management. Thus
specialists of various kinds in the bureaucracy come to influence policy formulation.
It needs to be emphasised that policies often take the shape of laws. Thus the sale of
high yielding varieties of seeds is controlled through the Seeds Act. Labour policy is
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contained in laws like the Industrial Disputes https://t.me/Upsc_Zone_Official
Act. The policy relating to income-tax is
contained in the Income-Tax Act. Hence giving concrete shape to a policy often
only deciding upon its ingredients but also formulating it in thekmdAtws*The Rok of Bureaucracy
drafting of laws and rules necessarily requires specialists in the substantive area (such
as agriculture, health or economics) and also in law. Hence policy formulation, or
giving the shape of laws and rules to policies, is largely done by specialists. It is true
that laws and rules drafted by specialist members of the bureaucracy are later examined
and modified by ministers and legislators. However, ministers and legislators often do
not have understanding of the intricacies of scientific and legal matters. Therefore they
have to depend to a large extent upon specialists in the bureaucracy. In this way the
bureaucracy comes to influence policy formulation.
iv) Bureaucracy as an Impartial Adviser

The society is made up of several sections, whose interests to some extent conflict.
Thus higher wages are in the interest of workers, buf not in the interest of industrialists.
The government is expected to maintain a balance betwetn these conflicting interests.
This is what the government tries to achieve through its policies. Hence the formulation
of policies requires the advice of persons who are impartial, or neutral, between the
different sections. Members of the bureaucracy are expected to function in this impartial
or neutral manner; hence they come to be depended upon for advice relating to policies.
The bureaucracy is neutral in another sense also. Politicians come and go with
elections, 'both as legislators and as ministers. However, civil servants continue to serve
governments of different parties. They are expected to serve and advise every
government for bringing about a balance between different interests. Hence civil
servants are considered to be neutral in a dual sense: between contending interests and
betweep political parties. Their advice on policy is considered to be especially valuable
for being impartial.

Note: 1 i) Use the space given below for your answers.
1 ) What is the contribution of bureaucracy to the various aspects of development ?
2) Explain the statement:

"Bureaucracy acts as a channel of communication".
3) "Bureaucracy acts as a neutral adviser". Discuss.

Bureaucracy and Development

13.4 ROLE OF BUREAUCRACY IN POLICY
IMPLEMENTATION
The main function of the bureaucracy is policy implementation, that is, giving effect to
policies after they have been approved by the executive and legislative branches of the
government. This function also is performed under the overall control and supervision of
politicians in the executive and legislative branches; however, members of the
bureaucracy have to bear much of the responsibility for implementation.
Policy implementation has four stages, as follows:

1) Formulation of projects and programmes
. 2) Project planning
3) Making provision in the five year plan &d the budget, and .
4) Execution of the programmes

We shall now deal with these stages oiie by one.
1) F~rmulationof Projects and Programmes

For implementation, a policy has to be broken up into projects, and each project into
programmes. Thus, for implementing the policy of rural development, there are projects
like that of Community bevelopment. Under the Community Development Project,
there are various programmes. Similarly, under the new education policy, there is the
project of Navodaya Vidyalaya. Each Navodaya Vidyalaya constitutes a programme.
The sizes of projects and programmes can vary: some are very large while others are
small. What is notable, however, is that the implementation of a policy requires
activities of various kinds. Some of these are chosen and given the name of projects.
Again, each project requires action under various heads and at different places. Some of
these are chosen and given the name of programmes. Which of these shol~ldcome first
and which later, is decided mainly by specialist civil servants on technical grounds;
thus irrigation facilities have priority over fertilisers.
2J Project Planning
h j e c t planning must be distinguished from economic planning. While economic
planing refers to allocation of resources among different sectors and areas, project
planning means administrative planning for the implementation of a single programme,
such as that of malaria eradication in a given area, or the setting up of a hospital. The
first step in planning a project is the collection of the necessary information and
statistical data from the field. Thus while setting up a hospital or a school, we have to
decide where exactly it should be located. This requires information about the
concentration of pulation so that the school is built near the residence of most
children; about
%9" roads in the area so that the school may be reached easily; about the
utilisation of lan in the area so that infertile land, rather than good agricultural land, is
used for the purposes of the school; and so on. With the help of such data a study of the
/ feasibility, or practicability, of the programme in the area is made. For example, its
cost-benefit analysis is made: in other words, the costs and benefits of different
locations, sizes, and functions are calculated and compared. Once the functions, size
and locations, sizes, and functions are calculated and compared. Once the functions,
size and location have been decided upon, estimates of the cost of land and buildings,
of the necessary equipment, of the additional personnel required, and of the time it
would take to set up, are prepared. The making of these analysis and estimates requires
expert and specialist civil servants. On the basis of these, a proposal is prepared and
submitted for examination and approval to overhead agencies, like the Ministries of
Planning and Finance.
3) Preparation of Plan and Budget

The economy may be divided into sectors of agriculture, industry and services (such as
health and education). It has to be decided how much money and other resources should
be spent on the development of each sectbr. Broad decisions relating to such allocation
of resources are taken for a five year period since many of the projects and programmes Rok of Bureaucmy
take several years. Thus it may take several years to build a dam. Hence a five year
plan is prepared for allocating resources among different sectors, and also among
different areas, some of which may be less developed than others. More detailed
allocation of resources is made every year for each department, project and programme
through the budget. The activities of every department are important and each one of
them asks for more and more money. However, the total amount at the disposal of the
government is limited. Since all the demands of all the departments cannot be met,
money is provided for the more important projects and programmes, and the less
important o@esare left out. This process of selection involves the comparative
evaluation of projects, and within each project, of programmes. Apart from such
selection, there is the detailed scrutiny of each head of expenditure under a programme.
These functions of planning and budgeting are performed by agencies like the Planning
Commission, the Ministry of Planning and the Ministry of Finance. The activities of
analysis, evaluation, comparison and scrutiny of proposed expenditures relating to
various departments, projects and programmes requires a lot of expertise and
experience. Civil servants, who possess such expertise and experience, are therefore
dependent upon for performing these activities and drawing up the five year plan and
theannual Budget. It must be noted, however, that they are prepared under the over-all
control and supervision of Ministers. Finally, the Plan and the Budget require the
approval of Parliament. Members of Parliament and Ministers are elected
representatives of the people. They control the preparation of the Plan and the.Budget
so that these reflect the needs and aspirations of the people. Such control is a condition
of democracy. At the same time, efficiency of administration is achieved through the
application of specialised knowledge and experience possessed by the bureaucracy.
4) Execution of the Programmes

Execution means canying a programme into effect. It has to be done in stages. Thus if a
school is to be built, the first step is to acquire the land and to construct the building.
Then the teachers and other staff members have to be recruited; they may also be
transferred from other schools. Some of them ,may have to be sent for training. The
equipment for class rooms and laboratories hasalso to be acquired. These activities of
acquiring land and equipment, getting buildings constructed, and arranging for trained
teachers, are all performed by specialised &d experienced civil servants. Thus building
construction may be the responsibility of engineers in the Department of Public Works,
and provision of attendance registers may be the responsibility of officials in the
Department of Printing and Stationery. After such basic requirements have been met,
officials of the Edlication Department would arrange for the teachers. Thus civil servants
in various departments have to function in a coordinated manner for canying out various
programmes. To ensure such coordination and the execution of programmes within the
given time frame, all officials are required to submit reports to their seniors about their
achievements periodically. By examining the reports, officers at high levels are able to
exercise control over the execution of programmes. Thus execution is mainly the
responsibility of the bureaucracy.
i3.5 REVIEW OF THE PROJECTS AND

PROGRAMMES
To ensure that the objectives of a policy have been fulfilled and there has been no
wastage of money and other resources, the implementation of every project and
programme is periodically reviewed. Review is done at several levels. Within every
Ministry, each programme is reviewed after its completion. At the time of the
preparation of the budget, every year, achievements with regard to all programmes are
reviewed, both, by the Ministry concerned and the Finance Ministry, at the time of the
preparation of the budget. The Comptroller and ~ u d i t o ~r & e r a lmakes a review of all
programmes in the course of auditing expenditures. The Planning Commission makes a
review ~f the implementation of all the policies over the past five years while preparing
a new five year plan. It also reviews their implementatibn in the' middle of the five year
period. All these reviews are made, initially, by specialised and experienced civil
servants, who thus help to ensure effedtiveness arid efficiency.
Bura~lrraqa d Development
13.6 PROBLEMS OF BUREAUCRATISATION
While on the one hand the use of the bureaucracy leads to efficiency, on the other, it
gives rise to c e d n problems. Thus bureaucratisation results in an emphasis on routine
and detail, leads to red tape (delay), and gives rise to complaints of unresponsiveness
of the bureaucracy to the people. The bureaucracy has a tendency to expand, so that in
the course of time a large portion of the expendim on a programme goes for paying
the bureaucracy instead of meeting the objectives. Thus in a programme for the
development of fisheries, the help given to fishermen may nun out to be less than the
salaries and allowances duwn by the bureaucracy. Other, more important problems are
related to the power of the bureaucracy. The power of the bureaucracy arises from its
role in policy formulation and implementation. In developing countries, because of the
weakness of interest groups and political parties, the bureaucracy often comes to play
an important role. While politicians may be amateurs, they represent the people and
have to take into account their needs and aspirations. Bureaucrats, however, are under
no such compulsion they often pay more attention to their own interests. Hence it is a
condition of democracy that the bureaucracy should remain firmly under the control of
the elected representatives of the people. In most developing countries, however, the
bureaucracy tends to be too powerful. Indeed, in many of these countries the military
and the civil bureaucracy together assume full power, remove the democratically
elected rulers and themselves become rulers. Such dictatorships are in existince in
many developing countries. The way to deal with these problems is to make the people
aware of their rights and power by educating them, organising them in asdociations and
political parties, and to develop bodies of local self-government through which the
people can rule themselves with less dependence on the bureaucracy.
..
Check Your Progrew 2
NpbC. i ) Use the space given below for your answers.
U) Check your answers with those given at the end of the unit.
1) Discuss the various stages of policy implementation.
_".."....."......... ......""........................................................................................................................................
.............. .......................... .................................................................................................................................
2) Explain the role of bunxucmpy in programme planning.
-!."........ ",.-b.
" ..."- ....."."."................................-..... ..............-...."."..............................
..................
...... .......................... ".-.................

.....................".....................................................................................
3) Describe the role of bureaucracy in the execution of programmes.

4) Critically evaluatc the problems of bureaucratisation.
LET US SUM UP
The role of the state and its bureaucracy in bringing about economic, social and
political development is expanding. The bureaucracy participates in policy formulation
by functioning as a channel of communication, a repository of information, as a group of
specialists and as an impartial adviser.
It implements a policy by bkaking it up into projects and programmes, by planning
each programme. by preparing the five year plan and the budget, and by executing the
programmes.
The bureaucracy in each Ministry, and also in overhead agencies like ,the Finance
Ministry and the Planning Commission, periodically reviews the implementation of
each programme.
The problems of bureaucratisation emerge due to the unnecessary emphasis on routine,

red tape, unresponsiveness to the people, increasing cost of administration, the great
power of the bureaucracy and the danger of dictatorship. These problems can be dealt
with by educating the people, by organising them in associations and political parties,
and by developing panchayats and municipal bodies of local self-government.
*
KEY WORDS
Budget: A statement of financial position (e.g. of an organisation) for a definite period
of tiroe (e.g. the following year) based on estimates of expenditure ,and .income during
the period.
Bureaucracy: The term bureaucracy has been derived from the word 'bureau' which
means an office or post. Hence bureaucracy refers to officials holding a post or office
exercising their power to carry on their constitutional duties and obligations.
Navodaya Vidyalaya: Navodaya Vidyalayas (Schools) are spread all over the
country. They are organised by an autonomous organisation i.e. Navodaya Vidyalaya
Samiti under the Department of Education, Ministry of Human Resource Development,
Government of India. Their broad aims are:
to serve the objective of excellence coupled with equity and socld justice
a to promote national integration by providing opportunities to talented children

largely rural, to live and learn together
to develop their full potential and
to become catalysts of a nation-wide programme of school improvement.
Review: The examhation of the implerilentation of each programme, to find out

whether the policy objectives have been fulfilled, and whether the implementation has
been done efficiently.
Almond, G.A. and G.B. Powell, Jr., 1966. Comparative Politics: A Developmental
Approach, Arnerind Publishing Co. : New Delhi.
Heady, Ferrel, 1966. Public Administration: A Comparative Perspective, Prentice-Hall:
Englewood Cliffs, N.J. .
Jain, R.B. (ed.), 1983. Public Services in a Democratic Context, Indian Institute of
Public Administration: New Delhi.
Walombara, Joseph (ed.), 1967. Bureaucracy and Political Development, Princeton
University Press: Princeton, N.J.
Riggs, Fred W., 1964. Administration in Developing Countries, Houghton Mifflin:
Boston.

EXERCISES

Role of bureaucracy in a welfare state
Role of bureaucracy in economic development
Bureaucracy as an agent of social change
Bureaucracy as an agent of political development
Through bureaucracy, communication takes place between the government and
the various sections of the society.
The channel between the people and the government, runs through interest
groups
Bureaucracy is expected to be neutral between the different sections of the
society.
Bureaucracy is expected to be neutral between the political parties.
Formulation of projects and programmes
Roject planning
Reparation of the five year plan and the budget
Execution of the programmes
Bureaucracy collects data from the fields
Makes a kasibility study
Decides about the functions, size and location
Prepares an estimate of the personnel and the cost involved.
Bureaucracy acquires the land
Gets the building
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Purchases the equipment Role of Bureaucracy
Arranges the personnel

Functions in a coordinated manner for carrying out various programmes
Bureaucratisation leads to red tape (delay)
Unresponsiveness to the people
Expansion in bureaucracy leads to increasing costs
Fulfilment of its interests rather than policy objectives
Dangers of dictatorship.

UNIT 14 COLONIAL HERITAGE OF

INDIAN BUREAUCRACY
Structure
Objectives
Introduction
Political Heritage
Classification of Bureaucracy
Recruitment
Romotion
Conditions of Service
Organisational Heritage
Procedural Heritage
Political Heritage
Cultural Heritage
Let Us Sum Up
Key Words
Some Useful Books
Answers to Check Your Rogress Exercises
14.0 OBJECTIVES
In this unit we will examine the features of Indian bureaucracy. After studying this unit
you should be able to:
understand the political heritage of bureaucracy in the form of its continued power
and prestige;
explain the continuities in certain aspects of personnel administration, namely
classification, recruitment, promotion and conditions of service;
examine how certain aspects of administrative organisation and procedufes during
colonial rule have influenced the formation of the bureaucracy;
describe the inherited restriction on the political rights of the bureaucracy; and
explain the cultural heritage of bureaucracy.
14.1 INTRODUCTION
India was under British rule for about two centuries. During this period, the bureaucracy
was fashioned as a highly efficient inshument of the British power. Its efficiency
consisted mainly in serving well the interests of the foreign power and not those of the
people of India. Also, the bureaucracy tended to acquire powers of its own. Thus the
interests of the bureaucracy were largely different from those of the people of India. Its
role during British rule was narrow and objectives were largely negative, rather than
positive, that is it aimed at maintenance of law and order rather than improvement of
the living conditions of the people. With the coming of Independence, the bureaucracy
is expected to m y a new, much more positive role of bringing about development.
While everyone agrees about the desirability of such a change in its role, the change
does not easily come about. There are several reasons for this. One reason is that social
change is generally a slow process. The development of new values and attitudes takes
time. Secondly, it should be remembered that the transfer of power in 1947 was not
accompanied by a social or economic revolution. Even the political change'was
peaceful. Hence, socially, economically and politically, the society remained, to a
large extent, unchanged. Thus many of the social, economic and political institutions
did not undergo much change. Since the bureaucracy is merely a part of the society, it
could not change much when the society as a whole remained largely unchanged.
- Thirdly, the organisation and procedures of public administration remained largely the
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.I . *. . . ,.. -
same. Finally, the system of personnel administration,
.- A . ~ A. I . .. .. .-.
or control over the bureaucracy,
- .
A
and State governments could make laws to regulate the recruitment and conditions of Colonial Heritage of Indian
Bureaucracy
service of personnel in their public services. Some laws, like the All-India Service-s Act,
195 1, were passed. However, personnel administration, by and large, continues to' be
governed by rules. Some of these rules are new while others are the old rules that are
continuing even after Independence. It is true that no law, rule OK order, whose
provisions are contrary to those of the Constitution can have validity. Still, since many
of the pre-Independence rules continue to have force, personnel administration, to some
extent, bears the mark of colonialism.
14.2 POLITICAL HERITAGE
The political heritage of the bureaucracy refers mainly to its continued power and
prestige. The power and prestige of the bureaucracy in excolonial developing countries
like India are greater than in developed countries like the U.S.A. We shall briefly
examine the reasons for this
a) Power
The power of the bureaucracy refers to its role in policy-making and implementation.
During the British rule, India was governed by the bureaucracy. The British Parliament
and ministers could lay down only some general principles: they could exercise very
little control while sitting in England. Hence the making and implementation of policy
were both largely in the hands of the officials in India. Members of the Indian Civil
Service (I.C.S.) functioned as Lieutenant Governors, members of Governor-General's
and Governors' Councils, members of Central and Provincial legislatures, and also as
judges of High Courts. They thus functioned at the highest level in all the organs of the
government, namely. the executive, the legislature and the judiciary. Naturally, the
bureaucracy had a firm grip over policy formuJation and implementation. In
contemporary India, we have democratic government, where elected representatives of
the people in the legislatures and as members of Governments at Central and State
levels exercise political power. They control the bureaucracy. Hence ht bureaucracy
now has less power than what it had during the British rule. However, it still has a lot of
power. The present power of the bureaucracy is generally due to underdevelopment (as
discussed in Unit 13), and particularly due to the weaknesses of interest groups and
political parties, and the lack of education and awareness among the people. These
factors largely derive from our colonial past. The British rulers on the one hand, did not
allow the people to become educated and politically conscious or to form associations
through which they might assert themselves. On the other hand, the bureaucracy was
able to develop as an efficient instrument of British rule. The result is that even today
the bureaucracy is much more developed than interest groups and political parties.
Hence the present power of the bureaucracy derives to a large extent from the colonial
era.
6 ) Prestige
The high prestige of the bureaucracy in developing countries like India is indicated by
the fact that highly qualified specialists like engineers, doctors and scientists nowadays
compete for entry into the I.A.S. and other services. Prestige is, ultimately, related to
power. In times of distress, such as those of drought or floods, the people often rush to
civil servants such as the Deputy Commissioner for the solution of their problems. In the
United States, by contrast, they more often go to their political representatives, such as
Senator. Even the Government, in India, has to depend to a large extent upon the civil
and military bureaucracy for dealing with recurrent grave problems rike those of riots
and terrorism.
Ministers often depend upon civil servants to ensure that their constituencies are
properly nursed. Decisions made by civil servants, for example, those relating to the
grant of licences and permits for raw materials, greatly ect businessmen. Generally
"%
speaking, governmental control of the economy giv&s a 1 t of power into the hands of
bureaucracy. In short, the government tends to acquire a lot of power in a situation of
economic, social and political underdevelopment. Also, because of underdevelopment,
much of the governmental power tends to be exercised by the bureau&cy, leading to
high prestige for it. Thus even after independence, the bureaucracy continues to https://t.me/Upsc_Zone_Official
retain
Bureaucracy and Development some cf the power and prestige of the colonial era. It is notable here that
underdevelopment has basically been the result of colonial exploitation. The power and
prestige of the bureaucracy, resulting in turn from underdevelopment, may thus be truly
said to be a part of the colonial heritage.
CLASSIFICATION OF BUREAUCRACY
a) The Rank System: The bureaucracy may be classified mainly in two ways. One
way is to classify it according to jobs, posts or positions. It has been adopted, for
example, in the U.S.A. The other way is to classify the bureaucracy into services and
groups or classes as is done in India. The first one is known as the system of position
classification and the second one as that of rank classification. The rank system was
introduced in India by the British and has continued since then. In this system every
member of the bureaucracy has a rank which is attached to that person. Whatever post a
bureaucrat holds, hisher rank remains the same. AaState administrative service has a
rank lower than that of the I.A.S. In effect, all the members of a State service have a
lower rank than that of members of the I.A.S.
During British rule, at the beginning of the present century, the services were divided
mainly into two classes: imperial and provincial. Members of the imperial services were
recruited in England, mostly from among Englishmen. Members of the provincial
services were recruited in India, mostly from among Indians. The rank of members of
the imperial services was higher than those of provincial services: this implied that
Englishmen were superior to Indians. The continuation of the rank system would seem to
imply that we still consider the members of some services to be superior to those of
others. In a democratic system of personnel administration, however, we would prefer to
impute superiority or inferiority to jobs rather than to persons. Thus while a pkrson joins
a subordinate post at the beginning of his career, he often becomes fit fctr a superior one
after gaining experience.
In India, while the rank system continues, the position system has also been
superimposed upon it to some extent. Thus while ordinarily a civil servant draws hidher
salary according to hisfher seniority in the time-scale whatever histher post is certain
posts (like that of Chief Secretary) carry a fixed salary or special pay. Hence we have,
in our system to some extent, a mixture of the rank and position systems of
classification. Still, insofar as our system .continues to be rank based, it has a feature
that was more suited to colonial administration than to democratic administration in a
free society with higher social mobility.
b) All India Services : In federations, such as the U.S.A., the Federal and State
Governments have their separate services. The Indian Constitution also has some
federal features. Thus powers of the Union and State Governments have been divided by
the Constitution. They have their separate services also, known as Central and State
services. In addition to these, there are other all-India services, which are common to
the Union and the States, as in other words whose members serve both the Union and
State Governments by turns. The Constitution declared the Indian Administrative
Service and the Indian Police Service to bk all-India services. These had been created
to take the place of the Indian Civil Service and the Indian Police which existed during
the British rule. Later, through the All-India Service (Amendment) Act, 1963, three
more all-India services were to be created, namely the Indian Engineering Service, the
Indian Forest Service and the Indian Medical Service. However, only the F o m Service
actually came into being.
The all-India services constitute the continuation of a colonial institution. However,
they are considered to have both advantages and disadvantages at our p e n t stage of
development. Their members serve at all levels of the administration throughout the
country. Thus they serve as Secretaries to Government at the Union and State levels;
they serve as Divisional Commissioners at the regional level; and they also serve at the
local level as Deputy Commissioners, District Collectors and Commissioners of
Municipal Corporations. In a situation when the bonds of nationalism are not yet very
suchg, the all-India services are said to help in maintaining the unity and integrity of
the country. On the other hand some State Governments have complained that members
of the all-India services have a dual loyalty to the Union and State Governments-and
have expressed dissatisfaction with their manner of functioning. The Sarkaria Co~oai.lnvitagt or In&
Commission on Centre-State Relations Constituted by the Government of India in 1983 Buruucracy
has, however, expressed a view favourable to the all-India services; it has supported the
belief that they help in maintaining the unity of the country.
14.4 RECRUITMENT
Recruitment is the process whereby people are attracted to, tested and inducted into the
bureaucracy. Patterns of recruitment is of great importance for the nature and role of
bureaucracy; for it is through recruitment that it is decided to who will be selected
and who will be left out, what hisher age and qualifications will be, and so on. In the
following sections, we shall consider the aspects of recruitment that originated during
British rule but are still with us, and interfere with the fulfilment of our national
objectives.
a) Emphasis upon Liberal Education
During British rule members of the Indian Civil Service were chosen by competitive
examination from among those who had received a liberal education at a university. By
liberal education we mean education which is not professional or technical but is
directed to general broadening of the mind. Liberal education has continued to be the
base for recruitment to our higher services. Thus for entry into the Indian Administrative
Service, Indian Police Service, various Central services including the Indian Foreign
Service, and also State Administrative Services, mostly candidates with a liberal
education, that is with education in literature, or social or natural sciences, appear at,
competitive examinations. Even for some services whose work may be said to be
technical in character, such as the Indian Audit and Accounts Service, no technical
knowledge is required at the time of recruitment. After selection, many of them function
as Heads of Departments such as those of agricultuk or education with responsibilities
for the supervision of the work of persons with high technical qualifications. Members of
the I.A.S. often function as Secretaries to Government, and as such advise ministers.
They participate in the formulation of policy.
With the growth of science and technology, policy making in most areas has become a
highly technical matter. Hence it would be better if technically qualified persons
function as administrators in the areas of their specialisation. This was the view of the
Fulton Committee in England. In India also, the Administrative Reforms Commission in
1966 recommended that persons with technical knowledge and experience of
administration in a certain area should hold high administrative positions in that area.
Thus those who have studied the science of agriculture in a university and have served
in the agriculture service alone should be appointed to higher administrative positions in
the secretariat department of agriculture, where they have to participate in the
f p u l a t i o n and implementation of agricultural policy at the highest level. This is
necessary because of developments in agriculture. The green revolution has taken place
in some parts of India because of the use of high-yielding varieties of seeds, chemical
fertilisers, pesticides, weedicides, pump sets and other mechanised implements. An
administrator must have an understanding of this new technology. The continuation of
generalists, with a liberal education, in high administrative positions, interferes with
efficient use of new technology. This applies to practically all fields. Even the
maintenance of law and order nowadays requires knowledge of criminology and forensic
science. The management of relations with a foreign country requires an understanding
of its history, society, economy, policy, culture and language.
It is true that an effort is made to provide the elements of the necessary information
during the training after recruitment. However, since generalists move from department
to department, they need knowledge in a new field every time they are transferred. The
acquisition of new knowledge in a strange field becomes mbre and more difficult due to
the fast expansion of knowledge. Hence while the system of administration by
generalists might have served the purpose a century ago, it no longer does so. Instead of
recruiting high administrators from among those with a liberal education, as was done
during British rule, we should now recruit them from among technically qualified
persons. The continuation of colonial practice makes for a bureaucracy which is nothttps://t.me/Upsc_Zone_Official
Bureaucracy and fully suited to its expected role of bringing about socio-economic development thro6gh
Development
the most fruitful use of science and technology.
b) Restrictions on Lateral Entry
In India, recruitment to bureaucracy is made only from among the young, usually fresh
grdduates from universities. The low age limits constitute a continuation of the practice
during British rule. However, in advanced countries like the U.S.A. there is no age limit
fpr entering into q e Services. Thus persons with greater knowledge and experience than
those in their twenties can also come in. This is a great advantage, since nowadays
persons with diverse knowledge and experience are needed in Public Administration.
Due to expansion in the role of the State, civil'servants are now required to have an
understanding of matters with which they would have not been concerned half a century
ago. The government is now doing business, mainly through public corporations and
companies, in addition to regulating its business activities much more than before.
Hence we need persons in the bureaucracy, who have a good understanding and
experience of business. Experienced businessmen or managers who join the public
sector might serve the purpose better than those without experience of business.
Lateral entry, or entry from the side, would make for greater flexibility in employment
in all fields; flexibility, in turn, would make for richness of talent all over. Thus if the
entry of experienced managers, researchers and teachers would enrich Public
Administration, experienced administrators might make good teachers of administration
in universities. Provision for lateral entry would also allow people to change their
profession, thus making for greater job satisfaction for those who find themselves to be
misfits in a certain profession .and would like a change. There is greater likelihood of
success of the policy of lateral entry if a beginning is made with the government, since
the government is one of the largest employers nowadays, and also has the
responsibility for making innovations which function as the seeds of development, but it
is our colonial heritage that stands in the way of allowing, or at least experimenting
with, lateral entry.
PROMOTION
Promotion means undertaking higher responsibilities in service usually resulting in

higher emoluments. Promotion is of great importance, it benefits both, the employee
and the organisation. It is of benefit to the employee because it makes for higher status
and emoluments for him. It is of benefit for the organisation because (i) the hope of
promotion motivates employees to do better work; (ii) officials for higher and more
responsible jobs are made available through bromotion; and (iii) promoted employees
are more inclined to accept the organisation as their own. However, in the Indian
bureaucracy, promotion suffers from certain drawbacks, some of which are a result of
our colonial legacy. We shall now examine these shortcomings.
e) Promotion from One-Class or Service to Another

We have mentioned above that the rank system of classification of the bureaucracy,
which was adopted during British rule, continues to be used in India. The bureaucracy is
divided into a number of services and classes having different ranks. Since new entrants
are recruited into particular services, and not for particular jobs, their promotion also is
from one class or service to another. This has the disadvantage that the qualifications of
candidates for particular jobs are rarely taken into account. However, with the growing
diversity of tasks in Public Administration, and the increasing need for specialisation
among functionaries, it is becoming more and more important to fit persons to jobs
according to their qualific'ations and experience. The present system of promotion, from
one class of service to another, does not permit this. Further, Since rank is associated
with status and emoluments, employees come to demand promotion as a matter of right
without giving importance to qualifications.
b) Rigidity
.There would be a lot of flexibility in promoting persons to jobs according to
qualifications. A person could improve hisher qualifications, for example by taking a
Downloaded from:- correspondence course and request for promotion
https://t.me/Pdf4Exams to a high level job, involving jumping
of levels, on the basis of his new qualifications. The possibility of faster promotion Colonial H~ritageof Indian
would also provide a lot of incentive for improving one's qualifications and doing better Bureaucracy
work. Such flexibility and incentives are absent in the present system. Promotion is
largely from one class or service to another, and it is governed by rigid rules. Thus only
33% of the members of a State Administrative Service who have completed eight years
of service can be promoted at a time to the Indian Administrative Service. It was
pointed out by Paul Afipleby about forty years ago that such rules make for unnecessary
rigidity. Such rigidity is harmful for both the organisation and the employees. It is
harmful for the organisation because if promotion is governed by rigid rules the
employees come to take it for granted; it ceases to function as an incentive, leading to
a fall in the efficiency. Rigidity is harmful for the employee because it comes in the
way of faster promotion even for those who are willing to work harder and give better
results. Rigidity of the promotion system, like several other aspects of personnel
administration, is a part of our colonial heritage.
Note : i) Use the space given below for your answers. :
1) What are the reasons for the continuance of the colonial features of Indian
bureaucracy ?
2) Why has the bureaucracy continued to be powerful after independence ?
.................................................................................................................................................................................
3) What is the main advantage and disadvantage of all-India services ?
4) What are the disadvantages of the system of recruitment?
5) Discuss the disadvantages of the system of promotion ?

.................................................................................................................................................................................

..-
Bo=wi.cy and Dcvdopment . 1 ................................................................................................................................................................................
CONDITIONS OF SERVICE
During the British rule, the bureaucracy was an instrument that was used in the interests
of the foreign rulers. The interests of the rulers and the people were basically in conflict.
Hence the bureaucracy did not identify with the people, it remained aloof from them.
Aloofness of the bureaucracy from the people was necessary because of the great power
exercised by it. If bureaucrats had been close to the people, they would have been
inclined to grant favours to them. Hence social distance between the people and the
bureaucracy was created. At the same time, service under the British had to be made
attractive too, this resulted in a ruthless bureaucratic system which was distant from the
people. There arose a conflict between the interests of the people and the bureaucracy.
This was highlighted by the revolt of 1857, and the freedom movement. In this situation,
attraction for the service and social distance from the people were both ensured by
giving high emoluments and excessive security to the bureaucracy.
High Emoluments
Attraction for the service and social distance from the people could both be ensured by
giving members of the service a high social status. High social status was conferred
upon them by giving them higher emoluments in comparison with the incomes of the
people at large. The emoluments included, in addition to salary, special pays,
allowances, housing, conveyance, medical attendance, and retirement benefits. During
British rule the emoluments of the bureaucracy were generally much higher than those
in comparable jobs in the Indian private sector. After independence, the growth of big
business had led to higher emoluments for business executives. Hence in the higher
echelons, civil service jobs are not necessarily more remunerative than those in
business; some business jobs are better. However, compared to the average, or per
capita income in India, the emoluments of the public bureaucracy are certainly high.
These high emoluments also constitute the continuation of a colonial practice. Since
the higher civil servants are paid much more than the common people, they are often
unable to understand their difficulties and indentify with them. Most of the problems of
developing countries like India are related to unemployment and poverty. Since the
civil servants are far removed from the experience of poverty, they are often not in a
position to satisfactorily formulate and implement policies for dealing with problems,
such as widespread ill health, lack of education, increasing population. and increasing
crime, which are deeply related to poverty. Thus the high emoluments and great power
of the bureaucracy lead to social distance between it and the mass of the people; this
social distance, in turn, comes in the way of the fulfilment of developmental objectives.
Hence the high emoluments and great power of the bureaucracy, which once served
colonial objectives, now hamper development.
Excessive Security
During the British rule, excessive security was given to the civil service to make it
attractire and to permit unhampered exercise of power by it. In a democracy, however,
the civil service has to be responsible and accountable to the people through their
elected representatives. Hence excessive security, which comes into conflict with
responsibility and accountability, is antithetical to democracy. However tradition dies
hard; and traditionally civil servants have been prosecuted against for criminal offences
like embezzlement, but rarely for lack of efficiency or non-fulfilment of their duties. As
political underdevelopment makes ministers too dependent upon the bureaucracy, undue
security is given to the civil service. Disciplinary action against civil servants, is often
delayed because of various rules and procedures. Disciplinary action is also often
challenged before tribunals and courts. The recent institution of tribunals has certainly
helped to reduce the delay involved in litigation before courts. However, for all the
reasons mentioned above, higher authorities are still cautious of taking disciplinary
action even where it is due. The excessive security of civil servants tends to make them
forgetful of their duties. They tend to function in a highly routine and often lethargic
manner without being motivated by the hope of rewards and curbed by the fear of
*
punishments. It is interesting to note that the absence of both reward9 aid punishments, Colonial Heritage of Indlrn
to some extent, results'from excessive security. Thus one of the most ipportant rewards Burerucrrcy
would be quicker promotion. However, giving somebody quicker promotion is likely to
be challenged by those who are superseded. Sirnilarly, not giving promotion to an
inefficient official is also likely to be challenged, often on the ground of mala fide
action by the superior. Hence one of the main causes of inefficiency in Indian
administration today is the excessive security which the bureaucracy has had since
colonial times.
In advanced countrics such as the United Slates, many jobs in the public bureaucracy
are given for thrce to five years at a time on a contract basis. This makes the employees
strive for better performance s:, that their contracts may be renewed. Such a system
lacking almost completely in security, however. is unworkable in developing countries
such as India due to lack of employment opportunities. Few competent people are likely
to take up jobs on a contract basis for fear of becoming unemployed soon afterwards.
This shows that administration of a country is deeply influenced by its socio-economic
conditions.
ORGANISATIONAL HERITAGE
Now we shall deal with certain .attitudes and modes of functioning of bureaucracy that
developed due to the organisational setting during the colonial rule.
0
a) Centralisation
One of the most important features of administration during the British rule was
centralisation. India was a vast unitary state. with all power concentrated in the hands
of the Governor-General. While in England the term Secretary was used for a minister,
in India it came to be applied to the civil servant heading each Department. The
Secretaries and their assistants were collectively called the secretariat, which became
the hub of the administration as a whole. The Governor-General functioned through the
Secretariat and controlled the administration in every nook and comer of India. All
administrative action throughout India required the sanction of higher authorities, and
ultimately of the Governor-General which was conveyed through the Secretariat. There
was very litt!e delegation of authority; even if authority was delegated to a subordinate,
it was withdrawn if a mistake was made. Civil servants thus developed an attitude of
dependence upon superiors; qey were afraid to make innovations. Thcse attitudes to
some extent, hay, 6 continued after independence. However, they do not suit democratic
administration in which power resides in the people. The spirit of administratiou now
should be that of serving the people rather than of blindly carrying out the command of
the superior.
System of Transfer
The bureaucracy exercised a lot of power during the British rule. Therefore there was a
fear of misuse of power, it was thought that a civil servant might unduly help or harm
someone. The possibility of such misuse was rcduced by not allowing a civil servant to
stay in one post for a long time, in order to avoid friendly or h~stilerelations between
the bureaucrats and some persons. within the bureaucracy or outside. Hence the system
of routine transfer of civil servants after the duration of about three years came into
force. Such a system is not needed in a democracy where the bureaucracy exeicises
less power. and is properly controlled by the elected representatives of the people. The
system of routine transfer has some disadvantages also. Every functionary takes some
time to understand the problems of a new place. and to establish rapport with citizens
whose participation is required in progranlmes of development. Helshe has to make a
new beginning every time helshe is shifted; this interferes with hisher efficiency. A
transfer also usually upsets things in the domestic front too like the education of hisher
children, tile job of hislher spouse etc. The system of transfer in Indian administration
has beeti inherited from British rule. Its continuatice is associated wilh that of
bureaucratic power. The reason why the system of routine transfer does not exist in
developed countries is that their bureaucracies are better controlled and hence less
powerful. As our
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Burenucracy and Development,

PROCEDURAL HERITAGE
During colonial rule theie was a basic conflict of interest between the rulers and the
ruled. Indian civil servants could not always be trusted to function in imperial interests
as against those of the people of India. Hence they were bound by detailed rules and
procedures. Even the rules needed interpretation, which was also often handed down
from the top. If a case was once decided in a certain manner, it became a precedent
which had to be followed in other similar cases. Thus in the course of time a complex
set of procedures, rules and precedents developed. Strict observance of these required
examination of each case at several levels involving delay. With delay came
comption, since the affected persons tried to get their cases speeded up by bribing
officials. Thus paying more attention to rutm than to people's interest, delay and
corruption came to be prominent features of colonial administration. The continuance%f
these features to some extent constitutes our colonial heritage. It is to be expected that
political development will, in the course of time, do away with them.
POLITICAL HERITAGE
In a democracy, the public bureaucracy has to fulfil t w somewhat

~ conflicting
requirements. On the one hand, it is expected not to side with any of the political
parties; on the other hand, it should not be the servile tool of the rulers as in a
dictatorship. While it is essential that the bureaucracy should not becom'e politicised as
happens in a spoils system, it is also necessary that its members should able to
exercise the political rights of citizens after duty hours so far as such exercises does not
conflict with their official responsibilities. There has been a tendency in developed
democracies for liberalisation in regard to the political activity of civil servants. In
England, on the recommendations of the Masterman Committee of 1948, more than half
of the civil servants (including all industrial civil servants and most of the minor grades
of the non-industrial staff) were freed from restriction on political activity; about one-
fifth were permitted to engage in political activities, except Parliamentary candidature,
at the discretion of their Departments, only the executive and higher staff remained
barred from participation in national political activities. In California, in the United
States, the ban on political activity of state servants was lifted about twenty years ago.
In India, however, civil servants remain barred from all kinds of political activity, they
cannot even go on leave without pay for participation in a political campaign as
happens in many democracies nowadays. It is true that in our present state of political
underdevelopment, when in addition political parties tend to put all kinds of pressures
on civil servants, participation in political activity by civil servants is more likely to
hurt the democratic process than to help it. Still, insofar as our political
underdevelopment has resulted mainly from colonial rule, the continued denial to civil
servants of political rights which are commonly granted in developed democracies, may
be said to be part of our colonial heritage.
14.10 CULTURAL HERITAGE
We have discussed above several aspects of the colonial heritage of the Indian
bureaucracy. In regard to cultural heritage, which we are going to discuss now, it is
'
notable that this aspect belongs not only to the bureaucracy but to the upper classes in
general. Still, it remains true that the individual in the bureaucratic setting is more
'subject to cultural influences that seep down from the top. Thus it is more difficult for a
member of the bureaucracy to avoid adopting Western dress, language and manners
than for one outside it.
Western Liberal Education
During colonial rule the bureaucracy was an instrument for the fulfilment of the interests
of the foreign rulers. Hence they tried to mould the bureaucracy so that it would identify
Downloaded from:-
with them. In other words, it was sought that Indians
in the employ of the rulers should
come to think. feel and behave like Englishmen. so that they might more easily .
participate in the exploitation of the masses. Western liberal education was useful for Colonial Heritage d Indian
this purpose: Through this education, Indians tended to develop the same attitudes as Bureaucracy
those of the English; the study of Western literature, day after day and year after year,
tended to infuse into them blind admiration for Western civilisation. Civil servants were
recruited from among those who had received Western liberal education; those who had
studied only in a Pathshala or a maktab through the medium of an Indian language were
ineligible for government service, although it would be difficult to maintain that such
persons who might have studied Sanskrit or Persian literature were uneducated.
After the achievement of independence also, the recruitment of administrators through
competitive examinations has been mainly on the basis of Western liberal education,
whose influence has thus continued. It is true that Western liberal education has a
beneficial modernising influence also. However, the modernisation of our upper and
middle classes, including the bureaucracy, has often been only skin deep. Their
members have often continued to have pre-modern attitudes of communalism and
casteism. They still have belief in superstitions, and also indulge in nepotism. Their
Westernisation has not led so much to a broad mental horizon, as to emulation of
Western fashions and has thus created a social distance from the lower classes.
Dependence upon the West

Westernisation, in our case, has also resulted in making us excessively dependent upon
the West. Many of our best brains find the West more attractive than their own country.
As a result of the phenomenon of brain drain, the scientists, engineers, doctors and other
intellectuals who have been educated in this country make their contribution in another
country. Our administration and industry, have to often depend upon foreign scientists,
engineers, consultants and advisers. This dependence upon the West leads to purchase
of technology at a high cost from abroad, forced collaboration agreements with foreign
firms, and a tendency for the domination of our economy by developed countries
through multinational corporations. Thus while the yoke of colonialism .was thrown away
more than four decades ago, our country now tends to become subject to neo-colonial
exploitation. The culture of the upper and middle classes, including the bureaucracy, is
deeply related to the growth of neo-colonialism.
Our westernisation also makes us develop more interest in problems of the developed
Western countries than in those of developing ones, including our own. This applies to
social sciences also like Sociology, Economics, Political Science and Public
Administration. Indian scholars often aim at getting their research work published
abroad. Hence they have to choose problems which are of interest in the West. Our own
problems, which should be of greater interest to us, tend to be ignored. These, then.
come to be studied by foreign scholars. Some of the best studies on Indian society,
Economy. Polity and Public Administration are by foreign scholars. Creative thinking
and innovative theory-building related to our society is done more by foreign scholars
than us. Hence we tend to remain dependent upon the West for knowledge concerning
our society as well as that of other countries. It should be remembered that most of the
universities in India are part of the system of Public Administration, since they are
funded by the government. Also, the civil servants are the products of the universiti:-
Hence continued dependency in the field of knowledge affects the whole of the public
bureaucracy in government departments, public undertakings, government colleges, and
research institutes and universities funded by the governments.
Mix of Capitalist and Feudal Attitudes
During the British rule, Western culture was sought to be superimposed upon our
existing, largely feudal culture. Those who received Western education, and particularly
government employees, thus developed a mix of capitalist and feudal attitudes. The
continuation of these attitudes often comes into conflict with the democratic and
socialist ideals enshrined in the Constitution of independent India. Thus one of the
values of Western society is giganticism or the attraction for bigness for its.own sake. A
poor country like India can ill afford big buildings; big organisatiops that involve undue
centralisation. Another trait of Western capitalist culture is consumerism or unlimited
attraction for consumer goods. Consumerism interferes with capital formation and
therefore with economic growth. The tragedy of our bureaucracy is that while it has
inculcated some of the harmful Western attitudes like giganticism and consumerism, it
has failed to adopt some of the Western attitudes that would be helpful for'development.
Bureaucracy and Development Thus dignity of labour and habit of hard work, which are deeply ingrained in Western
culture, are not yet part of the bureaucratic culture in India. Here we find a continuation
of feudal attitudes. Our colonial cultural heritage, which is thus seen to be a mix of
capitalist and feudal attitudes, now comes in the way of development.
Lack of Communication between the Bureaucracy and the Common

People
The bureaucratic culture in India is not conducive to communication with the common
man. The use of a Western language, namely English, and Western dress and manners
obviously come in the way of communication. The gulf between the values of
administrators and common people also makes for difficulty. Thus while small farmers
might feel satisfied with kuchcha wells for irrigation, a high level administrator might
feel successful only if he were able to plan and execute a big, time consuming,
irrigation project. While the farmers and the administrator might both be right,
successful planning would require a meeting point between their differing frames of
reference. Ultimately, development is brought about by the work of farmers and workers
in fields, factories, mines and other workplaces; administrators help to plan and
coordinate these activities. Hence lack of communication between workers and
administrators, coming as it does partly from their different cultures, interferes with
development. The culture of the bureaucracy, insofar as it is colonial and removed from
that of !he common people, is thus a hindrance to the national objective of development
or growth with justice.
Note : i) Use the space given beiow for your answers.
1 ) Why was the bureaugacy highly paid during British rule?
2) What are the disadvantages of giving high emoluments and excessive security to
the bureaucracy?
.............
.a....................e.a....8....................
3) What attitudes were engendered by centralisation during British rule?
4) What are the concomitants of the procedural heritage of the bureaucracy?
.................................................................................................................................................................................
......................................... "......................................................................................................................................
.................................................................................................................................................................................
5 ) What are the various aspects of the cultural heritage of bureaucracy?

Colonial Heritage of l o d i i
Bureaucracy
14.11 LET US SUM UP
Thus we read in the Unit that the bureaucracy continues to have certain colonial
features due to lack of development of the society, and also due to insufficient change
in personnel administration, administrative organisation, rules and procedures. The
power, prestige, emoluments and security of the bureaucracy continue to be high, and
interfere with its identification with the people, understanding of their problems most of
which are related to poverty, and the motivation to sblve these. The rank system of
classification, all-India services, recruitment of administrators on the basis of liberal
education, restriction of lateral entry, rigidity in the promotion system, routine transfers,
and restrictions on political activity by civil servants even if they go on leave without
pay, are some other features of colonial administration inherited by us.
Certain aspects of administrative organisation and procedures inherited from colonial
rule tend to engender in the bureaucracy attitudes of much dependence upon superiors.
lack of urge for making innovations, greater attention to rules than to people's interests,
acceptance of delay and corruption. The cultural heritage of the bureaucracy consists of
admiration for Western civilisation and dependence upon the West deriving from
Western liberal education, a mix of capitalist and feudal attitudes which interfere with
development and leads to lack of communication with the people.
KEY WORDS
Colonial : Pertaining to or of the nature of a colony.

Culture : The sum total of way of living built up by a group of human beings, which is
transmittkd from one generation to another
Forensic Science : Science dealing with scientific aids necessary to examine,
compare & evaluate physical evidence in cases of crime which helps in discovery of
information about the crime.
Heritage : What is inherited, or received from predecessors
Liberal Education : Education (in arts, humanities, social sciences, and natural
sciences) which is not professional or technical but is directed to general broadening of
the mind,
Position Classification :It is the process of Classification of positions in the
'
organisation into groups or classes on the basis of their duties, responsibilities,
qualifications, skills required to perform them. Here duties and responsibilities of
positions determine pay and qualification requirement of persons.
Rank Classification : Classification of employees according to services, groups and
classes.
Multinational Corporation : A firm with headquarters in one nation and significant

operations in one or more other nations/
Bhambhri, C.P., .1972. Public Administration and Practice, Jai Prakash Nath : Meerut.
Maheshwari, S.R., 1989. Indian Administration, Orient Longman: New Delhi.
Misra, B.B., 1977. The Bureaucracy in India -An Historical Analysis of Development
.
upto 1947 Oxford University Press : Delhi.
Varma, R.S., 1973. Bureaucracy in India, Progress Publishers : ~ h o d a i .

EXERCISES

Social change is generally a slow process.
Many of the social, economic and political institutions have remained
unchanged.
The organisation and procedures of Public Administration have not undergone
much change.
Personnel administration continues to be governed mostly by old rules and
practices instead of new laws.
The bureaucracy has continued t i b e powerful because of underdevelopment in
general.
Weakness of interest groups and political parties.
Lack of education and awareness among the people.
All-India services help to maintain the unity and integrity of India.
If the Governments of the Union and a State have been formed by different ?.
political parties, the State Government tends to complain about the dual*'
loyalty of members of All-India services.
Administrators with liberal education may not be able to fully utilise modem
science and technology for policy formulation and implementation.
Restrictions on lateral entry come% the way of exchange of personnel between
the administration and other fields.
Promotion from one class or service to another does not fully permit fitting the
individual to the job.
Rigidity in the system of promotion is harmful for both the organisation and the
employees.
The bureaucracy was highly paid for maintaining social distance between it
and the Indian people.
For making it attractive in the face of the people's opposition to British rule.
A prosperous bureaucracy is unable to closely associate with the people.
Excessive security interfers with rewards and punishments and leads to
inefficiency.
Centralisation led to attitude of dependence upon superiors.
Lack of motivatitn
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28
4) Your answer should include the following points : Colonial Heritage of Indian
Bureaucracy
Greater attention to rules than to the fulfilment of people's interests.
Delay.
Corruption.
Admiration for and dependence upon the West, flowing from Western liberal
education.
A mix of capitalist and feudal attitudes which impede development.
Great differences between the culture of the bureaucracy and the common
people.
Lack of communication between the bureaucracy and the people.

UNIT 15 SOCIAL BACKGROUND OF

INDIAN BUREAUCRACY
Structure
Objectives
Introduction
Social Background of the Bureaucracy
Influence of Bureaucracy's Social Background on Administration
Ways of making Bureaucwcy mae Representative
Let Us Sum Up
Key Words
Some Useful Books
15.0 OBJECTIVES

a describe the various aspects of the social background of bureaucracy;
a discuss the influence of the social background of bureaucracy; and
a suggest ways for bringing about a more representative bureaucracy.
15.1 INTRODUCTION
Studies of the social background of bureaucracy have been made in various countries in
recent times. A study of higher civil servants in France by Bottomore was published in
1954, of those in Britain by Kelsall in 1955, and of those in America by Warner and
others in 1963, in India V. Subramaniam's Social Background of lndia's Administrators
was published in 1971. Research work on the social background of the Indian
Administrative Service (IAS) was done by L.P. Singh and S.N. Singh. David C. Potter's
lndia's Political Administrators 1919-1983 was published in 1986. In this book, he dealt
with the Indian Civil Service and the Indian Administrative Service and the social
background of each of these Services.
One of the objectives of making studies such as those mentioned above may be merely
to find out which social economic group do the senior civil servants come from."The
researcher ties to answer questions about the section of the society from which most
civil servants of a certain category are drawn, their education, whether they lived in
villages or cities, their caste, their religion, the extent to which women are able to get
in to the services and so on.
A second objective may be to relate the social background to attitudes, or in other
words to study the influence of social class, education and such other factors on the
nature of bureaucracy, and hence the administration.
A third objective may be to study how far the bureaucracy may be said to be
representative of the society in general, that is to examine whether it is drawn from all
sections or whether members of a certain class predominate. Representativeness is often
considered to be related to responsiveness: it may not be fully responsive to the other
classes in the society. Considerations such as these make the subject interesting.
The bureaucracy may be conceived of as having a higher section, consisting of
administrators who play a greater role in advising ministers on policy, and in guiding,
supervising and controlling the lower section. The members of the lower section are
responsible mainly for implementation. In India most of the top administrative posts at
all levels are held by the IAS. Thus most of the officers in the secretariats, both Central
and State, are drawn from the IAS. Many of the Heads of Departments of State
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Governments, and Divisional Commissioners also
belong to the IAS. At the local level,
most Deputy Commissioners and Commissioners of city corporations also come from '&ma1 Background of Indian
Bureaucrac~
this Service. Hence the IAS may be said to constitute the hard core of the higher
bureaucracy. That is why most studies of social background have been those of the IAS.
In this unit, we will study the varicus aspects of social background of bureaucracy and
the influence of this social background on administration. It will also give you an idea
of various ways of making the bureaucracy representative.
15.2 SOCIAL BACKGROUND OF THE

BUREAUCRACY
i) Occupation -of the Father or Guardian

The main finding of research studies is that most members of the higher bureaucracy
have been drawn from the professional middle class of India, consisting of higher civil
and military officers, lawyers, doctors, university teachers and business executives.
Thus the father or guardian of about 94 per cent of the direct recruits to the IAS up to
1956 belonged to this class. Very few of the IAS officers recruited between 1947 and
1956 come from families of Zamindars or farmers: they constituted only 4 per cent of
the total. The situation with regard to other higher services was basically similar, but
the difference between the numbers of those drawn from the professional middle class
and from landowning families was less. Thus, of the recruits to the Indian Police
Service, about 81 per cent came from the professional middle class and about 16 per
cent from the landowning class. Of the recruits to the Indian Foreign Service, 82 per
cent came from the professional middle class and 12 per cent from the landowning
class. In short, in the first decade after independence, most of the entrants to the higher
bureaucracy belonged to the English educated, salaried or profegsional, upper middle
class; there were very few entrants from other sections of the society. Recruitment to
the higher bureaucracy was highly biased in favour of the professional. middle class,
since it constituted less than 10 per'cent of the population but more than 80 per cent of
the recruits were drawn from it.
During the period 1957-63, the proportion of recruits from landowning families improved
somewhat, although it remained low. Of the recruits to the IAS in this period 81 per cent
came from the professional middle class and '12 per cent from the landowning class. In
the case of the IPS also the direction of change was the same, the percentages of
recruitment from the two classes being 77 and 19 respectively. In the case of certain
other Central Services also the proportion of recruits from landowning families improved
a little, although it went down in respect of the Indian Foreign Service.
In the years 1980 and 1981,71 per cent of the IAS recruits came from ;he professional
middle class and 19 per cent from the landowning class.
The above data indicates that while the proportion of persons from farming families has
been increasing gradually, the vast majority (about 70 per cent) of those joining the
higher bureaucracy still come from the professional middle class.
ii) Education
Research studies shew that most of the entrants into the higher bureaucracy are drawn
from among those educated at exclusive schools and colleges. The phrase "exclusive
schodls and colleges" refers to educational institutions which charge high fees and
hence are generally joined only by children from the upper and richer sections of the
society. The medium of instruction in these institutions is usually English only.
What is even more interesting, there has been an increasing role of education at
exclusive schools for entry into the higher echelons of the civil service. Of those
recruited to the IAS in the period 1947-56, about 15 per cent had been educated at
convent and public schools; in the period 1957-63, about 16 per cent had been so
educated. There was a big jump by the seventies. Of those who entered the IAS between
1974 and 1979, more than 60 per cent had been educated in such schools. Thus since
Independence, the proportion of recruits educated at exclusive schools had gone up by
four times.
The significance of education in exclusive colleges has also been unmisiakable. More
than half of thefrom:-
Downloaded IAS recruits, 56 per cent in the period 1947-56, and 59 per centhttps://t.me/Upsc_Zone_Official
https://t.me/Pdf4Exams in the
BurenuanC~and Development period 1957-63, had been cducated in only a dozen well-known colleges in India; all the
other colleges put together had contributed less than half. A similar picture emerges
when we consider the role of education at the better known universities. Abol;t 79 per
cent of the IAS recruits in the period 1947-56, and about 70 per cent of those in 1957-
63, had been educated at the six universities of Madras, Bombay. Calcutta, Delhi,
Punjab and Allahabad. These six universities also contributed 79 per cent of the recruits
to the Indian Foreign Service in the whole of the period 1947-63. The trend has
undergone a change in the recent years. The students of universities in the North feature
more in the services.
While the requirement for entry into the higher bureaucracy is mostly only graduation,
fibkt of the entrahts have a master's degree. There are some medical doctors, engineers,
and research degree holders also. Thus among the 129 recruits to the IAS in 1981 there
were 13 with a bachelor's degree and 106 with a master's degree. They included 5
doctors and 17 engineers. There were 10 research degree holders also.
iii) Rural-Urban Residence

The higher bureaucracy in India has been recruited predominantiy from the urban areas.
There has not been much change in this scenario over the years. Thus of the 1981
recruits to the IAS, 72 per cent had an urban background and 28 per cent a rural one. If
we compare these figures with those for 1957, we find a change of only 2 per cent. 74
per cent then had an urban background and 26 per cent a rural one. Thus there may at
best be a slight tendency for more rural residents to get into the higher bureaucracy.
iv) Caste
The higher bureaucracy is recruited predominantly from the so called higher castes.
People of low caste are also generally poor and cannot afford higher education for their
children. To compensate for the age old discrimination against those having a low
social status, the Constitution of India provided for "reverse discrimination" in the
shape of reservation of jobs for scheduled castes and mbes in Public Administration. For
long, however, these quotas were nor filled, since candidates of scheduled castes and
tribes could often not get qualifying marks in the competitive examination. Government
coaching centres were therefore started to help such candidates in preparing for the
examination. By the end of 1970s quotas were being filled. Thus while in 1967 only 11
per cent of the recruits to the IAS belonged to scheduled castes, in 1981, 15 per cent
belonged to the scheduled castes. Similarly, the percentage of scheduled tribes recruits
had risen from 4 to 7. By 1982, 10 per cent of the total number of IAS officers were from
scheduled castes and 5 per cent from scheduled tribes. These percentages were,
however, still lower than their proportion in the population. In other words, persons of
low social status were still under-represented in the higher bureaucracy.
v) Religion
While all the important religions of India are represented in the higher bureaucracy,
some of them have fewer members than their proportion in the population. Thus among
the IAS recruits in 1981, about 88 per cent were Hindus. only one per cent were
Muslims, 4 per cent were Christians and 5 per cent were Sikhs. The representation of
muslim has varied between 1 and 6 per cent since 1957 and has been much lower of
than their proportion in the population.
vi) Gender'
The representation of women in the higher bureaucracy has increased consistently.
Among IAS recruits for the year 1957, 1967, 1977, 1980 and 1981, their percentage was
about 3, 8, 9 and 12 respectively. While there has been an increase in the number of
women getting into the IAS, they constituted only 7 per cent of the IAS officers in 1983.
Since women constitute about half of the population, they may be said to be still
grossly under-represented.
So far we have studied the social background of the higher bureaucracy in India on the
basis of research studies made from time to time. Comparable studies for the lower
bureaucracy have not been made, presumably because it is not considered to play as
important a role in the political system. However, some comparison of the social
background of the two sections of the bureaucracy can be attempted on the basis of
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available data. M.V.Subbiah Chaudhary made a study
of the Andhra Pradesh
bureaucracy and presented it at a seminar in 1989. While the study suffered from certain , Social Background of Indian
limitations. it does prcvide some data for purposes of comparison, as discussed below. Bureaucracy
We find that in the Andhra Pradesh bureaucracy, while about 69 per cent of officers in
the secretariat came from the professional middle class, 62 per cent of the assistants
and 17 per cent of the clerks belonged to this class. Also, while 21 per cent of the
officers belonged to farming families, 20 per cent of thc assistants a ~ i d65 per cent of
the clerks belonged to such families. Thus there i \ .I clear contrast in the social
extraction of officers and clerks: while a majority of the officers have an urban
profcqsio~almiddle clahs background, a majority of the clerks have a rural, farming,
background. It has also bee11 found that while about 76 per cent of the officers came
from upper and upper middle classes, 75 per. cent of the ilerks came from the lower and
lower lrliddle classcs.
In this study, castes were divided into three categories: forward, backward and
scheduled. It was found that 69 per cent of the officers, 53 per cent of the assistants and
41 per cent of the clerks belonged to forward castes. Also, while 3 per cent of the
officers belonged to scheduled castes and tribes, 6 per cent of the assistants and 17 per
cent of the clerks also belonged to these categories. Thus while the highest proportion of
forward castes was among officers, the highest proportion of scheduled castes and tribes
was to be found among clerks. This indicates a clear relationship between caste status
and bureaucratic status. The distribution of backward castes was also on the same
pattern. About 14 per cent of the clerks belonged to backward castes. These data
indicate that the higher the status of a person in the bureaucracy, the more likely helshe
is to belong to a high caste.
Note : i ) Use the space given below for your answers.
ii) Check your answers with those given at the end of the unit
1 ) Discllss the social background of the higher bureaucracy ?
................................................................................................................................................................................
2) "The higher bureaucracy is recruited pre-dominantly from the so-called lower

castes". Comment.
15.3 INFLUENCE OF THE SOCIAL BACKGROUND

OF BUREAUCRACY ON ADMINISTRATION
p~
-. .
We have noted earlier that our higher bureaucracy is drawn largely from the urban
professional middle class. It can at best be said to be drawn from 10 per cent of the
rociety. Hence the higher bureaucracy cannot be said to be representative of the society
.I\ a whole. This influences the administration in several ways. We shall deal with these
~nfluencesone by one.
i Lack of Communication
There are great differences between the values, norms, feelings, beliefs and information
of the higherfrom:-
Downloaded bureaucracy, the lower bureaucracy and the
https://t.me/Pdf4Exams people. This makes for lack of
Bureowracy and kvelopment We have noted above that the majority of members of the higher bureaucracy, or
administrators, have been educated in exclusive schools. One view is that suCh schools
develop qualities of leadership and inculcate discipline and good manners among the
administrators. The other view, represented by Bertrand Russell, is that the education at
these schools is "as destructive to life and thought as the medievel church. According
to him its evils arise from two sources: "its perfect assurance of its own rightness, and
its belief that correct manners are more to be desired than intellect, or artistic creation,
or vital energy". With whichever of these views we agree, the fact remains that the
early education of those who join exclusive schools is in many ways different from that
of the vast majority of children, resulting in very important and substantial differences
in attitudes.
The combined influence of upper middle class homes and exclusive schools tend to
inculcate among their children, values such as those of consumerism, giganticism and
the hoarding of material goods, and attitudes such as those of lack of empathy for the
poor, considering oneself to be superior to others, seeking success at any cost and aping
the West. Their very joys and sufferings tend to be different from those of the vast
majority. Their upbringing and education at exclusive colleges and schools tend to keep
them aloof from those belonging to the lower strata. They rarely ever get an opportunity
to live in villages where the vast majority of the people live. Hence their information
and underskding of the conditions of living problems and needs of vast sections of the
people are little. These differences of values, beliefs and information make for lack of
communication between the higher bureaucracy, lower bureaucracy and the people.
ii) Lack of effectiveness

One of the important functions of the bureaucracy inideveloping countries is to deal
with poverty, its causes and consequences. If the upper section of the bureaucracy,
which plays an important role in policy formulation as well as implementation, has
little understanding of the nature of poverty in the country, ineffectiveness is bound to
result. If the common people are afraid of administrators and can hardly speak a
language understood by them, administrators understanding of people's problems
remai'ns wanting, and hence policies for dealing with these remain unsatisfactory. Thus
lack of comrllunication leads to lack of effectiveness. Lack of effectiveness also results
from lack of participation by the people. Due to social distance between the
administrators and the people, and differences in their values and beliefs, administrators
are unable to enthuse the people and seek their cooperation and participation.
Ineffectiveness also results from lack of feedback to the administrators. Due to lack of
communication with the people, and their lack of cooperation, administrators are unable
to assess the success of programmes, and the problems in the way of their fulfilment
properly.
Lack of effectiveness also results from lack of adjustment between members of the
higher and lower bureaucracy. B. Mook made a study of the bureaucracy in Tamil Nadu
in 1982. He found that the subordinate officials suffered from feelings of insecurity,
hostility and isolation. They felt that they had no influence, had to only obey
instructions, and stick to rules.
Thus differences in the status and culture of the higher and lower bureaucracy made for
frustration, hostility and lack of initiative on the part of the large, lower, section of the
bureaucracy whose function was to give effect to policies.
iii) Perception of Injustice

One of the principles of democracy is equality of opportunity. It implies that everyone
should have the same opportunity to achieve desired goals, in keeping with his abilities
and effort. Since high level administrative positions in our society have a high prestige,
large numbers of youth wish to obtain them. However because of their socio-economic
background, a large number cannot avail of this opportunity. The vast majority of our
people live in villages where they have little opportunity to pursue the kind of education
which would make for success at the competitive examination. Many among those who
live in cities also cannot afford good quality higher education. Hence the poor, and
Downloaded from:- those.living in villages, have the feeling that theyhttps://t.me/Upsc_Zone_Official
https://t.me/Pdf4Exams are unjustly being denied entry into
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Social Background of Indian

15.4 WAYS OF MAKING BUREAUCRACY MORE Bureaucracy
REPRESENTATIVE
We have seen earlier that our bureaucracy cannot at present be said to be

representative of the society as a whole. This results in ineffectiveness of administration
and a feeling of injustice among those who are left out. Hence we have to seek ways of
having a fnore representative bureaucracy without compromising with the principle of
selection on the basis of merit. We shall consider these below.
i) Spread of Education
At present only a small proportion of the people in India receive education. Only about
36 per cent of the people are literate. However literacy constitutes just the beginning of
education. For getting a job one needs education appropriate to it. The proportion of
those who get secondary and higher education is small. Many. of course, never go to
school. Even among those who join a school, the majority drop out. Of 100 children who
enrol in class I, only 23 reach class VIII. Higher education is limited to only 4.8 per cent
of those in the relevant age group. Wider spread of education is,required to provide for
social justice and also to help in social, economic and political development. Having a
more presentative bureaucracy is an aspect of development. Spread of education can
be improved by having more schools, reducing the cost of education, vocationalising
education, providing mid-day meals, books and uniforms to children of the poor,
providing for more teachers, improving the method of teaching, and so on. If those who
get left out today also get educated, they can compete for the public bureaucracy. This
will benefit the administration since the bureaucracy will be drawn from a larger pool,
thus tapping the potential of more people; it will also make for a more representative
bureaucracy.
ii) Emphasis ow6pecialisation and Position Classification

In developing countries like India the system of personnel administration also remains
underdeveloped. The system of recruiting people for a service, instead of a job, is one
aspect of such underdevelopment. This has three consequences: (i) lack of emphasis on
specialisation, (ii) rank-in-man instead of rank-in-job, and (iii) recruitment from a
limited section of the society. Thus when we recruit people for the IPS, the method of
recruitment results in the selection of persons mainly from a small section of the
society:This is because the test is for abilities which mainly candidates from the upper
middle class have developed. These abilities, however, may not be relevant for all the
jobs which IPS officers may have to perform. The result is that while we exclude
candidates from classes other than the upper middle class, we still do not select those
who are really suited for the work which they have to do. Thus at present, the athletic
ability of candidates is not tested. While an advisor to the government on security might
not need it, a dismct police officer might be in great need of it. If position classification
were there, and we were recruiting district police officers, we might test their atheletic
ability also. Many boys from the poorer section might have it in greater measure than
those from richer ones. Similarly, we might require other specialised qualifications
appropriate for particular jobs. In this way we would be able to recruit persons with
specialised qualifications and abilities suited to particular jobs, and also with diverse
social backgrounds. Hence introduction of position classification and recruitment for
specialised jobs would lead to both, personnel who are better suited to their jobs and a
more representative bureaucracy.
iii) Improvement in Methods of Recruitment

At present recruitment to services like the IAS, IPS, IFS and IA&AS (Indian Audit and
Accounts Service) is made on the basis of a written examination followed by an
interview. The examination and the interview, however, do not test all the abilities of a
person. According to David C. Potter, cramming also helps some people to succeed in a
written examination. An objective type examination has recently been introduced to
reduce the emphasis on cramming. However, there is a need for further improvement.
According to the Harvard psychologist, Howard Gardner, intelligence is of seven kinds:
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(i) Linguistic, https://t.me/Pdf4Exams
(ii) Logical-Mathematical, https://t.me/Upsc_Zone_Official
(iii) Spatial, (ivJ Bodily-Kinaesthetic,
Burcllncmcy and Development persb , for various jobs we should test these different kinds of intelligence according to
job requirements. The interview is called the personality test. However, no scientific
personality tests, such as those used in the armed forces, are employed. By testing
candidates more scientifically, we would not only be able to select persons more suited
to their jobs, we would also be able to spread our net wide. Various abilities may be
said to be distributed widely over different sections of the society. Hence if we test for
various abilities, instead of mainly that of essay writing, we would be able to get people
who are more suited to their jobs from diverse social backgrounds.
Note : i) Use the space glven below for your answers.
ii) Check your answers with those given at the end of the'unit.
1) How does the social background of bureaucracy effect administration ?
2) How can we have a more rzpresentative bureaucracy without compromising with

the merit principle ?
LET US SUM UP
The higher bureaucracy in India is drawn mainly from the urban, salaried or
professional, middle class consisting of higher civil and military officer\, lawyers,
doctors, university teachers and business executives. Most administrators have received
education at exclusive schools, colleges and universities. Three-fourths of them have
lived in cities. About one-tenth of them belong to scheduled castes and about one-
twentieth to scheduled tribes. Muslims and women are also under-represented. Such a
. narrow field of extraction of the higher bureaucracy makes for differences in values.
norms, beliefs and orientations between the higher and lower bureaucracy and the
people at large. This results in lack of communication, ineffectiveness of administration
and the perception of injustice. A more representative bureaucracy, selected by merit,
can be had through greater spread of education, more emphasis on position
classification and specialisation, and the adoptioi~of more scientific methods of
recruitment for testing various abilities and personality traits.
KEY WORDS
Bodily-Klnaesthetic Intelligence: Process of learning through bodily movements

and sensation.
Communication: The imparting or interchange of thoughts, opinions or information
or knowledge, partaking of ideas and a sense of participating and sharing.
Consumerism: The tendency in the modem age to promote production, consumption
amongst producers to promote their sales with the help of electronic redia, attractive Social ~ a c k ~ r o u nofd :*I
B I I ~ ~ ; I I JJCLY ~
package etc.
E a c a t i o n system in the medieval church period: Many of the teachings and
preachings of the medieval church laid emphasis on righteousness. this way of 'hinking
does not allow a feeling of tolerance and looking at other people's views and attitudes.
resulting in narrow thoughts and values, proving self-destructive in the ultimate analysis.
Norms: An accepted standard of behaviour within a society.
I'rofessional middle class: The group of persons engaged irr profession such as
Ihose of civil and military officers, doctors, lawyers and busine5s executives etc.
Kank-in-man instead of rank-in-job: Traditionally, organisations like thc
military and bureaucracy have classified persons as per hierarchy ranks. But in modeni
times, in some countries like the U.S..4.,the jobs are classified and are based on
hierarchical ordering of the difficulty and complexity of jobs and not merely the rank of
the person.
Representative bureaucracy: A civil service representlnp proportionately every
caste, class and religious groups of population. This type of bureaucracy is expected to
be responsive and responsible in relation to the people of the country.
Potter, David C., 1986. India's Political Administrators: 1919-1983; Clarendcm Press:
Oxford.
Subrarnaniam. V., 1971. Social Background dftndia's Adrninistrutors; PuSlications
Division. Government of India: New Del

EXERCISES

1 ) Your answer should include the following points:
Occupation of the father/guardian.
Educational background.
Area they come from .
Caste, religion, and gender they belong to.
Whether the statement is true or false.
The caste from which the bureaucracy predominently come.
Due to difference of values, beliefs and informa:ion, there is lack ot
communication between the higher. lower bureaucracy and people.
\
Lack of communication leads to lack of effectiveness.

Perception of injustice.
2) Your answer should include the following poin~s:
Education facilities to everyone.
More emphasis on specialisation and position classification.
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UNIT 16 NEUTRAL VERSUS

COMMITTED BUREAUCRACY
Structure
16.0 Objectives
16.1 Introduction
16.2 Neutrality
16.3 Commitment
16.4 Assessing Neutrality and Commitment
16.5 Let Us Sum Up
16.6 Key Words
16.0 OBJECTIVES

discuss the meaning and significance of neutrality and commitment;
describe the problems in the way of achieving neutrality and commitment ; and
suggest measures for having both neutrality and commitment.
16.1 INTRODUCTION
In this unit we shall consider how far the bureaucracy is, or should be, neutral and
committed.
First we shall take up the question of neutrality. Neutrality means impartiality. The
significance of neutrality of the bureaucracy in the modem democratic state is great. As
has been discussed in earlier units, the bureaucracy plays an important role in policy--
making as well as in its implementation. The permanence of members of the
bureaucracy helps to provide them with a long-term perspective, while ministers tend to
have a short-term perspective related to the elections. The bureaucracy has access to lot
of confidential information, which ministers often do not possess since they lack the
time to read all the official documents. Bureaucrats come to have long experience of
administration, while ministers come and go. Many of the members of the bureaucracy
are technically qualified, while ministers usually are amateurs. For these reasons there
is considerable dependence upon the bureaucracy in all countries. In developing
countries, like India, there are some additional factors making for such dependence.
Thus in developing countries, interest groups and political parties are either weak or
non-existent, electoral systems are often defective and the traditions and conventions of
democracy have often not been well-established. Hence dependence upon the
bureaucracy is greater in developing coqntries, making it more important that the
bureaucracy should be neutral.
We shall discuss the neutrality of bureaucracy under three heads: (i) neutrality between
classes, (ii) neutrality between cultural groups, and (iii).neutrality between political
parties. We will discuss the significance and problems of these three aspects of
neutrality and try to find out the ways of achieving neutrality.
Commitment means moral dedication to a cause. The bureaucracy should be committed
to (i) human and national values, (ii) service of the people, and (iii) professional
norms. Commitment on the part of the bureaucracy is important because while on one
hand it is bound by rules, on the other hand it is always trying to find new ways of
dealing with difficult problems. This is true in all countries. There are some additional
factors in developing countries. The responsibility of bringing about development falls
upon the bureaucracy to a large extent. There is widespread
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apathy, engendered by
participation can be obtained only through committed, and energetic action on the part Neutral Versus Committed
Bureaucracy
of the bureaucracy. Serious problems tend to crop up in the process. Thus, the
bureaucracy tends to become very powerful so that in most developing countries
dictatorship by the civil and military bureaucracy is a common -phenomenon. It requires
a lot of commitment to exercise power in the interest of others. We shall try to find
ways of inculcating such commitment.
While neutrality and commitment can go together, and indeed reinforce each othei if
properly oriented, they can also become antithetical if not so oriented. Thus, if
bureaucrats become committed to one political party, they cannot remain neutral. We
will examine such areas of conflict between neutrality and-commitment.
Finally, we shall also examine methods already being adopted for having a highly
committed and at the same time neutral bureaucracy in certain special areas, and
consider the possibility of using these methods for a few'more areas.
16.2 NEUTRALITY
The society consists of various sections, groups and classes. Each one of these tries to
protect its interests, The various interests often come into clash with each other. It is the
function of the government to maintain peace by keeping this conflict within limits. The
government achieves this objective by trying to fulfil the just demands of each section.
This involves a changing allocation of resources. Thus in most democratic countries
there is progressive taxation through which the rich are taxed more than the poor; the
resources so obtained are then utilised more for the welfare of the poor. In this way,
resources are transferred from the rich to the poor. Thus governmental policy determines
the allocation of resources among the various sections of the people. The bureaucracy
participates in drawing up the policies for such allocation by negotiating with
representatives of the various interests, advising ministers on the pros and cons of
alternative policy proposals, and drafting reports, proposals, resolution and legislative
measures. In view of such participation by the bureaucracy in policy-making, and also
in putting it into effect, it is important that the bureaucracy should be non-partisan or
neutral between the various sections. In our society, neutrality of three kinds is
important: neutrality between classes, neutrality between cultural groups, and neutrality
between political parties. We shall consider the significance and problems of each kind
of neutrality; we shall also consider how neutrality of each kind can be increasingly
achieved.
i) Neutrality between Classes

The society is made up of various classes such as those of landlords, capitalists, traders
and workers. The government is expected to take care of the interests of each one of
them, and to allocate resources to them justly. The bureaucracy is the government's
main instrument and must be neutral between classes if justice is to be done.
Justice between classes is difficult to achieve because their interests often conflict.
Thus if a manufacturer pays higher wages to his workers, his profits get reduced to that
extent. Similarly, if a landlord gives a higher share of the crop to his tenant farmers, he
suffers a loss. It is precisely because of such conflict that neutrality between the classes
is difficult to achieve. It is only if the government and the bureaucracy are seen to be
neutral that the conflict can be kept within limits and peace maintained. If, however, a
class has the feeling that injustice is being done to it, it may take to the war path. Thus
disputes between capitalists and workers result in lockouts or strikes, sometimes there is
even violence and bloodshed. Hence the neutrality of the bureaucracy, which is the
main instrument of the government, is essential for the maintenance of social order.
The conflict between classes is greater in developing countries like India, than in
developed ones. This is because there are greater disparities in developing countries.
Thus while a few are very rich, millions continue to starve. What is more, those who are
poor also lack of education, social status and political power. In other words. the poor
often do not even know how to improve their condition, and even if they try, the richer
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often thwart their efforts, because of the conflict between
Rureaucracy and Development of the poor and their protection from exploitation. Thus in India, workers are by and
large poor, uneducated and urorganised, only about one-tenth of them are organised in
trade unions. Due to the prcvailing poverty, unemployment and lack of education, thc
trade unions also remain weak. Hence in the case of an industrial dispute the
government often intervenes requiring adjudication by a Labour Tribunal or Court.
Now, a Labour Tribunal or Court performs t e function of administrative adjudication: i t
$1
is a bureaucratic mechanism for ensuring justice to both, the employers and the workers.
It is important that this bl~reaucraticmechanism should be seen as being neutral
between the contending parties, if peace is to be maintained. This example indicates
the great significance of rleutrality of the bureaucracy in developing countries.
The neutrality of the bureaucracy is important also because of its role in helping to
bring about development. The government provides loans, subsidies, tax concessions,
raw materials (such as steel and cement), and inputs (such as coal, electricity, lertiliser
and seeds) to industrialists and farmers. The classes of big industrialists and big fanners
have a lot of political and economic power and, therefore, tend to monopolise these
gains. However, development requires that small industries and small farms should also
prosper: they are large in number and make substantial contribution to the national
product. Justice also requires that they should not be ignored. Hence it i5 important that
the bureaucracy, which distributes these facilities, should do so impart~allyand justly.
In other words, just support to small industrialists and farmers requires that the
bureaucracy should not be influenced by the power of rhe big industrialists, big farmers
and landlords.
For reason!, discussed above, there is general agreement about the need for r~eutralityof
the bureaucracy. However, there are some problems in attaining this ideal..One of these
is reiated lo its social background. As discussed in Unit 15, most of the higher
bureaucrrtcy comes from a single class. Thus about 70 per cent of the IAS officers come
from the urban. salaried or professional, middle class. This indicates that farmers and
workers, who constitute the majority of the population, remain grossly under-
rvpresenteil. If the bureaucracy were more representative, it would likely be more
n ~ - ~ ~ Mctnbeis
~ r a l . of every class tend to be partial to the interests of their own class. I f a
lurgc majority of members of the bureaucracy come from a single class, the
bureaucracy 1 4 likely to be partial to this class. This problem can be solved to some
eire111by making the examination for recruitment more broad based. The present
examinarion givea preference to those who can write andspeak English well. and are
able to commit facts and formulas to memory. If the examination is diversified, so as to
include tests of the various psychological and physical abilities, more persons are likely
to be recruited from the families of farmers and workers, thus making it more
representative and more neutral.
Another problem relates to the influence of interest groups. A department that serves a
certain interest is, in the course of time, likely to become identified with it. It has to
come into close and continuous touch with persons having this interest, and it often has
to function as the advocate of this interest. Thus the department of agriculture has to
serve farmers by providing various facilities, and has to obtain funds for this purpose. In
this process, the farmers' lobby and the department of agriculture are likely to become
mutually supportive. If the interests of farmers and industrialists clash, as they often do,
the department of agriculture is likely to take the side of farmers. Hence such
specialised agencies are in danger of losing their neutrality. This problem has arisen in
an acute form in the United States in regard to variaus 'constituency agencies'. In
developing countries like India, it tends to arise mainly in regard to agencies dealing
with powerful interests, like those of big' industrialists and big farmers. The solution to it
lies in the development of organisa~~ons of hitherto weaker sections of the society.
Efforts are now being made in India to help landless labour to organise itself. Similarly,
if various interests organise themselves, and demand better political control over tbe
bureaucracy, so as to ensure its responsibility and accountabiliLy, it is likely to remain
morc ~leutralalso.
ii) Neutrality between Cultural Groups
Our society consists of groups based on religion, caste, language and region. While all
these groups have many common interests, theyhttps://t.me/Upsc_Zone_Official
also come into conflict to some extent.
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Neutral Versus Committed
the blacks have remained poor and exploited. In the USSR also there have been ethnic
Bureaucracy
conflicts, for example between Armenians and Azeris. The bureaucracy is required to
hold the balance between the various groups. Hence it is important that it should be
neutral between them. Since the conflict between cultural groups is generally greater in
developing countries, the significance of the bureaucracy's neutrality is also greater in
these countries. The way to the achievement of such neutrality, and also to the general
reduction of conflict between cultural groups, lies through better education. If the
attitudes of the people can be changed through education, so that they come to regard
themselves more as belonging to the Indian nation than to a particular group based upon
religion, caste, language or region, the conflict between groups can be reduced.
Members of the higher bureaucracy are recruited mostly from among those who have
received higher liberal education. If higher liberal education really broadens the mental
horizon, members of the higher bureaucracy should be among the most broad-minded
people in the society, and hence neutral between cultural groups. To some extent this is
already so. Conscious effort at improving the quality of education can further help to
modernise the attitudes of the bureaucracy leading to even greater neutrality.
The conflict between cultural groups is often accentuated by socio-economic factors.
Thus Muslims in India have generally been poorer than Hindus. Most Sikhs in Punjab
have a rural background, while most Hindus have an urban one. Members of the
scheduled castes all over India are generally poorer and have a lower social status than
others. Many of them are landless labourers. Conflict between cultural groups can be
reduced by narrowing the disparities between them. One of the effects of such
disparities is that a cultural group having a lower social and economic status has a
lower representation in the bureaucracy also. Such a bureaucracy, with higher
representation of certain groups than others, is often not perceived as being neutral.
Hence the reduction of socio-economic disparities between cultural groups will not only
reduce conflict between them, but also make for a more representative and neutral
bureaucracy. Programmes aiming at poverty removal (such as the Integrated Rural
Development Programme), better health and education services, and loans to small
farmers and industrialists, constitute part of the governmental effort to reduce
disparities. Further, if a cultural group suffers from poverty and exploitation and is
unable to find adequate representation in the bureaucracy, special measures are taken
to help it in getting such representation. Thus, some universities and state institutes run
special courses for preparing those belonging to weaker sections for competitive
examinations for entry into the bureaucracy. The Constitution of India permits
reservation of posts in the bureaucracy for any backward class of citizens under Article
16(4). Under this provision, 15 per cent for scheduled tribes, that is in proportion to their
population in the country. For other backward classes the quantum of reservation varies
from State to State. Many of the reserved seats, however, remain unfilled due to the
non-availability of candidates with requisite qualifications belonging to the weaker
sections. Still, these measures are able to help in having a more representative and
more neutral bureaucracy.
iii) Neutrality between Political Parties
Competition between political parties is an essential characteristic of a democracy. If
there is only one party, the voter can hardly exercise hisher choice. Democracy
becomes meaningful only if the voter can choose between candidates of different
parties. The exercise of choice by voters at general elections results in the formation of
the government by one of the contending parties. Every party that fights an election puts
forward its manifesto before the people. If it wins, it is rightly inferred that the people
have approved of its manifesto, indeed, it is said that the manifesto now becomes the
mandate, or command, of the people to the new government. This mandate consists of
policies which the people have approved. Fulfilment ol the wishes of the people
requires the implementation of these policies. The marn instrument of the government
for the implementation of its policies is the bureaucracy. Hence it is important that the
bureaucracy should be neutral between parties : such neutrality alone can ensure the
fulfilment of the wishes of the people.
While the neutrality of the bureaucracy is accepted as an ideal, many problems arise in
practice and come in the way of the fulfilment of this ideal. One such problem has been
the spoils system, under which the winning party appoints its followers or supporters at
different positions
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from:- bureaucracy. Such a burea~crac'~, naturally, lacks in merit and
Bureaucracy and Development efficiency. Since a new government, formed by another party, throws out the supporters
of the party earlier in power, the bureaucracy also tends to lack permanence, knowledge
gained from experience in the service and the motivation which the career system
might have provided. The spoils system brought home the advantages of neutrality of
the bureaucracy. The spoils system tends to arise with democracy but has to be curbed
later on. It prevailed in the United States during most of the nineteenth century. The
effort to replace it by the merit system, through selection of permanent officials by a
Civil Service Commission, began with the passage of the Pendleton Act in 1883. In
developing countries, where democracy arose around the middle of the twentieth
century, the spoils system has often tended to exist despite a Civil Service Commission.
Thus if members of the Civil Service Commission themselves are chosen from among
the supporters of a political party, the neutrality of those whom they select can hardly
be ensured.
In India, the Constitution contains several provisions for the maintenance of the
independence of Public Service Commissions. These are as follows:
i) The Chairman or a member of a Commission can only be removed from his office
by the President on the ground of misbehaviour according to the report given by
the Supreme Court after holding an enquiry.
ii) The conditions of service of a member of a Public Service Commission cannot be
to his disadvantage after his appointment.
iii) The expenses of a Commission are charged on the consolidated Fund of India or
of the concerned State.
iv) A Chairman or a member of a Commission, on ceasing to hold office, cannot get
employment under the government except at a higher post in a Public Service
Commission.
Another problem which tends to interfere with the neutrality of the bureaucracy between
political parties is the development of loyalty towards the politicians in power.
Members of the bureaucracy who have been selected impartially by a Civil Service
Commission, can later, in the course of their career, shed their neutrality and become
aligned with the party, or the individuals, in power. According to the Shah Commission
this problem existed during the Emergency (1975-77) in India. Some writers maintain
that nowdays also, there is a tendency for the development of such relationships of
alliance between ministers belonging to different political parties and senior civil
servants in nowadays also in governments of different political parties in India. Thus it
is suggested that the problem is not related to any particular party, but rather to the
underdevelopment of our political system. The solution, then, lies in political
development. Political development requires strengthening and improving the working
of the various parts of the political system: interest groups, political parties, the
electoral system, mass media, legislatures, the judiciary, and the political and
bureaucratic parts of the executive. Thus if interest groups representing the various
interests in the society put constant pressure upon the government, it will become
difficult for a minister and a bureaucrat to collide for making unjust and partisan gains.
If there is internal democracy in the ruling political party, its leaders also will remain
accountable to the rank and file of the party and not try to make selfish gains with the
compljcity of members of the bureaucracy. If the electoral system helps to elect those
who can truly represent the people, elected politicians will tend to be more responsive
to the people and are likely to refrain from misusing the bureaucracy. If the mass,media
(the press, television and radio) are healthy and powerful, they will provide for effective
communication between the rulers and the ruled and help to make the will of the people
prevail. Properly functioning legislatures will keep both the politicians and the
bureaucracy under check and make them behave with realisation of their responsibility
and accountability. In short, the growth of democratic consciousness and institutions is
likely to deal with the problem of alliance between ministers and civil sekvants for
making selfish gains.

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ii) Check your answers with those given
at the end of the unit.
1) Why is bureaucracy needed to be neutral between the classes?
2) What are the provisions for the maintenance of the independence of Public Service
Commission ?
COMMITMENT
The bureaucratic form of organisation has both, advantages and disadvantages. Its main
advantage, as pointed out by Weber, is efficiency. Its main disadvantage, as pointed out
by Marx, is alienation. Hence we aim at reducing alienation while maintaining
efficiency. This can be done, to some extent, by improving the bureaucracy's
commitment, or moral dedication.
Let us examine the need for commitment in some detail. According to Weber, the main
characteristics of a bureaucracy are hierarchy, division of labour, specialisation, rules
and impersonality. All these factors make for efficiency. At the same time, however, a
bureaucracy suffers from alienation. According to Marx, the members of bureaucracy
suffer from loss of freedom, creativity, humanity, and morality. Weber agrees that
members of a bureaucracy tend to function like "little cogs, little men clinging to little
jobs". Other writers have also pointed out the disadvantages, or dysfunctions, of
bureaucracy. Thus Merton says that bureaucratic control over officials, requiring that
they should strictly follow rules, induces in them "timidity, conservatism and
technicism". Hence the problem is how to maintain efficiency while reducing alienation
or the dysfunctions of bureaucracy. The solution to this problem lies mainly in
improving the commitment of its members. In other words, the bad effects of
bureaucratic controls can to some extent be reduced if the employees are imbued with
dedication.
Dedication, or commitment is required also because the employees have constantly to

deal with complex problems, many of which are new. It is a mistake to think that all
bureaucratic activity is routine and monotonous. Developmental activity in particular
requires forecasting, planning, risk bearing, breaking new ground and experimentation.
Hence, innovations have to be made all the time. The making of innovations, or
creativity, requires emotional commitment.
We have noted so far that commitment on the part of the members of a bureaucracy
leads to effectiveness and efficiency. Effectiveness means fulfilment of the
organisational objectives, and efficiency means doing so with as little expenditure of
resources as possible. Thus effectiveness and efficiency are aspects of the successful
working of the organisation. However, the organisation consists of human beings and it
is also important that they should be happy. To some extent, monetary rewards can
make them happy. Equally important, however, is their need for job satisfaction: Job
satisfaction is the intrinsic satisfaction which one gets from doing a job. Thus the
satisfaction which a painter gets from painting itself, is his job satisfaction: it is quite
apart from the money that he gets from the sale of his paintings. It is obvious that job
Bureaucrat) and Development https://t.me/Upsc_Zone_Official
satisfaction is related to commitment. If one paints only for money, he has little job
satisfaction. The more devoted, or committed, he is to painting, the greater is his
satisfaction. Thus commitment leads not only to organisational effectiveness and
efficiency but also to the satisfaction and happiness of the employees. Hence
comniitlncnt is significant from both, the organisational and individual points of view.
i) Commitment to Values and Objectives

Of our various commitments, the most important is the commitment to values. In the
ethical sense, values are ends in themselves: they are sought for their own sake. The
most important of our values are what are called human values, that is those values
which are sought in all places and times. Examples of human values are truth.
compassion, honesty and courage. While human values are universally sought, there are
some values to which importance is attached in only some countries. The latter may be
called national values. Important human and natipnal values may be mentioned in a
nation's Constitution also. Thus the following four human values are mentioned in the
preamble to India's Constitution: justice, liberty, equality and fraternity. These may be
called human values since in no age or place has their desirability been questioned.
Then there are the values of nationalism, democracy, socialism and secularism which
may be called India's national or Constitutional values, since they find explicit or
implicit support in the Constitution. While it is expected that everyone everywhere will
attach great importance to human values, citizens of India are, in addition, expected to
seek to fulfil the national or Constitutional values. The bureaucracy is expected to
attach even greater importance to both these sets of values than ordinary citizens. The
bureaucracy acts on behalf of the state or government. If the state and government are
to have a human face, that is if they are to be seen as being just and humane, the
bureaucracy must show respect to human values. Again, since the constitution lays
down the fundamental principles according to which the state is governed, the
bureaucracy, as the agent of the state and the government, must accord the highest
importance to all the values enshrined in the Constitution.
Apart from human and constitutional values, the bureaucracy must also be committed to
national objectives. Some of these may be so important as to be mentioned in the
Constitution, while others are stated in laws. Thus Part IV of the Indian Constitution,
entitled "Directive Principles of State Policy" mentions objectives such as the
following: securing just and humane conditions of work, securing a living wage,
provision of free and compulsory education for all children, and the protection of
Scheduled Castes and Tribes from social injustice and exploitation. However, the
Constitution mentions only a few, paramount, objectives, most other national objectives
are stated in laws. Their seed may be found in the demands of interest groups, they are
presented to the people for their approval through the manifestos of political parties at
election time. and they are adopted as national objectives after their inclusion in laws.
The legislature consists of elected representatives of the people, and hence is entitled
to declare the national will. Every act of the legislature contains such a declaration: the
objectives which the act seeks to fulfil are mentioned at its very beginning. Thus the
objectives of ~ h cIndustrial Disputes Act, 1947, are to secure industrial peace and to
ameliorate the condition of workmen in industry. Once objectives are enshrined in the
Constitution or the laws, it becomes the duty of the bureaucracy to faithfully fulfil them
by implementing the law. Commitment of the bureaucracy to the objectives stated in
Iaws is thus essential for the performance of its duties.
A problem presents itself. however, if we consider the actual' role of the bureaucracy. A
law contains not only the objectives which are sought to be fulfilled, but also the
chosen way in which this is to be done. This way can be called the policy. In other
words, for fulfilling a certain objective there may be several alternative ways, or
policies. Thus the objective of free and compulsory education may be achieved in either
of two ways: (i) punishing parents of children who are not sent to school, and (ii) giving
incentives, such as free mid-day meals, to attract children. Either of these ways may be
adopted and enforced through a law: this, then, becomes the policy of the government.
Now, while the objectives are, more or less, decided through the interaction of political
parties with interest groups and, directly, with the people, policies are chosen on the
basis of the advice of technically trained and experienced members of the bureaucracy.
The role of the bureaucracy in the formulation of the policy is very important, since
often only the bureaucracy knows what will work on the ground. The bureaucracy
informs the minister about the advantages and disadvantages of each of the alternative Neutral Versus Committed
Bureaucracy
policies, and advises on the adoption of the most suitable alternative. It is then for the
minister to choose the policy: he may accept or reject the advice of the permanent
official. In case the civil servant's advice is rejected, he faces the problem of faithfully
implementing a policy which he considers to be bad, or wrong. Thus, during the
Emergency (1975-77) the~ewere', perhaps, some officials who considered the policy of
using compulsion for family planning as being a bad one, since it would have achieved
the 'desired objective. Still, they were expected to faithfully enforce the measures for
compulsion.
We note, then, that.there may'be differences of opinion between ministers and civil
servants in regard to the policy to be adopted. In such a situation, civil servants are
expected to faithfully implement the policy chosen by ministers. In other words, the
bureaucracy is expected to be committed to a policy even if it considers it to be faulty.
Further, it is expected to become committed to a new set of policies on a change in
government. It comes in for criticism if the expected change in its commitment does not
come about. Paul Appleby has pointed out that the civil service in Britain is criticised
for not being as responsive to policy shifts as it should be.
The justification for expecting the bureaucracy to be ,committed to the policies of the
government of the day is inherent in democracy. It is the elected representatives of the
people, and not civil servants, who are thrown out of power, and office, if the policies of
the government are not liked by the people. The ministers are responsible to the people,
hence they are justified in choosing policies which they think the people want. The
function of the civil servant is to advise the minister freely and frankly in the
formulation of the policy, however, if the policy is finally chosen by the minister, the
civil servant must implement it faithfully. If the policy is proved to be wrong, the
minister is likely to be punished by the people at the time of election.
ii) Commitment to Service of the People

The bureaucracy's important role in policy formulation and implementation gives it a
lot of power, it participates in deciding who should get what, when and how, and then
goes ahead to enforce these decisions. In developing countries, particularly, the power
of the bureaucracy is considerable since the other parts of the political system are weak.
Hence while the civil servant is, ideally, expected to function as a "servant" of the
people, in reality he may turn out to be a master. In countries like India, this problem
becomes worse due to be heritage of the colonial past, when the civil servant used to be
the symbol and agent of the foreign power. After independence also, a cultural and
social chasm has continued to exist between the mostly non-literate and poor people
' and the higher bureaucrat who often dresses, speaks, and even thinks, like a foreigner.
In a democracy, however, the people are expected to exercise real power, and the
bureaucracy is expected to remain under the control of the elected politicians, and
serve the people. Hence commitment for providing service to the people is essential for
the proper performance of the bureaucracy's role.
The bureaucracy's power, derived from its role in policy formulation and
implementation, is used also for fulfilling its own interests. In developing countries, the
bureaucracy is very powerful, the result often is that the bureaucracy tends to fulfil its
own interest even at the cost of the interests of the people. Thus the extra profit
(benefits apart from salary) remains high in most public undertakings in India even if
they lack effectiveness and run at a loss. High officials play an important role in the
determination of their own emoluments, and try to protect their interests by maintaining
the emoluments at a high level. Service of the people requires that where there is a
conflict between their own interests and those of the people, they should give priority to
the people's interests.
iii) Commitment to Profession

A profession is a vocation or calling, especially one that involves some branch of
science or advanced learning. Nowadays Public Administration requires persons
belonging to almost all the profe~ions,such as doctors, engineers, lawyers, teachers,
scientists, managers and accountants. Obtaining professional qualifications requires long
and arduous preparation on their part. They are considered to have specialised
knowledge and excellence and hence have high prestige. Since their contribution to the
Bureaucracy and Development society comes from their specialised knowledge, it becomes their duty to keep abreast
of the developments in their field of specialisation. They must also maintain the
expected standard of performance. Thus university teachers must continue to read the
latest publications. These are the requirements of their commitment to teaching as a
profession. Similarly, other professionals must also continually update their knowledge
and skill, and maintain the expected standard of performance through practice.
The duties associated with every profession required, not only knowledge and skill, but
also moral dedication. Hence commitment to a profession involves adherence to its
ethics and etiquette. Thus the ethics of the medical profession require that a doctor
should attend to a patient even at the risk of infection to himself; its etiquette requires
that he should not disclose information confided to him by his patients. Similarly, every
profession has its ethics and etiquette. When a professional joins the bureaucracy,
he/she must continue to remain committed to the ethics and the etiquette of hisher
profession, in addition to hisher commitment to the objectives of hisher organisation.
Thus even if hisher position in the organisation confers a high status upon himiher.
he/she must not allow it to interfere with hisher professional duties. For example, if a
specialist in clinical medicine becomes the director of a medical institute. he/she
should not allow the new status to interfere with hisher duty towards the patients.
Hisher position may also provide himiher with opportunities for selfish gain at the cost
of hisher clients. Thus, a specialist in a medical institute may be pressurised for
recommending some costly and inferior equipment for purchase. Hisher commitment to
hisher profession would require refusal to recommend inferior equipment. whatever the
pressure.
Note : i ) Use the space below for your answers.
ii) Check Your answers with those given at the end of the unit.
1) What are the implications of the commitment to values and .objectives?
2) Discuss the implications of the commitment to service of the people.
...............................................................................................................................................................................
"
3) What are the implications of professional commitment?
In this section we shali consider (i) whether neutrality and con~mitrncntarc ncccssarily
antithetical, (ii) ways of achieving neutrality and commitment. and ( i i i ) spcckil
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devices for important areas.
i) Compatibility of Neutrality and Commitment Neutral Versus Committed

Bureaucracy
In recent years there has been a lot of discussion in India about the nature of neutrality
and commitment, and particularly, whether the bureaucracy can have the two qualities
at the same time. Obviously, if commitment is taken to mean commitment to a
particular political party or to its leaders, it becomes antithetical to neutrality. However,
commitment to human and constitutional values and national objectives, to service of
the people, and to professional ethics and etiquette, is not antithetical to neutrality
between classes, cultural groups and political parties. Indeed, commitment and
neutrality reinforce each other if they are of the right type. Thus commitment to the
human value of compassion and to the constitutional value of fraternity are likely to
induce neutrality between classes and cultural groups respectively. Similarly,
commitment to national objectives is likely to induce neutrality between political
parties. Hence the effort should be to induce commitment and neutrality of the right
kind.
ii) Inculcation of Neutrality and Commitment

Inculcation of desirable attitudes in the bureaucracy requires attention to all aspects of
personnel administration. At the time of recruitment and selection of candidates it
should be ensured that they have received the right kind of socialisation and education
in the family and school. The competitive examination for selection can include tests of
attitudes towards human and constitutional values and national objectives on the one
hand, and towards classes, cultural groups and parties on the other. Such tests can
indicate whether the candidate has properly benefited from liberal education and has a
broad mental outlook, or has merely committed materials to memory for passing
examinations. After entry, desired attitudes of neutrality and commitment can be
inculcated in the members of the bureaucracy through training. Various incentives, such
as desired posting, visits abroad and quicker promotion, can be provided for motivating
employees to develop the right attitudes. Finally, control by the political executive and
the legislature can ensure that they do not deviate from the norms. Institutions like the
Public Service Commission, Courts and Administrative Tribunals should ensure that the
exercise of control by political aut~loritiesis done fairly and justly. Further, in a
democracy, the people have the right and the duty to see that all institutions function
properly.
iii) Special Agencies and Recruitment Methods
Special agencies and methods of recruitment can be used for important areas requiring
a high degree of both neutrality and commitment. One such special agency already in
use is the autonomous university. Higher education and research constitute an area in
which commitment and neutrality are both of great importance. If commitment is not
there, pursuit of knowledge lacks excellence; if neutrality is not there education
becomes merely indoctrination. The autonomous university aims at achieving both; it
also retains the main advantage of bureaucratisation, namely efficiency, while avoiding
the dysfunctions flowing from bureaucratisation due to its autonomy. Max Weber has
noted that staff members of a university constitute a bureaucracy. The characteristics of
hierarchy, division of labour, specialisation, rules and impersonality are to be found in a
university also, and hence it has the efficiency flowing from these factors. At the same
time, its autonomy permits its staff members to remain committed as well as neutral,
since the rules of conduct applicable to government servants do not apply to the
employees of a university.
There may be other areas requiring a high degree of both neutrality and commitment.
Perhaps one such area is that of rural development. Much success was achieved by
leaders like Mahatma Gandhi in this area by employing a cadre of volunteers who were
marked by both commitment and neutrality. The governmental programme of
Community Development, which has similar objectives, has, by contrast failed to fulfil
our expectations. Some of the deficiencies of the Community Development Programme
may be traced to the lack of a committed cadre. Paul Appleby has noted the need for a
committed cadre for such new programmes, as follows: "usually it is not possible by the
Civil Service process to quickly identify the rare individuals who would be particular!^
competent at many of the key jobs required for these new programmes. This is
especially,true in view of the further fact that it is of mportance that these new
agencies be staffed
Downloaded from:-by.people who are genuinely zealous with respect to the new
Bureaucracy and Development programme". Appleby has suggested the recruitment of committed cadres on a flexible
and political basis for such new programmes, and their conversion later into career
bodies. Perhaps this, and similar suggestions, can be experimented with, after -
introducing modifications appropriate to the country concerned. Developing countries,
where the government must play a leading role in bringing about development, can
postpone such experimentation only at great peril; for, underdevelopment increasingly
tends to be associated with phenomena like widespread disturbances and violence.
-
Note : i ) Use the space below for your answer.
ii) Check your answer with that given at the end of the unit.
1) How can neutrality and commitment be assessed ?
16.5 LET US SUM UP
The bureaucracy comes to have great power due to its role in policy formulation and
implementation. Hence it is important that it should be neutral between classes, cultural
groups and political parties. The achievement of neutrality is beset with problems; most
of these, however, are likely to be solved with development. Also, the bureaucracy has
to play an important role in bringing about development. Its role requires commitment to
human and constitutional values and national objectives, to service of the people and to
professional ethics and etiquette. Neutrality and commitment can both be inculcated
through proper education before entry into the service and training after entry, the proper
use of incentives, and controls by political and independent institutions of democracy.
Experimentation can be made, for example by having a highly committed, flexibly
recruited, cadre for a new programme of importance, requiring commitment.
16.6 KEY WORDS
Antithetical: direct opposite or contrast

Commitment: moral dedication to a cause
Dysfunctions: consequences that interfere kith adjustment and create problems in
the structure.
Ethics: moral principles
Etiquette: conventional rules of social behaviour or professional conduct which
restrict professional people from indulging in activities that are detrimental to the
interests of people and their colleagues and adversely effect the dignity of their
profession.
Fraternity: ideal fraternity is enshrined in the preamble of the Constitution of India. It
ensures the dignity of the individual and the unity and integrity of the nation.
Pendleton Act: the reform of Civil Services in U.S. began with the Pendleton Act
(1883). Its aim was to promote appointment on the basis of merit through open
competitive examination and assure the appointees security of tenure. It recommended
the establishment of a United States Civil Service Commission. The Act was concerned
with classified positions only. Labourers, workmen and persons nominated for
confirmation by the Senate were excluded from the purview of the Act.
Values: one's principles or
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. . . ...-
Neutral Versus Cornmitt

16.7 SOME USEFUL BOOKS. Bureaucra
Kothari, Shanti and Roy Ramashray, 1969. Relations between Politicians and Administrators
at the District Level; IIF'A: N. Delhi.
Lapalombara, Joseph (ed), 1967. Bureaucracy and Poll'rical Development; Princeton
University Press: Princeton, N.J.
Verma, R.S. 1973. Bureaucracy in India; Progress Publishers: Bhopal.
Journals
Arora, K. Satish, "Political Policy and the future of Bureaucracy" in Indian Journal of Public
Administration, Vol. 18 (July-Sept 1971) pp. 355-367.
Gupta, V.P., "A Study of Conflict between Political Elite and Bureaucracy", in the Indian
Journal of Political Science, Vol. 48, No. 1. January-March, 1987.

EXERCISES
Neutrality of bureaucracy between various classes in the society. is required to
ensure that
Feeling of injustice is done away with.
Social order is maintained.
Development is achieved.
Method of removal.
Condition of service.
Expense of a Commission.
Other provisions.
Commitment to the constitutional values.
Commitment to the national objectives.
Commitment to the policies of the government of the day.
Conflict between interests of the bureaucracy and interests of the people.
Commitment to the interests of the people.
Update one's knowledge and skill.
Maintaining the standard of performance through practice.
Commitment to the ethics of the profession.
Commitment to the objectives of the organisation.
Compatibility of neutrality and commitment.
Inculcation of neutrality and commitment.
Special
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17 BUREAUCRATS AND
POLITICIANS AND THEIR
RELATIONSHIP
Structure
Objectives
Introduction
Relationship in the Course of Policy Formulation
Relationship in the Course of Implementation
Problems in the Relationship
Let Us Sum Up
Key Words
Some Useful Books
17.0 OBJECTIVES

describe the relationship of politicians and permanent officials;
discuss the problems of their relationship; and
suggest measures for improving the relationship.
17.1 INTRODUCTION
In this unit we shall study the relationship between politicians and permanent officials.
Their relationship is important because they together constitute the executive branch of
the government. If there are problems in their relationship; the administration does not
run smoothly. Problems are likely to be there mainly because of their different roles.
Politicians represent the people and take care of their interests; permanent officials, on
the other hand, provide expertise and experience. Hence their modes of recruitment are
different: politicians are elected while members of the bureaucracy are appointed. his'
makes for differences in their social background. While most members of the
bureaucracy in underdeveloped countries like India are drawn from the salaried or
professional, urban, middle class, many of the politicans have a rural, agricultural
background. mese, and similar, differences in their roles and social background lead to
differences in their attitudes also. Hence they sometimes find it difficult to cooperate
with each other.
We propose to examine the relationship of politicians and permanent officials under

three heads: Relationship in the Course of Policy Formulation, Relationship in the
Course of Policy Implementation, and Problems in the Relationship.
Relationship in the Course of Policy Formulation is, further, proposed to be studied
under five heads: (i) Communication with the People, (ii) Provision of Information, (iii)
Technical Consideration, (iv) Coordination, and (v) Authorisation. Relationship in the
Course of Implementation is proposed to be studied under three heads: (i) Rule-making,
(ii) Supervision, Monitoring and Evaluation, and (iii) Administrative Management.
Finally, Problems in the Relationship are proposed to be discussed under four heads: (i)
Interference Complex, (ii) Bureaucratic Power, (iii) Loyalty, and (iv) Collusion.
17.2 RELATIONSHIP IN THE COURSE OF POLICY

FORMULATION
It was earlier believed that while policy was formulated by politicians, it was
there is no such separation of functions. This is so in all countries: politicians and the Bureaucrats and Politicians and
their Relationship
bureaucracy cooperate in the course of both policy formulation and implementation. In
developing countries, particularly, it has been found that the bureaucracy plays an
important role in policy formulation also. In the following we shall consider the
relationship of politicians and permanent officials in the course of policy formulation in
some detail.
I) Communiqation with the People
Public policy results from the interaction between the people, functioning individually
and'in groups, on the one hand. and the politicians and the bureaucracy on the other. In
the course of their interaction, all the three seek to influence each other and
communicate for this purpose. Thus the various sections of the people try to articulate
their particular interests through interest groups, such as trade unions and associations of
farmers, lawyers, doctors. engineers and others. Political parties take note of these
various interests and try to satisfy all of them as far as justifiably possible. This is
known as interest aggregation. For this purpose politicians remain in close touch with
the people. Thus Jawaharlal Nehru worked among the farmers of the Allahabad district.
He not only listened to their problems but also helped them to organise for the freedom
movement. Similarly, V.V. Giri was a leader of industrial labour. It is notable that in
developing countries, where associations of the poor often do not exist, politicians
generally have to take the initiative in organising them. Generally political parties
depute their important members to organise particular sections of the people. Thus every
important political party in 1ndia.tries to set up its own trade union, farmers'
association, women's wing, youth wing, and so bn. Hence in developing countries, the
role of politicians consists of both interest articulation and aggregation: they become
both spokesmen and arbiters. Their leadership function requires that they rouse the
consciousness of the people, set collective goals for them. and unite them in the pursuit
of these goals. In practice, there are many hindrances, such as lack of education among
the people, factionalism within @tical parties, lack of internal democracy within
parties, division of the people, and factionalism within parties, on the basis of caste,
religion, language, and so on. Still, the fact remains that play an important
role in organising the people and ventilating their demands and grievances. Hence
politicians come to be seen as being aligned with particular sections and, therefore,
partisan, to some extent. The bureaucracy, on the other hand, is generally seen as being
neutral. Also, due to the weakness of interest groups and municipal and Panchayati Raj
bodies, the bureaucracy has been the main channel of communicating the felt needs of
the people to the government. Hence, while both. politicians and civil servants
functions as links in the chains of communication between the people and the
government, civil servants sometimes tend to look upon politicans as mere rabble-
rousers. On the other hand, politicians tend to believe that bureaucrat are unresponsive
I and insensitive to the problems and needs of the people. This perception is heightened
by the cultural and status differences between the higher bureaucracy and the common
people. At the same time the political and bureaucratic channels of communication
have to meet at various points. Hence politicians and civil servants have to cooperate at
all levels, despite their somewhat different roles and view points.
ii) Provision of Information

Politicians and civil servants are repositories of different types of information, and both
these are needed in the course of policy formulation. Civil servants generally have the
advantage of longer experience; they also keep their command on organisational
memory in the shape of files and other records. Hence they can provide valuable
feedback-information about the results of earlier efforts as well as ongoing programmes.
Now policy can, then, be formulated in the light of these results: modifications can be
introduced to avoid past mistakes or problems faced earlier. Politicians. on the other
hand, are more likely to successfully assess the mood of the people;. particularly, they
are expected to be able to tell what the people will not stand. Thus more, or better,
social services such as education and health, would cost money which must come from
the people in the shape of taxes. The politician is expected to provide information as to
whether the people would prefer better service or less taxes. Once the ruling politicians
have given their assessment, civil servants can proceed to give concrete shape to policy
proposals in the shape of new programmes or budget proposals. If the assessment of
politicians is faulty, they may be punished by the people at the next election. https://t.me/Upsc_Zone_Official
Buraucracy and Development Politicians are also answerable for mistakes committed by civil servants workirig under
them. Hence it is also their duty to exercise proper control over the bureaucracy.
iii) Technical Consideration
Technical examination of policies and programmes i s a f utmost importance for ensuring
that they fulfil the desired goals at the minimum cost. There are several aspects of
technical consideration. The first is the substantive aspect. Thus health policy must be
examined by doctors, educational policy by educationists, and so on. That is why
specialists of all kinds are nowadays employed by governments. They function in the
various departments at almost all levels. Thus in the Health Department not only is the
Director a doctor, but doctors are to be found in the primary health centres in the
remotest villages. Problems and suggestions of specialists at various levels are
considered and lead to new policies and programmes.
Another type of technical examination may be related to feasibility. Thus there may be
a question whether a certain policy or programme is feasible or practicable. For
example, if the proposal is to teach sewing to destitute women for providing them with
employment in a city, it is first necessary to find out whether there is a market for
clothes produced by them. If a feasibility study shows that such clothes are not likely to
sell, the policy must be modified. Hence administrators must ensure the practicability of
policies and programmes through feasibility studies.
'Techno-economic analysis constitutes another type of technical examination. Here the
attempt basically is to find out whether the technology proposed to be used is
economically viable. Technology is related to the requirements of raw materials,
personnel, the size of the undertaking, the nature and quantity of the output, and the
financial outlay. All these factors have to be taken into account while taking decisions
relating to policy and programmes.
Finally, it is important to make a social cost-benefit analysis of every policy,
programme and project. This analysis has to include consideration of hidden costs and
benefits also. Thus the building of a dam may involve hidden costs in terms of
destruction of the environment and the uprooting of people. Similarly, there may be
hidden benefits. For example, a road connecting a village with a city may help in
changing the attitudes of the village people, apart from leading to economic gain.
The various types of technical examination mentioned above indicate the great
contribution of specialists in policy formulation. It is important, therefore, that
specialists should be allowed to influence decision-making in the interests of
effectiveness and efficiency. In practice, however, political considerations are
sometimes allowed to outweigh technical ones. Thus decisions about where industries,
roads, hospitals and schools should be located are often taken, not on technical bases,
but in the interest of powerful politicians. For example, it may be technically more
feasible to locate an industry close to its source of raw materials. However, a powerful
chief minister may insist upon its location in his state. Similarly. a powerful legislator
may insist upon having a road in his constituency rather than where it is more needed
for economic reasons. Powerful politicians often over-rule members of the bureaucracy
in their narrow interests. Sometimes members of the bureaucracy also give
recommendations which are not justified technically, but which please ministers or
powerful legislators. Such deviations from norms hurt the public interest.
iv) Coordination
All policies and programmes are to a varying extent interrelated. Thus agriculture
development also requires industrial development for the provision of fertiliser,
pesticides, and mechanical implements; it requires educational development so that
farmers may be able to read and benefit from new scientific knowledge; it also requires
development of farmers' health so that they may be able to work properly. Hence
policies of agricultural development have to be drawn up so that they harmonise with
other policies. Hence coordination of a high order is necessary. Coordination is needed
at all levels and all stages, as Mary Parker Follett has stressed. At the top level it is
sought to be brought about through the cabinet. All important policies are reviewed by
the cabinet. Here the ministers have an opportunity to examine the implications of other
pdlicies for those of their own department. Any inconsistency, gap or duplication is
ironed out. https://t.me/Upsc_Zone_Official
Below the cabinet, there are certain agencies which function on behalf of the Bureaucrats and Politicians and
tbeir Relationship
-government and help in achieving- coordination. Staff agencies,
- such as those for
planning, financial administration, personnel administration, administrative reforms, law
and public works help in coordinating both policy-making and implementation. Thus the
Planning Commission examines the policies and plans of all Ministries and all State
Governments. Here specialist and generalist members of the bureaucracy make
important contributions to policies and programmes. While detailed examination of a
certain policy is made in the concerned Ministry, the Planning Commission takes a
government-wide view and suggests modifications. Similarly other staff agencies
participate in policy-making. The contribution of the higher bureaucracy is here of
paramout importance. However, the bureaucracy necessarily functions under the over-all
control of politicians. Final decisions necessarily rest with politicians; civil servants
help them to reach these by providing a comprehensive view based upon a mass of
data, analytical studies, and expert advice.
Politicians and civil servants have to cooperate at the field level also. Thus a Deputy
Commissioner and M.L.A. are both concerned with the various policies related to the
development of a certain area. Although district planning has yet to become a reality,
district politicians and civil servants do make suggestions which are taken into account
by authorities at higher levels. Joint efforts of politicians and civil servants bear more
fruit.
Cooperation between politicians and civil servants is essential for the proper functioning
of bodies of local self-government like municipalities, and Panchayati Raj bodies. In
developing countries like India, however, these bodies are often so weak that they have
to depend upon civil servants who are employees of the state government. Hence local
politicians often have little control over the permanent officials serving the local bodies.
If different parties happen to be in power at the state and local levels, state politicians
tend to use the bureaucracy in the field in their party interest. Solution to such problems
lies, ultimately, in the strengthening of local-government. This is an important aspect of
the required political development.
V) Authorisation
The final stage of policy-making is its authorisation. The legislature authorises or
approves policies and programmes usually in the shape of laws. Laws are necessary
because without their sanction the government cannot allocate social resources. Thus
taxation is the prime method for making resources available to the government.
Imposition of taxes requires laws. Thus a law for the imposition of a certain tax may
imply a policy for the redistribution of wealth. Approval by the legislature is taken to
mean approval by the people, since the legislature consists of representatives of the
people. Hence the passage of a law puts the stamp of approval by the people's
representatives on the policy contained in it and also empowers the executive to
enforce it.
The function of giving legal shape to a policy is mainly performed by the bureaucracy.
After a certain policy has been approved by the cabinet a draft of the bill is prepared by
the Law Ministry. It is then examined by the civil servants and the minister from whom
the proposal emanated. Thus while cooperation between politicians and civil servants is
a must, it is important to appreciate the contribution of those who draft the bill. The
details of the policy as it is enforced are determined by the legal terminology of the bill.
The minister is generally unaware of legal niceties. The result is that the burea'ucracy
determines the details, some of which can be highly significant.
The significance of the bureaucracy's contribution can be gauged from the fact that
sometimes the very success or failure of the policy may depend upon the legal
terminology used in the law. Thus the widespread failure of land reforms in India was to
some extent due to the loopholes in the laws which sought to enforce the policy. The
National Commission on Agriculture noted that, "These legislative measures were full
of loopholes which were taken advantage of by the bigger landed interests to
circumvent the laws".
Thus while a policy needs the approval of the minister and the cabinet, and it is
enforced througb a law passed by the legislature, the bureaucracy plays an important
part by giving it the shape of laws. Cooperation between politicians and civil servants
is, therefore, again a must.
Bureaucracy and Development Check Your Progress 1

Note : i) Use the space below for your answers. .
1) "It is the bureaucracy alone which function as channel of communication between
the people and the government". Explain.
2) What role does the bureaucracy play in technical examination of a policy?
3) What part does the bureaucracy have in the authorisation of a policy?
RELATIONSHIP IN THE COURSE OF

IMPLEMENTATION
While in policy-making politicians have the dominant role, in implementation the

bureaucracy has a greater role. While a politician only heads a department as a
minister, civil servants function at all levels. Members of the bureaucracy at the top
level advise ministers and manager the departments, those at the middle level supervise
field officials and keep the top informed of the progress, and field officials like
policemen, taxcollectors and factory inspectors enforce the law. It would, however. be
a mistake to think that politicians have no role in implementation. The minister is the
political head of the department and bears responsibility for both, its policies and their
implementation. He is questioned in the legislature even on the details of
implementation if anything goes wrong. It is the duty of the minister to ensure that civil
servants in their department function according to the law and that no injustice is done
either to a member of the clientele or the bureaucracy. The minister has to ensure that
implementation of policies is done lawfully, effectively and efficiently. The minister
deserves criticism if he/she tries to impose hisher will on officials in the performance
of quasi-judicial functions, for example as members of a tribunal; if she withdraws
delegated powers from officials in particular cases; and if he/she acts in a partisan or
selfish manner. Hence responsibility for proper implementation of policies is borne by
politicians as weil as members of the bureaucracy, the role of the politicians as
ministers being to exercise control over the bureaucracy on behalf of the people.
i) Rule-Making
A law as passed by the legislature is in general terms. It does not go into details. Thus a
law may prohibit trade in harmful drugs. However, it would not list the drugs, leaving
this to be done by the executive. There are several reasons why laws are stated in such
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general, rather than specific, terms. One reason is that
the legislature is busy with a
large amount of business having to do with control over the administration, discussion of BureaUCratS and Politicians and
their Relationship
policies, and legislation. It does not have the time to go into the details. Another reason
is that the legislature consists of representatives of the people rather than experts: their
proper role is to protect the interests of the various sections of the society and not to get
involved in the intricacies of particular pieces of legislation. Members of the
bureaucracy are employed as experts to deal with the details falling within their area of
specialisation. Finally, situations keep changing but the law cannot be changed so
frequently. Thus new harmful drugs may make their appearance in the market. If the law
were to give their names, it would have to be .mended every time a new drug appeared.
For these reasons the law is stated in general terms.
The function of filling-in details is left to the executive. The executive performs it
through the making of rules and regulations. The making of rules and regulations under
authority given by the legislature is called delegated legislation. The term legislation is
used for the making of rules because they come to have the force of law. After all, rules
give effect to the will of the legislature by filling in the details.
I While the legislature gives the authority to make rules and regulations to the
government, this authority is mainly exercised by civil servants. The reason is that civil
servants possess the specialised knowledge, the experience and the detailed information
necessary for drawing up the rules. The minister is generally not likely to have either
the specialised knowledge or the time for doing this himself; he is busy with his
political duties of meeting delegations of the people, looking into complaints, and so
on.
The function of drawing up rules and regulations under delegated authority tends to
confer a'lot of power on the bureaucracy. This is specially so in developing countries
where the bureaucracy is very powerful otherwise also. The role of delegated legislation
in confemng power on the bureaucracy has been discussed for more than half a century.
In England the Committee on Ministers' Powers considered this issue in 1932. The
consensus now is that while there is the risk of giving too much power to the
bureaucracy, there is no alternative to giving this function to it. Hence it is considered
to be important that the rules be laid on the table of the house of the legislature, and
that they be scrutinised by members of the legislature. The minister's role in exercising
check over the bureaucracy in the drawing up of the rules goes without saying. In short,
in this respect as in others, democratic theory emphasises the need for effective
political control over the bureaucracy.
ii) Supervision, Monitoring and Evaluation
After the notification of rules, implementation becomes mainly the responsibility of
field officials like tax-collectors, factory inspectors, doctors in government hospitals,
1 and policemen. Supervision over them is exercised by superiors of the department. This
supervision generally remains lax in Indian administration. The main reason is that
superior officials have very little real authority for rewarding or punishing their
subordinates. Promotion, particularly at lower levels, is based mostly on seniority; nor
can a superior give any other rewards. So far as punishment is concerned, the procedure
for taking disciplinary action is very cumbersome and it takes a lot of time, sorhetimes
years, before the final decision in regard to punishment is taken. However, another, and
more important reason for laxity of supervision nowadays is the protection often given
by boliticians to civil servants over the heads of their superior. The politicians generally
extend such support to civil servants in fhe hope of getting their help at election time.
The patronage of politicians which civil servants thus enjoy results in widespread loss of
efficiency, effectiveness, and probity in administration. We shall consider the solution
to this problem later. Here we only note that instead of exercising control over the
bureaucracy, politicians often are instrumental in eroding even the authority of
bureaucratic superiors in our developing society.
The progress achieved in the fulfilment of targets is regularly monitored at higher levels.
Various forms are prescribed for submitting periodic reports. Such reports can be of great
value if they are properly used. However, they can also come in the way of
achievement. Research work has shown that officials who are responsible for
achievement have to fill too many returns; this takes away much of the time which
should have been spent on the work itself. What is more, the returns and reports are
often not even read by superior officials but merely tied up in files to gather dust and
Bureaucracy and Development OCCUPY valuable space. The responsibility for this state of affairs belongs to both senior
bureaucrats and politicians. There is a need, in every organisation, for constant w-
examination of structures and procedures. Thus returns which were prescribed long ago
may no longer be needed. Some, perhaps, can be cut down in their length. The initiative
for such changes must come from the top through cooperation between high level
politicians and civil servants.
Every programme should be evaluated after its completion for ensuring that the
objectives have been fulfilled, that the work has been done at minimum cost, and that
there has been no dishonesty. Evaluation is made, first and foremost, by superjor
officials in the department. The evaluation is likely to be more effective if the minister
takes interest in it, finds time for seeing evaluation reports, and demands explanation
for non-performance.
Overhead (or staff) agencies, like the Planning Commission, also make evaluation of
policies and programmes. Thus the Planning Commission prepares a "mid-term
appraisal" in the middle of every plan period; it also makes an evaluation of past
policies at the beginning of every plan period in the document containing the new plan.
The Planning Commission consists of politicians and experts and is assisted by high
level members of the bureaucracy. It sometimes uses a special agency, such as the
Programme Evaluation Organisation, for making in-depth studies. Evaluation by the
Planning Commission carries great weight because of its pre-eminent position. This also
provides an idea of the achievement possible through cooperation between politicians,
civil servants, and experts who belong fully to neither of these two categories.
Evaluation is also made by the Comptroller and Auditor General who is an independent
authority under the Constitution. He examines not only whether funds have been spent
only for purposes for which they were provided by the legislature, but also whether the
work has been done efficiently and wisely. His organisation provides a good example of
how the bureaucracy itself can be an effective instrument of exercising check over
administration as a whole--civil servants and also ministers.
However, the Comptroller and Auditor General also functions conjointly with the
legislature, which is a political body. His Eport is presented to Parliament and State
Legislatures where it is considered in detail by the Public Accounts Committee. The
members of the bureaucracy working with the Comptroller and Auditor General, and the
politicians in the Public Accounts Committee provide support to each other for
evaluation at the highest level. Cooperation between politicians and bureaucrats can
take many forms and for diverse purposes.
The Estimates Committee, of Parliament and of State Legislatures, makes an in-depth

evaluation of the performance of a few departrnentssekc.tep every pear. The
Committee on Public Enterprises, of Parliament and State Ikgislatures, evaluates the
performance of public enterprises. These committees of legislatures, 'consisting of
elected politicians, provide an opportunity to politicians who are not members of the
executive to exercise check over the bureaucracy.
The above discussion of supervision, monitoring and evaluation shows that while
politicians and members of the bureaucracy must cooperate, politicians are also duty-
bound to keep the bureaucracy under control. If the bureaucracy were not kept under
control, the government would cease to be democratic. It is true that there may be more
knowledgeable people in the bureaucracy than among politicians; however, that does
not entitle the bureaucracy to rule over the people, for in a democracy the people wish
to rule over themselves through their elected representatives. If politicians allow the
bureaucracy to become too powerful they fail in their duty towards the people.
iii) Administrative Management .I
Administrative management refers to the management of the organisation as a whole. In

India the principal agencies for this purpose are the ministries or departments (in the
Union and State Governments respectively) of finance, planning, personnel and
administrative reform or reorganisation. The Planning Commission, and planning boards
in the States, and Public Service Commissions also participate in the function of
managing the governmental organisation as a whole. While the management of
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responsibility of line agencies like the Ministries of Defence, Industries and Health, Bureaucrats and Politicians and
their Relationship
administrative management relates to organising, financing, planning and staffing in all
the ministries or departments. Effective implementation of policies and programme
requires effective administrative management.
The importance of administrative management has not yet been sufficiently recognised,
particularly in developing countries. Substantive concerns, such as those for defence,
provision of employment and the maintenance of law and order, are so pressing that
administrative management tends to be ignored. Administrative management does not
receive the amtention at the political level which it deserves. Thus many of the
recommendations of the Administrative Reforms Commission have yet to be attended
to. It is a mistake to think that substantive programmes can be successfully
implemented without providing proper groundwork of administrative management. Thus
maintenance of law and order and dealing with terrorism require a well-managed police
force. Unless more attention to personnel administration in regard to the police is paid,
it is idle to expect that terrorism can be wiped out. There is obviously need for more
attention at the highest political level to administrative management. Ministers must
become more conscio,us of their managerial role. They must provide for more support to
administrative reform; there is need for a new relationship between politicians and the
. bureaucracy in which politicians accept more responsibility for management of
organisation and procedures.
17.4 PROBLEMS IN THE RELATIONSHIP
So far we have described the relationship that develops between politicians A d the
bureaucracy in the course of policy-making and implementation. Now we shall try to
examine somewhat more closely the problems of this relationship. It is important to
realise h a t most of the problems that arise in countries like India are basically related
to underdevelopment. The various aspects of underdevelopment are interrelated.
Economic, social, political and administrative underdevelopment- influence, and
sometimes cause, each other. Hence the solution of administrative problems ultimately
lies in development: they can rarely be solved in isolation.
i) Interference Complex
The term "interference complex" has been coined by Fred Riggs to refer to complaints
by politicians against what they call "bureaucratic interference" and countercharges by
administrators against what they call "political interference". These politicians often
complain that the bureaucracy sabotages policies and programmes of progressive social
change. The National Commission on Agriculture expressed agreement with this view
while dealing with the failure of land reforms. It said, "The question is, who has failed?
Is it the legislator or the admiqistrator? In a measure both have failed. However, the
major responsibility lies on the shoulders of the enforcement agencies, that is to say,
the administrative set up entrusted with the task of implementation." The.Commission
went on to give the reason that the bureaucracy had been "trained and conditioned to
function as the guardian of status quo and the defender of existing property relation." On
the other hand. civil servants often say that legislators and ministers exercise patronage
through interference with recruitment, selection, transfer and promotion of government
employees for obtaining support at election time.
There may be some truth in both these complaints. Most of our higher bureaucracy. is
drawn from the urban professional middle class. Hence the majority of the population
consisting of farmers and workers finds very little representation on it. The attitudes of
the bureaucracy may, therefore, not be in consonance with the aspirations of the
majority of the people. The solution to this problem, to sonie extent, lies in the
introd~r:tionof tests for testing various physical and psychological attributes of the
persaviality of the candidates at the time of initial selection. Hopefully, this will help to
recruit a more representative and also more capable, bureaucracy. Changes in education
and training can also help to better inculcate in the bureaucracy human and
constitutional values such as justice, liberty. equality, fraternity, nationalism,
democracy, socialism and secularism. Such a bureaucracy is likely to cooperate better
in bringing about desirable economic, social and political change, or development. --
Bureaucracy and The problem of political patronage can, to some extent, be solved by strengthening
interest groups and political parties. At present some of our best parties also have a
substantial non-genuine membership, elections within the parties are sometimes not
held for decades, there is a high degree of centralisation in the functioning of parties,
they are overly dependent upon a few rich capitalists or big farmers for election funds,
there are.within them factions owing allegiance to different leaders, there are divisions
based on caste, religion and language, and sometimes criminals manage to get
important positions in them. Removal of these deficiencies is likely to reduce their
dependence upon patronage, as happened in the West.
Improvements in both, political parties and the bureaucracy, are likely to help in
bringing about a better relationship between them and in doing away with the
"interference complex".
ii) Bureaucratic Power
Writers like Riggs, Weidner and Heady pointed out long ago that the bureaucracy
tended to be more powerful in developing countries than in developed ones. The greater
the power of the bureaucracy, the more difficult it is for politicians to control it. Hence
there is a tendency for dictatorship by the civil and military bureaucracy in developing
countries. Democratic administration requires that the bureaucracy should be properly
controlled by the elected representatives of the people.
The great power of the bureaucracy is part of our colonial heritage. Indian bureaucracy
appears to have the attitudes and behaviour of the colonial bureaucracy but do not seek
to have identified themselves with democratic norms of a political system.
S.N. Eisenstadt has pointed out that colonial powers strengthened central institutions of
the society but left local ones unchanged. Thus they developed central services but not
local self-government. Fred Riggs has pointed out in his book entitled The Ecology of
Public Administration that the bureaucracy in India has become very powerful also
because members of All-India Services hold the highest posts at Central, State and
local levels. Thus the highest official in a district has been a member of an All-India
Service like the ICS or the IAS and not an elected politician. In developed countries
like the U.K. and the u.S.~:local self-government is very powerful. Thus a country is .
ruled by an elected government headed by a representative of the people as a mayor.
The bureaucracy at h e local level is employed and controlled by the local authority. In
India, by contrast, the Deputy Commissioner is not employed and controlled by the Zila
Parishad; the Deputy Commissioner functions mainly as the agent of the State
Government and regulates and controls the Zila Parishad and the municipalities in the
district on behalf of the State Government. The bureaucracy at the district and block
levels is mostly employed by the State Government, and hence is not under the control
of local politicians. This relationship between politicians and the bureaucracy at the
local level constitutes a continuation of the coloqial practice.
Development involves.doing away with colonial practices and introducing in their place
democratic ones. This requires strengthening local self-government. People in the
villages need to be educated and organised, political parties at the grass-root levels
activated, and more resources provided to local governments. Once local governments
become powerful they can employ their own bureaucracy instead of depending upon the
State bureaucracy. Only after local representatives of the people begin to exercise
power on their behalf can the felt needs and aspirations of the people be fulfilled
through local (village, block and district) planning. Implementation of policies and
programmes can also be much more effective if the bureaucracy strictly controlled by
local politicians who are on the spot, instead of by those who are far away at the State
headquarters. In other words, democratic decentralisation constitutes an important
aspect of development.
Democratic decentralisation, however, can succeed only if other types of development
also takes place. For example, the spread of corruption at the local level can be
prevented by strengthening associations of the people (or interest groups) and political
parties. Experience has shown that corruption has been curbed in villages where the
.people organised themselves. Local political leaders can take the initiative in
organising the people. The functioning of political leaders is related to that of political
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bureaucracy .is merely an aspect of the political system: improvement in it requires Bureaucrats and Politicians and
their Relationship
development in all aspects of the society, since they are all interrelated.
iii) Loyalty
Members of the bureaucracy are expected to be committed to human and constitutional

values and nationals objectives. They are expected to be neutral between political
parties. In the recent past, however, there have been complaints that some politicians in
power have demanded from the bureaucracy loyalty for their party and themselves. For
example, members of the bureaucracy have stated that they could not express their
disagreements with ruling politicians freely during the Emergency. Some civil servants
were perceived to have lost their neutrality. The Shah Commission noted, "In some
cases the administration and administrators ceased to be insulated from politics with
disastrous consequences".
The Shah Commission recommended institutional safeguards to protect civil servants

from politicians who make unjustified demands, as follows: "It is necessary to point out
the need to provide certain institutional safeguards to look after the interests of the
entire run of officials, and particularly those who are involved at the decision-making
levels in the various departments of the Government in the States and at the Centre.
When unscrupulous and unprincipled politicians and their associates are in a position to
harm the public servants refusing to fall in line with wrong and illegal orders, it
becomes necessary in the interest of the basic unity and integrity of the country, as also
of the fundamentals of the Constitution and the rule of law, to protect the officials who
are called upon to function at different administrative levels." Since the Shah
Commission reported, administrative tribunals have been established to which members
of the bureaucracy can take their complaints.
There have been complaints that some ministers obtain the help of civil servants at
election time. While solution to this problem in the short-run lies in strengthening the
election law, in the long-run it can be solved by strengthening political parties so that
they become capable of providing all the help and support which their candidates need
at election time.
iv) Collusion
Sometimes politicians and civil servants cooperate in wrong doing. The Shah
Commission noted that, "It is necessary to face the situation squarely that not all the
excesses and improprieties committed during the emergency originated at the political
level. In a large number of cases it appears that unscrupulous and over-ambitious
officers were prepared to curry favour with the seats of power and position by doing
what they thought the people in authority desired". After the Emergency also, cases
i have come before courts showing wrong doing jointly by politicians and civil servants. It
is an accepted fact today that the Indian bureaucracy has a vested interest in the
industrialisation of India. This explains the easy adjustment between bureaucracy and
business and industrial pressure groups in the country. There has for long been
widespread public concern with corruption in administration arising mainly from such
collusion.
Apart from ordinary courts of law, there is now the institution of the Lok Ayukta in some
states. This is the most appropriate institution for looking into complaints of this kind. If
wrong doing is found by the Lok Ayukta, prosecution can be launched in courts of law.
With the institution of the Lok Pal at the Centre, as now proposed, complaints against
Central ministers will also be similarly attended to.
The ultimate check upon both politicians and civil servants lies in a vigilant public
opinion. The public is aided by a free press. The proposed legislation for ensuring
freedom of information and amending the Official Secrets Act is likely to go a long way
in giving even more scope to the press for exposing wrong doing in public interest.

Bureaucracy and Development 1) what is the relationship between the politicians and the bureaucrats in the course
of implementation of policies ?
2) What are the problems of the relationship between politicians and bureaucrats ?
........................................................................................................ ......................................................................
17.5 LET US SUM UP
Cooperation between politicians and the bureaucracy is essential for effective and
efficient administration. Both of them function as channels of communication between
the government and the people. While politicians assess the mood of the people, civil
servants obtain valuable feedback. Civil servants make several kinds of technical
examination of proposed programmes. Coordination of policies and programmes is made
by politicians mainly in the cabinet, and by civil servants through staff agencies. Laws
are drafted mainly by civil servants, but passed by politicians in the legislature.
Implementation is done mainly by civil servants, but under the control of ministers.
Problems in their relationship can be solved, ultimately by strengthening local self-
government, interest groups and political parties, or in other words through development.
17.6 KEY WORDS
Interest articulation: presentation of demands of particular sections of the society

by their associations before political decision-makers
-
Interest aggregation: conversion of demands into general policy alternatives
(mainly by political parties)
Feedback: information about results (of programmes)

Feasibility: suitability, practicability
Delegated legislation: rule-making by the executive under authority granted by the
legi- lature
Monitoring: keeping check over achievement
'1
Administrative management: management of the organisation as a whole (for
example management of planning, finances, personnel and reorganisation in all the
departments of a government)
SOME USEFUL BOOKS
Eisenstadt, S. N., 1969. Modernization: Protest and Change; hentice-Hall of India

Private Ltd.: New Delhi.
Heady, Fenel, 1966. Public Administration: A Comparative Perspective; Prentice-Hall

Bureaucrata and and
their Relationship
Inc. ; Englewood Cliffs: New Jersey.
Kothari, Shanti and Roy Ramashray, 1969. Relations between Politician and
Administrators at the District Level; IIPA: New Delhi.
Riggs, Fred W., 1961. The Ecology of Public Administration; Asia Publishing Co.:
Bombay.
Riggs, Fred W., 1964. Administration in Developing CountriesThe Theon of Prismatic
Society; Houghton MiffQn Co.: Boston.
Journal
Arora K. Satish, "Political Policy and the Future of Bureaucracy", in Indian Journal of
Public Administration, Vol. 18 (July-Sept. 1971). pp. 355-367.
Gupta, V.P., "A Study of Conflict between Political Elite and Bureaucracy", in the
Indian Journal of Political Science, Vol. 48, No. 1 January-March, 1983.
Subramanian, V. "Role of Civil Service in the Indian Political System", in Indian
Journal of Public Administration, Vol. VVII, No. 2, April-June, 1971, p. 238.

EXERCISES

Political parties to constitute the channel of communication.
Through interest articulation.
Through interest aggregation.
Bureaucracy's role in the following :
- the substantive aspect of the policy.
*
- feasibility of the policy.
- economic viability.
- social cost-benefit analysis of the policy.
Examination of the draft of a bill.
Determining the details of a bill.
Giving to it the shape of law.
Rule making.
Supervision, monitoring and evaluation.
Administrative management.
Interference complex.
Bureaucratic power.
Loyalty.
Collusion.
UNIT 18 ENHANCING BUREAUCRATIC

CAPABILITY
Structure
Objectives
Introduction
Personnel Development
Organisational Development
Procedural Development
Development of the Society
Let Us Sum Up
Key Words
Some Useful Books
18.0 OBJECTIVES
Identify the factors related to bureaucratic capability;
Discuss how the various factors influence the bureaucratic capability; and
Suggest measures .for enhancing its capability.
18.1 INTRODUCTION
Capability means ability to perform. In this unit we propose to discuss how bureaucratic
performance can be improved. Our discussion will be in four sections. In section 18.2,
entitled Personnel Development, we shall examine how the quality of the employees
can be improved. Here we shall see how personnel administration, in its various aspects
such as classification, selection, placement, promotion. training and disciplinary action,
can be modified to lead to a better quality of personnel. In section 18.3, entitled
Organisational Development, we shall examine how changes in the organisational
structure can improve administrative p&formance. Section 18.4, on Procedural
Development, deals with the methods of working, or procedures, and how changes in
these can lead to better results. Section 18.5, entitled Development of the Society,
deals with the relationship of the bureaucracy and the society in general. Here we
examine how changes in the society can make the bureaucracy more capable.
18.2 PERSONNEL DEVELOPMENT
A bureaucracy is an instrument which is devised for the fulfilment of certain purposes.

As these purposes change, the nature of the bureaucracy should also undergo changes.
In most developing countries like India the bureaucracy was originally devised by the
imperial power for serving its own ends. Many of the colonial features of the
bureaucracy have continued to exist even after the attainment of independence, as
discussed in Unit 14. Hence changes in personnel administration are needed for having
a bureaucracy. suited to democratic administration. Further, the role of the stab5 has
expanded; in developing countries particularly, the state has the responsibility of
bringing about development. Since the bureaucracy is the prime instrument of the State,
it has to be modified and attuned to the new purposes. Hence it is necessary to bring
changes in the nature of bureaucracy. The argument that what has served well in the
past is likely to do so in the future also, does not hold good. In the following, we shall
deal with the various aspects of personnel administration one by one. --
i) Classification, Recruitment and Placement Enhancing Bureaucratic
Capability
In India, Government employment have been classified on the rank system into
services, classes and grades since colonial times. A person may move from one job (or
position) to another, and yet his rank can remain unchanged. Obviously, this system of
classification is not suited to a bureaucracy with a diversity of positions having varying
functions and responsibilities required by the large number of developmental activities.
The system of position classification, in which jobs rather than persons are classified, is
more suited for our present needs.
In the system of position classification, each job has its functions; the qualifications for
recruitment are fitted to these functions. Hence recruitment is for particular jobs. In this
way, persons, who are most suited to the jobs (which they have to perform) can be
recruited. Naturally, such a bureaucracy is likely to be much more efficient than one
recruited in bulk without much thought about the functions which the individuals have
to perform.
If recruitment were for particular jobs, we would be more careful about the special
qualifications of each candidate. Specialised knowledge tends to become more and
more important in the modem world. Members of the bureaucracy have to perform
various jobs requiring highly specialised knowledge. It is true that at present also there
are various kinds of specialists in the bureaucracy. However, they are often recruited as
members of service rather than for particular jobs. Hence many members of the
bureaucracy do not possess the knowledge required for the jobs which they hold. Thus
many managers of public undertakings do not possess knowledge of managerial
sciences; private business, by contrast, nowadays generally appoint persons trained in
management.
In recruitment for public services, generally there continues to be too much emphasis on
the "cultivated person" with a liberal education, rather than on the specialist. Even .for
services requiring specialised knowledge and particular abilities, we often tend to
recruit those with a general, liberal education, and do not test for the necessary
abilities. Thus accounting and auditing. require specialised knowledge; it takes several
years for one to become a chartered accountant. However, recruitment to the prestigious
Indian Audit and Accounts Service continues to be made from q o n g graduates with a
liberal education who may have no knowledge of accounting. Much of the expenditure
incurred by the Government on training those recruited to this Service can be saved by
recruiting from among those having some knowledge of accounting. Similarly, for the
police we need persons with special knowledge and abilities. Criminology and forensic
science nowadays tend to be developed disciplines. Police officers also need certain
psychological and physical abilities, such as those of courage and endurance. High
officers who have to deal with gangs of dacoits or terrorists need such knowledge and
abilities. However, recruitment to the Indian Police Service does not take these into
account. Recruitment to the armed forces, by contrast, is based on tests of various
psychological and physical abilities. It is obvious from these examples that the
capability of our bureaucracy can be greatly increased by basing the selection on tests
of psychological and physical abilities and of specialiSed knowledge required for the
jobs for which the recruitment is being made.
The capability of the bureaucracy can also be enhanced by paying attention to the
aptitude and interest of an officer while making the placement (or posting him to a
particular place). This is specially important so long as we recruit people to services
and not to jobs. Thus members of the Indian Administrative Service have different kinds
of knowledge, interest and aptitude. Al1,graduatesare eligible for entry into the Service;
still, they have different educational backgrounds. While some of them have studied
arts, others have studied sciences; while some have studied engineering, others have
studied management. Their interests also vary. While some of them may be interested
in managing governmental business undertakings, others may be more interested in
programmes for the welfare pf women and children. Similarly, the aptitude also varies
from member to member. Aptitude means the natural ability to acquire a particular type
of knowledge or skill. Thus one may have an aptitude for policing, while another may
have more of an aptitude for helping farmers to increase production. Obviously, the
performance of the bureaucracy would improve if the knowledge, interest and aptitude
of officers were taken into account while posting them
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Bur-ucrac~ and Development this is done only in a few, special cases. By and large, members of generalist sehices
are treated like standardised parts of machines which can be fitted without reference to
;heir differences. However, the science of psychology lays great stress on individual
differences, that is variations or deviations from the average of the group, with respect
to mental or physical characters. Whi!e parts of machines are sought to be made more
and more similar to each other through quality control, the development of human
beings requires the unfolding and growth of their particular talents. Hence a policy of
personnel development must be associated with recognition of their special interest,
aptitude, knowledge and skill. This would lead to greater motivation and job satisfaction
on the part of employees and also better fulfilment of programme objectives.
ii) Promotion and other Incentives

Everybody's performance is dependent upon hisher motivation, that is the extent to
which he/she has been stimulated to achieve certain goals. Motivation results from
rewards and punishments. Modem psychological theory puts greater emphasis upon
rewards than upon punishments. Rewards are positive in character and can lead to an
unlimited improvement in performance. Punishments, on the other hand, are negative
and tend to lead to the minimum acceptable performance. Hence rewards are of greater
significance than punishments for improving performance.
In Indian personnel administration there is very little scope for giving either rewards or
punishments. Thus one of the most important incentives is promotion. Promotion can be
attractive for two reasons, fust it can imply recognition of an employee's contribution,
and secondly it means a higher salary and status. At present, however, promotion is
mostly based on seniority. It is true that according to the declared policy, merit at
higher levels is more important than merit at lower levels. In practice, however, it is
only rarely that anyone is promoted out of turn. This is mainly so because if any such
out of turn promotion is made, there is a lot of heart burning among those who are
superseded. As a result, while the performance of the promoted employee may go up,
that of all those who are superseded goes down, leading to a net fall in &rformance.
Hence in Indian Administration at present promotion is based mainly upon seniority.
However, if promotion is based upon seniority, it ceases to function as a reward; instead
it comes to be treated as a "right". We thus find that while promotion could function as
the most important reward, in our present situation it no longer plays that role.
In order to make promotion function .as a reward, greater mobility in the public
bureaucracy is required. In other words, there should be more opportunities for all for
moving up, sideways to other departments and in and out of the bureaucracy. This
requires economic development in the first place, so that there are more employment
opportunities. Within the administration, however, it requires greater flexibility, or less
rigidity. Flexibility can be increased by Coing away with the colonial classification into
services, classes or groups, and grades, and introducing in its place position
classification coupled with open competition for all jobs. Age restrictions would also
have to be reduced so that qualified and experienced persons in all walks of life could
take up jobs at all levels in the public bureaucracy. In the colonial period, the civil
service functioned as if within a shell, with little possibility of entry or exit in the
course of one's career, since l n d i b s at that time were not trusted enough to hold high
office unless they had been tested for a lifetime. Such distrust has no justification now.
Introduction of greater flexibility and mobility will lead to an improvement in
performance all over.
If promotion is to function as a reward, it must be based upon objective criteria. The

present system of annual confidential reports leaves much to be desired. Employees
often perceive that their evaluation is subjective, that is based upon the whims af the
~uperiorofficer, and that factors of sycophancy and relationship, caste and creed have a
significant role in it. A satisfactory system of performance evaluation would be one
which the employees themselves perceive as being based upon objective criteria. The
criteria would preferably be evolved in advance jointly by persons whose performance is
to be evaluated and those who do the evaluation. They would also be quantifiable as far
as possible. Thus targets could be agreed upon and performance could then be judged
against them.
While promotion can be given only once in a while, other incentives can function more
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Enhancing Bureaucratic
employee gets from'the work itself. Such satisfaction can be increased through job Capability
enrichment, that is providing greater opportunities for achievement, responsibility,
recognition, growth and learning. Each one of these factors can take various forms.
Material incentives can become more effective if they function in combination with
non-material ones. Thus monetary rewards, such as increments in salary, can be better
motivators if they are seen as constituting recognition of good work done.
iii) Training
Training of personnel is of increasing importance due to the continuous and great
expansion of knowledge. The use of science and technology makes it possible to
immeasurably increase productivity. Thus the green revolution, or great increase in
agricultural productivity, has come about in Punjab, Haryana, and Western U.P.,
through the .use of high yielding varieties of seeds, fertilisers, pesticides and mechanical
implements such as pump-sets and tractors. Hence it is important to impart this new
knowledge to functionaries of agriculture departments of all State Governments in the
country. Similarly, other employees must also update their knowledge like the doctors,
engineers, architects and managers.
Training is necessary also because the adoption of new technology tends to render those
trained in the earlier technology useless. Hence re-training of those trained earlier is
constantly needed.
To make training attractive for employees it should be associated with advancement, or

promotion. Thus selection for training should be made from among those who show
promise; those who 10well at training should be rewarded. Promotion should be made
as a reward for those who give the best performance as a result of their training.
At present, officials who have made a nuisance of themselves are often sent away for
training so as to get rid of them at least for a short while. Trainees also often tend to
regard the training period as one of holiday. This situation can be remedied by
evaluating what each employee has learnt in the course of training, and making the
evaluation report a part of the record of his performance.
Training, at present, is not sufficiently related to the work which the employee has to
perform. Often the posting of officers after training does not take into account the new
expertise they may have acquired. Hence much of the expenditure on training tends to
be a waste.
Training methods also need change and improvement. The lecture method, which is
commonly adopted, is not the most suitable one for teaching techniques and skills and
for inculcating judgment and understanding. Other methods, such as those which make
use of cases, business games and workshops, need to be adopted keeping in view the
content (such as knowledge, skills, and attitudes), and the level and maturity of the
employees.
iv) Disciplinary Action
We have noted earlier that Indian Administration suffers from a lack of use of reward
and punishment. We have also noted that reward is more effective than punishment for
influencing performance. What we need, therefore, is a system which combines rewards
and punishments. The possibility of punishment must be there, for it is required by
accountability.
Punishment of Civil Servants is governed by Civil Services (classification, control and
appeal) Rules, which were originally made under the Government of India Act, 1919.
They provide for punishment in case of breach of conduct prescribed under rules of
conduct relating to the Service to which the employee belongs. These Rules provide for
the following punishments in the ascending order: censure, withholding of increments,
reduction to a lower level, recovery of Government's loss from pay, suspension, removal
(which does not disqualify from future employment), and dismissal. However, Article
3 11 of the Constitution provides that a civil servant cannot be removed or dismissed by
an authority subordinate to that which appointed him; it also provides that no dismissal,
removal or reduction in rank can be ordered unless the civil servant has been given a
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and Dcvelo~ment considering the civil servant's answers to thew charges, and following the rules of
natural justice.
In practice it has been found that the process of disciplinary action takes a long time,
and often involves the Government and the superior officer in litigation. Hence
disciplinary action is taken rarely; it is taken where breach of the law can be easily
established but not for poor performance. In effect, the Gove~mentof India does not
function like most other governments, and employers in general, 'who would not tolerate
poor performance. Civil servants in India tend generally to feel that no action is likely
to be taken against them (except perhaps transfer) even if their performance is poor.
The situation can be remedied through various measures, such as expediting the process
of disciplinary action, amending the rules of conduct, and making short-term contracts
with employees. The protection, so often given to erring employees by politicians,
would also have to be curbed.
Note : 11 Use the space given below for your answers,
ii) Check your answers with those given at the end.of this unit.
1 ) What changes can be brought in the classification, recruitment and placement of
personnel for enhancing their capability ?
2) How can promotion and other incentives be used for enhancing bureaucratic
capability ?
' 3) What is the role of training in enhancing bureaucratic capability ?
18.3 ORGANISATIONAL DEVELOPMENT
So far we have discussed how the personnel can be developed fdr enhancing their
capability. Now we propose to examine how the organisational structure can be
developed. The distinction between the system and the individuals who constitute the
system, is important. Thus in a dictatorship, large numbers of individuals may be
prevented from doing, or even saying, that which they consider to be right. Hence a
political system which provides freedom to the individual is better than one that does
not. Similarly, the quality of an administrative structure is dependent upon the extent to
which it allows the utilisation of the potentialities of its members. A structure is a set of
relationships. Most contemporary organisational structures are too restrictive in nature.
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the potentialities of the average person are not being fully used. This is specially so in Enhancing Bureaucratic
Capability
ex-colonial developing countries like India. In the following sections we shall examine
ways in which the structure needs to be reformed.
i) Decentralisation
J. Ramsay MacDonald, who later became the Prime Minister.of England, described
Indian Administration under British rule as follows :
The tendency has been to centralise the working.....The machine of Government has
become a thing apart, and by separating itself from the organic life of India it has over-
emphasised the fact that India is ruled by foreigners. The evolution of such a system is
inevitable.... Secretariats become all-powerful; not a sparrow falls but is recorded,
reported and re-recorded, docketed, initialled and minuted; not a suggestion emanates
from below but is regarded with suspicion or hostility as something of a foreign origin;
not a thing is done without involving the whole machine in the doing of it.
Centralisation continues to be one of the prime features of the Indian Administration. It
has various aspects and ramifications; however, its most important indicator is the
secretariat - a citadel of bureaucratic pawer such as does not exist in any developed
country. The interposition of the colonial institution of the secretariat between the
minister and the executive head of the department interferes with both, proper political
control over the bureaucracy and adequate participation of specialists in decision-
making.
It is important to bring the minister into closer touch with the executive agency
consisting of specialists. At present control over specialists is exercised by bureaucrats
in the secretariat in the name of the "Government". This makes for great power for the
generalist officers in the secretariat. Executive agencies function under the restrictive
control of these generalist officers who often have little understanding of the
technicalities involved. Since the so-called heads of departments (such as the Director
of Agriculture, the Director of Public Instruction, and so on) themselves function under
the sqingent control over officials in the field. What is more, field officers function
. under dual control, they are answerable .to the office of the head of the department for
performance, but in matters like transfer, promotion and disciplinary action they are not
dealt with by the secretariat. As a result, functionaries in the field often feel that they
do not have the autonomy necessary for effective functioning.
The Administrative Reforms Commission in its Report on the machinery of the
Government of India and its procedure of work in 1968 recommended doing away with
the distinction between the secretariat and the executive departments at least in some
cases. Enough action has not yet been taken to implement this recommendation. Indeed,
the passage of about a quarter of a century is likely to have made the recommendation
more widely applicable than conceived by the Commission.
ii) Enhanced Role of Specialists
The role of modem science and technology cannot be over-emphasised when dealing
with development administration. While many specialists are employed by the
Governments in India, they often do not have a role which would make a sufficient
impact upon the policy and its implementation. An impact on policy would require
keeping close contact with the minister. However, the main advisers of ministers are the
generalist officers in the secretariat. It is true that heads of departments are asked to
comment in writing on policy proposals; however, they do not have a sufficient role in
initiating policies. This would require more authority and personal interaction with the
minister. It is notable that the minister and the secretary are both generally amateurs in
the sense of not having specialised knowledge, and hence may not be able to think of
new measures for dealing with difficult problems. Nor can a Planning Commission dd
all the policy-making, since situations differ so much from place to place and time to
time. Hence close association between specialists and the minister is essential. The
Administrative Reforms Commission, in its Report on Personnel Administration,
recommended that officers in the secretariat should come from among specialists. This
recommendation has not been implemented by the Government.. The least that should
be done is to induct more specialists into the secretariat, so that the minister can hear
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the generalists. -
preaucrac~and Development An interesting new experiment is nowadays being made of appointing junior ministers
from among scientists. This does indicate the desire to bring influence of scientists to
bear on the administration. However, with the explosion of knowledge there tend to be
so many different disciplines that the inclusion of a few scientists as ministers is not
likely to provide the full benefits of science and technology.
iii) Reorientation of Staff Agencies
Agencies which deal' with planning, financial administration, personnel administration,
administrative reform, law making, and central purchasing and building activities, are
known as staff agencies. Examples of staff agencies are the Planning Commission, the
Finance Ministry, and so on. Staff agencies are said to be advisory in nature, but as
Simon pointed out, in reality they exercise control on behalf of the cabinet. The controls
which staff agencies exercise are, to some extent, necessary. Thus having a single
coordinated plan for the goveinment as a whole requires a planaing agency: its advice
to the government relating to the size of the plan for a certain ministry, implies some
controlling power over that ministry. However, if the staff agencies in large
organisations like a State Government go beyond laying down broad policy guidelines,
and tend to deal with details they can hamper the fulfilment of governmental objectives
by the executive ministries. In India, staff agencies were used during British rule for
exercising checks over the executive or line agencies (such as departments of
education, health and so on) in the interests of the foreign power. Thus ministers of,
provincial governments under the Montague Chelmsford Reforms of 1919 complained
that the finance department did not provide them with money for developmental
programmes like those of roads and education. This restrictive nature of the staff
agencies became enshrined in rules and precedents. Hence staff agencies have
remained restrictive partly due to their colonial heritage.
Paul Appleby, in his reports on Indian Administration submitted about forty years ago,
pointed out another important reason why the staff agencies tend to become restrictive
unless preventive action is taken. As the functions, number of personnel, expenditure,
and general size of an organisation increases, the staff agencies must restrict
themselves more and more to giving general policy g~iidelines.If they continue to make
as detailed an examination as before, they tend to be over-burdened with routine work
while the functioning of the line agency being regulated tends to become more and
more constrained due to the closeness of control. This, says Appleby, has happened in
India. The size of the administration has grown many times in India. However, the rules
contained for example in the budget manual remain much the same; the exercise of as
minute a control over a large organisation as was exercised over it when it was much
smaller, greatly hinders its functioning and retards performance.
A third factor making for too restrictive a control by staff agencies is their large number.
Appleby puts it pithily in the statement that there are several brakes but no accelerator
in Indian Administration. Thus for a programme for the control of an epidemic, the
health department of a State Government would need the approval of the Union
Planning Commission and the State Planning department for its inclusion in the five
year and annual plans, that of the State finance department for its inclusion in the
budget, that of the law department for the necessary legislation, that of the public works
department for the necessary buildings, that of the State Personnel agencies in regard to
the personnel, and so on. Thus the line agency has to deal with too many'staff agencies.
What is more, the functioning of these coordinating agencies is itself uncoordinated.
Differences between them cannot be resolved by the line agency, but it is the work of
the line agency which is hampered by such differences.
Various steps need to be taken to deal with the above mentioned problems. The staff
agencies should be reoriented to function at their level; they should restrict themselves
to giving policy guidelines. The line agencies should develop their own staff offices for
looking into the details of their plans, budgets, and so on. Once such staff offices have
been developed in the line agencies, the staff agencies should delegate more authority
to them. The cobrdination of coordinating agencies (or staff agencies) can be improved
by combining the various staff functions in one or two of them, as is done in advanced
countries.
iv) Delegation of Authority
Delegation means conferring
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Enbancia8 Bureruerrtic
delegate authority in a certain matter to the Deputy Commissioner. The administrator
Crpabilii
who delegates authority continues to have his original authority and responsibility even
after delegating it.
Delegation is essential in every large scale organisation. Officers at lower levels mainly
exercise delegated authority. If there were no delegation in a corporation, its chairman
would have to manage it alone.
One of the important faults of Indian Administration is a general lack of delegation.
During British rule, Indian officials were not trusted. Hence ICS officers directly
exercised authority as far as possible. If authority was delegated to Indian officers and
any mistake was made by the officer to whom it had been delegated, it was withdrawn.
Rules thus came to provide a low delegation; subordinates were required to take prior
sanction for every little thing.
Low delegation could continue during British rule since the functions of the
administration were limited. Maintenance of law and order and tax collection did not
require the exercise of much initiative or innovations. However, in developmental
activities field officials must exercise initiative and make innovations; they need to be
given more authority for fulfilling the objectives of development. Hence there is a need
to review the rules and regulations for enhancing delegation.
Financial matters call for special attention in this regard. As prices rise, there is a need
to innease the financial powers of officials at various levels. Otherwise their authority
gets reduced in real terms.
V) Reductioa ia Number of Levels
Hierarchy is considered to be an essential element in an organisation. However, if the
number of levels in the hierarchy is lwge, the chain of communication between the
field and decision-making levels tends to become so long that communication ceases to
be effective. Lack of effective communication means that those at lower levels are
unable to understand the changing objectives of administration, and those at higher
levels are unable to comprehend the needs and problems in the field.
In Indian Administration there are too many levels. For example, even within the
Secretariat. where all the civil servants sit in the same office, there are the following
levels in the ascending order: clerk, assistant, superintendent, assistant secretary. under
secretary, deputy secretq, joint secretary, additional secretary and secretary. In other
words, a certain matter may have to be considered by nine civil servants before the
minister gives his decision. The larger the number of levels, the longer is the time
taken. Hence both effectiveness and efficiency tend to suffer due to the multiplicity of
levels. There is a need to review the structure so as to bring the number of levels down.
18.4 PROCEDURAL DEVELOPMENT
The colonial heritage of brdian Adminisbation also results in procCdures which are
underdeveloped. hrring tbe British ruk, the administration was carried on according to
rules made under laws made by the British Parliament. After Independence, laws made
by Indian legislatures, and rufes made under them, should have taken the place of the
old provisions. However, in most cases the old rules have been allowed to continue.
This interfere with the fulfilment of values and objectives of the present/administration
and hence leads to ineffectiveness; it also leads to delay and frustration and hence to
inefficiency.
Let us take the case, for instance, of procedures relating to personnel administration.
The Constitution provides that "Acts of the q m p i a t e kgislature may regulate the
recnritmemt, end conditions of m i c e of persans appohebd, to pubiic service and posts
in connection with the affairs of the Union or of my State" (Article 309). In pactia.
however, inruead of passing laws under this constitutional provision. old rules have been
allowed to continue. Some of the old rules were originally made about a century ago
and have only been tinkered with from time to time. Thus the Civil Services
(Classif~ation,Control and Appeal) Rules were made under the Government of https://t.me/Upsc_Zone_Official
India
hreaucracy an* h v e l o ~ m a t Act of 1919, but continue to govern classification and punishment. The spirit behind
such rules can hardly be in consonance with that of the Constitution. .
The conflict between the spirit of the old rules .and the new Constitution is apparent in
every field of administration. Thus the oldgolice manual provided for the handcuffing of
every person who was arrested. However, the Supreme Court has now laid down that
handcuffing should be done only in certain special cases. There is, thus, a clear d i c t
between the old rules and the new law as laid down by the Supreme Court. ?he adinmy
policeman reads the police manual, but hardly ever judgements of the Supreme CaaL
His behaviour is, therefore. guided mostly by the manual and often goes against botb
the spirit and the &r of the law.
The above discussion has brought out the need to make new laws and new rules. In
Europe, most countries have a single law for regulating personnel administration. If
such a law were made by the Indian Parliament also, the present dependence upon a
large number of scattered rules would be done away with.
Apart from the old rules, ~ndianAdministration is, to a large extent, governed by
precedents also. This is related to the general lack of delegation and decentralisation.
Officials at lower levels have remained bound by rules. However. there can be several
interpretations of a certain rule. To avoid making a mistake in interpreting a rule, they
tend to depend upon earlier interpretations, or precedents. Hence t h y are hindered fnmr
finding new solutions to difficult problems, making innovations and generally exercising
their initiative.
Micials at lower levels have to send various reports and r e m s to higher authorities.
The expansion of governmental functions requires changes in the forms and periodicity
of many of these. Hence there is a need for frequent reexamination of the quized
reports and returns.
Record-keeping needs to be improved in most government offices in India. The mcords
are often tied up in files and put one on top of another. Hence it is often difficult to find
tkm, thus making much of the effort involved in record keeping almost usckss.
The above diecussion Bae shown mat defective poctdur4s can gnatly interfiesle with
effectiveness a d efficiency. Hence it is important to improve and 'devek~thrm far
enhancing bPnaucratic capability.
18.5 DEVELOPMENT OF THE SOCIETY

Fublic Administration constitutes merely an aspect of the society. Other aspects of the
society -economic, social, political, cultural and educational, constantly interact with
the administration. Hence enhancement of bureaucratic capability requires changes in
the social environment.
So l o q as the majority of the people remain poor, uneducated and unaware of their
rights and duties, they cannot properly participate in prognunmes of development.
Import of high technofogy cannot deliver the goods in a sitmtkm of general economic
backwardness. ?Wq if b e data received fnnn the f ~ l an d defective (my bcause of
lack of means of misport and communication), the processing of the data on a
compter by highly trained specialists is of no use. In shorr, economic development is a
pre-requisite of &lministrmtive development.
hlitical development is also required for administrative development. For
administration to become democratic and participatofy, as against coloairl. the
development of interest gnwps, political parties, the electcwal system, and mrse media
is ewential. '
Social snd cukural d e v m e n t is also an important ropect of modernisation.

Sqmtitim ad the emitation of ~sopkof ao called low caste, women and children,
intafiacwishIbe~ofhtalcb,educlaiancmdpoductivity.
h rbaS tbc vriovs aspects of the society pn, -, inamlati&. Dev-tin
cme rsquinS dtv- of all others. Edhmcement of bureaucrrrtic capability,
tberrfm, requites developeat of the society genetally. even as administrative
developnent helps all-round
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Enhancing Buraucratk
Check Your Piogress 2
Capability
Note : . i) Use the space given below for your answers.
1) "The organisational structures need to be reformed" explain.
2) How can improvement in procedures help to enhance bureaucratic capabilities ?
3) How is administrative development related to development of the society in

general ?
LET US SUM UP
Enhancement of bureaucratic capability requires development of personnel
administration, organisational structure, procedures and the society as a whole.
In personnel administration there is a need to move towards position classification,
recruitment for jobs rather than ranks, placement in accordance with interest and
aptitude, the use of promotion and other incentives for rewarding performance, training
for enhancing capability and disciplinary action for punishing for poor performance.
The organisational structure can be improved through decentralisation, enhancing the
role of the specialists in decision-making, restricting the staff agencies to giving policy
guidelines, delegation of authority, and reduction in the number of levels.
Improvement in procedures requires making new laws and rules in place of old ones,
reducing dependence upon precedents, reexamination of forms for reports and returns
and adoption of new methods of record-keeping.
Effective enhancement in bureaucratic capability can be achieved only with economic,
political, social and cultural development.
18.7 KEY WORDS
Aptitude: natural ability to acquire general or special types of knowledge or skill.

Censure: expression of disapproval, reprimand'.
BUMU-Y kvebp-1 Delegation: Grant or conferment or giving of authority, or a part of work or

responsibility to some one else so that they can act on your behalf.
Incentive: motive for acting in a certain way.
Staff egency: Staff agency refers to any individual, officer or unit which provides
help. assurance; advice and information to the chief executive.
Bhattacharya, Mohit, 1987. Public Administration: Structure, Process and Behaviour,

Tbe World Ress Ltd.: Calcutta.
Maheswari, S.R.. 1986. Indian Administration. Orient Longman Ltd.: New Delhi.

EXERCISES
Check Your PI-ogress1

The system of position classification.
Recruitment on the basis of specialisation.
Placement of personnel, according to the interest and aptitude.
Promotion, on the basis of merit.
Promotion, on the basis of objective criteria.
Greater opportunities for achievement, responsibilities.
Greater opportunities for recognition. growth and learning.
Increments in salary in recognition of good work.
Helps to keep pace with the expression of knowledge.
Orients the officials to work.
An incentive to further promotion.
1) Your answer should include the following points .:
Decentralisation.
Enhanced role of the specialists.
Reorientation of staff agencies.
Delegation of Authority.
Reduction in number of levels.
Formation of new rules.
Formation cf new laws.
Finding new solutions to problems rather than depending on precedents.
Improvement in record-keeping.
Interrelation of the various aspects of the society.
Development in one requires development
of all others.
UNIT 19 CONCEPT OF DEMOC.RAT1C

DECENTRALISATION
Structure
19.0 Objectives
19.1 Introduction
19.2 Concept of Decentralisation
19.3 Need for Decentralisation
19.4 Aspects of Decentralisation
19.5 Democratic Decentralisation
19.6 Hindrances to Democratic Decentralisation
19.7 Lht Us Sum Up
19.8 Key Words
19.0 OBJECTIVES
After reading this unit, you will be able to :
explain the meaning of decentralisation;
discuss why it is needed;
explain the meaning of democratic decentralisation; and
discuss its hindrances.
19.1 INTRODUCTION
We are aware that almost all the developing societies of Asia, Africa and Latin America
achieved independence from the colonial rulers during the present century. These societies
have undergone the trauma of exploitation and neglect by the colonial rulers. At the time
of their independence, they have had the experience of inheriting poverty in all aspects of
the society. More than two-third of the people live and die under a state of misery.
Centralised planning systems have failed to provide for fair distribution of the benefits of
economic growth among regions and groups within developing countries. Decentralisation
has often been put forward as a remedy against the concentration of power and as a means
of ensuring that the needs and expectations of the common citizen are respected.
It is necessary to remember that all the developing d e t i e s are mostly agrarian in nature
and they depend heavily on agriculture for any marked increase in national income. There
is a great potential in agriculture which can be utilised to assist tbe overall development.
Moreover, increased industrial production is possiile by the promotion of nvrl and village
industries. And this is possible in an atmosphere of decentralised planning proass.
Several of the developing countries are rich with natural mources like fertile soil, plenty of
water, minerals. In many of these countries, the government is the only agency to meet the
challenges. It was r e a w that an active involvement of the communities in the
developmental process would certainly have positive results. A sense of participation would
make people aware of their rights. And voluntary organisations, which are beiag formed
with a particular purpose, would be able to achieve their goals. India is a country with great
diversity in culture, language, caste groups and economicstratification. There is a great need for
many programmes which would lead to eradication of poverty, diseases, ignorance,
prejudices. All these require massive effort. Therefore the tasks demand greater participation
of people at different levels.
19.2 CONCEPT OF DECENTRALISATION
The term of decentralisation is being usedintedmg6ably with terms like daonoentration,

devolution and delegatioo. But these concepts are different dcgms or fonns of
and ~ e v r l o p w n t i) Deconcentration
Deconcentration implies the transfer of authority in geographical term, from headquarter
administration to field administration. For instance, the district collector in Andhra Pradesh
has been made head of every development department at the district level. Deconcentration
involves the redistribution of administrative responsibilities. And in deconcentration,
accountability is upward. That is, the district collector is accountable to the headquarter
administration.
ii) Delegation
Another form of decentralisation is the delegation of decision-making and management
authority for specific functions to organisations that are not under the direct control af
Central Government ministries. Often the organisations, to which development functions are
delegated, have semi-independent authority to perform their responsibilities and may not
even be located within the regular government structure. Public corporation and regional
development authorities have been used extensively in developing countries to execute
development schemes.
iii) Devolution
Devolution has political and legal connotation. It implies transfer of authority from
CentralIState government to local governments (for instance the Panchayati Raj
institutions). In devolution, the accountability is both upward and downward-upward to
the CentraVState governments and downward to the local people who elect them.
If deconcentration and delegation have administrative connotations, devolution has political
and legal, then decentralisation covers all aspects-political, legal/administrative. It is the
decentralised mode of policy and programme implementation which can involve people in
the development process. It is this process whereby centralisation is reversed, so that power
of decision-making is shifted from central. political and administrative bodies to a multitude
of quasi-autonomous bodies, concerned with the formulation and application of policy in
particular regions and in answer to local requirements.
19.3 NEED FOR DECENTRALISATION

It has been proved in the past that the centrally controlled national planning has severe
1
limitations. The central planning systems have been unable to provide for equitable
distribution of the benefits of economic growth among regions and groups within
developicg countries. It was realised that development, being a complex and uncertain
process, cannot be planned and controlled from the centre. The decision-makers at the
centre would not be able to understand the needs of heterogeneous regions and groups.
When functions and authority are being transferred to the local levels, or to the persons
concerned with the problems and needs, they take more interest in the work. It is the sense
of participation in development planning and management that encourages them.
The central government official's knowledge of local problems and needs also can be
increased. They become more sensitive to various problems at the local level when they are
being reassigned to local levels. When there is closer contact between government officials
and the local population, better information can be obtained. And with better information,
more realistic and effective plans for projects and programmes can be formulated.
In central planning and management, there is over-concentration of power, authority and

resources at the Centre. Thus, red-tape and highly structured procedures are its inevitable
characteristics. The developing countries have to achieve developmental goals within a
target period. It is decentralisation which can cut through red-tape and highly structured
procedures.
Decentralisation can lead to the development of greater administrative capability among
local governments, thus expanding their capacities to take over functbns that are not
usually pehormed well by central ministries.
Decentralisation can also provide a structure through which activities at various central
government ministries and agencies involved in development could be coordinated more
effectively with each other and with those of local leaders and non-governmental
organisations within various regions. https://t.me/Upsc_Zone_Official
Decentralisation would lead to creation of alternative means of decision-making. Thereby,

the local elites, who are unsympathetic to national development policies and insensitive to
the needs of the poorer groups in rural communities, would not be able to have control over
development adivities.
Check Your P r o m 1
ii) Check your answers with those given at tbe end of the unit.
1) What is meant by Decentralisation?
...........................................................................
2) Why is decentralisation necessary?
19.4 ASPECTS OF DECENTRALISATION

In this section, we will discuss about various aspects of decentralisation.
i) Political Decentralisation
Political decentralisation leads to the creation of local government organisatiom, with
public representatives as members of tbese bodies. They are assigned the responsibility of
developmental tasks, at that level. Thus here, decentralisation takes the shape of devolution.
Devolution to local self-governing bodies is an attempt to set up autonomous governments
at the local level. These local self-governing bodies, which are elected locally to determine
local policies and implement them are, in a fundamental way. detached from the
central/state government. If these local self-govcrnments cannot exercise autonomy.
devolution will remain more in theory.
ii) Administrative Decentralisation
Administrative decentralisation is motivated by eficiency criterion. Through a process of
deconcentration, field administrative units are being set up. Thereby, field level decision-
. making is made possible which leads to prompt problem-solving. Here, field units of
government (for example district administration) are connected organisationally to
central/state government. In this process. administrative units might come up at many
levels between the locality and the central (state) headquarters.
iii) Non-governmental Orranisations
lnvolvement of non-governmental organisations such as farmers' association, cooperative
societies, women's organisations, organisation of various other interest groups is the third
aspect of decentralisation for rapid development. It is the will of the people which bring
them together and motivate them to form an organisation.Through these organisations they
try to improve the standard of living of the people. And this is done by action oriented
participatory programmes. These programmes have significant influence on a varieiy of
people. encompassing diverse areas, like health. education. agriculture. small industries.
women. children, fisheries etc. Thus. the government shares responsib~litieswith these
organisations that represent varibus interests in society and that are initiated and operated
by members of those organisations. We would discuss the role of voluntary organisations'in
detail in Unit 23. https://t.me/Upsc_Zone_Official
Decdntfdbdon dDcvelapant
19.5 DEMOCRATIC DECENTRALISATION
It was J:S. Mill who had stated about Qtmocracy that it is "the ody government which can
fully satisfy all the exigencies of the social state, where the whole people participate."
~ e o ~ l e&cipation
's fonns the basis of democracy. When people's participation in the
operation of their own government in a country is larger, continuous, more active and
constructive, it is said to be nearer to democracy as a political ideal. The idea of
ckccntdhabioo is inberent in dewnracy. It is democratic daxntralisation which aims at
people with the govumcot to the maximum possible extent. The word
"-ticn in of decentnlisatian emphrsises the purpo~eof deccotdisation. The
purpose is to provih a larger, greater and closer association of the'pcople with the work of
their own government, at all levels, national regional and more particulul local. In a
democratically decmtnlised system, people have got the right to initiate eir own projects
for local well-being and they have the power to execute and operate them in ao
ti
' autonomous manner.
Democratic deceotralisation is a centrifugal movement. Power moves from the central to
the regional and local areas. It aims to entrust local organs created in local areas with
powers, local in chankcter. Thus there is devolution of authority lrom the higher levels of
the government to tbe lower levels. The proccss of democratic decxntnlisation is vertical
nther than horizontal.
This devolution of authority assumes the form of autonomy to the pcople at lower levels to
take political decisions, to formulate ways to execute it, to mcmage~a~~control
the finances
q u i d for it and ultimately to g ~ i d aotl
e control its administration.
Tbe authority thus decentralised should be managed by the people directly or indirectly
through their representatives.
The iasiitutional machinery of democratic decentralisation is necessarily elective.
Democratic d e c e o ~ o isn thus a political ideal. And local self-government is its
institutional form. Ip India, it is the panchayati raj institutions which are the institutional
fonn of democratic decxntralisation. In subsequent units, we will know panchayati raj
institutions.
CbecLYoprRogrem2
Note : i) Use the splce below tor yohr answers.
ii) Check pur rnswerswitb thosc given at the end of the unit.
I) Whrt is d t by(politica1decenttalisation?
.......................................................................................
2) What is meant by administrative decentralisation?
........................................................................................
........................................................ " e.............................
..........................................................................................
.........................................................................................
3) "People's participation is the hallmark of democratic decentralisation." Explain.
................ ........................................................................
..
r #
.........................................................................................
19.6 HINDRANCES TO DEMOCRATIC

DECENTRALISATION
There are many problems which are being faced in the developing countries, problems
which pose obstiuctioas in the way of democratic decentralisation.
i) Problem of Coordination
The purpose of democratic decentralisation is to provide more discretion at the local level
to meet unique local needs, and to generate innovative solutions to development problems.
For this, proper coordination between and amdng different units is essential. This way, the
effort and material resources invested would not go waste, lead~ngto an integrated
development without any friction, overlapping and duplication.
ii) Problem of Perception
If democratic decentralisation is to be effective, the central administrator's perception of
their roles has to undergo a change. They should understand that their task is to provide
support and facilitate the work process. But'tnany a times, they feel that their task is to
control. And thus, friction arises.
iii) Unit of Administration
The basic problem of democratic decmtralisation is with regard to the unit of
administration. A number of factors suchas -phial area, population,~esources,level
of development etc. have to be taken into atqount wbilc deciding about the unit of planning
and development. It should not be too big leading to unwiefdy~ituation,nor too small
which would result in defeating the very purpose for which it was set up.
iv) Communication
An analyslj of the patterns of communication shows that in most of countries, the
communication system happens to be top down. One way communication network appears
to be the most dominating practice. Absence of the htolvement of grass'root organisation
in the upward communication is weak in most of the developing societies. And this leads to
unrealistic policies and unattainable targets. The problem of red-tape, overlapping.
duplication are generally there in most of the developing countries.
v) Leadership
Leadership is another important variable which can make significant difference to the
developmental process. An examination of the type of leadenhip in most of the developing
countries indicates that this has been one of the major limitations on their effort for
development and decentralisation.
Further it reveals the following characteristics : 1) The bureaucratic leadenhip is
strengthened and perpetuated. 2) Wherever political leadership is involved, they
strengthened either the traditional leadership or the traditional leaders stepped into the new
roles emerging from the developmental effort. 3) The leadership at the higher levels of
organisation is strengthened while the leadership at the lower levels did not receive much
attention. An assumption that those who occupy key positions at higher levhls are more
coqpetent than those working at lower levels appear to be dominating the elite thinking.
4) 4dequate opportunities have not ban provided for the emegence of new leadenhip. Since
the local organisations are not strong, there do not appear to be many opportunities for the
emergence of new and committed political leadership.
Clndr Your Prognss 3
Note : i) Use the space below for your answers. ,
1) How does the problem of coordination hamper democratic decentmiisation?

a d mvdopacllt 2) HOWdoes topdown communication result in formulation of unrealistic policies?
...........................................................................................
19.7 LET US SUM UP

Adiiussionoo different organisational patterns under democratic decentralisation leads us to
a few broad conclusions. These conclusions can be used ds guidelines in devising or
improvising the organisational structures for development. The following parameters are
suggested to judge the effectiveness and suitability of an administrative structure for rural
development.
One of the most important parameters in institutional arrangement in the modern times is
to build the system on the foundations of decentralkd power. A report by one of U.N.
agencies stated that "It is generally recognised that too great a concentration of problems
upon the central guidance cluster causes delay, increases costs, reduces efficiency, limits
initiative, discourages innovation and c a w s the cluster itself to become a bottle-neck in the
process of development." Further, overqntralisation leaves the various government units,
without the authority that is nece+aryf y efficiency and innovation. Eventually, a
antralised form of administration,must move more and more towards decenttalisation and
delegation of authority.
The discussion on various aspects to decentralisation suggests that the decentralisation of
power should be more political than administrative. The transfer of authority to the lower
levels of administrative units cannot be considered as real decentralisation of power. Such a
decentralisation might facilitate flexibility and quick decision-making but cannot
qualitatively alter the nature of a system nor can ensure public participation. This should
inevitably ensure iupremacy of political institutions over administrative institutions. This
leads us to another vital question namely what attitude the national elite in power adopts
towards decentralisation. The political elite who are committed to decentralisation alone
would part with their power and create a participative system in which the energies and
talents of the people can be harnessed for the dkvelopmental purposes. However, the
experience of the developing countries indicates'that decentralisation of power is possible in
8 system which is stable and led by an ideologically committed leadership.
la addition, tbc decision-making centres should be very close to the people. This can be
achieved only throqh well-organisedlocal institutions l w t e d close to the people. It can be
propcsedbere that tbc nearer the organisation is to the people, the more is the effectiveness
of the organisation to tackle the problems. All the developmental efforts should be
coacentrated on a unit which is accessible to all the people. This type of arrangement would
not only avoid multiple contact points but help them in understanding the development
pro-. This would also add to their political awareness which is an important variable for
development.
Tbe local organisations should enjoy sufficient autonomy io order to be ableto respond to
the varied local needs and demands. Further, they should be endowed with adequate
powers, authority, f i n e s and competent staff.Such a local organisation should be
considered as an indicator of a sound structure for development.
The unification of administrative institutions at various levels has to be achieved, for
developmental effort has to be economised. This can be achieved by establishing
harmonious and effective linkages both horizontally and vertically. Further, the purpose d
this should be to reduce conflict in the organisation to the minimum. Thus, unification of
administrative institutions with minimum conflict is another indicator of a sound
organisation.
The administrative and political structures devised for the new tasks should be innovative.
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dysfunctional. The structures should be dynamic enough to adopt themselves to the

constantly changing demands. Therefore, innevativeness of the structure is another indicator
of development.
Tbe entire development aims at enlisting people's cooperation and stimulating their
participation in decision-making. It is being increasingly realised that no development is
possible without massive involvement of the people. It is observed that maximum progress ,
depends on maximum participation, a situation in which all members of the society have a
stake in that progress and contribute to it. This participation has to be achieved by devising
suitable structures, encouraging new leadership and politicisation of the mask.
19.8 KEY WORDS

Equitable distribution :Just distribution. When benefits of economic growth are didbutcd
among region and various groups in an impartial manner.
Heterogeneous :Composed of diverse elements. For e.g. in India, existence of groups brsed
on caste, language, religion etc.
Top down communication :When there is communication from tbe top level to the down
level.
Traditional leadership :Leadership which is obtained by tmditioa. For itstance, tbe evil
practice of caste leadership.

Chauhan, D.S., 1977. Democratic Decentralisation and h a 1 Government Administratiow
(In S.K. Sharnia (ed.) Dynamics of Development :An lnternorional Perspective);
Concept : N . Delhi.
Cheema. Shabbir G., Rondinett A Dennis, 1983. Decentmlisation and Developmenr; S a p
Publication : N. Delhi.
Dandekar, V.M., 1968. Democratic Decentmlirariow Hudd Laski : Institute of Political
Science : Ahmedabad.
Jounub
Atthreya, N.H. 1978. "A Note on Decentralisntion in Administration : A *citizen's point of '
view", Indian Journal of Atblic Administmhorr. Pages 859-61 : Volume 24.

, P
~ a t t a~bhijit, 985, "kntralisation and Local Government Reforms", Indian l o u d of
A t b l i c ' ~ d m i n i s t ~ Pages
w 56 1-577 : Volume XXXI.
Dutta, Vijay Ranjm, 1982, "kntralisation and Political Development in India-A
Gandhian Perspective", lndion Journal of AtBlic Administmiow Pues 1-9, Vdume
XXVIII.
Joshi, B.M.,1989, "Evolution and Practice of Decentralised Pla_n_ningin
India", Indiun
Journal of Atblic Administration; Volume XXXV.

EXERCISES
Check Your Progreu I Cbeck Yoar Proems32
I ) See Section 19.2 I) See Section 19.4
2 ) See Section 19.3 2) See Section 19.4
3) See Section 19.5
ChcckYourRgrm3
I ) See Section 19.6
2 ) See Section from:-
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UNIT 20 EVOLUTION AND ROLE OF

PANCHAYATI RAJ
Structure
20.0 Objectives
20.1 Introduction
20.2 Ancient Period
20.3 Rural Local Government between 600 BC to 600 AD
, 20.4 Kautilya's Arthashastra',
20.5 Moghul Period
20.6 British Rule
20.7 Development after Independence
20.8 Role of Panchayati Raj
20.9 Let Us Sum Up
20.10 Key Words
20.0 OBJECTIVES
After reading this it, you will be able to :
f
trace the evol tion of Panchayati Raj in India,
explain the meaning of the concept,
undentan the importance of its practice; and
?
explain its, role in the rural development.
~ancha~ati Raj in'lndia is a system of local self-government by which the people in rural
areas have taken on themselves the responsibilities for their socioeconomic and cultural
development. Basically, it is thus an arrangement of participation of people in the
administration of local affairs.
Information on the evolution of Panchayati Raj is not easily available. Historians have been
able t o m some of the details from a close study of the inscriptions of the past and a few
stray references to Panchayatl Raj, tound in literature. From these studies, we infer that
ancient India did possess local self-governing institutions. And the local bodies enjoyed a
large measure of f d o m from the state control. In this context, we recollect the statement
mrde by Metalfe. He had written that "the village communities are little republics, having
natly everytbiq thy cm want within themselves and (are) almost independent of any
foreign relations. They seem to last where nothing else lasts, dynasty after dynasty tumbles
down; revolution succeeds to revolutions....The union of village communities continue each
forming a sepaiate little state in itself. It has contributed more than any other cause to the
preservation of the peoples of India through all the revolutions and changes which they
have suffer&. And is in a high degree conducive to the happiness, and to the enjoyment of
a great portion of f d o m and independence." It is also understood that the village
communities exhibited vigour and vitality in their functioning. Although, the picture
portrayed by Metcalfe may have been an idealistic one, but all accounts of village
panchayats in ancient India do point to the fact that there existed village panchayats which
attended to the neab of the people living in the villages. Later, they fell into disuse. The
early.British rule led to their disintegration. Therefore, it is argued that it is possible to
restore its health and prosperity if these institutions are revived and revitalised with suitable
encouragement and mistance to meet the challenges of modern times.
Vedic literature has provided some references to an organised system of rural local self-
government institutions. However, it is difficult tohttps://t.me/Upsc_Zone_Official
connect different references into a
coherent account of how rural local bodies funnioned.in vedic times..It is mentioned that
the vedic state was essentially a country state, with the villageas the basic unit of
administration. An important functionary of the village was called "Gramini*. He was a
respectable official who played a crucial role in the coronation ceremony of the king.There
were references to Samiti (Asstmbly) and Sabha where discussions took place &nly
concerning with agricultural problems in which the king also participated.
Organisation of Sreni (Guilds), religious organisations, caste organisations ptc., was another
sphere of activity of the local self-government institutions. Some of these had direct
representation in all the popular bodies of the state..
When we look into the great epics such as Ramayana and Mahabharata, we find some
explicit references to village institutions. There are references to the assembly of elders of a
hamlet (Ghosh) village (Gram) and headman of the village (Gramini) The headman
(Gramini) was responsible for collecting the state dues, keeping village records, settling
disputes, controlling crime etc. The council of elders used to exercise control over the
headman. We are not certain, whether the office was elective or by appointment. But in the
post Mahabharata period, he was nominated by the king and was accountable to his next
highest authority, "Gopa" of the village. Five to twenty-five villages were under the charge
of "Gopa"
20.3 RURAL LOCAL GOVERNMENT BETWEEN 600 BC

TO 600 AD
S.C. Jain in his book "Community Development and Panchayati Raj in India" has given a
detailed account of the Vinage Panchayats in the ancient period. ~ c c o r d i hto~Jain, the
period between 600 BC to 600 AD witnessed the rise and fall of religious orders like those
of Mahavira and Buddha and the rise and fall of the empires of the Mauryas and the
Guptas.
According to Jatakas, villages were classified according t,o the size and mode of habitation.
The Jain and Buddha literature explain several aspects of village life. Jataka tales contain
instances of villages, joining together to build reservoirs, roads etc. The villagers put in
collective labour to meet their common services. The religious orders, founded by Buddha
and Mahavira, observed highly democratic procedures in arriving at decisions. It appears
that there were rules and regulations regarding the working of these institutions. They
enjoyed freedom in the conduct of their own affairs. There is no known instance of
interference by the state in the internal affairs of the religious orders. Similarly, the guilds
and castes enjoyed high status and autonomy in their internal affairs.
20.4 .KAUTILYA'S ARTHASHASTRA

Arthashastra provides an exhaustive account of the system of village administration
prevailing at that time. Kautilya prepared an exhaustive account of the statecraft and it is
said that the another narrated his experiences in the Arthashastra. As we are mostly
concerned with village panchayats, we shall try to confine ourselves to this subject matter.
Kautilya outlined the ideal size of the village, its demarcation, distance between one village
and another, and grouping of villages for purposes of posting police force and other state
officials.
The villages had a number of officials, such as headman (Adhyaksha) Accountant
(Sankhyaha) etc. All of them enjoyed property rights over certain areas of land, without
right of alienation, in lieu of their services to the state. The village headman exercised
several duties and performed innumerable functions in the village.
rhe next higher official was the "Gopa" who had between five and twenty-five villages
under his charge. He was also entrustep with several responsibilities such as registration of
land, census, maintenance of records of temples, irrigation works etc. Several other
functions were entrusted to the "Gopa". At the district level, the Rqukas were entrusted
with several functions mostly in relation to survey of land and settlement of land revenue.
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Decentmlimtion hvelo~mcnt All the above mentioned authorities were nominated by the king. However S.C. Jain
comments that the political links, through which village interests were represented at the
highest level, seemed to have broken down as a result of the ascendancy of towns andcities,
growth of imperial ideas and bureaucratic practices. All these gradually restricted the areas
of rural self-government. The system which had evolved during the ancient-period, did not
change under the Guptas. However, there were certain minor changes mostly in the
nomenclature. During this period, the rulers in South India introduced sev&
,administrativeunits such as provincial (Mandals), districts (Nadu), sub-districts (Kottams)
group of villages (Kurram) and village (Gram) These bodies were mostly responsible for
management of land, temples, educational institutions, irrigation works, etc.
Another interesting aspect of the evolution of Panchayati Raj in India relates to the
description of rural local government by Hindu Law Givers of the smriti period. Manu has
given a detailed account of the organisation of the country-state and the role of local self-
government institutions. All the writers of smriti period had a broad agreement on the basic
structure. The system ultimately led to a centralised bureaucratic control with the king as
the final authority.
The anarchic conditions created during the period of struggle for political ascendancy (AD
600 to AD 1200) after the collapse of Gupta Empire led to a climate of uncertainty. This
has led to several phases of disturbed conditions in the working of local self-government
institutions. However, the village system remained intact and if we look into the epigraphic
records, particularly of South India, we find evidence of the Constitution and functioning of
- village government. It js argued that during this period the state was paternalistic in
h
character.
There are three aspects of the village administration of the ancient period which deserve
mention. One is the community spirit which prevailed among the people. Another is the
kind of public functionaries who were concernad,with its administration and the third is thc
nature of public p i e s through which the inhabitants participated in.the management of its
affairs.
There were two factors which fostered and strengthened unity among the people. One was
the self sufficiency of the village and the interdependence of different groups within the
village which resulted from it. The other factor was the isolation in which each villagc was
located. This strengt6ened the spirit of collective effort among its people.
There were a number of administrative functionaries such as Ayagars, Karnam, Talari,
Brahmin etc., who performed respective administrative duties as per the custom. Thus the
village was not only a compact economic unit but also an administrative unit with its full
compliment of public functionaries. All of them were servants of the village community and
not of the state government.
Thus, we find village self-governmentwas more real in the past than what we have today.
One reason for this is that the present day Panchayati Raj owes its existence to legislation
enacted by the State Government. It is created by the state and can be abolished by the
state. This was not the case with village self-governmentin the ancient period. It owed its
existence to the customs and traditions. And no ruler, however, despotic he might be, had
the courage to interfere with what the custom laid down. This gave to the village institution
an unique stability and permanence. In this connection, it is necessary to mention that it
was an accepted theory in ancient India that all institutions derived their authority from
Dharma. Even the state and its rulers were subject to it. Their duty was to uphold it and not
to interfere with it. Dharma, of which custom was a part, ordained that every village should
have its own self-governinginstitutions and that it was not right for the rulers to interfere
with them. This resulted in the decentralisation of decision-making power to the village
communities.
Further, due to the isolation of villages, it was not possible for state ofiicials to visit villages
and interfere with the administrative matters by exercising control wer the village
-
authorities.
ii) Check your answers with those given at the end of thc unit.
I ) Write a short note on rural local government between 600 BC to 600 AD.
Evolution and Role of

Panchayati Raj
................................................................
2) Briefly discuss Kautilya's description of rural local government.
20.5 MOGHUL PERIOD

From about the twelfth century onwards, we find that village administration, its
functioning, its autonomy, entered a period of decline and it might be said that it even ,
disappeared from most of the villages. The establishment of Muslim power in India
signalled a political change which had a much deeper significance than the political changes
caused by the struggle among the medieval Hindu kingdoms. Although, the disorder and
political instability, prevailing during the long period of decay hampered growth, yet the
fundamental principles of central local relationships did not change much with the change
of kingdoms. Muslim rule in India, brought in several ideas which were new to the soil. The
new rulers had different ideas and customs. There were marked differences in regard to the
management of land, taxation. India, a land of variety, has enriched by this experience.
However, it is necessary to mention that the local institutions still continued to function.
The hands of the administration reached only the district level. The village communities
continued to exist.
20.6 BRITISH RULE
Dilring the British rule. the isolation of the village communities was completely broken and
with that, the age old economic self-sufficiency. The community spirit received a severe
blow. Tbere was development in the means of communication such as roads, railways.
motor trafic, telegraphic and telephone. Therefore, there was no need for the villager to
remain self-sufficientin the supply of his economic needs. Commercial goods were
developed at a rapid pace. There were contacts with outside world. Production for the
market took the place of production for consumption in the village itself. Village craftsmen
and artisans lost their importance. They had to go out of their villages in search of gainful
employment. The other villagers no longer depended on them for the supply of the various
articles they needed. They could purchase them at a cheaper ratc from the nearest town or
market centre. The village ceased to be an economic unit for production purposes. The only
tie that kept the villagers together was their residence in the same locality. Thus economic
. interdependence within the village gradually lessened in the villages.
The Britishen. being outsiders. adopted certain administrative policies which further
strengthened the forces of disintegration of the village communities. One prominent feature
of British Rule was the establishment of a direct conneetion between the central and
provincial governments on one side and central government and the individual inhabitants
of the village on the other. For instance, Ryotwari System of land tenure was one such
feature. Under this system, the government dealt directly with the individual cultivator and
not through the village panchayat. In addition, the government took the responsibility of
construction and maintenance of irrigation works, roads, schools. payment of grants to
them. Other activities such as regulation of agricultural credit and relief to the pkople during
natural calamities were also undemken by the central government. All this meant hat
much of the work, which for ages had been associated with village authorities. was taken
over a d carried out by ollicial agencies from outside. A psychological change took place as
a coaseqwncc of this extreme end unprecedented centralisation. It made the villagers look
for mom and more
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The villagers ceased to feel their need to the extent they had
in former times.
The judicial system, introduced by the British, also led to the same result. Disputes, which
for ages, were settled by elders in the village in accordance with custom and usage were
now referred to the courts outside the village and decided in accordance with statutes
enacted by the alien rulers. Naturally; this system cultivated the habit among the people to
look to institutions away from their villages for the redressal of their grievances.
Another landmark of the British administratiod which dealt a blow to the rural areas was
the change which the British introduced in the position of village officials such as the
headman, karnam etc. These public functionaries, who had been regarded throughout the
ages as the representatives and spokesmen of the village community, were now made the
salaried officials of the government. The villagers naturally began to look at them as the
agents of an outside authority who could not be expected to serve them or be trusted. It
deprived them of their natural leaders and cracks in the community spirit began to appear.
The educational system, introduced by the British, was another feature which also produced
a similar effect. Under the new English education, the educated people began to migrate to
towns in search of employment. Rural areas were thus deprived of enlightened leadership.
The effects of Western civilisation, the Christian missions, weakening hold of custom and
tradition without any other bond also contributed to a great extent to gradual erosion in the
village community. Greater attachment to material values of life and growth of a spirit of
individualism was a contributing factor that brought change in the outlook of the villager
and by the end of British rule, the situation in the village was not what it had been in earlier
times.
It is necessary to mention that the different steps taken by the British government to
introduce a few measures to strengthen rural local bodies did not result in any success. The
colonial rulers selected the district as the chief administrative unit in preference to the
village. It was only after the submission of the report by the Royal Commission on
Decentralisation that the importance of the village came to be recognised. And it was only
about the year 1920 that a serious attempt was made to establish village panchayats and
revive the old community through them. The process adopted for the purpose was very slow
and it was subject to numerous limitations. By then, the village community was practically
broken up and conditions became hostile for the successful working of the new panchayats.
It is also necessary to note that all the reports on the working of panchayats after 1920
make reference to several factors which were responsible for decay in the system. They
mention the influence of village factions, caste and communal divide, apathy of the
villagers, and reluctance of the people to contribute to the organisation. In fact all these are
the characteristics of the villages in a state of decadence brought about by the changes
introduced into the system of administration by the British. Centralisation was the key
factor to all these changes. Centralisation and local self-government cannot exist side by
side. They are antithetical. It is centralisation that is responsible for the decline and
disappearance of Panchayati Raj as it existed for years in the villages of India.
20.7 DEVELOPMENT AFTER INDEPENDENCE
The development of Panchayati Raj in India, after the country became independent in
1947, took a crucial turn and did not occur in isolation. It was part of a wider movement
which affected the entire nation. In fact, the real meaning and implications of Panchayati
Raj can be understood only in relation to the wider movement. There have been several
factors which were responsible for the birth and growth of Panchayati Raj in India which
led in course of time to a new structure, much different from what it was in the days of the
British rule. Four major factors deserve mention. They are the teachings of Gandhiji, the
Directive Principles of State Policy, the Five Year Plans with their emphasis on popular
cooperation and the Community Development Programmes. It can be safely mentioned that
to a large extent, the present day Panchayati Raj in the country is the outcome of the
influences of these factors. The factors are discussed below :
i) Influence of Mahatma Gandhi
The influence of Mahatma Gandhi, on the people of India, was profound. His approach to
the'problems of India, particularly of the rural areas, is well-known. He advocated a
philosophy of ruralism, as distinguished from urbanism. The keynote of Gandhiji's Evdutian .ad Rdc 01
P.ach.yrti Raj
philosophy was the revival of the village community, with all its self sufficiency and
mlnimum dependence on the outside world. Back to the villages, was his main message. He
called upon the people to focus their attention on the reconstruction of village life which
u as neglected during the British regime. It was his conviction that the cities were.
responsible for immense damage to village economy and that the only way of saving them
was by making them self-sufficient in as many essential needs of life as possible. He pleaded
that agriculture, supplemented by cottage industries, would provide enough employment
and help in achieving self-sufficiency. A self-sufficient economy would also be highly
decentralised. It would be completely free from all control exercised by outside agencies.
Mahatma Gandhi felt that the village should be self-sufficient not only economically but
also in political and administrative affairs. He was not in favour of people always looking to
the government for anything and everything. He suggested that all the affairs in a village
should be administered by a panchayat elected on the basis of adult suffrage. As far as
possible the state and central control should be brought down to the barest minimum. The
impact of Gandhi's ideals influenced to a large measure, the political executives after
independence. There is no doubt that the impetus came from Gandhi. Hence, the State
Governments entrusted several development functions to the Panchayati Raj bodies and if
democratic decentralisation has become their watchword, much of it has to be attributed to
the influence of Gandhi's thoughts.
ii) The Directive Principles of State Policy
The second major factor, which deserves mention, is the provisions of Article 40 in the
Constitution. Thcre was considerable debate in the Constituent Assembly when the draft
bill was discussed. The draft bill did not provide any reference at all to villages as a unit of
self-governmcnt. In fact, Dr. Ambedkar spoke disparaging1y about the situation in the Indian
Villages. rhere were several others who supported Ambedkar. They said correctly that
greater decentralisation does not imply greater democracy in the villages, it is the people.
belonging to so called higher castes, who would gain more power and would apply that
power more ruthlessly against the poor.
However, there was a very strong section who pleaded forcefully in favour of village
panchayats. They argued that villages could not be ignored and that democracy should not
be restricted only to governments at higher levels but should be extended to living units at
the bottom. As a result of support from numerous members, Article 40 came to be
incorporated in the Constitution in the provision entitled the Directive Principles of State
Policies. This Article calls upon the state "to take steps to organise village panchayats and
endow them with such power and authority, as may be necessary, to enable them to
function as units of self-government." This principle has been broadly interpreted by !he
Union as well as state government so as to provide not only self-governing institutions but
also democratic institutions at different levels in the rural areas.
~ i i )The Five Year Plans

The third factor which deserves mention for the growth of Panchayati Raj institutions is the
planned economic and social development undertaken by the government. In the
implementation of the Five Year Plans it became necessary to secure the active cooperation
and involvement of people in the rural areas. Active involvement became necessary
particularly in respect of schemes of agricultural development. It was recognised that the
transformation of the traditional methods into modern techniques, involving the use of latest
improvements, could not be brought about without the willing cooperation of the farmers.
The official machinery was not suitable for this work. Further, experts could not approach
each individual farmer in this task. The First Five Year Plan recognised this difficulty and
suggested that "as the agencies of the state government cannot easily approach each
individual villager separately, progress depends largely on the existence of an active
organisation in the village which can bring the people into common programmes to be
carried out with the assistance of the administration." One result of this view led to the
creation of Panchayats thpugh which Five Year Plans have sought to enlist the cooperation
of people in their execution. In fact the First Five Year Plan observed that "many in the
administration realise that official machinery by itself cannot carry out these developmental
programmes, which call for a great deal of initiative and participation on the part of people
themselves."
The Second Five Year Plan had identified two broad groups of functions-administrative and
judicial. A long list of administrative functions had been prepared. The list is formidable. It
~ ~ ~ t b n Devdopcnent
a n d clearly shows the attitude of governmeht towards the role of Panchayati Raj bodies in the
reconstruction of national life.
iv) Community Development Movement

The fourth factor which has been to a large extent, instrumental in the 6rigin and growth of
Panchayati Raj is the Comllrunity Development movement which was inaugurated on
October 2, 1952. It had a direct impact on Panchayati Raj, which, ia essence, implies a nev
approach to the nation building activities. The emphasis of the Community Development
movement is on theall-round development of local community - a village, a group of
villages, a district. The philosophy of community development is to create an opportunity
for the people to take initiative and identify their needs and find out the methods to meel
them. It is not an outside agency that defines the needs of the community and how thosc
needs have to be satisfied. Further, it is observed that in the Community Development
Movement, the community is prepared to find resources of its own to carry out the projects
which it has decided to undertake.
The community development programme was first started under official guidance. Although
tnere were a number of voluntary bodies of non-official nominated members associated, it
was found out that such bodies were not of much use in creating enthusiasm among the
people in securing their participation. The problem was thoroughly examined by the
Balvantray Mehta Committee. It was on its recommendations that the advisory bodies have
been abolished and statutory bodies were created to undertake the work of Community
Development. Thus Panchayati Raj has been ushered in the country as a people's
programme with officials participating in it on account of their technical knowledge and
guidance.
, -
1) What were the changes which took place during the British rule?
........................................................................
2) What was Gandhiji's view on decentralisation?
20.8 ROLE OF PANCHAYATI RAJ
After tracing the evolution of Panchayati Raj in India, it is necessary to analyse the role of
the Panchayati Raj institutions. There is no doubt that Panchayati Raj has become a
powerful movement. All the states in India have adopted it. It is no more an experiment. It
is being accepted to be important in the democratic process. It is more than a political
slogan, more than an administrative device. Panchayati Raj in India has come to stay. There
is no alternative to it :
i) Political Consciousness
The first and foremost aspect in the study of role of Panchayati Raj relates to its role in
awakening the political consciousness of the rural population. It has enabled a large number
Gf pe.ople to acquire leadership at loci1 levels. The quality of this leadership will ultimately
determine the success or failure of Pancheyati Raj.https://t.me/Upsc_Zone_Official
It is no exaggeration to state that the
Panchayati Raj bodies have provided political'education, preparing the citizens for E v o l u h md Role of
Prnrhayati Raj
responsible living. In fact the Panchayati Raj bodies have developed leaders who could take
control of democratic institutions at state and national level. The prediction of Ripon that
"it is not primarily with a view to improvement in administration that this measure is put
forward and supported. It is chiefly designed as an instrument of political and popular
education" has been realised to a large extent. Panchayati Raj has become a powerful tool
where caste and local interests interact, clash, compromise and arrive at common
understanding on various issues. The experience gained by the new generation of leadership
in democratic management has raised the quality of legislative debates and working of other
higher level institutions. It has provided opportunity for the circulation of political elite
which is very essential for maintaining democratic forms in their true spirit.
ii) Planning and Development

The Panchayati Raj institutions have been designed to play a crucial role in planning and
development. A number of studies indicate that as units of planning and development, be it
at the district or lower level, the Panchayati Raj institutions have contributed substantially.
In Maharashtra, Karnataka, West Bengal and several other states, local level planning has
been succtssfully formulated and implemented by these institutions. Ultimately to what
extent the local bodies have the necessary autonomy and financial resources to take up
developmental activities, depends largely on the state government.
There is yet another point of view according to which the Panchayati Raj Institutions have
become the connecting link between the Parliament and State Legislature on the one hand
and local bodies on the other so that the respective members can exchange views on the
objectives of a plan and its priorities. The local members talk about the local needs,
urgencies and difficulties in the implementation whereas the members of Parliament and
State Legislature can explain the possible solution since they decide national priorities and
at the same time they are financially in a better position to help the rural bodies. This two
way link has served the dual purpose of modifying the state policies at poinb of
maladjustment as well as communicated the message from centre and/or state to the remote
corner of the rural society. Thus, the Panchayati Raj bodies have come to play an important
role in the sphere of planning and development.
iii) Executive Institution

To what extent the Panchayati Raj bodies act as units of self-governmentrequires a closer
look into the functions performed by these bodies. Certain civic functions such as rural
sanitation, public health, street lighting, dfinking water supply, maintenance of village
roads, culverts, management of primary and secondary education, etc., have been carried
out by the Panchayati Raj bodies.
In several states all the developmcntal functions have been divided into three categories :
the central sector, the state sector and local sector. The Local Sector Schemes have been
devolved to Panchayati Raj bodies for planning and execution, they include subjects such as
agriculture, minor irrigation, rural health animal husbandry, rural roads, social welfare,
cooperation, cottage industries, rural housing etc. In all these fields the Panchayati Raj
bodies have played an important role.
Finally, we should remember that the Panchayati Raj bodies are the creations of the State
Government. They have no inherent powen and functions of their own. They do only what
they are authorised by the state. Now the time has come to think aloud about preparing a
local list and incorporate the same in the Constitution. It depends on our political maturity
and perhaps we need some more time to bring in such revolutionary change in this country.

1 ) What role does Panchayati Raj play in planning and development?

7
Decentralissition and Development . 2) How does Panchayati Raj institutions bring about political consciousness of the people?
20.9 LET US SUM UP

The evolution of the system has shown that village communities have always existed in
India. Several changes they have undergone - but the basic structure is there. During the
British rule, the village communities no longer remained isolated, due to the development in
the means of communication. Centralisation was the key factor of the British rule. After
independence, an attempt has been made to revive the local self-government. In the
following units. we would be discussing the emerglng patterns of Panchayati Kaj institution
in India and the problem and prospects of Panchayati Raj.
-- - - - - --
20.10 KEY WORDS

Epigraphic record : Record by inscription.
Guilds :A guild is an organisation of people who do the same job or who have the same
interest.
Smriti period :The period in which knowledge was transferred orally.
Dayal, Rajeshwar, 1970. Panchayati Raj in India; Metropolitan : New Delhi.

Desai, K.S.,1962. Panchayari Raj; Asia Publishing House : Bombay.
Jain, R.B., 1981. Panchayari Raj; IlPA : New Delhi.
Jathar,R.V., 1964. Evolurion of Panchayati Raj in lndik Institute of Economic Growth :
Dharwar.
Journals
Hooja. B., 1978. "Panchayati Raj versus Decentralisation of Administration", Indian
Journal of Public Administration; Pages 652-67; Volume XXlV : IIPA.
Maddic Henry, 1978. "Can Panchayati Raj become the agency for integrated rural
development?, Indian Journul of Public Adminislration; Pages 577-91; Volume XXlV :
IIPA.
Mathur, P.C. 1978. "Remodelling Panchayati Raj Institution in India", Indian Journalof
Public Administration: Pages 592-6 16. Volume XXlV : IIPA.

EXERCISES
Check Your Progress I Check Your Progress 2
I ) See Section 20.3 I ) Scc Section 20.6
2) See Section 20.4 2) Sce Section 20.7
I ) See Section 20.8
2) Sec Section 20.8
UNIT 21 EMERGING PATTERNS OF

PANCHAYATI RAJ
Structure
2 1.0 Objectives
2 1.1 Introduction
21.2 Structure of Panchayati Raj
21.3 Andhra Pradesh Pattern
21.4 Maharashtra Pattern
21.5 Karnataka Pattern
21.6 Let Us Sum Up
21.7 Key Words
21.0 OBJECTIVES

'analyse the different patterns o
! Panchayati Raj;
understand the necessity to have different patterns; and
compare the Panchayati Raj Institutions, existing in different states.
21.1 INTRODUCTION
Panchayati Raj Institutions have been set up in our country as a result of the
recommendations of the Balvantray Mehta Study Team. The Team made a number of
recommendations regarding the constitution of the new bodies, their internal organiiations,
thc staff to be employed by them, their functions, finance and the arrangements for
cxcrcising control over them. Besides, the Team also made several others on various points
rcfcrred to it for consideration. Consequent to the repon of the Team, almost all the States
and Union Territories introduced the Panchayati Raj Institutions over a period of time. We
now have more than three decades of Panchayati Raj experience. While the need for setting
up democratic institujions was accepted by the Government of India, it was realised that in
a country of India's size, complexity and diversity, a uniform pattern all over the country
should not be introduced rigidly. It was recognised that each state should have the
discretion to devise a system,.best suited to the local conditions. In fact, it is necessary to
recall the resolution of the Central Council of Local Self Government at its fifth meeting at
Hyderabad in 1959. The meeting recommended that "while the broad pattern and the
fundamentals may be uniform, there should not be any rigidity in the pattern. In fact, the
country is so large and Panchayati Raj (democratic decentratisation) is so complex a subject
with far reaching consequences that there is the fullest scope of trying out various patterns
and alternatives. What is most important is the genuine transfer of power to the people. If
this is ensured, form and patcrn may necessarily vary according to conditions prevailing in
different states." On the basis of this approach, the Panchayati Raj Institutions have been
introduced in diflerent slates at different points of time. The structures, that have come into
existence, do not yet seem to have settled down into some kind of format, for in most of the
states, attempts are being made to bring about changes in them. Changes are introduced, at
frequent intervals, on the basis of experience of the existing system. However, we have tried
to analyse the different patterns as they have evolved and are working at this juncture. A l t a
all, there cannot be any finalityin any society, particularly in the developing societies where
reforms have to be introduced at regular intervals to keep pace with the c h a n ~ i nt i~m a
21.2 STRUCTURE OF PANCHAYATI RAJ
The Balvantray Mehu

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and Development
Decenb~tisation number of tiers in all the states. It is true that there is Panchayati Raj of some kind or the
other in all the States and Union Territories, but there is variation in respect of the number
of~units.There is difference of opinion regarding the unit of planning and development.
Election procedure, financial resources, personnel policies etc., are a few other aspects on
which there is no unanimity. However, we have tried to identify a few patterns which are
distinct in their character for analysis. We will study Panchayati Raj as it has evolved in
Andhra Pradesh, Maharashtra and Karnataka. It is also necessary to point out that in this
short essay, it is not possible to analyse the patterns of Panchayati Raj Institutions in all the
States and Union Territories.

ii) Check your answers with those givemat the end of the unit.
1) What was the proposal of.the Balvantray Mehta Study Team?
........................................................................
2) What was the resolution of the Central Council of Local Self Government?
........................................................................ 1
I
21.3 ANDHRA PRADESH PATTERN
Andhra Pradesh and Rajasthan adopted Panchayati Raj soon after the submission I '-hta
Report in 1959. In fact, they take pride in the fact that they acted fast in accepting the
recommendations of the Mehta Study Team. The legislation, in both the States, was mainly
based on the model suggested by the Mehta Team. From 1959 to 1983, the three tier
structure was in vogue in Andhra Pradesh. In 1983, a four-tier structure was set up. Thus,
there are two phases in the Andhra Pradesh pattern of Panchayati Raj. We would discuss
each phase in the following.
A) ~ i r d Phase from 1959 to 1983
Under this scheme, the Gram Panchayat was the lowest unit. It was constituted either for a
single village or a group of villages. There was also provision for a Gram Sabha, the
members of which were all the voters of the Gram Panchayat.
The Panchayat Samiti, which is the middle tier, was the most important uqit from the point
of view of planning and development. Originally, there were 448 blocks in the State which
were later reorganised into 321. The Panchayat Samiti was composed of Ex-officio and
co-opted members.
The Zilla Parishad for each district was the apex body of the Panchayati Raj in Andhra
Pradesh. It also consisted of Ex-officioand Co-opted members. The Panchayat Samiti
and the Zilla Parishad had seven standihg committees, each of which transacted important
business. Till 1983, no major structural change was contemplated in the three tier structure.
It is, however, necessary to point out that now and then, a few modifications which were
mostly peripheral in nature were introduced in the system consequent to the
recommendations of several committees constituted by the State Government.
The functions of these bodies have been enumerated in the Act, They may be broadly
divided into two categories;
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~ Panrhavatc and Pnnrhavat Snmitirc which had hem ~ n t r u c t ~with
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civic and welfare functions. The functions of Zilla Parishads in this area were restricted to Emerging Panem of
the establishment, maintenance and expansion of secondary, vocational and industrial Pmchayatl Raj
schools. In fact, the Zilla Parishads served more as a coordinating agency and as the agency
for distribution of funds among the Samitis in the district.
The Panchayat Samiti was the principal agency for performing all developmental functions.
They include agriculture, cooperatives, animal husbandry, community development, cottage
industries etc. The Zilla Parishads had no executive functions so far as developmental work
is concerned. However, at times they had also undertaken activities under certain
circumstances. Otherwise the Zilla Parishads were mostly coordinating and supervisory
agencies.
Thc three tier structure continued to be in operation till 1983. The emergence of a new
regional political party namely the Telugu Desam Party at the state level has brought in
certain changes in the Panchayati Raj set up in Andhra Pradesh.
It would be useful to recall the prevailing situation in the'late seventies. It has been
observed that during this period, the Panchayati Raj Institutions were in a bad shape. We
were witness to a total decadence in the working of these Institutions all over the country.
The situation was viewed with serious concern by the Janata governmeht at the centre.
Consequently, it had appointed a Committee headed by Ashok Mehta, to review the
working of Panchayati Raj Institutions and to suggest suitable remedialheasures. Though
the committee submitted its report in 1978, it did not evoke any interest in the state
governments. In addition, the collapse of the Janata government put the Ashok Mehta
report in cold storage.
B) Second Phase : 1983onwards

The emergence of nonCongress-l government in Andhra Pradesh in 1983 revived the
interest in the Ashok Mehta Committee Report. On the basis of the report, a number of
changes were introduced in the Panchayati Raj structures in Andhra Pradesh.
The present set up is based on the Andhra Pradesh Mandala Prajlo Parishad, Zilla Praja
Parishad and Zilla Pranalika Abhivrudhi Mandals Act 1986. The Act provided for a four
tier structure : Cram Panchayal for a village. Mandala Praja Parishad for a group of
villages, Zilla Praja Parishad for every district and Zilla Abhivrudhi Sameeksha Mandali
for every district. Let us examine each one of these bodies in detail.
i) Cram Panchayat
Gram Panchayat is the lowest unit of the'four-tier system. There are about 19.500 village
panchayats in the State. Gram Panchayats are constituted either for the entire village or for
groups of them. Members of Gram Panchayat are elected by the villagers on the basis of
wards. The Sarpanch is directly elected by all the voters of the village. There is a provision
for reservations to the extent of 15 per cent for SCs, 6 per cent for STs, 20 per cent for BCs
and 9 per cent for women, in all the elective posts at the village Panchayat level.
ii) Mandala Praja Parishads

Thc most significant reform made in the structure is the abolition of former 330 Panchayat
Samitis and creation of 1.104 Mandala Praja Parishada in their place. The size of the middle
unit is reduced by one-third with a population of 35 to 50 thousand with a view to taking
administration to the 'doorstep' of the rural population. The new Mandala Praja Parishads
arc coterminous geographically with the Revenue Mandals. This was designed mainly to
mcrgc both the Revenue Mandals and the Mandala Praja Parishads, over a period of time
facilitaiing an integrated unit to emergeat the grassroots level. The revenue bureaucracy
had howcvcr opposed this proposal. For the time being, the entire issue of merger is kept
pcnding.
Andhra Pradesh adopted the system of direct election to the position of President of
Mandala Praja Parishad. Sarpanchs of village panchayats are the ex-officio members of the
Mandala Praja Parishad. Members of Legislature and Parliament are also ex-officio
members. In the new system, the registered political parties are permitted to field their
candidates for elections. Along with this provision, a ban is imposed on the Mandala Praja
Parishad presidents from defecting from the parties on whose tickets they were elected. The
spirit of Anti-defection law is very much felt at the grassroots level.
No substantial changes and improvements are made in the powers and functions of Mandala
Praja Parishads. Almost all the functions of erstwhile Samiti are handed over to the new bodies.
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iii) Zilla Praja Parishads (Z.P.Ps)
A few changes have been introduced in the composition. of the Z.P.Ps literally meaning
district people's councils. The Zill Praja Parishad a headed by a chairman, directly dcctcd
for a term of five years by the entire district electorate. The urban voters are exclude& It
may be recalled that under the old Act. the chairman was elected indirectly by the pcncral
body of the Zilla Parishad. In the present situation, the Zilla Praja Parishad chairman a
elected by the largest electorate in the country; roughly having an electorate twice that of a
Lok Sabha Member or ten to fourteen times that of an M.L.A. The government has
accorded the status of the Minister of State to the Zilla Praja Parishad chairman. Provision
for reservations is also made: one for STs, three for SCs, four for BCs and two for womcn
out of a total 22 Zilla Praja Parishads. The general body consists of the chairman, all thc
Presidents of the Mandala Praja Parishads, legislators as Ex-oflicio members and a co-opted
member belonging to the linguistic minorities. The district collector is also a member of the
Zilla Praja Parishad. The antidefection law is made applicable to this organisation also.
There are six standing committees, all headed by the Chairman, through which the busincss *
is carried on. The district collector's power has been diluted by divesting him of the
e x ~ f i c i ostatus as in the old act. No radical changes have been introduced in respect of
functions and sources of finance.
iv) Zilla Abhivrudhi Sameeksha M d a l
Another significant feature introduced in the new set up is the creation of a fourth tier. a
nDminated body over and above the Zilla Praja Parishad. Each of the districts in thc statc.
excluding the state capital, is provided with a Zilla Abbivrudhi SIlmeeksha Mandai
(District Development Review Board). It is headed by a Minister nominated by thc Chief
Minister. The Chairman of the Zilla Praja Parishad, all the legislators of thc district, the
district collector and five expen members nominated by the government constitute thc hody
of ZiUa Abhivrudbi fhmceksha Mandal.
This fourth unit has become a subject of criticism. The purpose of these bodics is stated to
be review of developmental works within the district. However, the real purpose, thc critics
point out, is to subordinate the Panchayati Raj Institutions to the state and through it to thc
party in power.
Finally, it is said that the present experiment does not 'make any significant changc in thc
position of the Panchayati Raj Institutions. However, there are two aspects which dcscrvc
appreciation. First, creation of smaller units of administration has led to better acccss to t hc
rural people. Secondly, the provision of reservatiorts at all levels facilitated the sharing of
power and status by a larger number of people from the deprived sections of population.
\
Check Your Progress 2 -.

1) In what way, Mandala Praja Parishad is difierent from that of Panchayat Samiti of the
past?
2) Write a short note on Z i a Abhivrudhi Sameeksha Mandal.

21.4 MAHARASHTRA PATTERN
After having explained the emerging pattern of Panchayati Raj in Andhra Pradesh, it is
necessary to examine one of the unique systems of Panchayati Raj Institutions in India i.e.,
Maharashtra pattern. It is unique because the State government did not accept the
recommendations of Mehta Team in toto. And therefore it set up a committee in 1960 to go
into the question of introducing democratic decentralisation in the light of its own
experience in the field of local government under the Chairmanship of V.P. Naik.
Consequent to the Naik Committee Report, the state government passed an Act in 1961
which came into force in 1967. We find quite a few differences between the Mehta Rep&
and the Naik Report which deserve mention in our lesson.
The idea of introduction of grassroot democracy as envisaged by Naik Committee is
different from that of the Mehta Team. The Mehta Report laid emphasis on developmental
mechanism, whereas the Naik Committee integrated the developmental functions and made
it clear that the Panchayari Raj Institutions, proposed in Maharashtra state, would be in the
form of local governments and not a mere extension agency of the Central Gouernment or
State Government.
After a careful examination of the causes for thefailure of the existing system, the Naik
Committee suggested that all developmental schemes should be divided into three categoriqs
namely a) the state sector schemes, b) the local sector schemes and c) community
development programmes. The I'ocal sector schemes and the community development
programmes should be entrusted to the Panchayati Raj bodies for planning and execution.
For proper implementation of all the schemes of local sector, the district should be the ideal
unit since it has necessary administrative organisation already existing. Thus, the Naik
Committee suggested district as a unit of planning and development and the ~ a n c h a ~ a t
Samiti could be a statutory committee of the Zilla Parishad.
Before we proceed to the description of the units, it is necessary to mention that the Naik
Committee was not in favour of associating the district collector and the Members of
Legislative Assemhly and Parliament with the Panchayati Raj lnstitutions. The Committee
felt that by keeping the collector outside the body, the Government would have in himlher
an independent officer who could evaluate impartially the functioning of the local.body and
report the same to the government. The Members of Legislature and Parliament would be
too busy with their respective roles and may not find enough time to devote to the local
bodies. Hence, the.committee did not find their membership useful in the local bodies.
The Committee suggested that all the local sector officers should be p l a d under the
unified administrative control of the Chief Executive (of the rank of district collector) of the
Zilla Parishad, working under the supervision and the control of the Zilla Parishad. Similarly
the block level staff should be kept at the disposal of the Panchayat Samiti.
At present, the Panchayati Raj system in Maharashtra is organised on the basis of
Maharashtra, Zilla Parishads and Panchayat Samitis Act 1961. Let us analyse the main
features of the system.
i) The Zilla Parishads (Z.Ps)
The Zilla Parishads have been constituted for every district. The Bombay city and suburban
district does not have a Zilla Parishad. Zilla Parishad is the main unit of decentralisation. It
has a minimum of forty and a maximum of sixty councillors directly elected from a
constituency of roughly 35,000 adults. There is also a provision for co-opting
representatives of cooperative societies. Reservation for Scheduled Castes and Scheduled
Tribes is also provided. In addition, two women would be co-opted if the directly elected
members do not include women. The chairmen of the Panchayat Samitis in the district are
ex-oficio members of the district council ensuring linkage between the samiti and district
body. The direct election of the Zilla Parishad Councillbrs ensures responsibility to the rural
population. Besides it was designed to lend a political status to these bodies
The Zilla Parishad from amongst its councillors elects a President, a Vice-President'and twe
Chairmen of subject committees. The Zilla Parishad for its day to day working, is divided
into eight committees. The President of the Zilla Parishad, apart from functioningas head of
the Panchayati Raj bodies, also presides over the meetings of the Standing Committee. The
remaining subject committees are presided over by the Vice-President and Chairmen of the
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Dmn'r*htioaudDc~t subject committees receive honoraria and housing facilities. In addition they are also
provided with a vehicle. Thus a kind of portfolio system has been introduced. '
The 1961 Act lays down a variety of functions for the Zilla Parishad. Thesc include
agriculture. animal husbandry, forests, cooperation, education. health. irrigation, cottage
industries etc. Planning and execution of development works. thus. is the basic function of
the Zilla Parishad. The sources of funds mainly consist of various grants that are paid by the
government. The whole of the land revenue. and a cess on it is given over to the Panchayati
Raj Institutions. The Zilla Parishads have also inherited most of the revenue sources from
the local bodies which include professional tax. building tax, registration fee etc.
So far as the administrative serviCts ate concerned, the Zilla Parishad is headed by an
officer of district collectot's rank called Chief Executive 0.fIicer. He is assisted by a Deputy
Chief Executive Officer who is also the Secretary of the Zilla Parishad. Besides them, the
government has transferred its various othir departments in the district including the staff to
the Zilla Parishad. Thus, the entire contingent of administrative organisations arc placed
under the Zilla Parishad.
ii) The Panchayat Samitl
The Panchayat Samiti in Maharashtra is a statutory committee of the Zilla Parishad. The
membership of the Samiti consists of Zilla Parishad Councillors elected from the block.
co-opted councillors and two members who are the Panchas/Sarpanchs elected by
~anchayatmembers from each electoral division in the block. Thus, there is a downward
ex-oflicio membership for the elected representatives of the Parishad from the constituencies
in the block. The system also ensures a working link between the Panchayat Samiti and the
Village Panchayats in its area. There is a provision for co-option of Scheduled Castes.
Scheduled Tribes and women on the lines similar to that of the Zilla Parishad.
The Chairman and Deputy Chairman of Panchayat Samiti are elected from amongst its
members. They are full time functionaries. They are paid honoraria and'accommodatior,
facilities. The law does not allow them to be a member of any subject comniittec of the
Zilla Parishad. In Maharashtra, the Panchayat Samiti is not a corporate body. In fact it is a
statutory committee of the parishad and therefore, works as a whole. The Block
Development Officer is the ex-oflicio secretary of the Panchayat Samiti.
The 1961 Act has allotted a list of functions to the Panchayat Samiti. Thesc functions
overlap the list of functions of Zilla Parishads. However, in practice, different development
schemes are executed through the Panchayat Samiti.
iii) Village Pamhayats
The basic unit of Panchayati Raj in Maharashtra is the village panchayat constituted
independently of the Zilla Parishads. Panchas are elected ward-wise. A few seats are
reserved for Scheduled Castes, Scheduled Tribes and women. There is provision for
co-option. The Sarpanch is elected by the panchas. For every village there is a Gram Sabha
which has to meet twice in a year to review and approve the annual budget and plan of the
village.
The functions of the Village Panchayat are mostly civic and developmental in nature. The
subjects include agriculture, social education, health, cooperation, social welfare etc. The
entire land revenue is given to the village panchayat. Grants for development are received
from the Zilla Parishads.
The essence of Panchayati Raj System in Mabarashtra is that its Institutions have become
institutions of power mechanism. It means that the Panchayati Raj Institutions are not only
units of planning and development but also enjoy power to decide which development
&heme bas to be taken up, where it should be taken up etc. There is a clear identification of
functions, finances and devoltition of authority to these units. It is also stated that a large
measure of success of the Zilla Parishad in Maharashtra is attributed mainly to the
.integration of administrative services.
Check Your Progress,3
I ) Write a short note on Zilla Parishad, existing in Maharashtra.
Emerging Patterns of
Prnehayrti R l j
2) Write a short noteon!Village Panchayats of the Maharashtra Pattern.

........................................................................
.........................................................................
........................................................................
1.
21.5 KARNATAKA PATTERN

-
Panchayati Raj was introduced in Karnataka in 1959 with the passage of Mysore Village
Panchayats and Local Boards Act 1959. Prior to this Act there was no uniform pattern of
rural government in the slate. The five different areas which constituted Mysore State,
redesigned as Karnataka state, were governed by different Acts. In 1959 these Acts were
superseded by the Act of 1959. Based on different experiences of the state the 1959 Act
which was strikingly different from other states was adopted. The recommendations of
Mehta Team in addition to different recommendations of various committees were, thus
synthesised in the Legislation of 1959.
It is appropriate now to talk about the salient features of the system which was introduced
in 1959 and to,explain the new trends emerging in the recent times. There are two phases in
thc emerging patterns of Panchayati Raj in Karnataka. The first one is from 1959 to 1985
and the second phase began in 1985.
A) First Phase : 1959 to 1985
The Act provided a three-tier structure with the Village Panchayats/Town Panchayats at
the base, the Taluka Development Boafds in the middle and the District Development
Council for each district at the top.
i) Village Panchayats/Town Panchayats
The Village Panchayats/Town Panchayats elected their members directly. Seats were
reserved for Scheduled Castes, Scheduled Tribes and women. The Chairman and Vice-
Chairman of the Village Panchayat/Town Panchayat were elected from amongst its
members. The Panchayats were entrusted mainly with civic functions such as sanitation, i
control of epidemics, street lighting etc. They were supposed to perfonn that are called
agency functions assigned by the Taluka Board and the State Government. Their major
sources of income were from Grants given by the State Government and proceeds of the
taxes which were very marginal. There was no organic linkage between Village
Panchayat/Town Panchayat with the higher body, Taluka Development Board. As in many
other states. there was a provision for a Gram Sabha.
ii) Taluka Development Board
The middle level unit was known as Taluka Development Board constituted for each
Taluka in the state. The members of the Board were directly elected by the voters.
Reservation of seats for the Scheduled Castes, Scheduled Tribes and women was provided.
The members of Legislature, and the Council were ex-officio members of the Taluka
Development Board. The Chairman and Vice-Chairman were elected from amongst the
members of the Taluka Development Board. The formation of the Taluka Development
Board is contrary to the suggestion made by Mehta Team. The Taluka replaced the block at
the middle tier.
The Taluka Boards were entrusted with certain obligatory functionssuch as looking after public
roads, public wells, primary school buildings, public health etc. They had a highly restricted and
narrow tax base. They had to depend heavily on financial assistance by the state
onvernment. This had nlaced them cnrnnlctelv at the rnerrv nf the hipher authoritiff.
-tim ud D c v c k p w n t iii) District Development Council

There were district development councils for each district. The District Development
Council consisted of the Presidents of all the Taluka ~ e v e l o ~ m e Boards.
nt Members of
Parliament, Assembly and the Legislative Council from the district. In addition, not more
than 15 oflicials of the government in the district, were nominated by the government. The
Government also nominated members from the weaker sections of the society. The Deputy
Commissioner of the district was the ex-officio chairperson of the council. It was purely a
coordinating and supervisory body, conforming to the recommendations of the Mehta
Study Team.
The decline of Panchayati Raj system in all the states, including Karnataka, was a subject
matter of discussion during the Janata rule at the centre. The Ashok Mehta Committee's
recommendations revived some interest in the system. One of the election plans of the
Janata Party in Karnataka was to reinvigorate and revitalise Panchayati Raj to enable it to
play a more effective role in the process of rural development. In order to fulfil the election
promise, the Janata government introduced a Bill to this effect and after going through
different stages. the Act came into existence in July 1985.
B) Second Phase : 1985 onwards
The Act of 1985 conlains a number of innovations and makes a radical departure from the
earlier system. The new system has rejected the existing structure. Rama Krishna Hegde, the
then Chief Minister of the State called it the "second transfer of power", the first being 1947
from the British to the people of the state.
The Karnataka Panchayati Raj system is based on the Zilla Parishads, Taluk Panchayat
Samitis, Mandal Panchayats and Nyaya Panchayats Act 1985. A brief description of the
new Panchayati Raj structure would be highly useful. The structure which comprises four
layers - Zilla Parishad, Taluk Panchayat Samiti, Mandal Panchayat, and Gram Sabha -
replaces the pre-existing three tier system consisting of District Development douncil, Taluk
Development Board and Village Panchayat. Let us analyse each one of them.
i) The Zilla Parishad
A Zilla Parishad is constituted for each district. It is a corporate body, composed of elected
members. It has a small segment of nominated members of the local MLAs, MLCs and MPs
with voting rights. There is one Associate member without voting right i.e., the Chairperson
of District Central Cooperative Bank. Persons above 18 years of age are eligible for voting,
but no person below 25 years of age can contest the elections. Reservation to the extent of
25 per cent is made for women. Similarly not less than 18 per cent members is reserved for
Scheduled Castes/Scheduled Tribes.
The Adhyaksha and the Upadhylsha, elected from amongst the members, will receive a
monthly salary of a Minister of State and that of Deputy Minister respectively. This and
other related provisions would certainly enhance the prestige, status and independence of
these oflices. There is no reservation to elective key positions of offices for Scheduled Caste,
Scheduled Tribe and women. There are 9 standing committees to monitor and implement
the activities of the Zilla Parishad. Members of these committees are elected by the
members;of the Zilla Parishad from amongst 'themselves in accordance with the system of
single transferable vote.
The Zilla Parishad will have an administrative organisation consisting of several officers
mostly on deputation, who work under the control of a Chief Executive Officer of the rank
of a Deputy Commissioner called the Chief Secretary. A number of functions are allotted to
the Zilla Parishad. They include all developmental programmes such as agriculture, animal
husbandry, horticulture, industries, welfare of SCs, STs, BCs, supervision, coordination and
integration of developmenhl schemes etc. The most important function of the Zilla
Parishad is formulation and execution of district plans. As Nazir Sab, the architect of new
Karnataka scheme of democratic decentralisation says, "We will have two planning
processes hereafter, one at the district and the other at state level." He further states that the
Legislative Assembly will pass two appropriation Bills: one for the state sector and the other
for the Zilla Parishad. The most radical structural change was that of dissolut@nof the
existing District Rural Development Society and transfer of its assets, liabilit~esand
functions to the Zilla Parishads.
A number of sources of income such as allocation from consolidated fund of the state,
grants, loans, contributions etc. have been provided.https://t.me/Upsc_Zone_Official
Each Zilla Parishad is likely to get
more than 40 crores annually. There is a provision for a Finance Commission to be set up
by the State to determine allocation of resources. This would certainly improve the resource
base of the Zilla Parishads.
ii) Taluka Panchayat Samiti
The most interesting structural innovation of the Karnataka model is Taluka Panchayat
Samiti at Taluka level. It consists of Members of State Legislature representing a part or
whole of the taluk, members of the Zilla Parishad representing a part or a whole of taluka,
the Pradhans of Mandala Parishads in the Taluka, President of the co-operative Institutions,
five members belonging to SCs, STs, BCs and women co-opted by the Taluk$Panchayat
Samiti and approved by the Zilla Parishad. The Member of the Legislative Assembly
representing the major part of the taluka shall be the Chairperson. If the MLA is not
available or if the member becomes a Minister, the Taluka Panchayat Samiti shall elect a
Chairperson from amongst its members.
The Taluka Panchayat Samiti is not a corporate body. The powers and functions have not
been assigned to it the way it has been done in the case of Zilla Parishad. However, the
Block Development Officer has been designated as secretary of the Taluka Panchayat
Samiti. The Samiti has powers to supervise, review and coordinate the acts of officers and
servants of Zilla Parishad working in the Taluka. The Samiti also has the power to review
the work of Mandal Panchayat and coordinate the work when it relates to more than one
Mandal.
iii) The Mandal Panchayat
The concept of Mandal Panchayat has been taken from Ashok Mehta Committee Report. It
is a corporate body constituted for a revenue village or a group of villages having a
population of not less than 8,000 and not more than 12,000. Reservation of seats is made
for women, SCs and STs. All the members are elected on a ward basis. There is no
provision for co-option or nomination. However, where no person belonging to backward
classes is elected to a Mandal Panchayat, the Zilla Parishad shall nominate two persons
belonging to backward classes. The Mandal Panchayat shall elect two members to be
Pradhan and Upapradhan. They are paid honoraria. It has an impressive list of functions
which could be broadly divided into three groups; obligatory, discretionaiy and transferred.
Thc Mandal Panchayat has to formulate the agricultural production plan and undertake
promotion of educational, economic, social, cultural and other developmental aspects of
SCs, STs and backward classes.
The Mandal Panchayat has a full time secretary appointed by the Zilla Parishad. Its
activities are financed by the Government or the Zilla Parishad. Mandal Panchayat fund is
constituted. Proceeds from tax on buildings, entertainment, market etc., are some of the
other sources of revenue of the Mandal Panchayat. On an average, it appears, each Mandal
Panchayat receives not more than rupees 5 to 6 lakhs in a year.
iv) Gram Sabha
In the new Act the Gram Sabha occupies a statutory base. Every meeting of the Gram
Sabha will be presided over by the Pradhan of the concerned Mandal Panchayat. It meets
twice a year to review developmental programmes of the villages.
The Act also provides the Institution of Nyaya Panchayats at the Mandal level. However,
the government did not introduce the same for a period of five years so that the government
could work out the details of the scheme.
In conclusion, it is observed that the new Panchayati Raj system in Karnataka has been a
unique model. Elected bodies have been given primacy, political parties are allowed to
contest the elections, anti-defectionlaw has been enforced, financial support base is
strengthened. It is said that the quantum of resources transferred to the Panchayati Raj
1nstitut;ons has gone up from Rs. 3 crores to 800 crores. Finally, the experiment in
institution building has taken a concrete shape and the display of political will has been
witnessed in Karnataka.

--
Note : i) Use the space given befow for your answers.
ji) Cheek your anSWem with those given a
end Of fh ,,,,it.
Write a llMc a h h r k h a d as existing 1985 in Kanuuh
.............................
.........................................................................
2) Write'a short note on Taluka Panchayat Samiti as existing 1985 onwards in Karnataka.
- - -pp -
21.6 LET US SUM UP
Thus it was decided appropriately h a t States would devise the Panchayati Raj Institution\
suited to their local conditions. The most importan1 issue being transfer of power to thc
people, we have to consider whether a particular pattern could achieve that. And we havc
noted that in States like Karnaiaka and Andhra Pradesh, a particular pattern was discarded
and a new system was evolved. This is what is needed in the process of growth. Flexibility
and not rigidity. In Maharashtra, we have noticed that the State had set up a Committee to
go into the question of introducing democratic decentralisation. All thcsc mcasurcs arc very
important in the growth of grassroot democracy.
21.7 KEY WORDS

Co-opted member :elected into body by votes of existing memhers.
Ex-officio : by virtue of one's office.
Standing Committee :A committee which is established to deal with a particular ni;lttcr.
Statutory Committee :A committee which derives its authority from the staturc cnactcd.

Inamdar, N.R.. 1970.Functioning of Village Panchayats; Popular Prakashan : Bombay.
Jain, R.B. (ed.) I98 1. Panchayati Raj; Indian Institute of Public Administration
New Delhi.
Mishra. S.N., 1 977.Pattern of Emerging Leadership in Rural India; Associated Book
Agency : Patna.

EXERCISES
1) See Section 21.2
2) See Section 2I. 1
1) See Section 21.3
2) See Stction 21.3
1 ) See Section 21.4 (i)
2) See Section 21.4(iii)
Downloaded from:-
2) See Section 21.5 (ii)
i
UNIT 22 PROBLEMS AND PROSPECTS OF
PANCHAYATI RAJ
Structure
22.0 Objectives'
22.1 Introduction
22.2 Problems faced by Panchayati Raj
22.3 Prospects of Panchayati Raj Institutions
22.4 Let Us Sum Up
22.5 Key Words
22.0 OBJECTIVES
discuss the various problems faced by the Panchayati Raj;
analyse the problems; and
discuss the prospects of Panchayati Raj and suggest condition for its success.
22.1 INTRODUCTION
The working of Panchayati Raj Institutions since 1959 has been viewed as a succes? in a
few states and a failure in most of the states. It means that the system has been experiencing
ups and downs. The history of Panchayati Raj Institutions since 1959 could biconveniently
divided into four phases : the phase of ascendancy (1959-64), the phase of stagnation
(1965-69), the phase of decline (1969-83) and the phase of revival (1983-onwards). The
overall attempts to revive the Panchayati Raj Institutions could be witnessed to the last
phase when the Ashok Mehta Committee Report (1978) has evoked interest among the
politicians and people alike in the year 1983.
Panchayati Raj is a state subject. Hence, each state is free to evolve its own system
depending on local conditions, administrative convenience etc. As a result, we have a
variety of Panchayati Raj Institutions throughout the country with all kinds of permutations
and combinations. Their success or failure mostly depends on their structures, powers,
functions, leadership, finances, control etc. A general review of the working of Panchayati
Raj Institutions would provide valuable insight into the different aspects of these
institutions. It may not be out of place to mention that in a country like India with its size
and diversity, certain unevenr~essin performance is inevitable. Changes in different aspects of
these bodies have been taking place as per the changing circumstances. But by and large, it
would indicate that the activities of Panchayati Raj Institutions were meagre, their resource
base weak, and overall attention given to them was halting. Thus, the functioning of these
bodies presents a discouraging picture.
However, it would be wrong to conclude from the existing situation that Panchayati Raj
Institutions have failed and their future is bleak. These institutions have certain
achievements to their credit. Let us try to idcntify the problem areas and find out the
remedial measures so that' the institutions at the grassroot level would be able to fulfil the
promises for which they have been created.
22.2 PROBLEMS FACED BY PANCHAYATI RAJ

There are a number of problems faced by the Pdnchayati Raj Institutions. We will discuss
the causes in the following :
i) Conceptual Confusion
It is said, that basically, there is lack of clarity regarding the concept of Panchayati Raj and
about the objectives for which the Institutions have been established. Over the years, the
Doeentrrllsation a d Development concept has undergone some changes. Let us analyse the problem in detail. In the first
instance, the concept of Panchayati Raj is very narrow as it was not viewed as an
institutional framework which could play an important role in the overall development of
-rural masses. The present concept does not envisage even a single unit of Panchayati Raj
Institutions as an instrument of planning as well as implementation agency ef different rural
development programmes. There is also lack of clarity about Panchayati Raj Institutions as
agencies that can manage routine administration, infrastructure and bring about socio-
economic welfare of the rural population. There are a multiplicity of agencies in the rural
scene charged with the responsibility of undertaking a plethora of developmental activities.
Secondly, there is no clarity about the relationship between Panchayati Raj Institutions and
the administrative organisation of the government. It is also clear that the administration has
a dual responsibility i.e., towards state departments and towards Panchayati Raj Institutions.
This has resulted in a lot of confusion and complications. Thirdly, there are a few who call
the Panchayati Raj Institutions the "tools of democratic seed drilling in the Indlan soil." In
the process, the Panchayati Raj Institutions are dominated by socially and economically
privilegedpections in rural India who continue to dominate the poor people. For instance,
people belonging to so-called higher castes, continue to dominate the people belonging to so.
called lower castes. And benefits do not reach the people who are in real need. As a result,
the Government has to intervene to provide the benefits to the poor through some other
means. But many a times, government officials pay attention to increase their own bank
balance only. Further, the state control of Panchayati Raj Institutions in the rural
developlnent activities is increasing continuously. There is thus widespread confusion about
the role of Panchayati Raj Institutions in rural development programmes.
Finally, there isno clear trend emerging in regard to the concept of power. There is a strong
feeling that decentralisation of power and authority exists at the district level and down the
lines. But at the same time, a number of central schemes and agencies, both in number and
size have been emerging, Independent of these bodies. It is paradoxical that all these
concepts co-exist side by side leading to increasing confusion and conflicts in-their working.
We are not able to make out what kind of decentralisation we intend to introduce, develop
and follow. This has led to a crisis of expectations all along the line.
ii) Structures
While establishing Panchayati Raj bodies, no uniform pattern is adopted for creating units
and identifying the units of planning and development. This may not be a cause for failure
but the structures that have been adopted by various state governments are just not capable
of performing the role that is expected of them. The distribution of functions and powers
a) among the Panchayati Raj Institutions, b) between the Panchayati Raj Institutions and
State government and c) between the Panchayati Raj Institutions and the Central
.Government have not been made on the basis of any sound principle. There is a great deal
of confusion, overlapping and some times duplication in the function. To some extent,
Maharashtra, Karnataka and Gujarat have made some effort to demarcate the functions
between Panchayati Raj Institutions and the state government. Rest of the states did not
make any serious attempt in this direction.
Further, the expertise available to the Panchayati Raj Institutions is very limited particularly
in the field of planning, implementation or monitoring of various developmental schemes.
Thus the pla~ilingprocess suffered to a large extent. In fact planning at the grassroot level
remains in paper while there is a strong tendency towards centralisation in the country. This
is not a healthy sign. We can cite a number of programmes and agencies initiated by the
state governments and the central government for rapid development. In these programmes,
the Panchayati Raj Institutions have very limited role to play.
iii) Financial Resources'

The most important problem faced by the Panchayati Raj Institutions is regarding finances.
It is needless to mention that the quality and variety of activities which the Panchayati Raj
Institutions are expected to perform will depend mostly on the resources at their command:
The resource base would depend on the local economy and partly upon the allocations
made by the state and central governments. As things stand today, the local economy is
very weak. It means, the Panchayati Raj Institutions have a very limited scope to impose
taxes in their jurisdiction. In India, there is centralisation of revenue resources which is a
bone of contention between the centre and the states. Similarly, the financial system in the
state is also of the same nature. The Panchayati Raj Institutions have to look towards the higher
authorities for necessary grant. There is thus a real danger of imbalahce between resources
and responsibilities since in the name of decentralisation, more and more functions are Problems and Prospects of
Panchayati Raj
transferred to the Panchayati Raj Institutions. The centre or the states are not coming
forward with the same vigour to transferring resources proportionately. Thus most of these
bodies have to function in an atmosphere of lack of resources.
The states have an agency through which they get their statutory share in tax revenues
which they get as a matter of right. The Panchayati Raj Institutions, on the other hand, do
not get any share from the state shares. Whatever amounts they receive from the state are
largely discretionary in nature. It is in this context that the demand for some statutory
arrangements should be viewed to strenghten the resource base of these bodies.
iv) Socio-Economic and Political Conditions
The existing socio-economic structure of the Indian society is a major factor which is
responsible for the limited success of Panchayati Raj Institutions. It is proved beyond doubt
that the elected members at all the levels of Panchayati Raj Institutions-and the Office
bearers are normally from the rich and dominant sections of the rural society. They have
vested interests in preserving the existing system and would not do anything that would
strengthen the position of the downtrodden in their areas. In fact, it is said that the
leadership of the Panchayati Raj Institutions acts as a "gate-keeper" to prevent the flow of
benefits to the weaker sections of the rural community.
Although, reservation of seats at the different levels have been made in some states but the
reservation concept has not been effectively adopted. For example, in our earlier lesson on
patterns of Panchayati Raj, we have seen that in Karnataka, there is no provision of
reservation to the key elective posts such as Chairperson, Vice-Chairperson or Adhyaksha
and Upadhyaksha etc. It means, there is no possibility of mass participation of the poor in
the developmental process in our hierarchically stratified society where the weaker sections
are almost completely unorganised. The concept of participation of people in the process of
democratic decentralisation is highly difficult under such conditions. It is necessary to point
out that there may be stray instances of poor and downtrodden taking part in the
developmental activities. Thanks to reservation of certain elective posts in states like
Andhra Pradesh. But they are so very few. And so much has to be achieved in that
direction.
V ) Position of Civil Service
An efficient, adequate, responsive and committed administration is the essential condition of
success of Panchayati Raj. The functions of these bodies are too many and too complex.
There is a need for technical personnel, proper orientation and above all commitment in the
civil service. The aspirations of the citizens in the rural areas are getting stirred. There is a
demand for improvement in the services. We find a different and a difficult situation as far
as civil services in India is concerned. The bureaucracy is getting alienated and has begun to
by-pass these institutions. Several programmes have been introduced without involving
Panchayati Raj Institutions in them. These programmes have become close preserves of
bureaucracy, under-mining and frustrating the Panchayati Raj Institutions as units of
representative bodies and local self-government.
We have pointed out earlier that,the head of the district council is an officer from the All
India Service i.e., IAS, who is assisted by other officers belonging to the states cadre. A
number of studies have pointed out the strained relationship between the bureaucracy and
the elected members of the Panchayati Raj 'institutions. It is seen that there is mutual
suspicion instead of mutual faith. The bureaucracy feels that the grassroot political
executives try to strengthen their vested intkrests by flouting rules and regulations, while the
members of the Panchayati Raj Institutions dislike the superior status of the civil servants. It
is also pointed out that the officials are always loyal to their respective state departments
and do not cooperate with elected members. There is some truth in both these arguments.
I In the first instance, the ambiguity about the place of administration makes the officials and
staff f ~ e that
l they are primarily responsible (for results) to the state government and not to
the local elected members. Secondly, the plans and programmes implemented by the
administration come from above, state or central, or by the civil servants at the district level.
1 The intervention of Panchayati Raj Institutions is not taken very kindly by the civil servants.
This has led to dualism of civil service and lack of clear demarcation of the mles of civil
servants has led to confusion and misunderstanding.
1
In this context it is necessary to point out that in Maharashtra and Karnataka,, attempts are
being made to demarcate the responsibilities of the administration between the state and https://t.me/Upsc_Zone_Official
the
l k = m ~ r i o a.nd Develop-r Panchayati Raj Institutions. However, the hold of the state on the civil service is still intact
sice all the important positions are held by bureaucrats, belonging to All India Services of
the state service.
vi) Lack of Political Support from 'the Top

The elite and the so-called higher levels generally do not provide political support to
strengthen the democratic process at the grassroot levels. The Members of Parliament, State
Legislatures always felt that the Panchayati Raj leadership would emerge as a threat to their
position intheir respective constituencies. The man on the spot with some power, however
limited it might be, is always treatid as a rival power centre. Therefore, every effort is made
by the state and central leadership to weaken the powers and functions of the grassroot
functionaries. And they always exhibit a negative attitude. The best example is the way in
which the 64th Constitutional Amendment Bill on Panchayati Raj was introduced and
defeated and finally shelved for the reasons extraneous to the development of local self-
government institutions in the country. The 64th Constitutional Amendment Bill on
Panchayati Raj is discussed in Section 22.3 (vi).
Thus, the potential of Panchayati Raj lnstitutions as centres pf peoples' power aroused
doubts among a few and jealousy among many. Elected representatives in the Parliament
and State Legislatures saw with dismay their inevitable dependence on the Panchayati Raj
functionaries with whom they are not willing to share power.
vii) State Control and Supervision
Since the Panchayati Raj Institutions fall under the state subject and are created by the .
slate, there exists a superior-inferior relationship between the state and the Panchayati Raj
Institutions. The state governments always tend to exhibit a high degree of paternalism.
There is on the one hand a commitment for decentralisation of power and,hon tpe other, its
suspicion and fear that such power would be misused by the local bodies. As a result, a
number of checks have been envisaged by the states in the statutes themselves.
The control exercised by the state over Panchayati Raj Institutions is of a comprehensive
character. There is practically no subject relating to the Panchayati Raj Institutions, over
which the state cannot exercise powers of control. With the result, in several states the -,
rulers at the state level discovered a number of problems, real or imaginary, like structural
weaknesses, organisational short-comings, functional deficiencies, inept performances, lack
of adequate resources etc. As an ad hoc measure, the Panchayati Raj Institutions have been
either suspended or superseded and quite often elections were deferred aher the expiry of :i
the term. On a number of occasions, an inconvenient office bearer is either suspended or .
dismissed by the state government under some pretext or the other. Thus, several
short-comings have been highlighted and listed out by the states. It has become a regular
feature in all the slates and it needs corrective measures.
viii) Absence of Statutory Provision
The success or failure of an institution depends mostly on the status, on the basis of which
an organisation is established. According to Article 40 of the Constitution, "The state shall
take steps to organise village panchayats..." Since it is included in.the Directive Principles of
State Policy, (Chapter-IV) it is not mandatory. It means that the states may or may not
constitute the Panchayati Raj Institutions. Similarly, in a number of states, elections have
not been held regularly. The superseded bodies have not been revived and they were kept
underathecharge of special officers drawn from the civil service. Thus, the Panchayati Raj
Institutions have been undermined with several constraints, particularly, the constitutional
constraint which is a very serious matter.

ii) Check your answers with thost given at the end of the unit.
I),Why do the Panchayati Raj Institutions face problems regarding finances?

2). How does the socioeconomic structures of India hamper the growth of Panchayati Raj
Institutions?
3) What type of relationship exists between the state government and the Panchayati Raj
Institutions?
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22.3 PROSPECTS OF PANCHAYATI RAJ

INSTITUTIONS
It would, in fact, be wrong to conclude from the above discussion that the Panchayati Raj
Institutions have failed completely and that they have no future. Such a pessimistic view is
not shared by many. As stated repeatedly, there is no substitute fordemocratic
decentralisation in a developing country such as India. Panchayati Raj has come to stay as a '
part of democratisation of Indian polity in the wake of independence. The fact of the matter
is that the Panchayati Raj Institutions have not been given a chance to serve as a vanguard
of development in thk rural areas of India. With necessary correctives, the basic objectives
could be achieved without much of a difficulty. Let us try to list out some of the
preconditions which appear to be necessary for the success of Panchayati Raj Institutions.
i) Conceptual Clarity
The first and foremost important aspect that needs immediate attention is that of evolving a
comprehensive concept of Panchayati Raj. Its goal, role etC., have to be clearly defined and
there should not be any ambiguity, so that the people would have a clear perception of
Panchayati Raj Institutions. The following important roles may be taken a serious note of,
for this purpose. Firstly, the Panchayati Raj Institutions should be treated as the basic units
of self-government. It implies that there is a need for decentralisation of administrative and
political power. This would encourage self-governance and mass participation in its
working. Secondly, the Panchayati Raj Institutions have to contribute towards
strengthening of the planning process at the micro-level as well as overall development.
Finally, the Panchayati Raj Institutions have to improve the condition so that the down
trodden can reach the highest level of decision-making bodies.
ii) Protection of the Poor
In addition to conceptual clarity, it is necessary to strengthen the condition of the poor to
protect them from the rural rich and their dominance. It is clear that the existing power
structure in the rural areas is mostly in favour of rich who would exploit the poor. After all,
the efforts made by all in the rural areas were directed mainly to improve the conditions of
the weaker sections. If the benefits of the Panchayati Raj Institutions have to reach the pooc
and if the poor are to be associated with the Panchayati Raj Institutions, it is necessary to
strengthen their position by adopting certain measures. It is necessary to identify the areas of
dependence of the poor and find measures to stop exploitation. Streamlining the public
distribution system, social security measures, employment guarantee schemes, organisation
of the ruralpoor are some of the measures which wuld be mentioned in this context. In
addition, redistribution of assets in favour of the poor by implementing land reform laws ,
and creation of assets to the poor could be another set of measures which would go a long
wav in meventinn dependency of the poor on the rural rich.
k m t d h t i o n and Developnrmt iii) Awareness among Panchayati Raj Functionaries

It it generally realised that the Panchayati Raj.functionaries do not have sufficient
knopledge about their new role. They are ignorant of several aspects of Panchayati Raj
systeh. It is, therefore, necessary to provide an opportunity to them to know about the
Panchayati Raj Acts, the objectives and role of Panchayati Raj Institutions, the rural
situation, possible areas of growth and minimum skills of planning.for overall development
of their respectiveareas. It is necessary to train them so that they could perform their
functions effectively. This would also help them to minimise the citizen's apathy towards
the Pan~hayatiRaj activities.
iv) Financial Support

There is a need for sound financial base for the Panchayati Haj Institutions. The
establishment of a Panchayati Raj Finance Corporation could be the first step. This would
enable the Panchayati Raj Institutions to establish remunerati ve enterprises. Enlarged tax
jurisdiction, sharing of revenue from selected state taxes and grants are the other possible
alternatives to achieve the long-term objective.
However, there is a growing demand for an institutional arrangement through which the
distribution of the finances among the Panchayati Raj Institutions have to be made without
further delay. A rational redistribution is necessary. It is in this context that we have to
draw lessons from Karnataka model. As per the 1985 Act, the State Governments in
Karnataka has to organise a State Finance Commission to workout the distribution of
finances between the state and the Panchayati Raj Institutions. This step would go a long
way in solving the financial problems of the Panchayati Raj Institutions.
It does not, however, mean that the Panchayati Raj lnstitutions need not bother about their
own resource base. The thesis that "no taxation, only representation"'is not a wise policy.
The Panchayati Raj Institutions have to make serious attempts to tap the local resources.
' v) Integrated Administrative Structures
There is a need for remodelling the administrative organisation of Panchayati Raj
Institutions. It is necessary that all the officials whose functions have been shifted to
Panchayati Raj Institutions have to be placed under the respective institutions. It calls for a
separate service called Panchayati Raj service. It is also necessary to see to it that the
bureaucracy is committed to Panchayati Raj. In fact the Panchayati Raj Institutions should
be provided with necessary administrative help which has a primary loyalty towards them.
The dual responsibility of the present day system should end. The concept of specialisation
should be introduced so that the technical needs of the Panchayati Raj lnstitutions could be
met without any problem.
It will not be out of place to mention that appropriate measures should be taken to protect
the civil servants from undesirable political pulls and pressures. The power to transfer,
promote, etc., are the vulnerable areas in the rural scene. Therefore, adequate safeguards
have to be provided in this direction.
An integrated administrative structure, thus, becomes very essential. The Karnataka.

Maharashtra and to some extent Gujarat have made provision for such an arrangement.
Almost all the committees which studied the problem have unanimously recommended that
an administrative structure for planning and development and the same should be integrated
with the Institutions of local self-government.
vi) Provision for Constitutional Status

Finally, let us look at the attempts made in recent times to provide Constitutional status to
the Panchayati Raj Institutions. It is observed that the states are not'very keen to organise
Panchayati Raj Institutions as they are not prepared to share power with so-called lower
local bodies. In fact, some critics pointed out that some state governments have grabbed the
power back from the Panchayati Raj Institutions gradually. Several committees and
commissions, appointed by the state governments from time to time highlighted the
deficiencies in the functioning of Panchayati Raj Institutions. It is also felt that the
Panchayati Raj Institutions in the coming years should be well-quipped to manage
democratic development under the changing conditions in all spheres of rural life. Realising
the need to restructure and revitalise these bodies, the Government of India came forward
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with a proposal to amend the Constitution.
-
a ~lf-stateswill have three tier Panchayati Raj system; ProMcrns and Prospects of
Panchayati Raj
b) Elections will be held regularly, every five years, under the control and supervision of the
C h i e f M e ~ i o nCommissioner. Elections to the dissolved or superseded bodies will have
to be held within six months.
c) All the seats will be filled through direct election and office bearers will be members
directly elected.
d) Reservation of seats to the extent of 30 per cent to women and seats for scheduled castes
and scheduled tribes in proportion to their population will be made.
e) The State governments will provide adequate finances. State Finance Commissions will
review the finances of the Panchayati Raj bodies every five years.
f) Panchayati Raj bodies will prepare plans for economic developmellt, social justice and
social welfare of their population as per the guidelines. These plans will be incorporated
later on in the state plans.
g) Strict accounting procedures would be laid down to control corruption and misuse of
funds by the Panchayati Raj Institutions. Comptroller and Auditor General will
supervise the accounts.
The Bill generated a lot of heat and light. There were arguments in its favour and counter
arguments against it. However, after getting the approval in the Lok Sabha, the bill failed to
become an act as it failed to get the required support in the Rajya Sabha. *
Nevertheless, the amendment is a welcome measure since there are several provisions which
are desirable and contain positive pints. However, critics have identified a few hidden
provisions which would ultimately result in more centralisation rather than promote.
decentralisation. Let us examine them briefly.
It seems the proposzd amendment would increase the powers of the centre at the cost of
state governments. First of all, the amendment proposed to take away the Panchayati Raj
out of the state list and put it in the concurrent list so as to allow the centre to pass
legislation in this area. Secondly, holding election under the supervision and guidance of the
Chief Election Commissioner would give more powers to the Central Government. Giving
funds for centrally sponsored schemes directly to the Panchayati Raj Institutions is another
aspect which would not only ignore the states but also provide a link between the centre
and the Panchayati Raj Institutions. Finally, the governor will be the authority to exercise
the power to dissolve. supersede or suspend Panchayati Raj Institutions. This will also
increase central control over local bodies.
It is seen that the 4mendment goes much more beyond the required level of central
intervention. The amendment touches upon a few aspects of the preconditions necessary for
the success of Panchayati Raj Institutions. However, in the bargain the centre tried to
I reduce the power of the states and enhance the powers of the centre. It 1s not a healthy sig?.
I It not only strengthens the present trend of over-centralisation of power but also endangers
the federal character of the nation. Finally, there is no guarantee that centralisation leads
I towards more decentralisation at the grassroots level.
I Nevertheless the need for appropriate steps to strengthen the Panchayati Raj Institutions has
been well appreciated by one and all. It needs to be seen as to how the centre and states
would take up the matter in future and revitalise the Panchayati Raj Institutions as real
centres of decentralised democratic institutions.

1 ) What measures are lo be taken to protect the poor?
2) What steps are to be taken to create awareness among the Panchayati Raj functionaries
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Pcantnbtion and Development ..........................................................................................

...........................................................................................
3) How can the financjal problem of the Panchayati Raj Institutions be resolved?
22.4 LET US SUM UP
We have discussed various problems faced by the Panchayati Raj Institutions. The basic
purpose of Panchayati Raj Institutions has not yet been achieved. The problem would not
end by making the Panchayati Raj Institution economically self-sufficient and structurally
sound. The most important aspect is change at the attitudinal pattern. Otherwise,
decentralisation would remain only in paper. And in actual practice, there would be
concentration of power in the hands of those people who have money and who want to use
.the institution for making more money. It would take many more decades to reach a stage
when people are at least aware of their own rights. And when they would not let others to
exploit them. There would be a healthy atmosphere where each would grow but not at the
cost of others. Panchayati Raj Institutions have come to stay in India but to achieve success,
we have a long way to go.
22.5 KEY WORDS

Alienated : Here, it is used in the sense of being uninvolved.
Hierarchically stratified society : Society classified into various gradations on the basis of
caste, economic power.
Mandatory :Compulsory.

I
Abraham M. Francis, 1974. ~ ~ n a m iofc sLeadership in Village India; India International

Publications : Allahabad.
Cheema, Shabir, G & Rondinelli A. Dennis (ed.), 1983. Decentralisation and Developmenr;
Sage Publications : New Delhi.
Chaudhuri Ranji, 1972. Problem of Village Leadership; Institute of Political & Social
Studies : Calcutta.
Reddy, Ram G. (ed.), 1977. Patterns of Panchayari Raj in India; Macmillan : Delhi.
Samiuddin, Abida, 1976. A Critique of Panchayati Raj (with special reference to Uttar
Pradesh); Sahitya Bhavan : Agra.

EXERCISES
Check Your Progress 1 Check Your Progress 2
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UNIT 23 ROLE OF VOLUNTARY AGENCIES
23.0 Objectives
23.1 Introduction
23.2 The Concept
23.3 Evolution
23.4 Methods of Voluntary Action
23.5 Role of Voluntary Agencies
23.6 State and Voluntary Agencies
23.7 Identification of Voluntary Agencies
23.8 Identification of Programmes
23.9 Profile of Voluntary Agencies
23.10 Let Us Sum Up
23.1 1 Key Words
23.13 (Answersto Check Your Progress Exercises
23.0 OBJECTIVES
~ f t e reading
r this unit, you will be able to :
a
discuss the meaning and evolution of voluntary agencies;

explain their role and methods, and
identify voluntary agencies and their programmes.
23.1 INTRODUCTION
Voluntary agencies have been playing an important and significant role in the rural areas of
India. The voluntary action covers a wide range of activities such as charity, welfare, relief
' and rehabilitation, provision of services, socio-economic development of rural poor, human
, resource development etc.
Rural societies, such as in India, need a steady and continuous help and support from
differentsources in order to transform the rural communities from a state of abject poverty
I to a reasonable level of development. Panchayati Raj Institution is an institutional
: expression of participation through formal involvement of people in.the developmental
1 process. There would be many who would be outside this formal structures and yet would
/ participate in or activate a developmental project. Thus the efforts of the formal agencies
and voluntary organisations, which are outside the formal structure, should be judiciously
merged so that the ultimate goal of rapid rural development would become a reality. The
1 intensity, motivation, and direction of the efforts of the voluntary agencies, however, need
further analysis. We have already explained the role of Panchayati Raj Institutions in
I transforming the rural areas. In this lesson, the concept of voluntary organisations, the
motivation, methods adopted, the role, relations with government etc. will be discussed. .
23.2 THE' CONCEPT
The term "voluntarism" is derived from the Latin word 'Voluntas' which means will. The
will assumes various forms of impulses, passions, appetites or desires. It is the will that may
produce some of the social evils, of which the unfortunate sections of the society are the
victims. That has to be eradicated.
Inequality among individuals is a perennial source of motivation for voluntary action in
every society. Social services are initiated to help eradicate the inequality and to uplift the
under privileged.
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of focus in all types of such associations. Philanthropy appears to be an essential motivating
factor in the voluntary action. When a sense of social responsibility is being inculcated in
the individuals, they take up various steps to improve the condition of the people all
around. Life and Writings of persons like Marx and Gandhi have always been the
motivating factors.
The.term voluntary association is variously defined. Michael Banton defined it as a group

organised for the pursuit of one interest or of several interests in common. David L. Sills
identified it as a group of persons, organised on the basis of voluntary membership without
state control, for the furtherance of some common interest of its members. Lord Bevridge
has defined a voluntary organisation as "one which, whether its workers are paid or unpaid,
is initiated and governed by its own members without external control."*
There are four essential elements in any voluntary association: a) method of formation,
which is voluntary on the part of a group of people, b) method of government, with self-
governing organisation to decide on its constitution, its servicing, its policy and its clients,
c) method of financing, with at least some of its revenues drawn from voluntary sources and
d) motives of profitexcluded. Organisations having all the four elements are rare and
perhaps are only the ideal forms.
It is necessary to point out that voluntary organisations and non-official organisations are
not one and the same. There are several differences between the two Voluntary agencies
are spontanecus in their origin and sometimes oriented towards a specific situation. This is
their strength. They bring in high motivation, better management skills, and greater
sensitivity to field problems. On the other hand, the non-official agencies may be state
sponsored and last as long they receive suppbrt, finances etc., from the state. This is initiated
by the state. Therefore, all non-official organisations need not necessarily be included in the
category of voluntary organisations. But in both these organisations, there is a scope for
involvement of enlightened individuals who are involved to serve the cause.
Further, voluntary agencies are supposed to be potentially superior to official agencies in the
following respects;
i) their workers can be more'sincerely devoted to the task of reducing the suffering of the
poor than government staff;
ii) they can have a better rapport with the rural poor;
iii) since they are not bound by rigid bureaucratic rules and procedures, they can operate
with greater flexibility;
iv) their efforts are more economical; and
v) they can motivate more public participation in developmental efforts than the
government departments.
23.3 EVOLUTION
The evolution of voluntary organisations in India could be traced to the last decades of 19th
century whcn a deliberate, systematic and an organised atfempt was made in the field of
rural transformation. Initially, it was the religious missionaries who took the lead to spread
their religious preachings in the inaccessible parts of the country. However, a series of
experiments in the field of rural development were initiated only during the earljl decades of
the present century : the prominent among them being Sriniketan by the poet Rabindranath
Tagore. Rabindranath Tagore had get up SRINIKETAN, an extension of his university
Shantiniketan. SRINIKETAN was specially meant for the purpose of rural reconstruction.
where rural women were trained in the craft of making quilts. The father of the nation,
Mahatma Gandhi, initiated the process of transformation of socio-economic life at
Sevagram around 1931. Thus, several voluntary organisations, small and large, have
contributed significantly to the principles of rural development through voluntary action
prior to independence. The Constitution of voluntary agencies has been well appreciated by
policy makers and administrators after Independence. The plan documents made a reference
to the positive aspects of the functioning of these organisations. According to the First Five
Year Plan "A major responsibility for organising activities in different fields of social
welfare like the welfare of women and children, social education, community organisation
working in their own humble way and without adequate aid for the achievement of their
objectives with their own leadership, organisation and resources." Since, then, the successive
Five Year Plans have noted the roie of the voluntary agencies. In fact, there has been an
increase in grant-in-aid from a mere Rs. 4 crores during the First Plan to Rs. 150 crores
during the Seventh Plan. The Seventh Plan envisaged a crucial role for the voluntary
agency, as an alternative monitoring machinery of the bureaucracy in reaching the poor as
early as possible. Thus, the plan documents recognised a much wider role of the Non-
governmental organisations (NGOs), particularly pbverty amelioration 20 point
programme which is the major thrust of the Government of India.
23.4 METHODS OF VOLUNTARY ACTION
Voluntary organisations in India have adopted diversified methods for development. The
method largely depends on the mode of approach and also on the aim of the organisation. It
-includes community organisations, social action, extension education, training. In fact, in all
these activities, some of the voluntary agencies have adopted appropriate latest techniques
of preparing projects of their programmes with definite goals, based on the needs of the
target group. Some of them even serve as consultancy bodies.
Community organisation is one of the methods of working with the people and is based on
the principle of scientific social work. It concentrates on development of certain aspects,
such as development of local leadership from among the community, development of
institutions in the rural areas, capable of handling their affairs, and development of internal
resources. In this way, through social action, people are not merely made aware of the
problem but are enabled to organise themselves for collective action to change the situation.
A few voluntary agencies have taken up the responsibility of educating the rural poor so
that they would refuse to accept a system that perpetuates injustice and would struggle
together for the establishment of a just society.
In recent times, a new set of voluntary agencies have come into existence the main objective
of which has been to organise the peasants and workers. Some of these organisations have
taken an aggressive confrontational stand, seeking to bring about radical changes in social
relations of production. Some of the voluntary organisations have been adopting the
technique of conscientisation, as part of the non-formal education process in working with
the rural poor. The concept of conscientisation is advocated by Paulo Freire. It is a human
and non-manipulative process of consciousness-raising education that will enable the poor
to become aware of their socio-economic and political environment. This would help the
poor to become aware of causes of their exploitation and poverty. It will also provide them
an opportunity to know their strength and weaknesses of their own inherited culture and
traditions and of their own capacity and inherent power to change this environment and
their position in it.
There are other methods like extension approach in which results of science and technology
are disseminated to the rural population for its appropriate application. The method is
identified mostly with agriculture. In recent years, it has been adopted in other areas like
health, sanitation, nutrition, rural industries etc. Some voluntary bodies have utilised
education as a method of improving the capacity of rural people for self-reliance and
developing their motivations, opportunities and capacities to learn.
Training, as an essential input in rural development, has been made use of by some
voluntary organisations. It is adouted mainly to develop the technical skills, and knowledge
of the client groups for self-employment.Some voluntary agencies have technical
infrastructurefacilities toprovide necessary scientific training particularly in the field of self-
employment schemes. The analysis is not exhaustive since there are a variety of methods
adopted by different groups depending on their aims and objectives. What we have
explained so far relates to certain socio-economic activities of tlie voluntary agencies in the
context of rural development.
In the light of the above description, it is possible to classify the work of the voluntary
agencies in the following broad categories :
"The Techno-Managerial Agencies" the main concern of https://t.me/Upsc_Zone_Official
which is rural development
i)
and Dcvelopmen' ii) "Reformist Voluntary Agencies" which try to bring about changes in the social and
economic relationship within the existing political framework
iii) "The Radical Voluntary Agencies" which seek to challenge the existing production
relations. Their attempt is to.organise the exploited against the exploiters.

ii) 'Check your answers with those given at the end of the unit.
1) Write a short note on the evolution of voluntary agencies in India.
........................................................................
2) What are the various methods of voluntary action?
23.5 ROLE OF VOLUNTARY AGENCIES

. '
There is no doubt that voluntary agencies have been playing a pioneering role in rural
development activities. They have also exhibited the qualities of flexibility of service,
personal touch and proximity to the clientele. In addition, they have demonstrated the
capacity to initiate and experiment with new programmes and showed sensitivity to meet
difficult problems in ways that cannot be adopted by the state. However, it is necessary to
envisage the following role for these bodies in the context of village base organisations.
a) The voluntary agencies have to supplement and not to compete with government efforts.
The government should not consider their activities as duplication.
b) They act as eyes and ears of the people at the rural level and act as a source of reliable
feedback to government so that it can design the policies and programmes accordingly.
c) It is possible for the voluntary agencies to reach a large number of people and set an
example for others.
d) Voluntary bodies, quite often, take initiative in the implementation of certain acts such as
Minimum Wages Act, Abolition of Bonded Labour Act etc., in letter and in spirit.
Through public interest litigation and administrative measures, these bodies could
activise the system and make it respond.
e) Dissemination of information is another potential area in which the voluntary agencies
is of immense use. It is quite often seen that information regarding various schemes,
programmes projects etc., do not reach the rural poor. Information is power and the role
of the voluntary body is to distribute such power and make it accessible to the rural
poor.
f) Voluntary sector has been in the forefront in utilising rural skills and talent. Further, it is
possible to minimis? the dependency syndrome through various methods and a sense of
self-reliance has to be instilled among the villagers.
23.6 STATES AND VOLUNTARY AGENCIES

The relationship between the
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Role of Vduntary A g e d
it has generally been accepted that government alone cannot tackle the problem of poverty,
unemployment and provisions of basic minimum needs to people living below poverty line.
The strategies adopted by the voluntary agencies necessarily have to be different from those
followed by the government. The goals of both are identical but the approaches are
different. Thus, we find a basic difference in the approaches and models. The development
of infrastructure is a pre-requisite as per government is concerned. It is secondary to the
voluntary agencies. Voluntary agencies believe in the development of human beings, make
them aware of their rights and duties, of schemes and programmes, of rules and regulations.
In any case, the mode of relationship between the voluntary agencies and government may
be categorised under the following heads :
1) there is considerable scope to associate voluntary agencies with the formulation of
development plans and entrusting them with the implementation of some of the
developmental programmes;
2) providing administrative support and encouragement to voluntary agencies in the
implementation of their programmes;
3) regulation of flow of funds from the international, national and state level agencies and
their proper accountability is another factor of considerable importance.

1) Cite two instances where voluntary agencies can play an effective role in the context of
rural development.
........................................................................
I
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.........................................................................
.. ,
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2) What is the relationship between voluntary agencies and the state?
23.7 IDENTIFICATION OF VOLUNTARY AGENCIES
It is very difficult to gather data of voluntary agencies. Their number, location, nature of
activities and functioning, strategies adopted are difficult to locate. In addition, a few other
factors such as their limitedBpan, inadequate communications and sometimes
un-ostentatious disposition of some organisations could be cited as impediments in the
collection of data. More than the above mentioned difficulty the apathy of the government,
both central and the states, till Sixth Plan period have also come in the way of maintaining
sufficient information base of the voluntary organisations.,However, during the Sixth Five
Year Plan period, the government of India made serious attempts for the first time to draw
up a set of terms of reference on how to identify rural voluntary agencies. It is estimated
that at present there are more than 10,000 voluntary agencies, engaged in various welfare
and developmental work compared to 1,739 in 1953, showing a phenomenal five-fold
increase in the number.
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Seventh
Five Yeas Plan has feconnised the imwrtant role daved bv the voluntarv agencies and
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t r a l i m t i o n a n d Development However, the plan document laid
down the following criteria for identifying voluntary
agencies for enlisting their help.
1 ) The organisation should have a legal entity.
2) It should be based in a rural area, and should be working there for a minimum period of
three years.
3) It should have broad based objectives serving the social and economic needs of the
community as a whole, and mainly the weaker sections. It must not work for profits but
on a no-profit-no-less basis;
4) Its activities should be open to all citizens of India irrespective of religion caste, creed,
gender or race.
5) It should have the necessary flexibility, professional competence and organisational skills
to implement programmes;
6) Its office bearers should not be members of any political party;
7) It must declare that it will adopt constitutional and non-violent means for rural
development process;
8) It must be committed to secular and democratic concepts and methods of functioning.
The above mentioned criteria has been prescribed since some of the voluntary bodies have
not been able to divorce it from party considerations, profit motive, for office of power and
other sectarian considerations. Where the voluntary agencies have not been able to keep
their identity, the spirit of volunteerism suffered.
23.8 IDENTIFICATION OF PROGRAMMES
The Seventh Plan document provided a separate section on involvement of voluntary

agencies and included it in the chapter on Rural Development. It was done deliberately for
the first time because the government wanted to shift the focus of the traditional image of
these bodies to the non-traditional, professional managerial and technological image of rural
development where voluntary agencies also have a substantial contribution to make.
Identification of programmes becomes essential since a substantial amount has been
earmarked to be allotted to these bodies. This way, the government recognised the need to
mobilise small village groups. The programmes, in which these voluntary village groups
were involved in the Seventh Five Year Plan period, were :
1) Integrated Rural Development/Rural Landless Employment Guarantee Programmks:
2) Implementation of land ceilings and distribution of surplus land;
3) Enforcement of minimum wages to agricultural labourers:
4) Identification and rehabilitation of bonded labourers;
5) Supply of safe drinking water; repair and maintenance of water supply system with
community support;
6) Afforestation, social forestry, development of bio-gas and alternative energy sources
(Solar, Wind, Energy, Smokeless Chulas, etc.);
7) Promotion of family planning;
8) Primary health care; control of leprosy, T.B., Blindness; and preventive health
programme using village resources;
9) Programmes for women and children in rural area;
10) Innovative methods and low cost alternatives in elementary primary and middle school
education for children, adult education and non-formal and informal education;
11) Consumer protection, promotion of cooperatives;
12) Promotion of handicrafts and village and cottage industries;
13) Promotion of science and technology;
14) Leeal education;
Role of Voluntary Agencies

15) Rural Housing-improvement of rural slums;
16) Environmental ecological improvement; and
17) Promotion and encouragement of traditional media for dissemination of information.
The Seventh Plan document also envisaged that there is a need for voluntary agencies to
decide on a code of conduct to be applicable to those agencies seeking government funds.
The plan document, thus, for the first time made a serious attempt to regulate the role,
areas, financial assistance to thke agencies.
23.9 PROFILE OF VOLUNTARY AGENCIES

As functions of the state increase; voluntary agencies also come up in large numbers
according to the exigencies of the situation. The number of people living in poverty has
increased and landlessness has become more widespread, while popular participation in the
process of development remains minimal. It is hoped that voluntary agencies would be able
to phieve certain objectives like greater social equity, eradicating various kinds of
exploitation. It is rather difficult to prepare an exhaustive profile of voluntary agencies in
India. Their number being around 10,000 the problem becomes enormoug. Yet a brief
description of a few would not be out of place by way of illustration.
Voluntary agencies, with or without government support, such as Bharat Krishak Samaj,
Young Farmer's Association of India, Action for Food Production, Appropriate
Technology Development Association, Social Work and Research Centre etc., have been
mostly engaged in the area of agriculture and allied fields. The Arya Samaj, Rama Krishna
Mission, Sai Service Society, the Servants of India Society have been undertaking several
educational and social service activities. Baba Amte, Manibhai Desai, Sunder La1 Bahuguna
fall under the category of idealistic organisations whose main objective is to protect the
environment from the reckless deforestation and denudation. There are many women's
organisations all over India which are creating awareness among peoplk regarding various
oppressions which are being faced by women. For instance, inequal treatment of women,
dowry, dowry deaths. These evils are being paid attention due to the effort of these
women's organisations. They not only create awareness but also attempt to get the culprits
punished. Several Christian Missions, Andhra Mahila Sabha, concentrate their activities in
educational and medical work. Voluntary agencies such as Pandu Mevas Development
Agency, Society for Education Welfare and Action Rural, Bharat Sevak Samaj, Association
of Voluntary agencies for Rural Development, Gandhi Peace Foundation, Bhagavatula
Charitable Trust mainly concentrate on integrated rural development programmes. There
are a few agencies specially focusing on Tribal and Harijan Welfare. They are Harijan
Sevak Sangh, the Comprehensive Rural Operations Service Societies (CROSS), Bharatiya
Adimajati Seva Sangh, Banavasi Seva Mandal etc.
It is pointed out by many that the real awakening for the present large-scale voluntary
action has come from the world wide relief efforts which have been initiated in India in
1965-66. There are, today, many voluntary organisations at the international level working
for the rural cause. The prominent among them are OXFAM, Christian Aid, Catholic
Relief Services, War on Want, Save the Children Fund, Bread for the World etc. The
foreign donations have come to occupy an important place in the working of volllntary
agencies. It is pointed out that in 1986 about Rs. 350 crores have been received from
foreign donors. The four southern states, Tamil Nadu, Kerala, Andhra Pradesh and
Karnataka, receive the largest amount as there are a large number of Christian Missions
doing charitable work in these states.

1) What are the various criteria, laid down by the Seventh Five Year Plan, for identifying
voluntary agencies?

t k a m h k a t k n a d Development
2) Write a short note on the type of work the voluntary agencies do in the task of rural
development.
23.10 LET US SUM UP

In this lesson, various issues have been analysed. A number of issues and problems indicate
the wide ranging scope of the subject. Voluntary action is looked upon by many as an
instrument of mass mobilisation or involvement of large number of people and, thus, help
to reduce the chasm between the 'governed' and the 'governors'. Voluntary action in
patnership with the government is an important issue. The presence of healthy atmosphere
and goodwill between government and voluntary agencies is a basic prerequisite to
strengthen good relations between the two. At present, there appears to be mutual suspicion
and lack of trust in each other. On several occasions, voluntary agencies have been valued
so long as they function within the existing "order" and follow directives of government.
Any agency that questions the existing order is normally treated as a subject of law and
order problem, demanding repressive action. A proper measuring norm has to be developed
to assess the working of voluntary organisations in this country.
Apart from this, distribution of funds remain a controversial and sensitive subject. It became
acute when funds came from international bodies. Some critics point out that the foreign
donors use these voluntary bodies, to whom they donate money, as clever ploy to weaken
the power of the state as a part of the large game of global power politics. Further,
selflessness and selfishness cannot always be distinguished easily. Organisations, functioning
at different levels in different areas, suffer from lack of coordination.In spite of these and other
problems, with their uniqueness of the operational abilities, the voluntary agencies have a
crucial role to play in rural transformation.
23.11 KEY WORDS
Just Society : A society where there is no exploitation, where people are all being treated
equally.
Land Ceiling : Limit is put to one's possession of land.'
Surplus Land :Land which is in excess of what is needed or used.
Franda, Marcus, 1983. Voluntary Association and Local Development in India; Young Asia
Publication; New Delhi.
Kulkarni, V.M, 1969, Voluntary Action in a Developing Society; Indian Institute of Public
Administration; New Delhi.
Kramer, Ralph M, 1989. Voluntary Agencies in rhe Welfare State; University of California
Press; London.
Shah Kalpana, 1984. Women's Liberation and Volunrary Action: Ajanta; New Delhi.
Journals
Bhattacharya, Mohit., 1987. "Voluntary Associations Development and the Statem--Indian
Journal of Public Administration; Vo1.'33, July-Dec., pane 383-94 : IlPA
Zhaturvedi, H.R, "Role of Voluntary Organisations in Rural Development", Indiun

Journal of Public Administration; Vol-33, July-Dec., page 53346 : IlPA
Maheshwari Shriram,1987. "Voluntary Action in Rural Cevelopment", Indian Journal of
Public Administration; Vol33, July-Dec., page 559-68 : IIPA
Muttalib, M.A. 1987. "Voluntarism and Developrnent-Theoretical Perspective", Indian
Journal of Public Administration; Vol-33 July-Dec., page 399419 : IIPA

EXERCISES
1) See Section 23.3
2) See Section 23.4
1) See Secti~n23.5
2) See Section 23.6
check YO& ~rogress3

1) See Section 23.7
2) See Section 23.9

UNIT 24 CO-OPERATIVES AND

DEVELOPMENT
Structure
24.0 Objectives
24.1 Introduction
24.2 Concept of Co-operation
24.3 Deriition
24.4 Objectives of Co-operative Movement
24.5 Models of Co-operatives
24.6 Kinds of Co-operatives
24.7 Co-operatives and Panchayati Raj Institutions
24.8 Let Us Sum Up
24.9 Key Words
24. I0 Some Useful Books
24.0 OBJECTIVES
After reading this Unit, you will be able to :
understand the objectives of co-operative movement;
discuss the models and kinds of co-operatives societies; and
explain the importance of co-operatives in the context of development.
24.1 INTRODUCTION
In all the countries of the wo~ld,several methods have been initiated, organised and
directed towards realising socio-economic and political development. The co-operative
movement has been recognised as one of the important means for development not only in
the developing societies but in the socialist and also in the western industrial societies.
Through co-operative movement, the different requirements of the individual and the
society are sought to be met. Therefore, co-operative movement has emerged as a very
powerful system throughout the world. The history of co-operative movement in India
began in 1904 with the enactment of Co-operative Credit Societies Act. The main purpose
was to make provision for granting credit to the farmers for agricultural activities. Though
the main emphasis of the co-operatives is still on rural credit, there has been a massive
diversifications of credit to different sectors of the society. Today, there are co-operatives in
the field of housing, dairy, labour, fisheries, industries, transport, consumer, etc. In fact, we
have co-operatives almost in every walk of life.
With the launching of the Five Year Plans after Independence, co-operatives came to
occupy an important place in the national economic policy and a major form of
organisation in almost all sectors of economic activity, specially in the rural areas. In all the
Five Year Plans, the co-operatives have been assigned a key role in development. It is in
this context that we would like to recall the statement on the co-operatives in the Third
Five Year Plan document. It says "In a planned economy pledged to the values of socialism
and democracy, co-operation should become progressively the principal basis of
organisation in many branches of economic life, notably in agriculture and minor irrigation
small industries and processing, marketing, distribution, supplies, rural electrification,
housing and construction and provision of essential amenities for local communities... Thus,
a rapidly growing co-operative sector with special emphasis on the needs of the peasant,
worker and the consumer become a vital factor for social stability, for expansion of
employment opportunities and for rapid economic development."
The Indian co-operative movement, thus, has emerged today as the largest in the world with
more than three lakh societies of different kinds and a membership of 12.5 crores. The total
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credit disbursed through co-operatives stand approximately
at 4,500 crores. It has become
nnssihle fnr the cn-nnerativc sectnr to cnver. in l n d i a 97 ner cent of v i l l a ~ and
s 88 n e r cent
&opehives d DevclOpmcllt
24.2 CONCEPT OF CO-OPERATION
The concept of co-operation existed ever since the existence of human life. However, in the
primitive societies, its necessity was limited since the life of an individual was simple with
few wants. In those days, co-operation was mostly related to cultural, religious and social
aspects. It was a way of life and was more of an informal nature. Thus in primitive society,
co-operation had become an integral part of the society.
The concept underwent an enormous change from ancient times till today. The needs of
the individual and the society increased. Modem person is dependent on nature and fellow-
beings. In addition, interdependence has become a way of life. It is the co-operation through
which it is possible to achieve peace and prosperity.
The modern concept of co-operation is the result of Industrial Revolution which brought in
a series of changes in the method of production in Europe, especially in Great Britain. The
Industrial Revolution paved the way for the division of society into two classes, namely, the
capitalist class and the working class. In its greed for more profits, the owners of the
industries started exploiting the labourer. They were paid lower wages. They were used for
producing money and more money. They were being treated inhumanly. It was during this
time that social reformists like Robert Owen gave thought to the formulation of a new
philosophy which ultimately led to the birth of co-operative movement. Robert Owen
(1771-1859) was a British Industrialist and Philanthropist and he was the pioneer of the
co-operative movement.
The Co-operative movement is an economic concept and is of a formal nature. It is a distinct
form of business activity in which people have primacy whereas a secondary role is assigned
to the capital. Thus, the Co-operative movement provides an opportunity to the
economically deprived sections to live in better conditions.
24.3 DEFINITION
Co-operative movement is a broader phenomenon which means different things to different
people. Hence, .it is very difficult to provide here a precise definition. There is no unanimity
about the definition of co-o~erationsince conditions and circumstances differ from place to
place. Since it is a dynamicmconcept which has evolved with time and experience, there is
no single definition which provides all the necessary ingredients of the Co-operative
movement. However, we will attempt a few which all provide us with some broad idea of
Co-operative movement.
According to Lambert "a co-operative society is an enterprise, formed and directed by an
association of users, applying within itself the rules of democracy and directly intended to
serve both its own members and community as a whole." It is a broad definition of
Co-operative society which seeks to achieve member's welfare and which also works for tht
betterment of the community, as a whole.
The International Labour Organisation states that a "Co-operative society is an association
of persons, varying in number, who are grappling with the same economic difficulties and
who, voluntarily, associate on a basis of equal rights and obligations, endeavour to solve
those difficulties mainly by conducting at their own risk an undertaking to which they have
transferred one or more of such of their economic functions as correspond to their common
needs, and by utilizing this undertaking in joint co-operation for their common material and
moial benefits." This definition is considered to be the most comprehensive definition on
co-operative society since it consists of most of the principles of co-operation. Now-let us,
explain briefly, the objectives of co-operative movement.
244 OBJECTIVES OF CO-OPERATIVE MOVEMENT

A co-operative society comes into existence when a group of people join together and form
an association. from:-
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h n t d i g ( l o n and Development principles to ensure economic benefits to its members. People are free to loin the
co-operative society and they can resign at their own discretion. There is no coercion nor
compulsion of any kind. The main objective of the co-operalive society is to serve its
members. Here, profit making becomes secondary. It is run on democratic principles. All
the members enjoy equality and no discrimination is shown on the grounds of religion,
gender, political ideology etc. Basically, co-operative movement gainzd importance as a
consequence of evils of capitalism. Therefore, its major objective is to ach~evesocial justice.
Finally, co-operative movement is characterised as a constituent part of the overall socio-
economic movement of the society. It is described as being capable of reforming and
restructuring society by peaceful means.
Every co-operative society comes into existence with certain specific goals and objectives.
However, the long-tetm objectives of all the societies are the same. Let us identify the basic
objectives of the co-operative movement.
The most important objective of a co-operative society is to raise the standard of living of
the poor who have been subject to exploitation by the capitalists. The deprived sections form
an association to undertake some gainful activity and get the rewards of their work without
being at the mercy of the capitalists. The other objective of co-operative rllovement is to
eliminate the middlemen who take away the benefits that should have gone to the real
beneficiaries. As a sequel to this, the co-operative society has to remove capitalist tendencies
and as stated earlier it has to bring in socio-economic changes in the society at large instead
of focusing on the individual and on hidher personal advancement. The other objective of
a co-operative society is to conduct its activities with honesty, truthfulness and thereby raise
moral standard of its members.
As stated earlier, a co-operative society should aim at bringing about the welfare of not a
particular individual but of the entire community. This will foster fellow feeling and the
bond of co-operation. Abolition of social inequality such as high and low should be the goal
of the co-operative movement. The other important objective of co-operative movement
relates to its neutral stand as far as religion and politics are concerned. This will ensure real
concern for one and all without being partial to a particular religious group or a political
group. Finally, it aims at providing a corporate life to the weaker sections, ensuring the
world-wide concept of "each for all and all for each" replacing the natural law of "the
I
survival of the fittest".

1) Write a short note on the concept of co-operation.
2) What was the necessity of the co-operative movement?
24.5 MODELS OF CO-OPERATIVES

After having described the concept and objectives of the co-operatives, now let us
understand different models which are followed in India to achieve socio-economic
development. These models have been evolved over a period of time and have distinct
since the government has entered the co-operative institutions in a big way as a partner at Co-operatives and Developwnt
different levels. The following are the different models of co-operatives I
i) Cooperative Credit Structure
In India, co-operative movement started with the establishment of credit societies way back
in 1904. Credit is provided by the mperative banking, without which many activities,
particularly in the rural economy, cannot be initiated. This again is a western concept.
However, Indizn government adopted it in 1904. Subsequently, a large number of credit
societies have come into being. Of the different types of cooperative societies, cooperative
credit societies in India are very important for rural upliftment and national development.
The cooperative credit structure in India is federal in character, offering short and medium
term ~raiit.At the base, there are primary a-operative credit societies; in the middle that is
at the district level, there are mperative central banks and at the apex, there is state
co-operative bank. These institutions supply credit, supervise its use and recover dug frow
members. They function as the balancing centres at each level and supplement their
financial resources through deposits, by borrowing from the public money market and the
Reserve Bank of India. The Reserve Bank of India takes active interest in the agricultural
credit and is closely associated with cooperative movement in the country. An important
feature of this system is that though these institutions, at different levels, are connected with
each other through affiliation, they are for all practical purposes distinct entities. Each will
serve a set of specific purposes. Thus, there is justification for their existence as independent
units. We will now discuss each of them in the following as separate units.
ii) Primary Cooperative Agricultural Credit Society
In the Co-operative credit structure, the primary cooperative agricultural credit society at
the village level constitutes the basic institutions, the foundation. The following objectives
are to be achieved by the primary co-operative agricultural credit society :
a) Mobilise deposits and provide short-term and medium-term loans on reasonable
conditions.
b) Develop the habit of savings among rural masses.
c) Assist in the better implementation of Five Year Plans relating to agriculture, and
d) Take up educative, advisory and welfare functions for the benefit of farmer members.
Individual farmers are the members of the primary credit societies. Each society secures
its funds by way of share capital, deposits, loans and the Reserve Fund. The share
capital is directly contributed by the members and indirectly by the state government.
Though the primary societies are expected to be multipurpose in character but in
practice credit facilities remain their most important function. Thus, loans constitute an
important source of working capital. Loans are procured from the state government
and central co-operative banks.
The primary credit societies provide loans which they get from the state government and
central co-operative banks to their members for short periods, (between six months and one
year). With the money, the member can purchase seeds, fertilizers, pesticides and other
minor items. Medium term loans are provided for the purchase of cattle, pump sets,
agricultural inputs etc., for periods varying between one to five years. The loan amount
sanctioned varies among members depending upon the purpose, repayment capacity, the
type of security pledges etc.
Primary co-operative agricultural credit societies in India suffer from the following defects :
Most of the societies are not viable since their membership is small. Therefore, the capital is
inadequate. Secondly, the credit facilities, provided by the societies, are insufficient when
compared to the requirements of the farmer members. Thirdly, it is seen that there is
inordinate delay in the sanctioning of loans. Fourthly, a large number of weaker sections in
rural areas are not in a position to receive the much needed asistance from these societies,
since these societies are mostly held by the rich farmers. Finally, credit societies have failed
to develop, to any significant extent, the savings habit among rural masses. All these have
resulted in the growth of private money-lending and usuary in the rural areas. The money-
lenders continue to exploit in the rural masses.
All these defects have to be removed to achieve success.
iii) District Co-operative Central Banks
District Co-owrative Central Banks have been established at the intermediarv level in the
~mnt&tion Pnd Devhpment co-operative credit structure to provide a useful link between the primary societies and the
apex bank at the top. The organisation of the district co-operative central banks is not based
on any systematic or uniform pattern. A large number of central banks in India are of
mixed type. Primary co-operative agricultural credit societies form the bulk of its
membership. However, other societies, such as farming societies, urban co-operative banks,
weaver's societies, industrial societies etc., are also afiliated to the central banks. Thus, we
find both individuals and primary co-operative societies as its members. The government is
also a shareholder. Normally, there is one co-operative central bank for a district but in
certain districts, we have more than one central bank.
The share capital of co-operative central banks is provided by the individual members,
primary societies and the state government through purchase of shares. Deposits of different
types are received from individuals and institutions. The bank gets loans from the state
co-operative bank and Reserve Bank of India.
The Central Bank acts as a link between primary societies and the state co-operative bank.
It provides the necessary financial resources to the primary societies and is responsible for
their recovery. It also lays down common policies and provide administrative guidance for
the proper and efficient functioning of primary societies. They develop and extend the
banking facilities in rural areas and make the people aware of the facilities and make use of
the same. Finally, the central banks are responsible for the development of co-operative
movement in the district and act as a friend, philosopher and guide to the primary societies.
We find a few defects in the working of co-operative central banks. Due to large number of
district central banks, the affiliated member societies are small. Therefore, some of them
have become weak and non-viable. They are always short of funds. Reserve fund is
compulsory. However, it is not sufficient to overcome their financial difficulties during the
peak season. The deposit mobilisation, savings etc., is not satisfactory. To overcome these
problems, the banks have to improve their financial position. The government has a major
role to play in this respect. Ultimately success or failure of a system depends on the political
decision-makers.
iv) State Co-operative Banks
The State Co-operative Bank is the apex Co-operative institution in the state. It is at the top
in the three tiered co-operative credit structure. The jurisdiction of the bank is over the
entire state. The district co-operative banks in the state are members of the state
co-operative banks. In some states, individuals and primary societies are also admitted as
members.
The major functions of the bank are listed below :
a) It acts as a intermediary between the district co-operative bank and the money market.
It borrows money from the money market and make available loans to the district
central banks.
b) It functions as the balancing centre between district banks with surplus funds and deficit
co-operative banks.
c) It supervises and guides the activities of the district co-operative central banks in the
state. It also conducts regular banking business as any other commercial bank.
d) It operates as an agency of the Reserve Bank of India to hnance agriculture. The
Reserve Bank of India provide loans to state co-operative banks which in turn are
disbursed to farmers with the help of the three tier structure.
e) It helps the state government in the formulation, execution and coordination of credit
policies in the state.
As stated earlier, loans constitute the major source of funds for state co-operative banks.
Money is borrowed from Reserve Bank of India, State Bank of India, State government and
other nationalised banks. But for state co-operative banks, borrowings from Reserve Bank
of India constitute the major source of loans.
It is found out that some of the state co-operative banks have been careful while investing
funds in other co-operative institutions. A few societies have made huge advances to
primary credit societies with the result that recovery has become a serious problem. The
over dues have been mounting due to various reasons. Credit limits for central co-operative
banks have not been carefully fixed. There are several other problems faced by the state
co-operative banks. However, the defects could be eliminated if the state governments and
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v) Primary Land Deveiopment Banks
It is not enough if the agriculturists are provided only with short and medium term credit.
There is a need for long-term credit since it would help the farmer to make improvements
in the agricultural sector. Long-term credit facility would bring lasting benefits. Long-term
credit is provided by the land development banks.
The first land mortgage bank of India was established in the Punjab province in 1920.
Subsequently, other provinces also established similar institutions. Today, all the states have
co-operative central agricultural development banks. It is a two tier structure: primary land
development banks at the district or taluk level and central agricultural development banks
at the state level.
The main function of the primary land development banks is to supply long-term credit to
its members for a period varying between 15 to 30 years for bringing about permanent
improvements to their lands. Thus its major function is to assist the farmers to raise their
standard of living. Farmers and corporate bodies subscribe to the share capital of primary
land development banks. Loans are sanctioned against immovable assets of the borrower.
Loans are generally sanctioned at a lower rate of interest.
The membership of central land development banks is.composed of members of primary

land development banks. In some states, individual members are also permitted to acquire
shares. It distributes funds to the farmers through primary land devleopment banks. It also
arranges for proper supervision and guidance and acts as a intermediary'between Reserve
Bank of India and primary societies and prevent farmers from mortgaging their lands with
the greedy money-lenders. The prime motive in doing all this is to protect the farmers from
falling victims tothe middlemen and provide them with c~editfacilities through
co-operatives.
A number of defects have been identified in the working of these land development banks.
To begin with, there is no unifrom organisational structure in all the states. Consequently,
there is no uniform development of these banks. Many banks, it seems, are not viable. There
is a lack of proper coordination between the different credit agencies operating in the rural
areas leadinq to several complications.
The co-operative credit movement in India, having a history of nearly a century, has now
developed to a substantial extent. Its coverage is substantial, nearly 95 per cent of the
villages have been covered. However, a large segment of poor remain outside the
co-operative fold. Yet, the credit movement made a substantial impact on the rural
development. To make it more effective, various official committees have suggested certain
structural changes. The essence of the recommendations of these committees is to integrate
all the co-operatives whose basic objective is to extend credit to the farmers. Ultimately
there should be a single source of institutional credit for meeting all requirements of the
farmers. The government of Andhra Pradesh has taken steps in this direction by introducing
Single Window Co-operative Credit Delivery System in 1987. Today all the credit needs of
the farmers such as short-term, medium-term and long-term credit needs are met through an
integrated "single window" system in Andhra Pradesh. By "single window" is-meant that
there is a single source of institutional credit for meeting all requirements of the farmers.
Check Your Progress 2 ---.

1) What are the objectives of the primary co-operative agricultural credit society?
2) What are the functions of the State Co-operative Bank?

........................................................................
3) Write a short note on Primary Land Development Bank.
i
24.6 KINDS OF CO-OPERATIVES
The Indian Co-operative movement has emerged as the largest in the world. It is being said
that there are more than three lakh societies of different kind. In the following, we would
discuss some of the co-operative societies, operative in India :
i) Co-operative Farping
The importance of co-operative farming has been recognised by the Government of India as
one of the potential strategies in rural development. Co-operative farming refers to a type
of farming where the farmers of the village voluntarily pool their land, labour, equipment
and cultivate the land collectively. The land, implements, bullocks etc., so pooled are
divided into suitable units by the farming society and the land is cultivated collectively. The
work of the members is calculated after careful examination and wages are paid. The total
produce is sold in the market and the income received from the sale is distributed among
the members in accordance with their share of land and labour.
The Co-operative farming societies were first started in India in the forties for the seklement
of ex-army personnel. The ex-army personnel could earn their living through co-operative
farming societies. After partition, it has become a useful tool for the rehabilitation of
displaced persons. Co-operative farming societies were first established in Bombay, Uttar
Pradesh, Madras and Mysore states, Later on, other states followed. These co-operatives
came into existence due to the following reasons.
a) Due to fragmentation of holdings as per custom and other reasons, we have small
holdings which are notviable. For instance, when landholdings are distributed among
sons. As a result, we have a large number of small and marginal farmers.
b) Since there are small and marginal landholders, the farmers are poor and depend
heavily on external agencies for finance. The situation also led to poor yield per acre
which is reflected in utter poverty of a majority of the farmers.
c) For a long time, the Indian farmer has been using traditional tools in agriculture. It is
mainly due to their poverty and their traditional philosophy of life. Therefore, even
today, the method of cultivation in India is, still to a great extent. traditional.
d) Further, there is exploitation of ignorant farmers by middlemen.
In view of the circumstances explained above, co-operative farming was suggested for the
Indian farmers. This system would help those whose landholdings were less than the
holdings of basic size.
Co-operative farming would help in adoption of scientific cultivation of land. Farmers are
in a position to get better seeds and modern tools. There is a possibility of getting the services
of technical personnel. Collectively, the farmers would be in a position to prevent damage
to the crops by pests and insects. There would be rational use of human and animal
resources, rendting in the increase of yield per acre. Increased production would help the
farmer in meeting his family demands without depending on others. Co-operative farming
would provide gainful employment to the rural youth. And finally, it would usher in
socialist pattern of society in which the wealth is not held by a few but distributed among a
large number of people. Thus, it ensures rapid rural development.
However, co-operative farming in this country did not

show any promise and is faced with
many a practical problems. It is observed that in Indian context. it is very dificult to gather
Coopm(ivad Dcvehpment
a large number of people with different castes, tastes to work together. In the absence of
revolutionary ideology, which would have brought changes in the attitudes of the people, it
15 not possible to maintain discipline among the farmers. This has become a major problem
In the socialist countries today. There is a move to disband co-operative farms and allow
farmers to cultivate the land as individual owners. Co-operative farming presupposes
wrrender of land to the community. Indian farmer is sentimental. It is not possible for
h ~ mto surrender the piece of land, however, small it might be to form a co-operative.
Co-operative farming is yet to take roots in India. There may be a few stray examples of success
but by and large, it did not succeed in any appreciable manner.
ii) Co-operative Marketing
Marketing is an important problem of rural development. Sound marketing helps the
farmers to sell their produce at the most profitable prices and in less time. In such a
situation, the producers are bound to gain substantially, leading to improvement in their
financial viability. Co-operative marketing societies are not the innovations of third world
societies alone, but are found even in industrially developed countries of the west. A
co-operative marketing society is defined as "an activity, taken up by a group of producers,
who basically are farmers, to sell their marketable surplus at most remunerative prices for
their own benefit."
a) Objectives
The marketing societies have to secure best possible market price for the products of the
members. The society, sometimes, does the job of processing, grading, packing etc., so that
the product could fetch remunerative price. Another objective is to reduce the cost of
marketing such as transportation, storage etc. The co-operative marketing societies have
been established with the purpose of acting as a powerful check upon the monopolistic
power, generally enjoyed by the private traders. It will also eliminate middlemen who
exploit the farmers. The system also ensures protection of consumer's interest since the
society adopts fair methods in its marketing activity.
b) Business Methods of the Marketing Co-operatives
The co-operative marketing societies adopt any one of the following forms :
a) The society only acts as the agent between the members and ihe traders. It is like
working as a commission agent. The farmers sell their produce through the society.
b) The marketing society purchases the produce of the members and pays the price directly
and immediately. This is adopted by those societies which have technical know-how,
sound financial position and proper processing and storage facilities.
c) In some cases, the marketing societies help the farmers by allowing them to store their
produce with it for which they receive payment up to 70 per cent of the value of the
product. This would help the members to store the material until they get remunerative
price at a subsequent date.
d) The marketing societies also undertake pooling of the produce of the members, grade the
material as per standardisation, process the raw material into a form, fit for consumption
like paddy, cotton, groundnut etc.
e) In certain areas, the marketing society may undertake procurement of agricultural
products on behalf of the government to ensure payment of minimum support price to
the farmers. This would eliminate the tendency of distress sales by the farmers.
f) The marketing societies, also undertake supply of essential goods like sugar, kerosene,
fertilizers, seeds etc., at reasonable prices to the farmers.
g) Marketing co-operatives extend their activities by exporting goods which are in demand
in the foreign countries. The National Agricultural Co-operative Marketing Federation
and the State marketing co-operatives undertaEe export of a number of commodities to
foreign countries.
c) Institutional Structure
The first co-operative marketing society in India was started at Hubli in the year 1915.
Since then, a number of marketing societies have been set up in various parts of the
country. The co-operative marketing structure comprises a network of about 3700 primary
marketing societies at the Mandi level, about 170 district central marketing societies and
about 29 state co-operative marketing federations and at the apex there is the National
and Development main branches all over the country. Separate tribal co-operative development corporations
have been established in those states where there is a sizeable tribal population. Similarly,
commodity marketing federations have been set up at the state level.
Individual farmers and primary agricultural credit and other service societies are members
of the primary marketing society. The members of the State co-operative marketing
fderations are the primary marketing and processing societies. In a few cases credit
societies are also allowed to become members of state co-operative marketing federation.
The membership of the apex organisation, NAFED, are state level marketing federations,
commodity federations and a few primary and central marketing societies. Its primary
objective is to assist its members to carry on business. The marketing societies raise their
finance through shares, deposits and loans. Loans are raised from central co-operative
banks, State Bank of India and other sister co-operative organisations.
The marketing societies have an ample opportunity for development but this development is
not taking place at the expected levels. The business methods followed are not satisfactory.
In our country most of the co-operative societies have been organised by the government.
Therefore, the farmers do not evince any interest in the working of these institutions. There
seems to be lack of coordination between primary credit societies and marketing societies.
There is greater emphasis on distribution of essential commodiiies and the marketing of
other items such as processing etc., have been neglected Financial viability is another
drawback in the working of some of these societies. Finally, the success or failure of these
bodies depends mostly on the Management Board at the helm of affairs.
iii) Producers' Co-operatives
In India, as all of us are aware, co-operatives have been initiated, organised and supported
by the state. Due to abject poverty and ignorance, co-operatives could not survive on their
own. Hence it was thought that government participation would help it. Having begun
primarily in the field of credit, co-operatives, in the last four decades, have come to embrace
a number of activities to serve the interests of producers and consumers. in this connection,
co-operative movement in the field of dairy management, could be mentioned.
Co-operation, in the field of dairy management, is fast spreading all over the country.
However, it is necessary to point out that dairy co-operatives have a long history in India
but its spread has been very limited. The first 'dairy co-operative was organised in 1913 at
Allahabad. But the growth of the dairy co-operatives has not been even and steady. It was
only after Independence that the dairy co-operatives have been organised on a large-scale in
several states.
The development of dairy co-operatives has the twin objectives: support the producers of
milk and ensure regular supply to the evergrowing urban centres. Milk, as an essential
commodity for human subsistence, needs special efforts for procurement, preservation and
transportation. The Government of India did not pay much attention to this subject matter
during the First and Second Five Year Plans. It was only during the Third Plan that some
efforts were directed when National Dairy Development Board (NDDB) was established
with a view to developing dairy technology on modern lines. This plan period is also
significant because of Anand Co-operative Union of Milk Producers which proved
su&ssful in organising dairy on co-operative lines. The NDDB is the nodal organisation in
establishing this type of co-operative federations in ten states in the country. About 30
thousand village level co-operatives covering about 40 lakh farming families, are
functioning in India. The members of the village co-operatives are mostly small and
marginal farmers. We also find a large number of landless agricultural labourers in the
village societies.
A brief description of Anand pattern of co-operative is useful to appreciate the working of
dairy co-operatives in the country. The Anand pattern is a successful formula developed by
Tribuvandas Patel which was adopted by the farmers of the Kaira district in Gujarat to
procure, process and market their surplus milk. The Anand pattern is a system that is
collectively owned, operated and controlled by farmers. It ensures a fair price to the farmer
and high quality of milk and dairy products to the consumer and it eliminated middlemen.
Thus it aims at the utilisation of resources in the most profitable manner at the grassroot
level.
collectively. At the district level, there is District Milk Producers Union which receives -clva .bd m v h p d
surplus milk from the village co-operatives. The District Unions organise their state level
co-operative milk marketing federetion. The federation performs all the activities regarding
processing, marketing and providing funds for co-operative dairy development in the state.
It is said that outstanding leadership, modern technology, better marketing methods, plough
back earnings and dedicated personnel were identified as the main reasons for the success of
Anand pattern of milk producers co-operative movement in Gujarat. The Anand pattern is
yet to be introduced in many states of India. It requires imaginative planning and sufficient
financial support to the dairy co-operative societies. Proper education and necessary
orientation to the farmers will go a long way in the successful management of dairy
operative societies.
While explaining the producers' co-operative, it is pertinent to point out that there are
co-operatives in other fields such as sugar, spinning etc. Sugar co-operative societies of
Maharashtra made a mark in the co-operative sector. The above analysis of the Anand
pattern is an illustrative and not an exhaustive one.
iv) Industrial Co-operatives
An industrial co-operative means a co-operative formed by artisans, craftsmen, industrial
labourers etc., either for undertaking production and marketing or for providing facilities
and services to them. Industrial co-operatives have been organised with two major
objectives in view: Safeguard the interests of the poorer artisans/workers against the
exploitation of the better placed entrepreneurs, and provide employment opportunities
during the agricultural slack season so that there will be increase in production in the rural
sector which would improve the living conditions of the rural artisans. It will also prevent
migration of artisans to another place in search of employment.
Industrial co-operatives were organised in 1930s but their impact and contribution to the
economy of the country were rather limited. Notwithstanding the limited success, during
1945-46, co-operative societies for tanners, wood workers, oil pressers, potters, toy-makers
and bee-keepers were started in Madras and Bombay. Their satisfactory performance gave
fillip to further growth in this sector after India became Independent.
Today there are quite a large number of industrial umperatives in India. These societies
take up the work of purchase and supply raw materials, tools and equipment, needed by the
members. They also undertake sales of finished goods at a competitive price. There are a
number of industrial co-operatives, functioning successfully. However, the sick units in this
sector are growing at an alarming rate due to managerial defects. There is a need for
corrective measures at the management level since more than one half of these societies are
dormant and non-viable due to poor membership, meagre sales and inadequate working
capital. Over some of the units, there is monopoly of the middlemen and traders. Again,
many centres do not produce commodities but are like purchase and sale organisations.
Therefore, there is an urgent need for restructuring of these societies with proper planning
and feasibility study. Then only, they will succeed in their co-operative endeavour.
v) Consumer's Cooperatives
It is said that the co-operative movement originated as the consumer's co-operative
movement in response to the challenges posed by industrial revolution. Later, it spread to
other countries. The movement had taken shape in India in 1904, but it did not succeed to
any appreciable measure. After Independence, the consumer co-operatives have expanded
in almost all the states in India.
The structure of the consumer's co-operative societies in India consists of primary stores,
wholesale stores, state federations and the National Co-operative Consumer's Federation at
the apex level. The primary consumer co-operative store is the basic unit in this structure. A
wholesale store is the second tier and the state federation, which has wholesale stores as its
members, is a coordinating agency. The National Co'-operative Consumer's Federation was
formed in 1966. Its membership consists of state federations and some wholesale stores.
The most important objective of the consumer's co-operative is to supply goods of good
quality to consumers at reasonable prices. It will also eliminate dishonest intermediaries.
In India, consumer co-operatives did not make any tangible progress since the societies have
been initiated by the government. Therefore, the consumers do not evince interest with
the
hooe that the government would look into their Droblems. Consumer co-o~erativesare
-tkn .nd~ e v e b p m m t people are not covered in this movement. By and large, the consumer co-operatives in India
did not succeed in their activities because of several structural and functional deficiencies.
24.7 CO-OPERATIVES AND PANCHAYATI RAJ

INSTITUTIONS
The Central Government in India and all the state governments have promoted co-operative
movement in its various forms. At one time, the major concern of rural co-operatives was
the provision of cheap credit to the farmers to save the latter from the money-lenders. After
Independence, however, there has been a definite shift. Along with the provision of cheap
credit, the emphasis upon co-operative marketing, producers co-operatives and several other
new areas have increased. In line with these major changes in the co-operative policy, the
Five Year Plans also made sufficient provisions in the plan allocations. In fact, the
allocations have been steadily increasing from first plan onwards.
In view of the important role assigned to the co-operatives, particularly in the rural
development, there is a need for close liaison between Panchayati Raj Institutions and
co-operatives. In fact, Panchayati Raj Institutions and co-operatives are envisaged as two
pillars of rural reconstruction. There is a close affinity between co-operative movement and
Panchayati Raj Institutions since both are envisaged as instruments of socioeconomic
transformation of rural areas. Both follow the principles of self-help, mutual aid, equality,
democracy and decentralisation. Besides ideological afinity, there is a distinct pattern of
interdependence from the operational point of view. The co-operatives supply credit and
other major inputs while Panchayati Raj Institutions provide politico and administrative
leadership in the preparation of agricultural plans and their implementation. Thus, there are
several areas of common interest which would require coordination and joint approach as
both the movements have one thing in common which is rapid rural development.
Since we have different patterns of Panchayati Raj Institutions in India, the association
between Panchayati Raj Institutions and the co-operatives also have different patterns. In
some states, the presidents of the district co-operative institutions (Banking, Marketing etc.,)
are associated with the Zilla Parishads with an Ex-oficio membership in the council. In
some states, they enjoy voting rights while in others they are associated members without
the voting rights. Similarly, at the level of middle tier, (Taluka, Mandal etc.) almost the
same pattern, as it exists at the district level, is followed.
In Maharashtra and Karnataka at the district level, the subject "co-operatives" has been
placed under ZiIla Parishads. This would mean that the parishad is kept informed of the
progress of co-operatives in the area and that it can discuss and give suitable instructions
and guidelines to the co-operatives regarding various aspects like credit, marketing and
other activities in the district.
There are thus several areas of common interest and association, between Panchayati Raj
Institutions and co-operatives. A proper coordination and joint approach would help in
their smooth functioning and ultimately lead to realisation of objectives for which they have
been organised. -.
I) What is the importance of co-operative farming in rural development?
........................................................................
........................................................................
........................................................................
........................................................................
2) What are the objectives of the co-operative marketing?
Co-oprntivea and Devebpmm(
I ........................................................................
3) Write a short note on Industrial Co-operatives.
24.8 LET US SUM UP

. India is predominantly an agrarian economy. Therefore the credit for agricultural and other
allied activities is very important. It has been noted that in spite of the existence af several
financial institutions, co-operatives have a major role to play. As such, rural development is
very much dependent on co-operatives. Co-operative movement has one major advantage
which no other financial institution has and, that is the involvement of masses in both their
decision-making and implementation process at all the stages.
Even though the cooperatives have been playing an important role in the economic
development of India, we cannot simply ignore some serious problems that the movement is
facing today in the country. The recovery position of the loans for agriculture is distressing.
There are many reasons. There are some genuine reasons for default but in quite a few
instances, there is some amount of resistance among the sections of rich farmers and in
some plaes there is political resistance.
Though the co-operative movement is for the common people, certain groups control this
movement in different areas in one way or the other. These vested interests have developed
deep roots and unless it is broken, there is no prospect of democratic functioning. It is
observed that the poor such as marginal farmers, sharecroppers, landless labourers, slum
dwellers and other deprived sections are still outside the orbit of co-operatives. Further,
there is too much interference by the government in the working of co-operatives. Some
times, it is essential to check mismanagement, corruption etc., but government control
should not become a regular phenomenon and the government shov~ld not treat
cooperatives as a departmental affair.
Finally, though there are about 12.5 crores of people in the co-operative movement, most of
them are there because of the economic benefits. Further, we have a feeling that the
initiative for co-operation is always from the government and not from the people
themselves. Therefore, the co-operators should be made to realise the importance of ideals
and principles of co-operation.
There may be several complaints against co-operative movement in the country, a few
imaginary and some real, but still it is to be recognised that the co-operative is the.most
democratic agency for development and for benefit of the common people.
Capitalist tendency :The tendency to hoard money only for personal advancement,
without paying attention to the community's advancement. Rather by exploiting others.
Defaulter :Persons who fail to pay debt.
Distress sales :In acute need, the farmers are compelled to sell off the agricultural products
at prices less than the minimum support price.
Non-viable unit :Unit which is not capable of surviving from economic stand point.
M t r a l & t i o n and Development
Chinchankar P.Y.and Narnjoshi, M.V. (ed.), 1977. Co-opemtion and the Dy.?amics of
Change, Somaiya : Bombay.
Goel, S.L. and Goel, B.B., 1979. Principles, Problems and Prospects of Co-operarive
Adminislrarion; Sterling Publishers Pvt. Ltd. : New Delhi.
Hough, E.M., 1960. Co-operarive Movement in India, Oxford University Press : London.
Krishnaswami, O.R., 1978. Fundamentah of Co-operation; S. Chand & Company Ltd.
New Delhi.
Prasad, Ravindra, 1978. Co-operarives and Rural Development, Bookline : Hyderabad.
Saxena, K.K., 1974. Evolution of Co-operafiveThought; Somaiya : Bombay.

EXERCISES
1) See Section 24.2
2) See Section 24.4
1 ) See Section 24.5 (ii)
2) See Section 24.5 (iv)
3) See Section 24.5 (v)

UNIT 25 SPECIALISED AGENCIES FOR

DEVELOPMENT
Structure
25.0 Objectives
25.1 Introduction
25.2 The Concept
25.3 The Approach
25.4 Drought Prone Area Programme (DPAP)
25.5 Desert Development Programme (DDP)
25.6 Command Area Development Authority (CADA)
25.7 Hill Area Development Programme
25.8 Integrated Tribal Development Agency (ITDA)
25.9 Asset Oriented Approach
25.10 Let Us Sum Up
25.1 1 Key Words
25.0 OBJECTIVES
After reading this unit, you will be able to

understand [he organisation, functions and role of the specialised agencies for
development;
discuss the short-comings of these specialised agencies; and
critically analyse the specialised agencies.
25.1 INTRODUCTION
Elimination of poverty has become one of the greatest challenges of the modern societies. In
recent years, many Third World countries have come to realise that the development
strategies, they had followed in the past, were inappropriate and even irrelevant to their real
needs. They have also come to realise that a development strategy linked to economic
growth will not, by itself, solve the problems of poverty or improve the conditions of the
poorest segments of the population.
The search of alternative strategies has now become intense in India. It is also noted that
the majority of the poor live in rural areas. Therefore, attempts are being made to identify
the target groups and provide assistance to them. The Government of India launched
Community Development Programme during the First Five Year Plan period with a
promise to improve the living conditions of the people. It was hoped that it would bring
overall development of rural India. Subsequently, during the Second Five Year Plan, an
effort was made to decentralise power to the representatives of the people at the district,
block and village levels with an objective to mobilise people's support to the rural
development programmes. The Third Five Year Plan laid emphasis on the overall growth in
the country to reduce inequalities in the income and wealth. As a result of these policy
formulations, a number of programmes such as Intensive Agricultural Development
Programme which subsequently became Intensive Agricultural Area Programme were
designed to accelerate agricultural production in selected regions that were endowed with
good soil and irrigation facilities. However, it was soon realised that the above programmes
did not make any dent on the poverty of the rural poor. Unemployment and inequalities in
wealth and income have continuously increased, in spite of phenomenal increase in
agricultural production. It is also pointed out that most of the benefits from these
programmes were taken away by affluent sections and better endowed areas.
It was soon realised that unless a direct attack on poverty is launched, the developmental
efforts would not help the poor. On the other hand, it may aggravate the situation.
Some
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Decentdisation and Development provide higher standard of living to the poor, to achieve equality of income and wealth to
prevent economic concentration.
25.2 THE CONCEPT
Keeping the above factors in view and on the recommendations of Rural Credit Review
Committee, several special agencies were established. The following considerations were also
identified in favour of specialised agencies. It is pointed out that the existing bureaucratic
machinery is not capable of tackling the problem of poverty. Again, the existing
developmental strategies would be helpful to those who are already rich and it would not
help the poor. It is also suggested that there is a need for clear identification of target groups
and financial assistance in the shape of subsidy or margin money which would act as a
catalyst in the development of the poor. Finally, it is possible to prepare viable schemes to
enable the poor to cross the poverty line. The specialised agencies, are thus intended to
tackle the poverty directly and help the poor.
At present, these are the following specialised agencies for development :
1) Drought Prone Area Programme
2) Desert Development Programme
3) Command Area Development Authority
4) Hill Development Authority
5) Integrated Tribal Development Agency
6) Asset Oriented Approach
25.3 THE APPROACH
The following imprtant characteristics are identified in the working of the specialised
agencies :
a) Autonomy
The special agencies have been established under co-operative societies Act. It is a departure
from the earlier approaches. Under the new dispensation, the agencies enjoy certain amount
of autonomy and flexibility in the decision-making process and in its implementation. The
agencies are expected to draw up plans and programmes for investment and production
activities to be undertaken by the target groups.
b) Catalyst
The agencies have to act as a catalyst to the target group mainly through generation of
gainful employment. In this direction, the agencies are expected to bring the benefits of
modern technology to the small and marginal farmers, rural artisans, and other members of
the target group and help raise their standard of living.
c) Limited Administrative Staff

The agencies have only a limited staff since they do not undertake implementation of the
programmes. The programmes of these agencies are to be implemented through the existing
departments and organisations. The main job, therefore, is restricted to sectlre the
co-operative and co-ordinate the programmes among different departments and
organisations.
d) Involvement of District Collector
In most of the states, the District Collector is the chairperson of these agencies. The
Collector is expected to ensure coordination among the departments. A Project Officer and
an Assistant Project Officer have been provided to each agency to assist the District
Collector.
e) Governing Body
Each agency has a governing body of its own. It formulates the policies and programmes to
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SpeciPlised Agencies for

of the agency. There is provision for appointment of committees, sub-committees on any
Development
matter relating to the work of the agency.
f) Financial Assistance
One of the most important aspect of this new approach is the provision of subsidy to the
target groups. It is also called seed money and/or margin money. Different agencies have
different rates of subsidy. The balance amount is financed by the different financial agencies
as commercial banks, rural regional banks, co-operative banks. The subsidy and/or margin
money is intended to provide relief to the target group and at the same time stimulate the
financing agencies for investment.
Having explained the need, characteristics and approach of the specialised agencies, let us
describe the organisation, the functions, the role and short-comings of these agencies in detail
for a better understanding.
25.4 DROUGHT PRONE AREA PROGRAMME (DPAP)
Till recently, famine, drought and scarcity were being tackled more or less on ad hoc basis.
It was only in 1970-71 that the Government of India sponsored a rural works programme
for organising labour intensive and production oriented work in the drought prone districts
of the counny. It was conceived as an addition to the normal developmental effort. In 1972,
the scope of the programme was enlarged to that of an integrated area developed scheme
for a permanent solution of the problems of drought in these districts. Accordingly, the
emphasis shifted from labour-oriented to problem-oriented schemes. This area development
was designated the Drought Prone Area Programme (DPAP) and classified as a
plan scheme from 1972-73.
The DPAP is a centrally sponsored programme. The expenditure on this scheme is being
shared equally by the centre and the states. The DPAP extended to 73 district (401 blocks)
in the country, spreading over thirteen states.
i) Approach and Present Strategy

The main thrust of the DPAP is to maintain the production in good rainfall years and to
minimise the losses when the rain fails. This is sought to be achieved by a number of
schemes such as soil and moisture conservation methods on a scientific basis. Construction
of water sheds is one method adopted for such a plan. Suitable drought resistant varieties of
crops are suggested to meet the challenge of inadequate rainfall or long dry spells.
Experiments have been conducted to develop a package of practices suitable under different
sets of conditions so that appropriate crops could be developed to meet the requirements of
the local population. It is pointed out that the development of agriculture in these regions
has certain limitations. Therefore, the farmers are encouraged to take up subsidiary
occupations like animal husbandry, poultry, sheep rearing, sericulture and horticulture.
Development of a comprehensive package of processing and marketing has been another
area of its activity so that the farmers would be able to derive remunerative prices for
product under subsidiary activities.
Other activities which fall under DPAP include infrastructure for daily, sheep breeding
which have been taken up to support cattle rearing and sheep rearing avocations. Social
forestry schemes have been undertaken to meet the needs of local population, both cattle
and human. This would help meet the needs of the community for fuel-wood, timber and
fodder for cattle. Rural electrification has been taken up to exploit ground water resources.
There has been considerable emphasis on the development of subsidiary occupations of the
families below poverty line, rural artisans, agricultural labourers etc.
ii) Assessment - - _,
While implementing various schemes under DPAP, it would be seen that there are a
number of problems which deserve immediate attention. Development of basic
infrastructure, supporting various economic activities, like roads, rural electrification,
drinking water, processing and marketing facilities would have to be taken up. However,
under DPAP scheme. a ceilinn of 30 ner cent of the total annual olan has been earmarked
Dcecanlbdbn.ndbvd-t Water conservation and water harvesting are of utmost importance in the DPAP ?heme.
However, experience in the last few years have indicated that the techniques of survey,
watershed planning and designing have not attained even the minimum satisfactory levels in
most states. Not only this, the survey techniques are very slow and outdated. Men and
material resources have to be adequately provided with the latest techniques on a scale
several times more than deployed at present in case the watershed scheme is to have any.
impact.
Under the DPAP, the forestry programmes largely followed the ways of the old forest
departments. The schemes taken up consisted mostly of regeneration of degraded forests,
shelter belt plantations, road side plantations etc. It is a lopsided approach. What is required
at present is that every village should have fuel-wood and fodder plantation to meet their
needs. It is needed to involve the poor in the social forestry on government waste land
which is plenty in the DPAP areas.
Regeneration of the village pastures and development of pastures on government land

should be taken up as an important aspect of DPAP so that in a bad year, the cattle and
men would be prevented from migration to alternative places. However, the DPAP did not
make any appreciable progress in this direction.
In the drought prone areas, there is a great need for diversification of the occupations to
divert the population from land and cattle. Individual beneficiary programmes have been
drawn up and there is considerable progress in this sector. Dairying, sheep husbandry etc.,
are a few other activities which would bring considerable incomes in the drought prone
areas. It requires up-to-date knowledge and technology. The DPAP should pay more
attention on these activities so that the beneficiaries would sustain their interest
continuously in the above mentioned sectors of rural economy.
iii) Conclusion
The concept of has started taking shape as an area approach. A good beginning has
been made in conserving soil and water through watershed scheme: Ground water
exploitation has received considerable fillip. Dairying, sheep breeding benefited the rural
people to a large extent. However, the efforts so far did not yield much results. There is a
need for sharp focus on several activities, including infrastructures, ia the drought prone
areas of the country. Finally, there is a need for review of focus, content and coverage of the
programmes so that corrective measures could be introduced to set right the maladies, if any.
25.5 DESERT DEVELOPMENT PROGRAMME (DDP)

In 1977-78, the Govenunedt of India launched another programme which is very akin to
DPAP, designated Desert Development Programme (DDP).
i) Objective
Its main objective has been for an "integrated development of the desert areas for increasing
productivity, income level and employment opportunities for the inhabitants through
optimal utilisaiion of physical, human, livestock and other biological 1 resources." The
programme also aimed at "Protection of and prevention from further deterioration of desert
areas and of the spread of desert conditions." Pasture development, cattle development,
dairy development, sheep development, canal development and forestry have been the main
thrust of the scheme. Subsequently, certain schemes of individual beneficiary were also
undertaken. This scheme was extended to 19 districts (I 26 blocks) in five states of India i.e.,
~ajasthan;Haryana, Jammu and Kashmir, Himachal Pradesh and Gujarat. In actual
practice, in certain states DPAP and DDP have since been running parallel to each other in
a number of districts.
ii) Assessment
There is a need to review this scheme. It is also suggested that for easy and effective
administration, there is need for ammllgamating DPAP and DDP in areas where both the
programmes are running parallel. It would help achieve greater coordination among these
agencies whose major objective is identification of https://t.me/Upsc_Zone_Official
target areas and groups for special
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25.6 COMMAND AREA DEVELOPMENT AUTHORITY Devcbpmmi
(CADA)
There is a growing interest in the performance of irrigation schemes in India on account of
huge investment made in these schemes. It is pointed out that there has been unsatisfactory
performance on agricultural front. The poor performance has been attributed in terms of
technical deficiencies in planning, design and operation. It is also being widely recognised
that the basic issues in the field of water management are institutional and administrative. It
calls for a new approach than hitherto followed in the developing societies.
The importance of utilisation of irrigation potential created under various schemes was well
recognised during the third plan period. The Fourth Plan did provide finance for proper
utilisation of irrigation facilities. The progress was however not satisfactory. During the
Fifth Year Plan oeriod, an inteerated command area develooment was suaested. The
proposals of Irrigation Commission and National Commission on Agriculture were also in
favour of such an organisation. Thus, the Command Area Development Authority came
into existence in the last year of Fourth plan and has taken concrete shape in the Fifth Five
Year Plan. The Command Area Development Authorities have been created in about
sixteen states, covering about eighty major and medium projects.
i) Objectives
The objectives of the CADA are as follows :
i) Modernisation, maintenance and efficient operation of the irrigation system.
ii) Development and maintenance of the main and intermediate drainage system.
iii) Development of field channels and field drains within command of each outlet.
iv) Land levelling and land shapping on an outlet command basis for the type of
irrigated crop that is to be grown.
v) Consolidation of farm holdings and redrawing of field boundaries.
vi) Fair distribution of water to individual fields.
vii) Development of ground water to supplement surface irrigation.
viii) Supply of all inputs and services including credit.
ix) Development of marketing and processing facilities.
x) Preparing individual schemes of action for small and marginal farmers and agricultural
labour as part of the master plan of development for these categories of beneficiaries.
xi) Soil conservation and afforestation wherever necessary, and
xii) Town planning.
The above list of items entrusted to the CADA is quite comprehensive which includes all
aspects of irrigation development as well as utilisation of water from the medium and major
projects.
ii) Assessment
The CADA is not a banking or a financial institution. It receives finance from kree sources :
Central assistance to the states for certain selected items, the state governments own
resources are institutional credit for certaM specific programmes. All the budget grants for
the CADA are controlled by different secrefariat departments and released by the same at
the appropriate time.
Thus, the centre, the states and the financial institutions are the major partners in the
CADA. It is pointed out by several studies that there has been shortfall in the Institutional
finance. The reasons are (a) Poor recovery of loans; (b) Increase in the number of ineligible
farmers and delay in updating of land records. In addition, there was a short fall in
achievement in respect of land levelling. Since land levelling is very costly, it is reported
that many farmers did not show interest in this programme. With a view to reduce the gap
between the potential and actual achievements, the'seventh Five Year Plan envisaged the
following :
a) Updating of land records
b) Effecting suitable modification in the cropping pattern
C) Drainage improvements in the irrigated areas
d) Modernisation of entire irrigation system
e) Development
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1) What are the characteristics identified in the working of the specialised agencies?
........................................................................
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2) What are the objectives of the Desert Development Programme (DDP)?
........................................................................
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........................................................................
3) What are the objectives of Command Area Development Authority (CADA)?
25.7 HILL AREA DEVELOPMENT PROGRAMME

Since the socio-economic conditions in the hill areas are of a special nature, there has been
a demand for special attention of the Government of India. Consequently, the Fifth Five
Year Plan made some provision for development of hill areas. Subsequently the government
of India introduced a number of pilot projects for the integrated development of agriculture
and quite a few subsidiary occupations were taken up. The Hill Area Development
Programme was one such programme provided only in those areas designated as hill areas
in Assam, U.P., West Bengal, Tamil Nadu, Maharashtra, Karnataka, Kerala, and Goa. It is
a centrally sponsored programme. This programme is taken up in addition to the funds
provided by the state plans. The Fifth Five Year Plan provided Rs. 170 crores which
includes Rs. 20 crores for Western Ghats Development Programme (WGDP). In the Sixth
Plan, it was raised to Rs. 560 crores including Rs. 75 crores for WGDP. The Seventh Plan
provided Rs. 860 crores induding Rs. 116 crores for WGDP. Thus there has been a
substantial increase in the financial provision in the plan allocation.
It is pointed out that during the Fifth and Sixth plan period, enough attention was not paid
towards provision of ecological balance but mostly concentrated on sectoral approach.
Pressure on the hill areas and denudation of forests for commercial use, soil erosion and
consequent fall in the productivity of land has been recognised and therefore, there was a
shift in the Seventh Five Year Plan in which allocations have been made for socio-
economic growth, develdpment of infrastructure and promotion of ecology in the hill
areas. Its focus was gn identification of basic needs of hill people and appropriate measures
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forests and the drudgery on women. In order to ensure sustained supplies of fodder and fuel,
the barren forest lands were identified and used for afforestationby growing tree species
which can provide both fuel and fodder. Protected water supply, health and sanitation and
mass immunisation has been another aspect of the Hill Area Development logr ram me. In
all these programmes active involvement of people and their local organisations, including
voluntary agencies, is essential.
25.8 INTEGRATED TRIBAL DEVELOPMENT AGENCY

The Tribal communities in India constitute about 7 per a n t of the total population. T h m
communities generally live in the.hills and forest regions which are mostly inaccessible.
Their economy is largely self-sufficient, unstructured and non-specialised. Their social
system is simple. But of late, this situation is undergoing rapid changes. Industrial and
mining complexes and major imgation dams have disturbed their habitat. In certain cases,
the policies and programmes of the government have also affected their living conditions.
There have been a few cases of tribal unrest since the tribals have hardly had any benefit
from the ongoing developmental programmes. However, state treated the situation in a
routine manner. It is necessary to point out that the tribal areas and tribal people have a
distinct culture of their own and these communities differ from other races in their socio-
economic conditions, educational and beneficiaries are provided witbsubsidies/margin
money/seed money ranging from 25 per cent to 50 per cent.
Assessment
The ITDA is expected to improve the living conditions of the tribals and protect them from
exploitation. Therefore, the success or failure has wider implications. However, a number
of studies pointed out that the performance of these agencies is far from satisfactory. Quite a
large number of tribals were not aware of the existence of ITDA, therefore, unable to avail
of the benefits. The procedures are cumbersome and some of the programmes were not
viable, There has been a lack of coordination among the various developmental
departments and lukewarm attitude of the financial institutions rlso contributed largely to
the unimpressive performance of these institutions. That is the reason why during the
Seventh Plan period it was proposed to undertake an evaluation study on the impact of
different development project meant for the socioeconomic uplift of tribals.
-
Note : i) Use the space given below for your answers..
1) Write a short note on Hill Area Development Programme.
--.
2) What are the areas which have been given prbrity in the tribal Sub-plan of the
Integrated Tribal Development Agency?

Decentrnlimttion and Development

25.9 ASSET ORIENTED APPROACH
Lack of adequate employment and chronic under-employment are the most difficult
problems of rural India. This has led to a large-scale poverty in the midst of surplus
manpower and abundant natural resources. Poverty is the rtsult of poor income, inadequate
supply of goods and services and defective distribution and inequitable spread of wealth.
Removal of poverty and provision of suitable employment opportunities has been the major
thrust of all the Five Year Plans. Several measures have been initiated in this direction.
However, the measures did not achieve success as desired and performance was very
disappointing. It is said time and again that the rural poor have been by-passed both in
terms of growth and distribution of gains of growth. It was with this in view that the
Government of India has evolved certain programmes specially to tackle the poverty lin
rural India and those programmes were launched over a period of time. Let us describe
them briefly and study the organisational set up of the specialised agency to which the
programmes have been entrusted.
i) Small Farmer's Development Agency (SFDA) and Marginal Farmer's and
Agricultural Labour Development Agency (MFAL) :
It has been pointed out that some of the earlier programmes did not help the poor.
Therefore, on the recommendations of the Rural Credit Review Committee, two new
agencies have been initiated by the Government of India in order to help the small and
marginal farmers and agricultural labourers. Small Farmer's Development Agency (SFDA)
and Marginal Farmer's and Agricultural Labour Development Agency (MFAL) were
established in 1971-72 for the benefit of small farmers and marginal farmers and
agricultural labourers respectively.
The main thrust of these agencies is to assist persons specially identified in improving their income
level. To achieve this objective, the agencies have to identify the target group according to
the norms laid down, draw up suitable programmes for improved agricultural and allied
occupations, arrange credit through institutional sources and get the programmes executed
through the existing organisational arrangement. The main focus is on agricultural
production. The programme includes improved agricultural methods, land development.
soil conservation, minor irrigation, horticulture, field demonstrations etc. The agencies are
also expected to take up subsidiary occupations such as dairying, poultry, piggery, sheep
and goat rearing, fisheries etc.
The SFDA and MFAL have been established under Societies Registration Act 1860.
Therefore, they enjoy certain amount of autonomy in their functioning. The District Collector
is the chairperson and the Project Officer is the Vice-Chairperson. The other members of
Committee consists of the heads of the developmental departments and a few non-officials
' at the district level.
\
The identified beneficiaries.underSFDA and MFAL get the benefit of 25 per cent and
1
33 -% of subsidy on the total investment for various programmes such as land
3
development, soil conservation, animal husbandry etc.'~owever,there is a ceiling on such a
subsidy. In case of community irrigation works. a liberal subsidy of 50 per cent is allowed.
Scheduled Tribes farmers get 50 per cent of the subsidy in view of their general economic
backwardness. Thus, different schemes have been visualised under the SFDA and MFAL
agencies.
i) An Analysis
An evaluation of SFDq and MFAL is necessary since expe~ienceof these
schemes will have impact on the subsequent developments in the anti-poverty
ptogrammes. It IS po~nttldout by several studies that the coverage of beneficiaries has been
much below than that of the expected levels. But the amount, spent on the targeted group, is '
quite impressive. This however, does not indicate how many beneficiary families were
really helped to become economically viable and could cross the poverty line.
Some more short-comings in the working of these agencies deserve attention. It appears that
no proper care seems to have been exercised in the selection of some of the projects. Critics
also pointed out that while selecting beneficiaries, proper care was not exercised, with the
result a number of affluent farmers got the benefits through manipulation and foul methoc'
Very little attention had been paid to identify the agricultural 'labourers and scheduled castes
and tribes. No reliable data is available, till today, about different categories of people who
It was found that the procedures, prescribed by the financial institutions, were cumbersome. Sped.lired Agmdes for
This resulted in delay and corruption was rampant, It has also led to the growth of middlemen Dev-
called pyravikars who did considerable damage to the schemes.
The above mentioned problems are illustrative and not exhaustive. The problems are
general in nature and these new agencies are no exception to it. Since the problems of the
rural poor are many and complex in nature, they need a thorough analysis in the selection of
beneficiaries with sdlicient care to the factors of eligibility and needs.
It should be noted that with effect from October 2, 1980 the SFDA and MFAL have been
merged with Integrated Rural Development Programme which is ultimately handed over to
the District Rural Development Agency for planning and implementation.
ii) Minimum Needs Programme
In 1974, the Government of India introduced the "Minimum Needs Programme" to
improve the quality of life of the rural poor and provide infrastructure facilities required for
supporting.and supplementing various programmes which have been started to help the
rural poor. This programme is essentially meant for human resource development. It seeks
to improve the consumption levels of those living below the poverty line and thereby
improve their productive capacity. The main components of minimum needs programmes
are 1) elementary education; 2) rural health; 3) rural water supply; 4) rural roads: 5) rural
electrification; 6) house sites for landless labourers; 7J nutrition and 8) environmental
improvements of urban slums.
Nearly six thousand crores were provided during the sixth plan while a total provision of
about ten thousand crores were made under central and state sector during the seventh plan.
It is quite a substantial amqunt and gives indication of the commitment of the Government
towards rural development. All the programmes mentioned above have been handled by
different agencies such as DRDA, DPAP etc., at the implementation stage.
iii) Special Livestock Production Programme
The Special Livestock Production Programme was launched in 1975 mainly to provide
employment opportunities to the rural poor through improvements in the livestock products
such as milk, wool, eggs etc., and to set up sheep, poultry, piggery production units. This
programme is in operation in about 183 districts in thirteen states and four union territories.
One third of the beneficiaries will have to be from SCs and STs only. This programme is
also managed by DRDA.
iv) Antyodaya
The Antyodaya scheme is based on Gandhian philosophy. Its main objective is to uplift the
poorest of the poor in the rural areas. The sole criteria in the selection of people is the
extent of poverty and no discrimination is shown on the basis of caste, class, religion etc. .
Under this scheme, an attempt is made to identify the requirements of the poorest families
amongst the poor living below the poverty line and take appropriate steps for their
betterment. It was first launched in Rajasthan in 1977. The cost of the scheme is to be
shared by the state government, financial institutions and Khadi and Village Industries
Commission. Certain guidelines have been prescribed to identify the target group.
Several schemes have been formulated under this programme. Allotment of agricultural
land and credit facilities for securing inputs for the development of agriculture, old age
pension to the old, infirm and disabled would be provided to the Antyodaya families. Loans
from the financial institutions have been arranged under differentialrate of interest to the
families for the purchase of bullock cart, camel cart, donkey cart, pair of cows, sheep, goat
units etc. Self-employmentschemes to the rural artisans have been provided through Khadi
Board. School going children of Antyodaya families are provided with school dress, books,
medical facilities etc., at free of cost.
The policy, strategy and guidelines of this scheme are prepared by a state policy committee
headed by the Chief Minister. With the help of a full-fledgedCommissionerfor Antyodaya
scheme, the Chief Secretary is responsible for implementing the various programmes. There
is a District Antyodaya Committee headed by District Collector with officials and non-
officials as members of the committee. This committee is responsible for the implementation
of the programme at the district level. The Panchayati Raj Institutions, the Co-operative and
other financial institutions have an important role to play in this programme.
Government of India had decided to extend its assistance for the programme if implemented
under the Integrated Rural Development Scheme, cultural attainments. Their literacy rate is
low and government service is the most disappointing factor.
With a view to bring the tribal population in the country within the mainstream of socio-
economic development, an integrated sub-plan approach for tribal development was
adopted.duringthe Fifth Five Year Plan. This new strategy is adopted in almost all the
states where there is tribal population and the Integrated Tribal Development Agencies
were establisha for each tribal area. Now, we will discuss the tribal sub-plan objectives and
the programme of ITDA.
a) Tribal Sub-plan Objectives
The basic objectives of the subplan and ITDA are to narrow down the gap between the
backwardness of the tribal areas and the economically developed areas. It is intended to
improve the quality of life of these long depressed and neglected sections of the society. It is
also pointed out that the tribal areas, which have become easy prey of non-tribals, have to
be liberated from the all forms of exploitation by non-tribals. Further, it is proposed to
provide suitable locations to rehabilitate those tribal families, displaced due to location of
projects like power, irrigation, industry, mining etc. It is a gigantic task.
The Integrated Tribal Development Agency is registered under Society's Registration Act
with the District Collector as the Chairperson and the Project Officer as the Chief Executive.
There is a Managing Committee consisting of official and non-official members of the
district concerned.
Under the special assistance for tribal development, the Fifth Plan provided Rs. 526 crores,
while the same has come down to Rs. 485 crores in the Sixth Plan. However, during the
Seventh Plan, there was an increase in the allocation to Rs. 756 crores.
b) The Programmes of the ITDA

The main thrust of the ITDA is to-encourage the programmes of the local nature. However,
the tribal sub-plan was to identify the thrust areas of the different areas for the different
regions. After a review of the state efforts, some major areas were identified for action. The
following areas have been given priority in the tribal sub-plan of the ITDA.
a) The major area in the ITDA scheme is on agriculture and allied activities such as animal
husbandry, horticulture etc. By horticulture is meant intensive cultivation of vegetables,
fruits and flower crops on relatively small plots. Under this programme, the ITDA
undertakes the supply of high yielding variety seeds, plough bullocks, oil engines, electric
niotor pumpsets, soil conservation, horticulture and orchard development.
b) Supply of milch animals, sheep, goat, piggery duck and establishment of fodder plots are
undertaken by the ITDA.
c) Minor irrigation works, irrigation wells, tube-borewells community irrigation wells and
filter points are undertaken by the ITDA.
d) The ITDA provides assistance to form cooperative societies for the benefit of tribals.
A number of other activities have been taken up by the ITDA for the welfare of the tribals.
In all these activities, today, the oDRDAis responsible for the execution of Antyodaya
scheme in all the states.
In view of its working and experience so far gained, it is pointed out that the loans given to
the beneficiaries should be utilised for the purpose for which they were granted. Further,
there is a need for involving voluntary agencies in these programmes. Finally, the success of
the schemes depends mostly on the fair selection of the target group, integrity and sense of
devotion of the offi~ialsand non-officials and the w-operation of different segments of the
society.
v) Food for Work Programme
fn 1977, Food for Work Programme was launched to provide opportunities of work to the
rural poor. It was also intended to provide employment opportunities during slack season
and.create durable assets in the form of roads, canals, minor irrigation projects. The basic
aim was to provide additional employment in rural areas and at the same time create
durable community assets which would strengthen the rural infrastructure. The workers
were mid mrtlv in cash and mrtlv in food erains. Initiallv. the results were encouraeine but
after sometime, there was steep decline in employment opportunities. Therefore, the food
for work programme was reshaped into National Rural Employment Programme in
October, 1980.
vi) National Rural Employment Programme (NREP)
With a view to provide employment opportunities to nual workers, particularly during the
lean seasonlor severe drought conditions, an integrated scheme has been introduced in
1980. It is expected to prepare a district level employment plan keeping in view the
availability of skilled and unskilled workers. Projects are to be prepared for each district on
the basis of the felt needs of the rural community. The NREP has to give priority to works
relating to social forestry and pasture development, soil and water conservation, imgation,
flood control and drainage and improvements to village tanks. further, 10 per cent of the
resources under this scheme are allotted to people belonging to Scheduled Castes and
Scheduled Tribes. Similarly, 10 per cent of the resources are earmarked to social forestry
programmes. It is a centrally sponsored scheme which will be executed through Panchayati
Raj Institution (PRIs) and its implementation is entrusted to DRDA. There is a provision
for involving voluntary organisations in this venture. Substantial allocations have been
made in the VI and VII Five Year Plans. In 1989, the Government of India launched yet
another employment generation programme called Jawahar Rozgai Yojana. It is intended
to combine National Rural Employment Programme (NREP) and Rural Landless
Employment Guarantee Programme (RLEGP). \.
vii) Rural Landless Employment Guarantee Programme (RLEGP)

In August 1983, yet another programme called the Rural Landless Employment Guarantee
Programme (RLEGP) was launched with an aim to alleviate poverty, unemployment,
underemployment among the rural landless workers. The main objectives of the programme
are t0.a) improve and expand employment opportunities for the rural landless and provision
for guarantee of employment to at least one member of every landless family up to 80 to 100
days in a year and b) creation of durable assets for strengthening of the rural infrastructure,
capable of increasing production. Rural link roads, field irrigation channels, land
development, reclamation of waste lands, social forestry have been identified as priority
items under the RLEGP. It is entirely financed by the Government of India. In the Sixth
Plan,.an amount of Rs. 500 crores were provided. About one thousand crore. have been
earmarked during the Seventh Plan period.
The RLEGP has created substantial infrastructure facilities and community assets.
However, the amount of employment opportunities provided to the landless has been
meagre because of the concentration of asset creation rather than creation of required
quantum of employment.
viii) Integrated Rural Development Programme (IRDP)
The concept of Integrated Rural Development Programme (IRDP) was introduced in 1978-79.
This has been started mainly with a view to achieve better r ~ u l t with
s proper coordination
and integration of different programmes. The attempts =.far made have been piecemeal,
fragmented rather than integrated and comprehensive. This resulted in lopsided approach
in the area of rural development. The different programmes such as SFDA, MFAL, DPAP,
NREP, RLEGP, MNP, Antyodaya etc., did not bring desired results and on the other hand
a majority of the rural population continue to remain extremely poo; without
income generating assets and without access to institutional credit and other inputs.
Keeping these aspects in view, a new strategy has been evolved to improve the economic
and social life of the poorest of the poor living in the rural areas. The scheme is designed as
the Integrated Rural Development Programme. Most of the earlier schemes are now
merged into IRDP. It is extended to all the districts in the country.
The IRDP aims at generating additional employment opportunities to raise the income
levels of all the poor fimilies who live below the poverty line. The thrust of the scheme is
on the poorest of the poor, consisting of small and marginal farmers, agricultural and non-
agricultural labourers, rural artisans and craftsmen, scheduled castes and scheduled tribes.
The main effort is to prepare area specific plans for full employment, seek people's
particioation, involve voluntary agencies, motivate target groups and evaluate the
programme through research and concurrent evaluation.
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h k r l i o p t i o n and Development entrusted to the IRDP. Thus the integrated approach is expected to yield significant results
in evolving a new strategy to face the problem of poverty. . /
The implementation of the programme is done by the District Rural Development Agncy,
a registered body under Society's Registration Act 1860. All the schemes in the district have
been entrusted to DRDA. It is an autonomous body with district collector as the
Chairperson and Project Officer as the executive authority. Recently, the Karnataka
Government has placed the DRDA under the control of Zilla Parishad.
4a
It is pointed out that for the proper implementation of all the schemes so far described, the
financial institutions have an important role to play. The presence of the bankers is all
pervading, starting right from identification of target group, selection of asset, adjustment of
subsidy and follow up on the use of credit. Thus, they have a very crucial role in the
implementation of various schemes in the rural development.
A number of evaluation studies have indicated that the IRDP did not succeed in identifying
the beneficiaries to the extent it was expected. The wrong identification is said to be
between 15 and 20 per cent. Further, there have been complaints of corrupt practices due to
the role of pyravikars i.e. middlemen because of lack of awareness among the beneficiaries.
In certain places, the banking services were inadequate which invariably resulted in
inordinate delay in disposing of loan applications. Absence of appropriate technology,
inadequcy of infrastructure, hostile political conditions in the rural area accounted for poor
implementation.

Note : i) Use 'the space given below for your answers.
1) Why was the Minimum Needs Programme introduced?
2) Write a short note on Antyodaya.
........................................................................
3) What are the objectives of the Integrated Rural Development Programme?
25.10 LET US SUM UP

Beginning with the Fifth Five Year Plan, a number of specialised agencies for rural
development have been organised by the Central Government and by all the states with a
hope to eliminate poverty by lifting people from below the poverty line through various
schemes. There have been massive investment in these programmes. But sadly enough, they
The following analysis is based on studies conducted by academics, government and Specidised Agencies fo.
voluntary bodies : Development
It is pointed out that the agencies did not leave any significant and positive impact on the
conditions of the rural poor. On the other hand, the rural rich got the benefits through
manipulation and tightened their grip over the poor. In case of a few who got the benefit
did not use the assistance for the purpose for which it was given but diverted the same for
other pressing need. The unimpressive performance of the specialised agencies may be
traced to the following factors.
A critical analysis of the working of these agencies reveals that the special agencies have
been run by those who belong to the regular administrative machinery. In fact several
officers are deputed from regulatory departments. Almost all the schemes have to be
implemented through the usual machinery available at the grassroot level. This raises the
question that how can an agency which is manned by the same bureaucrats and dependent
on the same administrative machinery be different from the rest of the machinery in actual
practice.
In fact the specialised agencies have created new problems. The regular staff treated the
work of the agencies as additional burden. The specialised agencies do not have a
machinery to monitor the schemes. The district bureaucracy do not feel happy with this
,new agencies. In certain cases, officers who have been inconvenient in the department were
sent to the new agencies. It means they do not have any stake nor commitment. We find an
actue problem of coordination. This is only an illustration but not an exhaustive analysis of
the problems faced by the specialised agencies.
In the existing socio-economicculture, it is very difficult to insulate the vested interests from
these agencies. The agencies are guided by the rural elite at various levels. The rural poor
are helplessly dependents on these elite. Mere establishment of a special agency would not
help in breaking the stronghold of the rural elite on the administrative culture of the state.
While identifying the target groups, the personnel of the agencies depend on the rural elite.
There are a number of cases where the qualified and deserving were ignored. It means that
the special agencies could not be of much help in an anti-poor culture inside and outside the
agency. The financial help, extended to the target group in the shape of subsidy/seed money
is treated as a 'dole'. At least that is the impression one gets from the existing political
culture. Therefore, the middlemen, who are corrupt knock away a large cake of subsidy
component of the loan. Special agencies should have evolved their own special or
convenient procedures to transmit the benefits to the target members.
Finally, the very idea of creating several special agencies, indicate that there has been failure
in the working of Governmental institutions. Therefore, modifications are carried out. It
means that the instruments are not sharp enough to attack the rural poverty. It calls for a
deeper analysis to understand the root cause of the existing socio-economic structure which
needs to be transformed drastically.
25.11 KEY WORDS

Afforestation : Planting of land, not formerly so covered.
Ground water exploitation : Making use of water lying under the surface of the ground.
Infrastructure facilities : Facilities regarding the basic structure which supports the whole
system. For e.g., it would be water supply, means of communication etc.
Livestock : domestic animals.
Margin money :The least amount of money at which a transaction is economically sound.
Marginal farmer :The farmers who makes just the profit at which a transaction is possible.
Waste land : Uncultivated, uninhabited land.
Water shed :A water parting, the elevated line which may or may not be sharply defined,
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contiguous drainage areas from which the headstreams flow https://t.me/Upsc_Zone_Official
in different
.. . . ...- . .
Decentralisation and Development

Arora, R.C., 1986. Inregrafed Rural Developmenf; S. Chand : New Delhi.

Paul,S., 1978. Rural Poverty :The Cancer and fhe Cure; Sugar : New Delhi.
Prasad, Kamta, 1985. Planning for Poverly Alleviation; Agricole Publisher : New Delhi.
Punit, A.C., 1981. Profiles of Poverty in India; B.R. Publication : New Delhi.
Sundaram, I.S., 1984. Anti Poverty Rural Development in India; D.K. Publisher : New Delh,i.

EXERCISES
1) See Section 25.3
2) See Section 25.5 (i)
3) See Section 25.6
1 ) See Section 25.7
I ) See Section 25.9 (ii)
3) See Section 25.9 (viii)

UNIT 26 EVOLUTION AND EXPANSION

OF PUBLIC SECTOR
structure
26.0 Objectives
26.1 lntroduction
26.2 Public Sector and Public Enterprise - Meaning
26.3 Evolution of Public Sector in India
26.4 Objectives of Public Sector
26.5 Expansion of Public Sector and its Impact on .the Economy
26.6 Let Us Sum Up
26.7 Key Words
26.8 References
26.0 OBJECTIVES
explain the meaning of public sector and public enterprise
.discuss the evolution' of public sector in India
highlight the objectives of public sector; and
analyse the expansion of public sector and its effect on the economy.
26.1 INTRODUCTION -
~ t d f intervention
i of a positive kind in the regulation, ownership, and operation
of industries and services has become an essential activity of public
adfninistration in almost all the countries. For example, the manufacturing of
arms and ammunition and other related activities for the defence of the country
had been an indispensable part of the state function. During ancient times also,
as mentioned in Kautilaya's Arthasastra, there are references about
departmental heads dealing with coinage and other economic activities.
Over the years, the role of the state in undertaking commercial activities has
gained importance due to changes in the economic system. The most important
reason has been the advent of industrial revolution and its expansion which has
necessitated state intervention in various forms: During the period of Great
Depression in the early thirties, the view which was held that if the government
is kept out of the, business it will automatically provide the community with
necessary economic development had been amply disproved. In USA during
this period the federal government entered into the field of economic and
industrial management in a bigger way than before.
The extent of the state regulation or control of industries varies from country t o
country. The government's ownership of industry in the socialist societies is
based on the plea that public sector plays an important role in bringing economic
development. In the case of capitalist countries, it is felt that there should be
conscious effort to keep the government out of economic operations as far as
possible. In a developing country like India, public sector is largely a necessity
and not a matter of choice.
In this unit, we will explain h e meaning of public sector, public enterprise and
discuss the evolution of public sector in India. The unit will also.dea1 with the
objectives of public sector and highlight the expanskn of public sector and its
impact on the economy in terms of investment, turnover, employment, bringing
about balanced regional development etc.
=*.dlkr-nt
26.2 PUBLIC SECTOR AND PUBLIC ENTERPRISE-
MEANING
Despite a large volume of literature on the subject which has considered the
importance of public sector in the econcmic development, the meaning of public
sector, public enterprise, public sector undertaking continues to be vague and
varying. Now let us know the meaning of these terms.
As we have read in Block 2 of this course, the present Indian economic structure
is characterised as 'mixed economy' with the presence of public, private and
joint sectors. Public sector in a wider sense covers all the governmental activities
which are social, industrial, and commercial in nature. Public sector is said to
cover all publicly controlled activities, the developmental activities in the fields
of education, public health, transport and communications, infrastructure etc.
Public Sector includes not only government departments but also government
companies whether in the central or the state sector, irrigation and power
projects, railways, posts and telegraphs, ordnance factories, other departmental
undertakings. The banking, insurance, financial and other services also come
under the purview of public sector.
The Bureau of Public Enterprises, Government of India in its annual Report
1973-74 states, "Public Sector in its widest sense covers all activities of the
Government. It is in this sense that the overall expenditure mentioned in the
Five Year Plans are described. In a more specific sense, however, public sector
would cover industrial and commercial undertakings of the Government which
are in the form of state corporations or companies registered under the Indian
Companies Act ..........".
Public enterprises, on the other hand, can be defined as those specific forms of
institutions set up either at the central, state or local levels involving
manufacturing or production of goods including agriculture or making available
a service for the price. Such institutions can be maintained either'directly in the
form of a departmental organisation or through any autonomous body. The
main focus is that in public enterprise, the price is charged for goods and services
provided by it. Such price may cover the entire cost or not but the aim is that the
enterprise as a whole, should at least have a breakeven. Therefore, the.socia1
services, the administrative functions of the government are not covered under
the term public enterprises, while public utility services like railways, postal
services and telecommunications, though managed by the respective
departments are called public enterprises because the objective is to breakeven
over a period of time.
According to the United Nations Document, a public enterprise is that
organisation in which the government has a majority of interest of ownership
andlor management. In one of the studies of the Standing Conference of Public
Enterprises (SCOPE), a public enterprise is defined as an entitylorganisation
which is owned andlor controlled by public authorities and whose output is
marketed. In U K, public enterprises are known as nationalised industry
because most of them came into existence as a result of nationalisation of
existing industries. In India, on the other hand, majority of the public
enterprises have been set up as a result of governmental entrepreneurial efforts
after Independence.
Thus, while public sector refers in a widest sense to all the economic activities
undertaken by the government, public enterprises are those specific forms of
institutions or establishments in the public sector, responsible for production of
certain goods and services. Public enterprises are also referred as public sector
undertakingslunits, government controlled enterprises, state economic
enterprises. Public enterprises are set up in various forms like corporation,
company etc., about which we will discuss in Unit 27.
.26.3 EVOLUTION OF PUBLIC SECTOR IN INDIA

The
earliest'reference
Downloaded from:- https://t.me/Pdf4Exams to the state ownershiphttps://t.me/Upsc_Zone_Official
and operation of industry in India is
development of industries as a remedy for frequent famines. The Commission

stressed the need for governmental help for the creation of new industries. It also
suggested that the government should start manufacturing of sugar, cotton, wool,
silk, paper, pottery, glass.etc. However, no action was taken by the then government
as India's role was confined to that of an exporter of rawmaterials for manufacturers
in England. Even in the Report of the Indian Industrial Commission (1904) the
government's policy of industrial development was confined to a few provisions of
technical and industrial education, collection and dissemination of commercial
information and publication of monographs on Indian industries. In 1905, the
government established a Department of Commerce and Industry. It was hoped that
public sector would be initiated. Though some steps were taken in this regard, it
aroused opposition by the European Communities who interpreted the action of the
government as a serious menace t o private enterprise and considered it as an
intervention on the part of the state in matters beyond their sphere.
The First World War brought to the fore, the vulnerability of the Indian
economy. After the commencement of the war, the government resolved to
examine the industrial policy. It was felt that a definite and self-conscious policy
of improving the industrial capabilities of India should be pursued after the war.
This led to the appointment of Industrial Finance Commission in 1916. It
recommended that the government must play an active part in industrial
development. It also felt there was a need for establishing certain kty industries.
Later, under the Government of India Act 1935, the developrtlent of ipdustry
became a provincial subject and the Centre had only the powers to give
directions and provide technical education. Since the provincial.gsvernment
lacked adequate experience, organisational funds, ipitiative- and creativity,
nothing much was done except the creation of departments of industries in
provinces. In 1937, when the Congress came to power in many provinces, the
Conference of Industry Ministries of the provinces under the Chairmanship of
Subhash Chandra Bose emphasised the need for industrialisation and
recommended a comprehensive national plan for the purpose. It was also felt
that the public utility services could be owned by the qentral, provincial and local
governments. Even the key indust* like machine tools, manufactute of
machinery, heavy engineering, automobiles, chemicals and fertilisers were
recommended to be under the direct operation of the state.
In April 1945, the government issued a statement on industnal policy ander

which continuation of ordnance factories, railways and public utility services
already under the state ownership and operation was confirmed. It declared that
some of the'basic industries should also be under the ownership of the slate.
Such state intervention was required as adequate capital was not forthcoming
.and also it was essential in the national interest to promote such industries. The
Advisory Planning Board set up in December, 1946, suggested that the state
should take into its own hands the ownership and management of large
industries. However, the interim government which came into power in 1946
was more concerned with the transfer of power, and therefore nothing could be
done on this recommendation.
After Independence, the government had to tackle the urgent and difficult
problem of securing growth at a faster rate. Basic requirements of economic
development were lacking and foundation for economic growth had to be laid.
For this purpose it was considered that building up of infrastructure was
essential. It was also felt that owing to long gestation period, low yield and high
capital intensive nature of the investments, which could not be taken up by the
private enterprises, state intervention in economic activities, was necessary.
Keeping in view the varied problems faced by India on its economic, social
fronts, it became imperative to introduce public sector which was to help in
building a sound agricultural and industrial base, overcoming the economic and
social backwardness.
The growth of public sector in India over the years, since Independence can be
traced to the Industrial Policy Resolutions made by the government. The
Industrial Policy Resolution of 1948 emphasised on the growth of industry and
expanding production capacity of both the public and pri~ate~sectors. It made it
clear that the State must play a progressively active role in the development https://t.me/Upsc_Zone_Official
of
industries. It was also felt that due to the inadequacy of resources, the State may
not be able to enter into all industries as widely as it may desire. Therefore, the
decision was to set up upits of production in the newer fields rather than
acquiring or running existing units. It was also felt that the private enterprises if
properly directed and regulated must also play an important role. According to
the Resolution, the industries 'were divided into four categories. The first
category included the manufacturing of arms and ammunition, production and
control of atomic energy, ownership and management of railways and transport.
T h ~ s ewere to be under the exclusive monopoly of the Central Government.
The second category which covered setting up of new undertakings like coal,
'iron and steel, aircraft manufacturing, ship building, telephones etc., were to be
the responqbility of Central, State governments and municipal corporations.
The third category of industries which included automobiles, heavy machinery
etc., was to be increasingly subject to Central control and regulation in
co-operation with state governments. Rest of the industries were left to the
private enterprises subject to the provision that' the State will also progressively
participate in this field and will not hesitate to intervene where the progress of
industry, under private enterprise is unsatisfactory.
The Constitution of India which was adopted later, emphasised the role of the
State for ensuring better utilisation of resources, and also in preventing
concentration of wealth in few hands. Article 39 of the Constitution provides
that "the State shall, in particular, direct its policy towards securing that the
ownership and control of the material resources of the community are so
distributed as best to subserve the common good" and that "the operation of
economic system does not result in the concentration of wealth and means of
production to the common detriment" The introduction of planned economy
and setting the goal of achieving socialistic pattern of society also emphasised
the need for public sector and for its rapid expansion. It was felt that the public
sector should not only initiate developments in the activities in which the private
sector was either unwilling or unable to undertake, but also play a dominant role
in shaping the entire economy of the country. Thus, the extensive role of the
public sector in the country had been well established after Independence.
The 'Industrial Policy Resolution of 1956 emphasised on the need for planned
and economic development and declared that all industries of public utility
services should be in the public sector. Other industries which are essential for
the development of the country and required investment on a large scale should
also be in the public sector. Thus, the government was to assume direct
responsibility for future development cf industries over a wide area. The
industries under the Resolution of 1956 were classified into three categories.
Category one consisted of industries like arms, ammunition, defence equipment
etc., the development of which would be the exclusive monopoly of the State. In
the second category, industries were to be progressive!^ State-owned and the
State was to take initiative to establish new undertakings. Th,e private sector was
expected to supplement the efforts of the state. The third'category comprised
the consumer industries, the development of which was generally left to the
initiative of private sector though the State could set up any industry in this
category. From the Industrial Policy Resolution, it is amply clear that India has
consciously adopted the policy of mixed economy where the co-existence of
public and private sectois have been emphasised. We have already discussed in
detail the concept of mixed economy in Unit 5 of Block 2 of this Course.
It is clear from the Industrial Policy Resolutions that the compulsions of securing
the desired socio-economic objectives for improving the standard of living of
people, and also the then prevailing inability of the private enterprises to meet
this challenge were primarily responsible for assigning a dominant role to public
sector in India. The Industrial Policy of 1977 also envisaged a greater role for
public sector in various fields. The Industrial Policy Statement made in 1980,
also expressed that public )ector will continue to play an increasingly important
role. During the last two decades, there has been an unprecedented expansion
of public sector, to the extent that there is no sphere of economic activity left
where the direct participation of the public sector is not to be seen. This has led
to various positive benefits in the economyhttps://t.me/Upsc_Zone_Official
about which we will be discussing in
,. . -- -
An important aspect which needs to be discussed is the objectives for the Evololkm .adExpudoll d
fulfilment of which the public sector has evolved in India. The Five Year Plans as Rtbk Sector
well as the Directive Principles of State Policy have enumerated a number of
objectives which are to be fulfilled by the public sector. Let us discuss these in
the next section.
Check Your .Progress 1
ii) Check your answers with those given at the end of this unit.
1) Distinguish between public sector and public enterprise.
..............................................................................................
'
2) What steps were taken during the pre-Independence period towards
promoting State intervention in economic activities?
);. I lichlicht the rnkiin p~-o\i\ic>n.o f Indu\tri:~l Policv Resolution of 1948.

..................................................................................................
.................................................................................................
.................................................................................................
.................................................................................................
26.4 OBJECTIVES OF PUBLIC SECTOR

Though the reasons for the expansion of public sector in different countries, may
differ, the United Nations has clearly given a comprehensive understanding of
the reasons why the governments have set up the public sector. Following are
some of the objectives as indicated by the United Nations :
1) Government must supply the developmental initiative. The purpose of'the
future development will require the stimulus of the government on the
demand side and its determined direct participation in the economic and
social works. Such an initiative may come in the form of initiative fbr
investment and promotion' of industrial activity, initiative for developing
infrastructure and basic activities or tbe government may supply the
required managerial and technical capabilitiesoto the entetprise.
2) Government has specific priorities and compulsions which are unlikely to
be realised if they are left erltirely to the private enterprise.
3) Government may be able to ~upplementthe efforts of the private sector in
import substitution and export promotional activities.
3) The government may wish to promote savings faster by generating
resources through prices charged by public sector enterprises. This is
Pllbaescecorud~enbpmeat being considered as more convenient method of resource mobilisation
rather than exclusive resort to measpre of borrowings from public.
5) The government may introduce public sector enterprises as an agency of
development in an under-developed region because the private sector has
a tendency to entrust their units in already developed region.
6) In many cases, the governments of the developing countries have certain
ideological objectives such as promotion of economic and social justice,
which also necessitates a greater role for public sector.
The state of Indian emnomy, at the time of Independence which is basically
agrari~n,with a weak industrial base, low level of savings and investment, near
absence of infrastructural facilities, made it imperative for the government to
step in to all sectors of the economy. Moreover there still exists considerable -
inequalities of income, low level of employment opportunities, serious regional
imbalances in economic development and inadequate trained manpower. Given
the types and ranges of problems faced by the economy in the economic, social
and strategic fronts, it became a pragmatic compulsion to expand the role of
public sector as an instrument of self-reliant economic growth so as to develop a
sound agriculture and industrial base, diversify public economy and overcome
the socio-economic backwardness.
The need for public sector arises to meet the following objectives :
i) to help in the rapid economic growth and industrialisation of the country
and create the necessary infrastructure for economic developinent;
ii) to earn return on investment and thus generate resources for development,
iii) to promote redistribution of income and wealth;
iv) to create employment opportunities;
v) to promote balanced regional development;
vi) to assist in the development of small-scale and ancillary industries;
vii) to promote import substitution, save and earn foreign exchange for the
economy.
These objectives are the macro-goals or broad objectives of the public sector.
Till now no effort has been made to lay down micro-objectives for public
enterprises on an individual basis. Andhra Pradesh was the first state to have
brought out a white paper on state level public sector enterprises, in 1989 which
was the first of its kind in India. There has been persistent demand on the
Central Government to present a white paper on public enterprises. Earlier too,
the Administrative Reforms Commission and the Parliamentary Committees
have repeatedly recommended to the government to specify the objectives of
every public enterprise. This will facilitate the evaluation of the performance of
public enterprise, in terms of the fulfilment of the laid down objectives. A recent
development in this direction is the practice adopted by the government in
signing a Memorandum of Understanding (MOU) between the government and
the enterprise. It is a simple and effective technique of establishing clear
objectives and targets, unambiguous criteria for evaluation and a system of
rewards for achievement. Nearly 26 public sector enterprises have been covered
by this system and one hundred more are likely to be covered during 1991-92.
26.5 EXPANSION OF PUBLIC SECTOR AND ITS

IMPACT ON THE. ECONOMY
In India, before Independence, State intervention in economic and commercial
activities was confined to a few areas like railways, ports, posts and telegraphs
ordnance factories etc. Since Independence, the range of activities and products
of public sector have expanded tremendously. It includes making of steel,
mining of coal, ferrous and nonferrous minerals, extraction and refining of
crude oil,, manufacturing of tools, machines, electrical, building equipment,
telecommunications, cement, textiles, newsprint, and many other consumer,
trading and service activities. These activities dominate the national economy in
several sectors especially in the production of basic metal industries, fertilisers,
Downloaded from:- and fuel. The public sector's contribution to https://t.me/Upsc_Zone_Official
https://t.me/Pdf4Exams the total industrial production
constitutes more than 50% in many metals, steel and coal, while it is 100% in the Evolution and Erprnsba of
Fuwc sector
area of petroleum, copper, lead and electromechanical teleprinters.
In the last two decades there has been continued large investments in public
sector. This was done with a view to accelerating the growth of core sectors of
the economy, to serve the equipment needs of the strategically important sectors
like railways, telecommunications, defence etc., and alsd to achieve a certain
degree of self-sufficiency in critical sectors. There has been growth of consumer
oriented industries in public sector like drugs, hotels, food industries etc. This
was done to ensure easier availability of vital articles of mass consumption and to
check prices of important products.
There are a large number. of public enterprises operating in national and
international trade, consultancy, contract and construction activities,
communications etc. The public sector coverage has of late enlarged and a
sizeable proportion of its outlay has been directed towards the various public
enterprises. At the commencement of the First Five Year Plan, there were only
five Central Government enterprises and the number rose to 244 by March 1990.
The growth of public sector enterprises has been phenomenal not only in terms
of investment, but also in terms of production, profitability and range of
activities. The imperatives of bringing about accelerated economic growth of the
country as well as achieving socio-economic goals under planned development
has given fillip to the expansion of public sector.
The expansion of public sector in terms of the number as well as investment has
led to many positive effects on the economy in terms of output, employment,
generation of resources, balanced regional development in the country etc. Let
us discuss these briefly.
Investment
The investment in central public sector undertakings alone has-grown
appreciably over.al1 these years. From Rs. 29 crore as on April 1st 1951 in five
enterprises, the moesknent has gradually increased to Rs. 99,315 crore in 244
operational public enterprises as on March 31, 1990. The plan-wise growth of
investment in central public sector enterprises from 1st April 1957 to 31 March,
1990, is given in the table belob :
Tabk 1
Plan-wise Growth of Investment in Central Public Enterprlscs
Total Investment No. of

(Rs. in Crores) Enterprises
At the commencement of 29 ,5
1st Five Year Plan (1.4.51)
At the commencement of 81 21
2nd Five Year Plan (1.4.56)
3rd Five Year Plan (1.4.61)
At the end of 2410 73
3rd Five Year Plan (31.3.66)
4th Five Year Plan (1.4.69)
At the fommencement of 6237 122
At the end of 15534 169
7th Five Year Plan.(1.4.85)
As on 31.3.1989 85628 238
As on 31.3.1990 (i.e. at the end of 993 15 244
7th Fivc' Ycar Plan)
Scaa and Dc*e4opment Besides the number of units given in the table above, there are many enterpri.ses
which are under the various departments of the government. If those are
in'cluded, the amount of investment would become tremendous.
Turnover
The expansion of public sector can also be analysed from the turnover of the
public enterprises. The turnover which during 1979-80, was only 23,290 crore
rose to Rs. 93,122.13 crore in 1988-89. During the last ten years, the turnover
has increased by nearly four times. The ratio of net turnover to capital employed
brings out the efficiency of utilisation of funds of any enterprise. During
1988-89, this ratio was about 127%. Bulk of this turnover is from enterprises like
Indian Oil Corporation, Oil and Natural Gas Commission, Steel Authority of
India and Food Corporation of India. In fact, the major tuinover is in the Oil and
Petroleum Industry. The public sector's role in the total economy of India has
been rapidly expanding since the beginning of planning. In terms of its
contribution to net domestic product which was only 3% at one time has already
increased to over 20%. Apart from 'the share in the Net Domestic Product, the
rapid rise of public sector is manifested in the growth of income. Over the last
few-decades the income of public enterprises has increased by 374 crore, a't an
annual rate of 20% as compared to 11% for the private sector in the organised
segment of the economy.
Infrastructure Development
Public Sector has contributed significantly to the development of strong
infrastructure which is essential for economic development. There has been
tremendous improvement in the road, rail, air and sea transport system. There
has been sufficient expansion of irrigation facilities, power, energy which has
contributed to agricultural and industrial development. Such improvemznts
brought about in the infrastructure by the public sector after Independence have
benefited the private sector too.
Balanced Regional Development
Public Sector had made significant contribution in bringing about balanced
regional development and accelerating economic growth. The position of
economic development in some states and regions in the country has not been
uniform over the years owing to some historic reasons and other factors. During
the pre-Independence days, there was concentration of industries in Bombay,
Calcutta and Madras while other parts of the country lagged behind. It was only
after 1951, that attention was paid towards these problems and' steps were
initiated to set up industries in other areas which had been neglected. The
Industrial Policy Resolution of 1956, and subsequently the Resolutions of 1977
and 1980 also emphasised the need for accelerated rate of growth in the
economy, speedy industrialisation and removal of imbalances in development
between different states/regions/areas. Hence, a substantial portion of
investment of public sector has been diverted to setting up large units in
backward regions and also in remote areas. It was with this objective of
developing the backward areas that all the four major steel plants have been set
up in Madhya Pradesh, Orissa, Bihar and West Bengal; fertiliser factories have
been located in Andhra Pradesh, Bihar, Assam and so on.
The dispersal of public sector units to a i the states and union territories has been
appreciable as it has led to the expansion of employment opportunities, growth
of small scale and ancillary industries along with the development of
infrastructural facilities: It is with this view of bringing about balanced regional
development that the government has been following the policy of giving
preferential treatment to backward states in the field of public sector investment.
Employment
The real strategic position of public sector can be seen by looking at its shares in
employment. The expansion of public sector has witnessed considerable
increase in employment. As on March 31, 1989, 232 Central Public Sector
enterprises employed 22.93 lakh people which constitutes more than one third
of the total employment in the organised sector. During 1978-79, the number of
employees in public sector was only 17.03 lakhs. State-wise distribution of
employees reveals that Bihar accounted for the largest number of 4.33 lakh .
employees as on March 31, 1990 followed by West Bengal,-Madhya Pradesh, Evdublonand Expmuh of
PGblicSeaor
Maharashtra, Utiar Pradesh. The industries,. which have a sizeablk number of
employees in the public sector include coal and lignite followed by steel, textiles,
heavy engineering, petroleum etc. The coal and ignite sector alone accounted
for more than 30 per cent of the total employees.
The public sector is becoming a model employer and most of the enterprises
have recognised their social responsibility in providing housing, educational,
medical, recreational facilities to the employees, especially in cases where the
projects are located in towns and villages which are inaccessible. The actual
gross investment incurred on township of public sector enterprises (including
work in progress) as on March 31, 1990 amounted to Rs. 2,965 crore. Housing is
a major contributory factor in bringing about an attachment of employees with
their enterprises and in promoting better and balanced industrial development
including higher productivity. Keeping in view the need for overall
improvement in the productivity of personnel working in various public
enterprises attention is being paid towards training and re-training programmes.
Public sector has been one of the instruments in bringing about development of
human resources.
Internal Resource Generation
Over all these years, public sector has been paying great attention towards
generating resources internally for financing their own expansion and for other
development activities. In the context of resource crunch'being faeed by the
country, the generation in internal resources by the public sector has assumed
greater importance. The gross internal resources generated by the public sector
enterprises during the third plan period was of the order of Rs. 287 crore which
in the seventh plan period went up to 37,678 crore. The public sector contributes
to the government exchequer by way of
i) dividends
ii) interest payment on loans
iii) income tax
iv) excise and other duties.
During the year 1989-90, such contribution amounted to Rs. 18,252 crore as
against Rs. 16,352 crore in the previous year, recording an increase of 11.6 per
cent.
Import-Substitution and Export Promotion
In a developing economy like India, the problem of foreign exchange becomes a
serious constraint on the process of industrialisation. The expansion of activities
of public sector in areas like steel, aluminium, heavy engineering has to a certain
extent lessened this problem. The contribution of some of the public enterprises
like Indian Oil Corporation, Oil and Natural Gas Commission, Bharat Heavy
E~ectricalshas been significant in reducing imports substantially thereby
reducing foreign exchange piessure and creating a base for industrial and
kconomic self-reliance of the country.
Public Sector has also contributed towards expanding exports of the country
especially in products as metal ores, engineering goods etc. Apart from foreign
exchange earned through exports by manufacturing concerns, other enterprises
like Air Corporations, Shipping Companies etc., are also contributing towards
the external trade of the country. During all these years there has been steady
growth of export earnings by the public sector enterprises which in the year
1988-89 stood at Rs. 4,898.07 crores.
Public Sector in any country, more so in the develaping countries, certafnly
plays an important role in its economic development. In fact in the developing
countries it is the most important agent of development. It has been able to
translate into reality the policy of technical managerial and economic
development. It is also true that the financial position of a large number of public
enterprises the world over, has not been appreciable. For example, in India, the
net profit works o,ut to be 4.4% of the capital. Some of the public enterprises are
having consistent losses. There is a need to improve the peiformance of public
enterprises but at the same time there are no easy solutions for improving the
performance. Profitability, though extremely important, cannot be the sole https://t.me/Upsc_Zone_Official
criterion for judging the performance of public enterprises in a developing
country. However, there is a need to efficiently manage all the available
resources at the disposal of public sector enterprises. In the foreseeable future,
industrial and economic development in the country is expected to take place to
a considerable extent through. the public sector. Public sector has t o provide the
lead with the private sector enterprises continuing and supplementing the effort
of economic development.
1) State 'the objectives for the fulfilment of which the public sector has evolved
in India.
2) Discuss the expansion of public sector in terms of investment and increasing

employment opportunities.
3) How far has the public sector contributed towards internal resources
generation?
26.6 LET
, US SUM UP -
Intervention of a positive kind m the ownership and operation of economic

activities has become an essential role.of all the States but more so in the
developing countries. Though public enterprises existed in one form or the other
in the earlier societies, generally it is regarded as a development of post-World
War I period. Most of the developing countries have generally adopted the
mixed economy model and the expanded role of public sector is being
considered as a pragmatic approach for the socio-economic development rather
than a dogmatic approach.
Such activities where the organisation charges price for goods and services are
generally regarded as public enterprises. Though in a limited form, public
Downloaded from:- enterprises existed in India during pre-Independence
https://t.me/Pdf4Exams period but the dominant
role of the public sector in shaping the economy of the country is considered as a Evdutlon Ipd Erpusba of
post-Independence activity. Under the Industrial Policy Resolutions of 1948 and Public Soetor
1956, the public enterprises are helping in the rapid economic growth and
industrialisation of the country and have been called upon to create necessary
infrastructure for economic' development, promote balanced regional
development, create employment opportunities, earn forei n exchange and
generate internal resources. 6
Since Independence, there has been a tremendous expansion of public
enterprises in terms of its activities and products, number of units, investment
and the turnover. Over all these years it has played an important role in bringing
about socio-economic development and helping in assisting the small scale and
ancillary industries. It has also been generating resources for the public
exchequer. In the near future, public enterprises will be required to take up
additional responsibility in bringing about economic development.
26.7 KEY WORDS

Ancillary Industries : The industries which are dependent upon the main
industries and provide some help in the form of gdo'ds and services to the main
industries. i
Break-even : It refers to that stage or point when the economic activities start
giving some profit.
Dividend : It is share of profits earned from a company, either by the
government or any individual as holder of shares in that company'.
Equity : A form of financing the organisation under which the capital stock is
held in the form of shares.
Infrastructure : The organisations whose activities indirectly help in providing
base for further eeonamic development.
Memorandum of Understanding : In simple words it means an agreement
between two or more parties. I? case of public enterprises, it means an
agreement between the administrative ministry and its enterprises which is
expected to set out mutual obligations and expectations. The memorandum
clearly establishes the objectives, targets of the enterprises concerned, criteria
for evaluation of achievements and a system of rewards.
Re-training : It is instruction in a new field of specialisation or extensive training
in the old field of specialisation.
Turnover : The turnover relating to public sector refers to the total value of
goods which are sold by the organisation.
White Paper : An official document which gives the policy of the government on
a particular subject.
Bureau of Public Enterprises, 1991. Public Enterprises Survey 1989-90,

Department of Public Enterprises : Government of India.
Dhingra, I.C. 1990. A Text Book of Indian Economy - Resources, Trade and
Development, Sultan Chand and Sons : New Delhi.
Kumar Indra & Biji James, 1990. Public Sector Enterprbes in India, Common
Wealth Publishers : New Delhi.
Mishra, R.K. and S. Ravishankar, 1986 Public Enterprises in India in Public
Enterprises in the World, Himalaya Publishing House : Bombay.
Misra, S.K. and V.K. Puri, 1989. Indian Economy - Its Development Experience,
Himalaya Publishing House : Bombay.
Singh, Bishwanath , 1991.Public Enterprises in Theory and Practice, Deep and
Deep Publications : New Delhi.

EXERCISES
Public Sector covers all the governmental activities which are social,
industrial and commercial in nature. It is said to include industrial,
commercial undertakings of the government which are in the form of
corporations or companies.
Public enterprises are those s p e c s c form of institutions set up either
at the central, state or local levels which are involved in the
manufacture or production of goods. These goods and services are
made available by the enterprises for a price.
The Indian Finance Commission set up in 1888 stressed on the need
for governmental help for the creation of new industries.
A Department of Commerce and Industry was set up in 1905.
With the commencement of First World War, the vulnerability of the
Indian Economy came to fore and the government felt the need to
improve the industrial capabilities of the country, through a definite
self-conscious industrial policy.
The Industrial Finance Commission in 1916 recommended that the
government must play an active part in industrial development and
stressed the need for establishing certain key industries.
In 1945, a statement on industrial policy was issued under which '
continuation of ordance factories, railways, public utility services
already under the State ownership and operation was confirmed.
.The Advisory Planning Board in 1946, also suggested State ownership
and management of large industries.
The Industrial Policy Resolution of 1948 made it clear that the State
must play an active role in the development of industries.
m e State was to set up units of production in the newer fields rather
than acquiring or running the existing units.
It proposed fourfold classification of industries. The first category
consisting of manufacturing of arms and ammunition, atomic energy,
railways etc., were to be under the exclusive monopoly of the central
government. The second category covering iron and steel, coal etc.,
were to be the responsibility of the central, state and local
governments. The third category of industries which included
automobiles, heavy engineering was to be subject to central control
and regulation in co-operation with state governments. Rest were left
to the private enterprises with the provision for State intervention in
cases where the progress of industry under private enterprises is
unsatisfactory.

The objectives for the fulfilment of which the public sector has been set
up in India are to :
help in the rapid economic growth and industrialisation of the country
and create infrastructure for economic development;
earn return on investment and generate resources for development:
promote redistribution of income and wealth.
create employment opportunities;
assist in the development of small-scale and ancillary industries;
promqte import substitution, save and earn foreign exchange for the
economy.
2) !See Section 26.5

3) see' Section 26.5
UNIT 27 FORMS OF PUBLIC

ENTERPRISE
Structure
I
Objectives
Introduction
Departmental Undertaking
Statutory Corporation
Government Company
Choice of a Form of Organisation for Public.Enterprises
Other Forms of Organisation
Joint Enterprise
Need for an Apex Organisation for Public Enterprises
Let Us Sum Up
Key Words
References

state the main features of Departmental Undertaking, Statutory
Corporation and Company form of Organisation
discuss the issue of choice of form of organisation for public enterprises
describe the features of other forms of organisation
explain the concept of joint enterprises; and
indicate the need for having an apex organisation for public enterprises.
As discussed in the previous unit, as a direct consequence of Industrial Policy

Resolutions of 1948 and 1956 and avowed declaratipn of 'Socialistic Pattern of
Society', 'Directive Principles of State Policy' and under the impact of planning,
the public sector in India has assumed a very significant role in the economic
development bf the country. Public sector units have been established in .
industries like steel, coal, fertilisers, heavy electricals etc. Some important
financial institutions like the Reserve Bank of India, insurance companies etc.,
have been taken over by the government, while a number of financial
institutions for providing finance to different sectors of the economy have been
set up. In all these endeavours, when a government determines to acquire or
create a pabec sector unit, it is faced with a dilemma as to how to devise an
administrative structure which is subject to government's direction in important
policy matters like other public organisations, while at the sametime having the
freedom of actiofi necessary for it to operatelefficiently like a private
organisation. Accountability towards public, flexibility in operations are
' important amongst the other characteristic features of public sector
organisations. Basically,, therefore, the choice of a form of organisation means
nothi'ng but the ability to strike a right balance between 'public accountability'
and 'operating autonomy'.
Three pnnciple forms of organisation for the administration of the public

enterprises, each achieving a different balance between the 'autonomy' and
''governmental control' are being experimented by the ~overnmentof India.
These forms of organisation are Departmental Undertakings, Statutory
Corporations and Government Companies. But, so far well-defined principles
have not crystallised either in theory or h practice regardingithe choice of the
form of organisation for the public sector undertakings in India. The
Administkative Reforms Commission in its Report on Public Sector
Undertakings has recommended that a "Statutory Corporation" should in https://t.me/Upsc_Zone_Official
, ~ s a i ~ r . i b ~ r r d 0 f f . t general be adopted forpublic sector projects in the industrial and manufacturing
field. A similar suggestion was also made earlier by the Estimates Committee.
But the government has been favouring the company form of organisation for
industrial and manufacturing, undertakings.
In this unit, we will initially describe the features of the above mentioned three
.principal forms of organisation i.e. the Departmental Undertaking, Statutory
Corporation and Government Company. Then the issue of choice of a form of
organisation for public enterprises will be discussed. Other forms of public
enterprise organisations like control board, operating contract, sector
corporations will be described. The concept of joint enterprise and the need for
having an apex organisation for public enterprises will be highlighted.
Among the different forms of organisation, the 'Departmental' form is the

oldest and is at par with normal government departments in matters of
appropriation, parliamentary control and accountability. This form has
.commonly been used for the hdministration of national services like posts and
telegraphs and railways besides defence production units.
The main features of the ' ~ e ~ a r t m e n t aform
l ' of organisation are :
a) A department is headed by a minister who is responsible for policy making
and day to day administration.
b) Departments do not enjoy any financial autonomy, as the governmerit
exercises strict financial and budgetary control over them.
c) Department follows routine procedures of administration and this leaves '
no scope for any flexibility in taking decisions and other matters too.
d) The .depaqmedts do not enjoy any autonomy in personnel matters. m e
personnel working in the departments are recruited by the public service
commission and are governed by strict rules, regulations of the
government.
According to the Report of the Seminar on Organisation and Administration of
Public Enterprises in the Industrial ~ield'conductedby the United Nations
Economic Commission for Asia and the Far East in 1956, the main features of
departmental form of organisation in most of the countries are :
a) the departmental enterprise is financed entirely by appropriations from
the Treasury and all or a major share of its revenues are paid into the
Treasury;
b) the edterprise is subject 'to budget; accounting and audit controls
applicable to other government activities;
c) the permanent staff of the enterprise are civil servantsand the methods by
which they are recruited and the conditions of service under which they
are employed are ordinarily the same as for other civil servants;
d) the enterpriseis generally organised as major subdivision of one of the
control departments of government and is subject to the direct control of
the Head of the Department; and
e) where this applies in the legal system of the country concerned, the
enterprise possesses the sovereign immunity of the State and cannot be
used without the consent of the government.
Although this form of organisation ensures full control by the government, there
are obvious limitations in this form of organisation. It may not have adequate
freedom of action-in matters such as technological improvements, capital
expansion, finance and accounting, purchase and personnel administration. The
Krishna Menon Committee Report on State Undertakings has also pointed out
some limitations in having a purely departmental form of organisation. These
include :
i)Permanent staff is subject to rules and regulations applicable to civil
servants, there by preventing both promotion on merit and prompt
disciplinary action where necessary;
ii) tardy procedms for atranging funds; for instance, the necessity for
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getting sanction# for expenditure and other
matters inqvery single case;
iii) cash receipts have to be put into government account and cannot be taken
out without special sanction;
iv) the system of accounting; and
v) the departmental methods of purchase of raw material and sale of
products and so on.
The Departmental form of undertakings due to their being subject to such
limitations are not very popular. Inadequacy of this form has been recognised
and two alternative forms viz., a 'statutory corporation' and 'government
company' were developed to allow flexibility and initiative in the management
of the public sector undertakings. Let us now discuss these two forms of
organisation.
27.3 STATUTORY CORPORATION

After Independence with the government assuming new economic, commercial,
industrial functions for the welfare of the people, it was felt that departments are
not suitable for carrying out all these functions. As.we have discussed in the
earlier section, departmental undertakings lack flexibility, autonomy, quick
decision making powers. Hence statutory corporations are better suited for
these functions, as they have altogether a different type of structure. Since they
have more freedom in decision making and flexibility in their day to day working
than departments there was acceptance of statutory corporation as the
appropriate form of organisation for public sector units This is one of the
reasons, for adopting this form of orjgnka-tion while setting up the Damodar
Valley Corporation, the Industrial ~ i n a n c eCorporation etc., after
Indepegdence.
Statutory Corporations are set up under specific statutes of the Parliament and
the extent of their accbtmtability and the nature of the parliamentary control is
indicated in the statutes.
The principal characteristics of a corporation are :
a) It is owned by the government and it is established for some specific
purpose.
b) It is estab1ished.b~law or statute passed by the Parliament or Legislature.
The statute clearly lays down the objectives, powers, and privileges, the
form of management and its relationship with the established departments
and ministries.
c) The statutes creating the corporations also vest in a body, usually known
as the 'Board of Directors' the powers to act in the name of the
'Corporation' subject to government's right to issue directions from time
to time.
d) The corporation has a 'corporate status' It implies that in the eyes of law a
corporation has a status of that of an individual. For legal purposes it is a
separate entity, can enter into contracts, acquire property, can sue
anybody and be sued. A statutory corporation is an administrative agency
of the government, but in the eyes of law it has an independent.status like
a citizen. This is known as 'corporate status' of the corporation.
e) The statutory corporation has financial autonomy. It is usdally
independently financed. It obtains its funds from borrowings and is
authorised to use and re-use its revenues.
f) The employees of the corporation normally are not civil servants. They
are recruited and remunerated under the' terms and conditipns determined
by the corporation, except that in certain matters certain broad guidelines
issued by the government have to be adhered to.
A corporation therefore is in an advantageous position because it has initiative,

flexibility and operational freedom and relieves the ministers of direct
administrative responsibilitj.. However, the creation of this device has given rise
to new and equally difficult problems. There is a danger that their okrations
may become unco-ordinated and they may become too much independent.
According tofrom:-
Downloaded Hanson,https://t.me/Pdf4Exams
"the freedom conferred on an enterprise by this form of
organisation can be so large that the proolem ot public accountability becomes

very difficult". The resultant problem is as to how far should the governmeit
keep control over a corpbration or how far should it go to grant it autonomy.
Exercise of control by the government and Parliament is likely to take away its
primary advantages of autonomy and freedom.
27.4 GOVERNMENT COMPANY

Government company is the new form of organisation. which is being widely
used in India and many European countries for the industrial and commercial
undertakings. The company form has become popular due to the merits of easy
formation, flexibility in administration, freedom from governmental
interference etc. The government company, according to Sec. 617 of the
Companies Act is that in which not less than 51 per cent of the paid-up share
capital is held by the Central government or State government or jointly. by the
Central and state governments. This form of organisation can associate private
enterprise-national or foreign. A goternment company is established by issue of
an executive order. It does not need the approval of the Parliament or State
Legislature.
Some of the characteristics of a government company are :
a) It is a body corporate created under the Companies Act. Like statutory
corporation, it can own property, sue, be sued in its own name and enter
into contracts.
b) It is governed by Memorandum of Association and Articles of Association
which lay down the objectives of the company, and other rules governing
its internal management.
c) A company is managed by a board and depending upon the extent to
which private capital is participating in the enterprise, all the directors or
majority of them are appointed by the government.
d) The personnel of a government company are not, civil servants and they
are appointed by the company on terms and conditions different from that
of government departments.
e) It enjoys financial autonomy. If it is fully owned by the government, it
obtains funds from the government and otherwise from some private
shareholders, revenues secured through sale of its goodi and services. It is
also not governed by accounting and audit procedures applicable to
government departments.
A government company is far easier to form than a public corporati-on. The
latter generally calls for specific legislation for which the Parliament may not
have time or which the government ma not wish to introduce at a given point.
?
With the adoption of company form o set up for any public enterprise, the
government is not bound by any limitations as imposed by any specific act
because of the regulations governing and guiding the Board of Directors iin the
form of Articles of Association which unlike an Act, can be modified
periodically in an easier way.
The company form is also convenient WIIC~,
i)c the government has to take over an existing enterprise in an emergency;

ii) the government'wishes to manage an enterprise in association with private
enterprise;
iii) there is competition with the private sector requiring operational
autonomy; and
iv) there are certain compulsions by the donor countries to have specific form
of organisation.
The use of company form of organisation has at times been criticised on certa~n
grounds like it does not assume accountability to the Parliament which is implicit
in the case of departmental form of organisation and explicit through legislation
in the case of public corporation. Also it serves a limited purpose in the case of
organisations e:.q.blished for developmentalhttps://t.me/Upsc_Zone_Official
or promotional purposes.
Form dPuMi E n t r r p r ~ x
27.5 CHOICE OF A FORM OF ORGANISATION FOR
PUBLIC ENTERPRISES
The problem of evolving a suitable form of organisation for public enterprises
has been since long a matter of controversy. Regaiding the suitability of
departmental type of organisation, consensus exists that it be used for
undertakings relating to defence, having a strategic or security base and for
enterprises designed for commercial activities or public utility services. The
Estimates Committee also in its 16th Report (1954-55) discussed this problem
and expressed its disapproval of adopting a form of departmental undertaking
and recommended company type of organisation.
Regarding the relative utility of the 'corporation' or 'government company' as
the form of organisation, there has been an absence of.raison de'tre. The
corporation form has been adopted for most of the industries in England and
other Commonwealth countries. The company form is extremely popular in
Europe, France, Germany and Italy. In India too, the company form has been
favoured for industrial and manufacturing industries.
A company form of organisation gives the government a free hand and there is
less dependence on Parliament's approval for policies relating to day to day
administration of such an organisation. Hence the parliament naturally, is not in
favour of such an organisation, which reduces its 'Parliamentary control'. This
controversy between the choice.of either a statutory cordoration or a
government company form of organisation is pretty old.
The Estimates Committee again in April 1960 in its r e p q t observed that no
well-defined principles had been followed in determining the form of
organisation. It recommended that state owned public undertakings be
organised in the form of statutory corporations and the company form be
organised only under special circumstances like for instance if an enterprise is to
be launched in association with private capital. The government in reply
defended its choice and pointed out that the company form has the necessary
flexibility and autonomy needed for the succeqful operation of commercial
gnterprises. The government, however agreed that corporation form of
organisation will be deemed favourable whenever the undertaking is to handle
enormous finances or where the normal functions of an industrial or commercial
enterprise are lacking.
The Administrative Reforms Commission in 1967 examined the issue, and felt
that the adoption of a statutory form of organisation for a public enterprise is
advantageous as compared to the company form. Since the corporations are set
up by the Parliament, it has the opportunity of discussing the details of the
constitution of enterprise in public sector, its objectives, operations and other
obligations the enterprise has to fulfil. The specific act creating a corporation
can define the extent of autonomy and decentralisation necessary for the
enterprise Hence the Commission favoured the adoption of statutory
cbrporation f m in general and also suggested for the establishment of the
Sector Corporation about which we will discuss in the next section. It
recommended :
a) Adoption of statutory corporation form in general for public sector
projects in the industrial and manufacturing field.
b) Company form of organisation for projects where there is an element of
private participation, undertakings which are primarily trading concerns
or which are set up to improve particular areas of business. This form is
suited for an undertaking which is small in size and is to be given an
independent legal status.
c) Promotional and developmental agencies should as far as possible, be ,
formed as statutory corporations or departmental concerns.
The Government of India did not fully accept Ihe .recommendations of the
ARC, but later, keeping them in view clearly demarcated areas where the
corporation and company form of organisations are preferred. The statutory
corporation is preferred for certain enterprises which provide utilities, which are
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primarily' intended to develop the basic infrastructure facijitjgs,$I+wherehttps://t.me/Upsc_Zone_Official
the
Ppbk War and Denlopmeot commercial aspect is predominant the companyhttps://t.me/Upsc_Zone_Official
to^,,^ of organisation may be
adopted.
It is the experience.of most of the countries including India that both statutory
corporations and government companies do not enjoy the extent of autonomy
which was originally expected from them. The idea which was once widely
expressed that the requisite autonomy for a public undertaking can be secured
by the appropriate legal status has now proved rather illusory. Whether the
undertaking is organised as a statutory corporation or a government company,
the autonomy which it enjoys and the kind of control under which it has to work
depends mainly on the conventions and the working precedents which develop
along with its legal status. With the obstructive presence of our bureaucracy and
political interference, directly or indirectly in the appointment of personnel, it
turns more into an apology of autonomy, being what politicians permit and civil
servants allow.
Hence, every form of organisation has its relative advantages and
disadvantages. Determining a particular type of organisation for a public
enterprise is a difficult task which has t o take into account various factors like the
nature of activity of that particular enterprise, its contribution to the national
economy, its personnel, financial requirements, etc.
1) Distinguish between a departmental form of undertaking and a statutory
corporation.
.................................................................................................
2) State the characteristic features of a government company.
.................................................................................................
-
3) Discuss the recommendations of the Administrative Reforms Comrmssion

regarding the choice of organisation for public enterprises. Were these
recommendations accepted by the government?
27.6 OTHER FORMS OF ORGANISATION

Apart from the three principal forms of organisation we have mentioned above,
there are other forms of ~rganisationunder which some public enterprises are
functioning. Let us discuss these.
Control Board
The Control Board comes into existence based on the resolution of Central or
state governments as the case may be. These Boards are set up generally for the
management of river valley projects. Control Board is not a statutory body but is
created by the executive authority and hence does not enjoy operational
autonomy like the public corporation. Except the Damodar Valley Cqrporation
which was set up as a statutory corporation, other projects'like Bhakra
Management Board, Tungabhadra Project are set up under the form of Control
Board. The Board is given the charge of the project including technical and
financial matters.
Operating Contract
It is another form of organisation where the government entrusts management
functions to a private party on an agreed remuneration with a view to getting the
benefit of private control and management. Till now no central public enterprise
has been set up in India in this form of operating contract as this device
establishes the supremacy of private management.
Co-operative Society
At times a public enterprise may also be established as a co-operative society. A
public enterprise is treated as a co-operative society only if the government has a
majority investment. Many of the development or promotional activities can
also be taken up by registered societies under the Societies Registration Act.
Such organisations are basically non-profitable in nature. Some of the central
enterprises like the Indian Diary Corporation, Trade Fair Authority of India,
National Research Development Corporation are set up in the form of
co-operative societies.
Sector Corporation
In most of the countries including India there are large number of organisations
which are performing particular activity or area of operation. They function
directly under the c m e r n e d ministry. It was the Administrative Reforms
Commission which- recommended the setting up of sector corporation in areas
like oil, coal and lignite, petroleum, petrochemicals, iron and steel, electricals,
fertiliskrs ktc..The objectives ofsector corporation which will be a single
integrated corporation for each major sector of industry are to :
a) achieve. brbader co-ordination and uniibrmity of policies among
constituent units;
b) provide better professional development to its employees through
exchange of experience and training;
c) avoid duplication of services and unnecessary competition;
d) pool together the activities relating to research and development.
According to the ARC, setting up of sector corporation by amalgamation of
similar activities and converting the organisation into corporation would make
the government control more effective by confining it to strategic and vital
points. Even the span of ,control for the purpose of ministerial supervision would
be reduced. The major functions of the sector corporation were to (i) advise the
government on general matters affecting the particular industry, (3) receive and
secure the implementation of government.directives and .(iii) promote, .provide,
co-ordinate activities relating to. research and consultancy, recruitment and
training of personnel, marketing and purchase, pricing policy etc.
The Government of India did not agree with the suggestion made by the
Administrative Reforms Comwission, as it felt that a large orgarusation like
sector corporation would become unmanageable. Moreover healthy
competition among the public enterprises 1s needed to improve,their
performance. However, the government agreed on an experimental basis to
integrate some of the units having some common functions. For this purpose in
1973, a holding company in the form of Steel Authority of India (SAIL) was
created. A holding company is that wbich by virtue of its share ownership in
other companies is able to exercise control over the management of those other
companies known as subsidiaries. It was meant to integrate all the. comeanies
into one conipany so that there is averall control of the management of its
subsidiary companies. Such a 'system would bring better co-ordination in the
R b l e ~ u d ~ n b p w n t development of an "overall strategy to plan, promote and organise its.
management functions. The Steel Authority of India was assigned functions of
planning, organising an integrated and efficient development of iron and steel
industries, formulating a national policy for the development of iron and steel
industries and also rendering advice on all policy and technical mafters.
The formation of sector corporation was extended to coal industries too by
creating Coal India Lim~tedand to the Hotel Industries by creating Ashoka
Group of Hotels. However, this had not been extended to other industries. The
argument regarding grouping of public edterprises having somewhat similar
functions still remains valid. In a developing country like ours, this grouping will
help to reduce unnecessary expenditure and will bring about better
management. The establishment of Holding Companies in core sectors was
emphasised again in 1986 by the Arjun Sengupta Committee especially in areas
like energy, fertilisers etc., as it would provide a link between the government
and public enterprises under them.
27.7 JOINT ENTERPRISE

A new trend in the field of public undertakings in some of the developing
countries is government participation in economic activities jointly with the
private sector. It was the Industrial Licensing Policy Enquiry Committee
popularly known as Dutt Committee, which in its report in 1969 advocated the
joint sector as an effective antidote to the concentration of economic power,
curb the uncontrolled growth of large business houses. According to the
Committee the joint sector could fulfil two important objectives of (a) ensuring a
positive say in the management and control of assisted private sector industries
(b) preventing large industrial houses from expanding their industrial empire
with the resources of public financial institutions.
The reasons for creating joint enterprises can be as follows :
a) While the government desires to set up an enterprise but lacks requisite
initiative, skill, by using this device of joint sector, private sector
managerial resources can be drawn.
b) Through joint sector the government may acquire some equity interest in
some enterprise that is sick or is mismanaged by the private sector and is
causing concern to the government.
c) The government participation through joint sector' would accelerate
industrial growth as it helps in activating any untapped segment of
industrial sector.
d) The government may acquire shares in the private enterprises for the sake
of profits that are likely to follow.
Although the concept as well as the practice of joint sector has been gaining
popularity, it seems that there is no clarity regarding the exact roles of public or
private sectors. .Also some operational problems like autonomy, pricing policy,
representation of government and private sector in the board of management
are faced by the joint sector undertakings. Joint enterprise can be powerful
instrument of development in the developing countries if mutual trust and
confidence is created between the private and public sectors.
27.8 NEED FOR AN APEX ORGANISATION FOR

PUBLIC ENTERPRISES
As we have discussed in Unit 26 there has been a significant increase in the
number of enterprises. This poses a question whether there is any need to have
one overall organisation or single apex body for all the public undertakings.
A.D. Gorwala in his Report on the "Efficient Conduct of State Enterprises"
(1951) recommended that there should be one Board of Management for all
public undertakings. Based on this recommendation, a Ministry of Production
was created in the mid fifties and was given the responsibility of co-ordinating
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the activities of all production units in publichttps://t.me/Upsc_Zone_Official
sector. But this ministry was wound
up later due to resistance put up by other ministries affected by th'is move. The ' F- or public ~atcrprise
proposal of the Select Committee on Nationalised Industries of the UK to have a
Ministry of Nationalised Industries and also the presence of Ministry of State
Holdings in Italy since 1956,.brings the issue of having a separate Ministry of
Public Enterprises to the fore.
It is felt that there should be a separate ministry which is well equipped with the
managerial personnel having technical ability to deal with all the problems
relating to public enterprises. Such a ministry would help in having consistent
policies and integrating the efforts of public enterprises towards the process of
national development. It will be able to develop and promote common
techniques and bring about harmonious relationship among the public
enterprises. Even the ministerial control and parliamentary accountability will
become effective. On the other hand, since the public enterprises are large in
number and constitute a substantial part of the economy, creation of a ministry
might lead to organisational problems. The main problem of such a ministry
would be its organisational size which may become unwieldy and gigantic.
Moreover public enterprises are functioning in different areas which are either
commercial or non-commercial in nature with divergent objectives of the
individual enterprises and each functioning with a different technology. Hence
I
co-ordination may become ineffective.
The Department of Public Enterprises was created in 1985. The Bureau of
Public Enterprises (BPE) which was created in 1965 acts as a nodal staff agency
to provide managerial, advisory, performance monitoring services in various
facets of management of public enterprises. The Bureau which was functioning
earlier under the Ministry of Finance is now under the Department of Public
Enterprises. The Bureau is required not only to bring unity and co-ordination in
the internal functioning of enterprises but to give expert advice and guidance to
various public enterprises. It acts as a vital link with the public enterprises on the
one hand and the government and Parliament on the other. It also consolidates
the entire activities of public enterprises and their financial results into one
consolidated report. Similarly, the Standing Conference of Public Enterprises
(SCOPE) also brings similq type of co-ordination within the public enterprises.
Besides this there are various committees which are being set up to bring
co-ordination among various public enterprises.

Note : i) Use the space given below for your answers. .
ii) Check your apswers with those given at the end of the unit.
1) Explain the meaning of Control Board.
2) What is a sector corporation? Discuss its functions.

.3) What role does the Bureau of Public Enterprises play in the management of .
public enterprises?
..................................................................................................
.................................................................................................
27.9 LET US SUM UP
Right from the beginning, the government is confrohted with a problem to set an
appropriate organisation for the .management of public enterprises whereby a
likely balance between public accountability and operatiopal autonomy may be
achieved. For this purpose three principal forms of organisations namely;
departmental undertakings, statutory corporations and government companies
have been set up. Every form of organisation has its advantages and
disadvantages. However, for the purpose of strategic and defence oriented
industries, it has been argued that we should have a departmental form of
organisation. In the case of financial institutions and public utility services, it is
advisable to have a statutory corporation. In the case of manufacturing,
processing and trgding activities as well as those activities where there is likely to
be some competition with the private sector it should be under the government
companies. At the operative Level, there is indeed no discoverable correlation
between the legal status of the undertakings and its autonomy and quality of
performance.
As discussed in the unit the suggestion of the Administrative Reforms
Commission to have a sector corporation has not found the favour of the
government though on an experimental basis Holding Companies have been
created for some of the activities in India. The joint sector which has its obvious
advantages has also not been successful in this country. Some of the countries
have unified department or a ministry at the apex to deal with all the public
enterprises. Efforts are being made to create such an organisation in India.
27.10 KEY WORDS

Appropriation : The authorisation of finances drawn by the legislature through
the instrument of budget.
Articles of Association : These are regulations for the management, internal
1
arrangement of a company and the terms and conditions on which the
shareholders agree, amongst themselves, as to how the business of the company
shall be carried.
Arjun Sengupta Committee : The Committee set up in September 1984 headed
by Dr. Arjun Sengupta with the objectives of analysing the performance of
public enterprises, identifying their constraints and suggesting measures to
improve their functioning.
Equity Capital : The total stock/money capital held in the form of shares
required for the financing of organisation. '
Holding Company : The wain company which holds the shares of other
companies for the purpose df financing and co-ordination. The other companies
are subsidiaries to these companies.
Memorandum of Association : It is considered to be a charter of company which
defines or lays down the objects, operations of the company. It sets out the
powers the company is entitled to exercise to carry out its objectives. It is a
document which consists of details as to the name of the company, state in which
the registered office of the company will be situated, objectives etc.
Operational Autonsmy : Freedom to take decisions and managing the activities
relatihg to the internal functioning of the organisation.
Public Accountability : T o render an account of the performance either directly
or indirectly to the public or to the Parliament.
Standing Conference of Public Enterprises (SCOPE) : This was set up in 1970 under
the Indian Societies Registration Act. The objectives behind its establishment
was to collect, analyse information regarding public enterprises, promote better
understanding of the role and performance of the public sector.
Sovereign Immunity : The power enjoyed by an organisationlauthority, which
being a part of the State is not subjected to legal control by any private authority
or organisation.
Span of Control : The number of persons/organisations that can be effectively
supervised by the supervisorylcontrolling authority.
27.11 REFERENCES
Hanson A.H., 1962. h4anagerial Problems in Public Enterprises,Asia
Publishing House : Bombay.
I Laxminarain, 1989. Principles and Practice of Public Enterprise Management,

Sultan Chand and Co : New Delhi.
Prakish, lagdish et a1 1987. Administration of Public Enterprises in India,
Sapru R.K. (Ltd), 1987, Management of Public Sector Enterprises in India.
Vol.1, Ashish Publishing House : New Delhi.
Singh Bishwanath, 1991, Public Enterprise in Theory and Practice, Deep and
Deep Publications : New Delhi.
Tandon B.C., 1987. Public Enterprises in India, Chaitanya Publishing House :
Allahabad.

EXERCISES
Departmental undertaking is the oldest form of organisation and is at
par with normal government departments in various matters while
statutory corporation is created for specific purpose by law or statute.
Department is generally headed by a minister who is responsible for
policy making, day to day administration while these functions.-in case
of corporation are discharged by the Board of Directors.
Deparments do not enjoy autonomy in financial, personnel matters
while corporations are not bound by any strict rules and regulations of
the government regarding these matters.
2) Your answer should include the following points : .
A company is a body corporate created under the Companies Act.
The objectives of the Company, rules governing its internal
management are laid down in its memorandum and articles of
association.
It is managed by a Board.
The personnel of company are not civil servants and are appointed on
certain terms and conditions laid by the company.
It enjoys financial autonomy.
The Administrative Reforms Commission examined the issue of choice of
organisation for public enterprises and recommended :
adoption of statutory corporation form in general for public sector

projects in the industrial and manufachring fields;
company form of organisation is suitable for projects where there is
an element of private participation, trading concerns or those which
are set up to improve particular areas of business;
promotional and developmental agencies be formed as statutory
corporation or departmental concern.
.The Government of India did not fully accept the recommendations of ARC,
but keeping them in view demarcated areas where the corporation and company
form of organisations are preferred. The natutory corporation is suitable for
certain enterprises which provide utilities, which are primarily intended to
develop the basic infrastructure facilities, while the company form may be
adopted for commercial enterprises.
1) Your answer should include the fol!owing points :
control Board is a body created by the executive authority and is not
created by a statute.
It is set up generally for the management of river valley projects like
for example Bhakra Management Board, Tunga Bhadra Project etc.
Control Board is responsible .far the management of the project
including the technical and financial matters.
Sector corporation is single integrated corporation for each major
sector of industry.
The Administrative Reforms Commission recommended the setting
up of sector corporations in areas like oil, and lignite, Petroleum and
petrochemicals etc.
The functions of the sector corporation are to
advise.the government on general matters affecting the particular industry;
receive and secure the implementation of government directives;
promote, provide, ,co-ordinate activities relating to research, consultancy,
recruitment and training of personnel, marketing and purchase, pricing
policy etc.
The Bureau of Public Enterprises plays an important role in
bringing about unity and co-ordination in the internal functioning of
the public enterprises;
giving expert advice and guidance to the enterprises;
acting as a vital link between public enterprises, government and the
Parliament.

UNIT ROLE DEVELOPMENT

CORPORATIONS
Structure a
28.0 Objectives
28.1 Introduction
28.2 Concept of Development Corporation
28.3 Functions of Development Corporations
28.4 Development Banks
28.5 Role of Development Corporations and a Critical Evaluation
28.6 Let Us Sum Up
28.7 Key Words
28.8 References
1 28.0 OBJECTIVES
explain the concept of development corporation and developmeqt bank
describe their functions
evaluate the overall role of development corporations i~ promotional and
developmental activities; and
highlight some of the administrative problems being faced by the
development corporations.
28.1 INTRODUCTION
In India, industrial development for a long time has been hampered due to lack
of adequate capital. As we have discussed in Unit 26 about the evolution of
public sector and its gradual expansion after Independence, in the initial years it
had become a stupendous task for the government, to set up and develop
industries in the large and medium scale sectors. The, problem was not only of
financing them, but also providing technical help. Hence, a need arose to set up
specialised institutions known as development corporations in different areas, to
initiate, promote and operate financial and other promotional activities in the
economy. These institutions serve as development agencies, in not only carrying
on lending operations, but also developmental activities including promotion of
projects, guiding and advising the entrepreneur.
in this unit, we will discuss the concept and functions of development
corporations,,,and the role of development banks. A critical evaluation of the
development corporations will also be dealt with in the unit.
28.2 CONCEPT OF DEVELOPMENT CORPORATION

It is difficult to define a development corporation in exact terms. In most of the
developing countries the term is used to signify an autonomous agency
established in the public sector mainly to promote, rather than operate
economic activities through some system of assistance; An important feature of
such a corporation is that it aims at achieving some external returns and benefits
against its own profit. As far as fostering promotional activities is concerned, the
development corporations are useful as they (1) promote an activity which ,:
otherwise may not be supported by the private sector or where the private
initiative is lacking, (2) accelerate those activities which may materialise but at a
slow pace, in a small size and that too, in a sectorally unbalanced manner,
(3) promote a desired economic activity as envisaged by the government.
The development corporation connotes the expansion of desired sector of

activity, promotion of nnits, effecting reforms in the structure of ownership and
management of some economic activities, attaining the desired balance of
payments and development of economic activities in certain backward regions
or areas. Thus, the central focus of the development corporation is a planned
and deliberate promotional initiative in the public sector which 'is desirable but
'may not take place through the initiative of the private sector. The initiative of
the, government through the development corporation provides initial boost to
the economic activities. At timks these corporations may promote an activity
jointly witb the private sector so as to provide necessary confidence to the
private sector. Desired development activities are promoted by the
development corporations and its promotional benefits do not go to the
undeserving beneficiaries. .
These development corporations are established in the public sector, firstly
because the private sector is not interested in such activities as the projects
involve huge amounts of investment, long gestation period or the return on
I
investment is negligible. Secondly, most of the developing countries have the
chronic shortage of finances due to reduced amount of savings, low rate of
capital formation and these corporations are designed to fill the gap between
savings and investment. Thirdly, it may act as an instrument of government
policy in bringing about planned economic growth and industrialisation.
Development corporations are provided sufficipt autonomy as is normally
given to a statutory corporation. We have already discussed the characteristic
features'and advantages of statutory corporation in Unit 27. These development
corporations owing to internal autonomy are able to perform such promotional,
developmental and commercial activities which otherwise may not be possible
under a departmental form of organisation. It is due to this autonomy, that they
are able to offer financial, technical and managerial assistance to the
beneficiaries. And they can take decisions suited to the circumstances of each
case, like for instance whether to participate in the form of equity or loans or to
operate activities by itself or to give some subsidies or to sell the entire enterprise
to the private sector.
28.3 FUNCTIONS OF DEVELOPMENT

CORPORATIONS
In most of the developing countries, development corporations perform a
number of functions. These functions can be broadly classified under four
different categories : (1) ina an cia!, (2) Promotional, (3) Technical and
(4) Operative functions.
1) Financial Functions
Development Corporations provide loans to industry, trade or agriculture. They
may also participate in the equity of an enterprise whereby they are able to
promote an enterprise. They may also engage in the activities that have the
effect of promoting an active capital market by underwriting the capital issues of
the company. In India, the development corporations or development banks
like the Industrial. Finance Corporation of India, National Industrial
Development Corporation, Industrial Credit and Investment Corporation of
India, the Industrial Development Bank of India discharge these financial
functions. Similarly, various financial and development corporations have been
created by the respective state governments since 1952 to provide financial
asshtance to small and medium-scale industries. We will be discussing in detail
about these in Section 28.4.
2) Promotional Functions
The promotional functions take different forms. In some cases, the development
corporations may undertake pre-investment studies of the viability of the project
and help the entrepreneurs and investors to pick up a feasible project. In most of
the developing countries where- the skills of the project appraisal and market
snalysis is not adequately available this promotional aspect of the development
corporations helps the entrepreneurs. In some of the cases, these corporations Rde olDevelopnnnt Cormtiom
set up industrial estates in which the promoters are given incentives to locate
their establishment. In these industrial estates, land is provided at a concessional
rate. Inputs required by the industrial units like power, water etc., are given at
subsidised rates. Marketing, warehousing, communication fgcilities are also
provided in these industrial estates. Various state governments in India have set
up a large number of such industrial estates.
In many development corporations, actual pfomotion may take place by
initiating steps including procurement of capital arrangements for foreign
collaboration and equipment. The State Trading Corporation of India Limited
(STC) is a classical example of such promotional activities. The principal
business of the STC includes organising and undertaking trade with other
trading countries and promotion of export of both traditional and new
commodities with a view to diversifying trade and maximising foreign exchange
earnings.
Some development corporations are set up, either exclusively or partly, to
develop a backward region. For example, the IDBI and other financial
institutions have started consultancy organisations like the North Eastern
Industrial and Technical Consultancy Organisation (NEITCO), Kerala
Industrial and Technical Consultancy Organisation (KITCO) etc, for providing
technical advice to entrepreneurs who are desirous of setting up industries in
backward regions.
The Industrial Policy Resolutions of 1956 and 1977 entrusted the public sector
with the responsibility of encouraging and developing a- wide range of ancillary
industries and contributing to the growth of decentralised production by making
available its expertise in technology and management through small scale and
cottage industries. Balanced regional development, extension of the benefits of
economic progress to the backward regions and a widespread expansion of
industries have been -themajor objectives of the. development corporations in
India.
3) Technical Functions
Research and development of new technology is one of the major objectives of
the development corporations. For example, the National Research
Development Corporation of India was established with a view to promote
technical research. The development corporations discharge the function of
arranging technical knowhow for the enterprises which may be available either
indigenously or from other countries. This to a large extent helps small scale
industries in modemising their technology. In India, the National Industrial
Development Corporation, is one such development corporation whose major
and a continuous function consists of providing consultancy in project
engineering, preparation of detailed project reports, drawings as well as
assistance and site supervision. The Engineering India Limited is another
example whose development function consists of processing, deslwing and
supervising the engineering work of the proposed units. Some of the
development corporations provide managerial advice and expertise to the
entrepreneurs. They also provide training facilities to their technical and
managerial personnel. A development corporation may also offer assistance in
the marketing of producls of certain categories of industrial enterprises. For this
purpose, a large number of marketing units for the sale of agricultural as wkll as
industrial products have been set up by the state governments in our country.
4) Operative functions
A development corporation may promote and operate the activities, of any
enterprise under its own control o r before transferring it into private sector.
Hence, a number of joint sector uni!s have been promoted by the state
governments. In the devebping countries, owing to the non-availability of
desired co-operation either'by the govermnent or private sector, the role of the
development corporations has not been fully realised. However, there is great
pptenfial in co-operative ventures for operating diverse activities. Throughout
the world, from:-
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public sector. Thisds being regarded as a better alternative fdr fast
industrialisations, in a developing country.
A development corporation, therefore, is set up not exclusively for one
particular function, but may have divergent functions as discussed above. Many
of the financial corporations like the Industrial Finance Corporation of India,
Industrial Credit and Investment Corporation of India, Industrial Bank o f India
are also assigned non-financial functions.
Check Your Prqress 1
Note : i) Use the space given below for your answers
1) Explain the meaning of development corporation. What purpose do they
serve in developing countries like India?
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2) Point out the reasons fo
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3) Describe any two functions of development corporations.
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28.4 DEVELOPMENT BANKS

We have discussed in Section 28.3 that one of the functions of development
corporations is to provide financial assistance to industries. Those development
corporations entrusted with financial functions are also known as development
banks. The evolution of these specialised financial institutions has been a post
World War-I1 phenomenon. In most of the developing countries one of the'
major reasons for la'ck of development has been the inadequacy of finance.
Consequently, in the post-war period many of the developing countries have
established special institutions to supply finance for the purpose of
industrialisation. These financial institutions are known as development banks.
These banks were first set up in Europe and Japan. The important function of a
development bank is to mobilise resources and then utilise them for industrial
growth.
In -India, the Industrial Finance Corporation of India (IFCI) was the first
all-India lending institution set up in 1948, entrusted with the function of
had also set up state level institutions known as State Financial Corporations. In Rde of~ e v e l o p ncormwm
~t
1964, the Industrial Development Bank of India (IDBI) was set up as an apex
organisation in the field of development banking. It was assigned the functions
of co-ordinating the activities. of other financial institutions, supplement their
resources, plan and promote industries of major importance and adopt
priorities, promote industrial growth.
Like other development corporations, these development banks are playing a
very important role in filling the gap in the capital market and providing finances
to those industrial enterprises which may not be able to raise funds from the
normal channels existing in the country. One of the greatest barriers to
development, namely finances, has been removed to a large extent. Their
renclering of financial assistance is confined not only to new enterprises, but
small and medium firms. enterprises in the backward region and non-traditional
enterprises. Such. assistance is provided for expansion, diversification and
modernisation of the enterprise.
Most of these development banks along with providing finances, discharge
promotional activities also. Some of these activities are :
1) Identification of projects from an overall economic study of the country
through area and sector surveys.
2) Identifying entrepreneurs to manage the projects.
3) Undertaking full feasible studies of the project either through their own
efforts or through appointed consultants.
4) Appraising the feasible studies and assisting in the implementation and
execution of these projects.
These development banks are now occupying a position of dominance in the
field of finance. The technical help coupled with the financial help have helped
in reducing regional imbalances, developing backward regions, encouraging
structural changes and bringing about diversification in the industrialisation of
the country. Through the efforts of these financial institutions, infrastructure for
development has been created. Small and medium scale industries have been
encouraged which in turn has accelerated the industrial development in our
country.
28.5 ROLE OF DEVELOPMENT CORPORATIONS

AND A CRITICAL EVALUATION
In India, we have a large number of development corporations both at the
Central as well as the State level. As we have discussed earlier, some of these
apart from the development banks, include the National Research
Development Corporation, National Small Scale Industries Corporation,
Central Warehousing Corporation, State Trading Corporation, Rehabilitation
Industries Corporation, National Seeds Corporation, Indian Tourism
Development Corporation, Film Finance Corporation etc. Similarly a large
number of state governments have also set up development corporations for the
purpose of meeting the needs of agro-bast4 industries, small-scale industries,
for the export, marketing and tourism sectors. There has been a gradual
tendency in India to establish development corporations with specific purposes
rather than in an omnibus manner. The dominant area in our country has been in
the field of finances. But some of these corporations in fields of tourism, expqrt,
research and development have been very effective.
The National Industrial Development Corporation has been functioning
effectively as an instrument of government for securing a balanced and
integrated development of industries both in public and private sectors. It has
been setting up new industries and developing new lines of production. It has
also taken up the study and investigation of industrial schemes, ensuring the
maximum possible use of industrial equipment, and also rhe available skill and
experience in the country. The industries which have been set up in turn
encourage the growth of ancillary industries.
h b l i e Sector md Devekpment
The promotional activities undertaken by development corporations in the area
of agro-based industries, fisheries, textiles, jute and similar other activities have
boosted the overall production and the marketing of these products. On a wider
scale the development corporations have also been effective in bringing about
sdcial transformation especially for the scheduled castes and tribes and in the
tribal areas. They have inculcated the spirit of self help and provided sources of
employment to the large number of vulnerable sections of the society. The
warehousing facilities provided by these corporations has provided adequate
protection to our small scale manufacturers and growers. Tourism in most of the
states has become an important industry and in this context the contribution by
the Tourist Development Corporations has been quite significant. Substantial
foreign exchange is also being earned through this sector.
The development corporation has no doubt contributed to the cause of overall
development, strengthening the economy by .providing economic and social
infrastructure, removal of regional imbalances and encouraged
entrepreneurship among different sections of our society. But a serious problem
-
facing most of these corporations have been one relating to its autonomy.
Though it is in the form of statutory corporation which enjoys more operational
autonomy, being an instrument of government policy and promotional
intentions, these corporations have not been able to come out of the government
influence in any major way. Unless sufficient autonomy to these institutions is
granted it will not be possible for them to operate as commercial enterprises.
Since. most of these development corporations are undertaking developmental
and promotional activities, the influence by the government cannot be
undermined especially when they have some social implications. It is expected
that a clear understanding especially with the help of memorandum of
understanding needs to be built up to have an effective working relationship
with the government and the corporations. Once the objectives are clarified and
the targets fixed, these corporations should be provided sufficient autonomy so
that they are able to discharge their functions.
The priorities laid down for the development corporations many a time are
broad in nature. This hinders the effective functioning of the corporations. For
example, the Industrial Financial Corporation of India has been making
frequent changes in the priorities of its financial operations consistent with the
directives received from the Government of India. Unless the directives are
clear, positive and issued timely, the development corporations cannot
discharge their functions effectively.
' To enable the development corporations make a significant impact, their
organisation should be so constituted that they are ensured of autonomy in their
day to day matters consistent with their overall objectives. There is need for
proper delegation of administrative and financial powers to. the Board of
Directors and lower authorities in the organisation. Professionalism needs to be
developed in these corporations through imparting training to the managerial
and technical personnel.
Modern techniques of financial management, electronic data processing and
better office management techniques should be introduced to improve the
overall effectiveness and efficiency of the corporations. This may bring in 'better
system of planning, decision-making monitoring and evaluation.

Note : i) Use the space given below for your answers
1) Point out the important functions of development banks.

Role of Development Corpomfions
2) Highlight the contribution made by development corporations in our
country.
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3) Discuss the administrative problems faced by development corporations in

India.
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4) What steps can be taken to impove the effectiveness of the corporations?

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28.6 LET US SUM UP

In most of the developing countries there exists a large number of development
corporations to promote and initiate such activities which mav indirectlv help in
the-process of sbcio-economic development of the respective-countries: ~ h k s e
corporations are created to help the private entrepreneurs in financial and
technical matters. In this unit, we have discussed the concept of development
corporations and their functions. Generally, those development corporations
which provide financial assistance to industries are known as development
banks. We have highlighted the functions of these banks like the Industrial
Development Bank of India, Industrial Finance Corporation. The development
corporations have made a remarkable impact on the'economy in various sectors
like tourism, marketing, warehousing facilities etc. But a critical analysis of their
role brings out that most of these corporations have overlapping
.- -
functiogs, they
do not enjoy sufficient autonomy and i r e not able to bring about
among their, technical and managerial personnel. To make the corporations
effective, there is a need to modernise and improve their adminjstrative set up.
28.7 KEY WORDS

Capital Market : It refers to various institutiqns, arrangements concerned with
the purchase, sale and transfer of stock;. bonds etc.
Electronic Data Processing : Use of Computers for the purpose of storage and
processing of information for managing an. organisation.-
h b k Scetor and Development
External Returns : The advantages and benefits of investment reaching other
organisations which. secure assistance from the promoters.
Feasibility : Practicability; activitiesltasks capable of being executed or
managed.
Joint Sector : Those forms of organisation which are managed and operated by
public and private sectors together.
Mprket Analysis : Measurement of market potential .and its characteristics.
Operative Functions : Functions and activities related to the direct running of an
organisation.
Underwriting of capital issues : It means contracting with or without condition,
to subscribe for the stocks, shares, bonds or debentures of any company'or
industrial concern with a view to the resale of the whole or any part thereof.
28.8 REFERENCES
Administrative Reforms Commission, 1967. Report on Public Sector
Undertakings. The Manager of Publications : Delhi.
Das Gupta, A & N.K. Sengupta, 1987. Government & Business. Vikas
Publishing House : New Delhi.
Government of India, 1990. Public Enterprises Survey 1989-90, Vol. I,Bureau
of Public Enterprises : New Delhi.
Khanna, K.K., 1988. Management of Public Sector Enterprises in India.
Nayar, Baldev Raj, 1989. India's Mixed Economy - the Role of Ideology and
Interest in its Development.Popular Prakashan : Bombay.
United Nations, 1974. Organization, Management and Supervision of Public
Enterprises in Developing Countries, United Nations : New York.

EXERCISES
Development Corporation refers to an autonomous agency
established in the public sector with the purpose of mainly promoting,
rather than operating economic activities through some system of
assistance.
In developing countries like India, they are useful as they
promote such type of activities which may not be supported by the
private sector or where the private initiative is lacking.
accelerate those activities which take place at a slow pace, in a small
size and in a sectorally unbalanced manner.
promotes a desired economic activity as envisaged by the government.
The reasons for setting up of development corporations in the public sector
are to
take up those projects which the private sector is unwilling to take as
they involve huge amounts of investment, long gestation period or the
return on investmept is negligible.
meet the financial requirements of industries in developing countries.
act as an instrument of government policy in bringing about planned
economic growth, industrialisation.

The development corporations discharge financial functions through
Downloaded from:- provision of loans to industry, tradehttps://t.me/Upsc_Zone_Official
https://t.me/Pdf4Exams or agriculture. They may also
engage in activities which promote an effective capital market by Role of Development Corpomtiom
underwriting the capital issues of the company.

The development corporations take up promotional functions in
undertaking pre-investment studies of the viability of the project,
helping the entrepreneurs in taking up feasible projects. Industrial
estates are set up in which the promoters are given incentives to locate
their establishment, other facilities like power, wslter, marketing,
warehousing are given. Promotional functions can take the form of
procurement of capital arrangements for foreign collaboration and
equipment.
Some of the development corporations are entrusted technical
functions which take the form of arranging technical know-how for
the enterprises which may be available either indigenous13 or from
other countries. It includes providing consultancy in project
engineering, preparation of detailed project reports, drawings, site
supervision etc. Provision of managerial advice and expertise to
entrepreneurs, training facilities, assistance in marketing of products,
etc., are some of the technical functions discharged by the
corporations.
I
Operative functions take the form of joint sector units promoted by
many state governments. A development corporation may promote
and operate activities of any enterprise under its own control or
before transferring it into private sector.
The functions of development banks include :
providing medium arid long-term credit to industry;
co-ordinating the activities of other financial institutions; supplement
their resources, plan and promote industries of major importance and
adopt priorities to promote industrial growth;
identification of projects;
identifying entrepreneurs to manage the projects;
undertaking full feasible studies of the project either through their
own efforts or through appointed consultants;
appraising the feasible studies and assisting in the implementation and
execution of these projects.
The contribution made by various development corporations in
bringing about a balanced and integrated development of industries
both in public and private sectors;
setting up new industries, study and investigation of industrial
schemes, ensuring maximum possible use of industrial equipment;
undertaking promotional activities in the fields of agro-based
industries, fisheries, textiles, jute, small-scale industries, export,
marketing, tourism sectors;
inculcating the spirit of self-help and providing sources d
employment to'a large number of vulnerable sections of the society.
The administrative problems of development corporations relate t o :
inadequate operational autonomy;
the priorities fixed for the corporations are broad in nature and are
not specific;
lack of clear, positive. timely directives by the government;
4) Your answer should include the foilowing points :
Proper constitution of the organisation of the development
corporations with sufficient autonomy in their day to day matters
consistent with their overall objectives.
Proper delegation of administrative and financial powers to the Board
of Directors and lower authurities in the organisation.
Development of professionalism in the corporations through
imparting training to the managerial and technical personnel. https://t.me/Upsc_Zone_Official
UNIT ADMINISTRATIVE PROBLEMS

PUBLIC SECTOR
Structure
Objectives
Introduction
Ma'jor Problems of Public Sector in India
The Policy Aspect
Organisational Problems
Operational Problems
Let Us Sum Up
Key Words
References
29.0 OBJECTIVES
After reading this unit, you should he able to :
identify the major problems relating to the performance of public sector in
India
discuss the organisational problems faced by public sector
analyse the various problem areas relating t o the operation of public sector,
\
and
poirit out the institutional and procedural changes required in.the
administrative set up of public sector in India.
29.1 INTRODUCTION
In'the previous units we have discussed the evolution and expansion of public
sector and the role of development corporations. We have also hinted at some of
the administrative problems which are being faced by the public sector in India
as well as in some of the other developing countries. In th'is unit an attempt is
being made to examine those administrative problems in a greater detail.
29.2 MAJOR PROBLEMS OF PUBLIC SECTOR IN

INDIA
As discussed earlier in Unit 26, as a direct consequence of the Directive
Principles of State Policy, Industrial Policy Resolutions of 1948 and 1956 and the
government's declaration of establishing a socialistic pattern of society, the
public sector in India has come to occupy a commanding position. It has been
called to play a significant role in accelerating the rate of economic growth,
speeding up the pro,cess of industrialisation, increasing employment
opportunities and improving the living standards of our people. The
performance of public sector, therefore, largely determines the speed and the
effectiveness with which we can achieve our social and economic goals.
All these years we have been facing various administrative problems relating to
planning, construction and the commissioning of the projects. It has been
argued that many of our projects have not been properly planned. They have not
been set up at the appropriate locations. Moreover, there has been delay in the
construction and commissioning of the projects. There has been considerable
increase in the cost of completion of these projects which in turn has not only
deprived the nation of the much needed goods and services but has also put extra
burden on the public exchequer. With the operation of these public sector
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Jn this context the public sector enterprise surveys have clearly brought out that Administrative.RoMemsof
PubUc Sector
many of the public sector enterprises have not been functioning as expected.
The profitability profile of the public enterprises indicates that during the year
1988-89, in 222 operating public enterprises having a capital investment of
Rs. 67,535 crore, the net profit has been only Rs. 2,981 crore which works out
t o be 4.41 per cent of the capital employed. Even in terms of capacity utilisation,
labour productivity, .operational cost of the products and the rate of industrial
unrest the performance of public sector in India has not been much encouraging.
The record should be a matter of concern and has been indeed an issue of public
discussion at various levels. In an endeavour to improve the performance of
public undertakings various reports of the Parliamentary Committees,
Administrative, Reforms Commission and many other studies have highlighted
various administrative problems. While emphasising on improving the
functioning of public enterprises a number of issues pertaining to the conceptual
and operational aspects, especially related to its economic and social objectives
have been raised. It had clearly pointed out that the public enterprises are
neither functioning according to its declared objectives nor it has been able to
achieve effective utilisation of resources especially personnel, money' and
material. It is in this context that we are trying to highlight some of the
administrative problems being faced by the public sector in India towards the
I
fulfilment of its declared policies and objectives.
For the purpose of discussion these problems can be classified as those related- t o
policy, organisation and operations of the enterprises. The operational
problems may in turn cover some major issues relating to financial management,
human resource management, materials management, marketing, pricing etc.
29.3 THE POLICY ASPECT

As per the Industrial Policy Resolutions, the public enterprises were required to
play a dominant and an exclusive role in the strategic as well as core industries.
The consumer activities were left to the private sector. It is a matter of concern
that the public enterprises have entered into non-priority areas including
manufacturing of beverages and marketing of consumer goods, which
legitimately could have been given to the private sector. Since the public sector
has started operating in those areas which were assigned to private sector, the
private sector is demanding a share in the core as well as strategic industries.
There is a need to have a fresh look at our industrial policy. The public sector
should hand over these non-priority areas of operation to the private sector.
This would thereby reduce the size of the public sector. There is a need to
encourage small and medium scale industries in the private sector. The
government should adhere to only those areas of operation which are strategic,
core and basic in nature.
29.4 ORGANISATIONAL PROBLEMS

In our previous unit we indicated that there has been no consistency rather there
has been confusion about the organisational policy of state enterprises. There
ha.s been a demand for creating statutory corporation rather than a joint stock
company. The recommendation of the Administrative Reforms Commissiod to
have " S ~ c t o rCorporation" which was referred to earlier in Unit 27 of this Block
has not been accepted by the government. On the contrary we are creating a
large number of companies out of the existing departmental forms of
organisation. But most of these enterprises are functioning as bureaucratic
organisations. Moreover there are a large number of public sect0.r units
performing nearly the same functions and there is no co-ordination between
these units in matters relating to marketing, research and personnel
management. There is a lack of effective and proper linkages between the
different units within the public sector on one hand and the government on the
other.
Most of the public enterprises do not have adequate delegation of powers. There
are frequent instructions and directions which are given by the government.
Also there is no clarity of objectives for these organisations. Most of the public
enterprises d o not have adequate power to take timely decisions. There is
frequent interference both by the politicians as well as the adminiqtrators of the
concerned departnients. Both ministerial control and the parliarncril,c~\
accountability have been found to be ineffective. Norms and technique\ o f
accountability have not been adequately established. The control and
accountability has been ad hoc in nature and has restricted the managerial
autonomy. This has neither been in the best interest of the public enterprises nor
has assured their accountability in substantial terms.
There is a need for new scientific techniques of accountability, monitoring and
evaluation as opposed to routine rule of thumb and strict bureaucratic system.
The main concern should not be more accountability but good accountability. It
is only through the "management by objectives" and accountability by results
and operational output that the operational autonomy and accountability can be
reconciled. In this process both operational autonomy and accountability can be
simultaneously enhanced. More accountability can be secured if it is not for
individual actions and decisions but for .results. T o achieve this, instead of
hierarchical, authoritative and unidirectional control, there should be more
managerial accountability which lays stress on harmonious relationship, unity of
action based on common purpose amongst controlling agency and public sector
undertakings in the formulation of policies and their implementation. It is hoped
that with the memorandum of understanding which has been introduced in our
country, the control and accountability in public 'sector would become more
meaningful.
Another problem relating to the organisational structure has been the
composition of the board of directors. Most of the public enterprises have a
mixed type of board consisting of a few full-time members and a few
part-time members. The studies have indicated that many of the part-time
members do not take adequate interest in the functioning bf public enterprises.
Many of them do not attend meetings regularly. Therefore, the advantage of
having external experts on the board of directors to give adequate
representation to different interests like consumers, suppliers, financial
institutions and others, is not being served. There has also been a talk of bringing
employees/workers representatives on the board of directors. Once this policy is
accepted and implemented in toto, it may bring about a cordial relationship
between the management. and the workers of the public enterprises. One hopes
that the industrial unrest may also reduce and we may witness a harmonious
relationship between the management and the workers: unless adequate
powers of decision making are given to its board of directors, a structural change
may not bring about a desired improvement.
Planning and Construction of the Projects
Studies have indicated that there have been defects in the planning, preparation
of the detailed project reports. In some cases the feasibility reports have not
been prepared or have been prepared on the basis of wrong assumptions. There
has been lack of proper assessment of the location of the projects and incomplete
analysis of commercial profitability as well a s socio-economic benefits. For
example, 6th Report (Third Lok Sabha) of the Committee on Public
Undertakings revealed that setting up of two plants of Fertiliser Corporation at
Namrup and Gorakhpur suffered from locational disadvantages. No
techno-economic ebaluation of the project was undertaken before setting up
these two plants and the decision to this effect was taken by the government
based on consideration that every state needs to have a fertiliser plant. At times
when the reports have been prepared it takes a long time to get it cleared from
the appropriate authority which results id considerable delay. Even at the time
of construction, the site of the projects has been changed due to political
interference. It has not been completed as. per the time schedule. Modern
techniques like PERT and CPM which help in project planning and monitoring
have neither been prepared nor adhered to. Whenever contracts were given, the
details were not adequately laid down. All this has resulted in delay in the
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Check Your Progress 1 Adm6&rativePmbIerns of

Note : i) Use the space given below for your answers. Pubk Sector
1) Explain the nature of the major problems being faced by the public
sector in India.
2) Discuss some of the organisational problems of the public sector in India.

a
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29.5 OPERATIONAL PROBLEMS

The operational problems 'faced by the public sectorein India relate mainly to
financial management, human resource management, materials management,
industrial relations, pricing, marketing etc. Let us briefly discuss these problems.
Financial Management
If the public enterprises have to function on commercial principles it is essential
that their financial management is consistent with this requirement. Many of
them adhere to the bureaucratic procedures existing in the government
departments and have not applied the modem techniques of financial
management.
A sound budgeting system is very essential for building up an effective
mechanism of financial management and control. The budget which apart from
providing accountability and internal control, is also a plan of action and a tool
of management. The financial performance of an enterprise depends
significantly on proper planning and control of its resources. But most o f the
public enterprises in India do not give much importance to this tool of budget
while planning their physical and financial targets. The Estimates Committee in
its 20th Report of the Second Lok Sabha also stressed upon the need for toning
up the efficiency of public sector undertakings through prepiration of a
,performance-cum-programme statement for the budget year together with the
previous year's statement. The Study Team of the Administrative Reforms
Commission in 1967 which investigated into this aspect pointed out towards this
adoption of the traditional pattern of budgetary forms and procedures in public
sector and emphasised the need for introduction of performance budgeting as
the expenditure needs to be linked to the activities and end results. But not much
headway was made in the adoption of performance budgeting in public sector as
stili most of the enterprises follow the preparation of traditional budgets.
There is a need to introduce 'performance budgeting' and 'zero-base' budgeting
in the public sector enterprises. The improvement in the budgetary system
should also be accompanied by greater delegation of authority as well as
reduction in the number of cases requiring prior financial approval.
Internal audit is also an important tool of financial management. There is a need

to strengthen the interna! audit system so that it is able to review the soundness
adequacy and application of sound financial principles and operational control.
It should play a pcsitive role in suggesting improvements in the financial'
management from:-
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h b ~ sector
c s ad Development a test check of a certain percentage of transactions with a view to verify
iqventories and ensure prevention and reduction of fraud, misappropriation and
pilferage.
One of the greatest problems.of financial management is resource mobilisation.
Most of the public enterprises have their initial supply of capital out of the
budgetary allocation. During the last few years some of the public enterprises
are getting loans directly from the public to augment their resources. Recently a
decision has been taken by the government that 20% of the finances can also be
obtained from the public in the form of equity. This equity participation would
increase the financial resources of the public enterprises and 'would reduce their
dependence on the budgetary allocation. Moreover, if the public enterprises are
able to improve their overall performance, it would be able to generate
sufficient internal resources and keep those financial results for their
modernisation and future develoment.
Human Resource Development
It has been well established that the success of any undertaking ultimately
depends on the ability, training, experience and morale of the personnel
engaged by the public enterprises. Perhaps the most important failure of the
public sector has been its inability to develop, to a requisite extent, its own
resources of managerial and .technical personnel. For staffing most of the
managerial positions, the government and the public enterprises right from the
beginning have been depending upon private sector, foreign personnel and civil
services. But their continuous dependence on any of these resources has been
found to be neither practical nor desirable. Private sector as a source of staffing
is professional and qualitatively weak because the nature of public sector is
different from the private sector. Moreover some of public sector units are in
competition with the private sector. Therefore, dependence on this source is not
desirable. Most of the existing public sector departments like railways, posts and
telegraphs and the then existing ordnance factories did provide a limited number
of persons for filling up those positions. With the expansion of the public sector
it may not be possible to spare their experienced personnel to the new public
sector enterprises. Even the services of foreign personnel which were acquired
by the public undertakings for staffing their positioiis have been found to be very
costly and their dependence may not result in the development of people from
within organisation as it limits the opportunity for development of its own
employees. Most of the public undertakings, therefore, during the initial stages
have been depending upon the civil servants to staff various positions. This
dependence on the civil service, especially in the central public enterprises has
reduced to some extent but it still continues at the state level. The dependence
on the civil servants has brought a large number of problems relating to the
bureaucratic culture, short tenure and lack of commitment to the public
enterprises. Ultimately, :he public enterprises are required to have its own cadre
of 'management. In this regard the Public Enterprises Selection Board (PESB) in
tHe Bureau of Public Enterprises has been of some help. Even then most of the
top positions are vacant for a long period. There had been a suggestion to create
separate management service for the public enterprises and to have separate
public service commissions for the public sector undertakings. Neither of the
suggestions has found favour with the government.
Public enterprises have not been able to attract trained and competent
managerial personnel because the salary structure is not comparable with the
private sector. Pay-scale is considered as one of the important factors which
affect motivation and mobility of personnel. It is therefore desirable that the
remuneration policies of the public sector should be rationalised and
considerablk changes in the pay structure should be brought about. It should be
uniform throughout the public sector and should be somewhat comparable with
the private sector.
Many of the public enterprises have excess manpower that too, at the clerical
and unskilled level. Partially it has been because the public enterprises were
required to retain the employees working in the construction of the projects and
there have been tendencies to provide helpers, peons and other staff to the
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planning has not been done on scientific basis during the initial stages of the Adminiabative Roblem of
project. This fias resulted in reduction of ' l ~ b o u rproductivity' and increase in Public Sector
the cast of operation. Defects in manpower planning in public sector in India 'la:
been pointed out by many studies and committees. Excess of staff strength,
employment of large-scale casual labour, ad hoc additions from time to time and
employment of helpers etc., have been said to be the problems'facing some
public enterprises.
Training anrl development of the employees is another area which can help in
providing the undertaking competent employees on a continuous basis. With the
increase in the number of public enterprises, the present supply of technical and
managerial personnel to inan various positions is not sufficient. Also our
educational system is not directly related to the professional requirement of the
public undertakings. Moreover, rnost the public undertakings are modernising
and diversifying their activities. All this necessitates augmenting of the training
facilities and co-ordinating all the training activities which are currently carried
on by the public sector. There are two institutions which impart management
training in public enteiprises i.e. Institute of Public Enterprises in Hyderabad,
and Continuicg Education for Public Enterprises in New Delhi. Also many
public enterprises have in-house training facilities for.workers, supervisory
I managerial staff.
Many of the public enterprises have been sending their employees to foreign
countries for training. It has been observed that at times, this training is not
effectively utilised as it does not suit the requirements of the job to be
performed. This is because right type of identification of training needs has not
been done.
Industrial relations
Unfortunately the public enterprises are suffering from poor industrial
relations: Being not owned by any individual or a group of capitalists the public
sector was expected to have not only cordial but harmonious industrial relations.
Owing to the political interference and political patronage, greater concept of
job Security and encouragement from senior managers, many of the trade unions
in the public sector are resorting to'frequent strikes and thereby creating
industrial unrest. The present system of works committees and limited
employees participation in management has not improved the industrial
relations to a great extent. It is hoped that if the government introduces the
modified form of workers participation, whereby the employees can participate
at the shop floor level, plant level and the board level it would help in bringing
about better industrial relations. Though public enterprises are spending
substantially on 9bour welfare, housing, employees education, transportations
and other such f ~ i l i t i e s ,the employees have not been adequately mativated to
give their best to the organisation.
Materials Management
The efficient and economic use of materials is essential for the profitable
operation of any undertaking. It forms the most important part of managerial
effort in controlling cost. Moreover the value of inventory also imposes a heavy
financial burden. The study team of the Administrative Reforms Commission,
based on its own study and the reports of the parliamentary committees and
Planning Commission pointed out some of the deficiencies in the area of
materials management. These include unjustifiably high amount of inventories,
lack of adoption of scientific methods of inventory control, delay in the delivery
of materials which has resulted in under-utilisation of the capacity of the
undertakings. Also, some of the undertakings do not ha-re proper storage and
handling facilities. Even the procedure for purchases' is lengthy and involves a
large number of references to the finance branch.
Studies relating to inventory management in public sector reveals that the time
taken to place an order for purchasing materials from the time of placing
requisition for those materials is very long. Also there are procedural delaysin
the organisation for processing the orders for purchase of materials. With this,
especially those public enterprises which import materials for their operations
tend to import huge stocks, to avoid any possible stoppage of production in
between due to non-availability of material.
mbllrSslor.dDcrrkpwat
There is a need to simplify the procedures and introduce modern tecnniques of
materials management, adequate delegation of powers for the purchase of .
materials. Inventory preparation should be done in a scientific way and should
be kept to the minimum. Better storage facilities would help maintain the
material in good shape and quality.
Marketing
One of the very important functions, namely marketing is generally not effective
in the public sector. This is basically because it enjoys the patronage of the
government. Much importance is not given to market planning. Public sector
faces other problems like lack of well-developed and integrated marketing
information system, formulatioii of marketing objectives in generalised terms,
lack of professionally qualified and trained marketing executives etc. The
marketing function has not assumed importance in. the public enterprises, owing
to monopolistic nature of the enterprises in the market and the absence of
private competition. This has retarded the growth and development of public
enterprises especially when they have to compete in the international market.
It is, therefore, essential that the public enterprises should make special efforts
to attract and develop marketing strategies for the overall growth and prosperity
of public sector in India. The Committee on public undei-takings has
recommended that the government should evolve a centralised marketing set up
for each type of industry as well as for specialised products manufactured by
more than one public enterprise. The marketing strategy should be to develop
long range plans by assessing the environmental factors, production capability
and the capacity of the market to absorb the products and services of the public
sector.
Pricing
The most controversial and frequently debated issue relating to public
enterprises has been its pricing policy. Since there are a number of enterprises in
public sector operating in different 'fields like developmental and promotional,
industrial and trading, basic o r essential service sectors, there has been no
uniform policy and hence they vary from one enterprise to the other.
Broadly, the pricing policies can be classified under three major areas namely;
(a) promotion oriented pricing (b) surplus-generation-oriented pricing and
(c) regulation oriented pricing. For the enterprises adopting promotion -oriented
pricing, the prices are fixed low and the external benefits are greater as
compared to the surplus created for the organisations. This jndirectly implies
subsidies to the beneficiaries. For example in case of a public sector unit like the
Food Corporation of India, the costs incurred by the unit at the point of saie are
higher than the issue price fixed by the government.
Some of the public enterprises follow the surplus-generation oriented price
policy to generate surpluses for their own development or to contribute to the
public exchequer. In fixing such prices they take into account the cost of
operation and the desired profit.
The regulation oriented price policy is adopted by certain enterprises wHere
there is a need to stabilise or regulate the prices and the enterprises are required
to provide adequate goods and services at lower prices so that the prices in the
private sector are brought to some reasonable levels. Such prices are fixed for
commodities which are of mass consumption.
The Bureau of Public Enterprises from time to time has been laying down
guidelines regarding pricing policies to be followed by public enterprises. It has
been emphasised that the public sector has economically viable units and all
efforts should be made t o increase their efficiency and establish their
profitability. In respect of those units producing goods and services which are in
competition withethe private sector the normal market forces of demand and
supply should operate and such organisations should have competitive prices. A
public sector unit like Hindustan Machine Tools (HMT) comes in this category.
For instance, the price policy of enterprises operating in the international
market like the Bharat Heavy Electricals (BHEL), Hindustan Steel Ltd., etc. is
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Since the pricing policy in public sector has to satisfy varied interests of the Administratlve Pmblem ol
enterprise, consumer, and supplier it becomes difficult to fully meet everyone's Public Sector
requirements and hence some clash of interests is inevitable. But the prices need
to be determined keeping in view the overall guidelines issued by the
government, individual circumstances of each enterprise, and larger national
interests.
' Check Your Progress 2

1) Indicate the major problems relating to human resource management in
public sector.
.................................................................................................
2) Highlight the problems relating to materials management in public sector.
3) Explain the three types of pricing policies of public sector in India.

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29.6 LET US SUM UP

In an endeavour to improve the performance of public enterprises various
reports- official and non-official- have stressed upon the importance of efficient
fui.lctioning of public enterprises. It has been particularly pointed out that the
performance and the success of any public sector unit depends, ultimately, on
the administrativelmanagerial capabilities of the organisation. The public sector
even with the government patronage is likely to fail unless it is able. to streamline
its administrative system and build up professionalism amongst its
managerialladministrative and other employees of the undertaking.
The administration of public enterprises are confronted with a large number of
organisational and operational problems. The most important of these relate to
finance, management and human resource management. Some of the
recommendations to improve the functioning of the public enterprises have
either not found the favour with the government and the public enterprises or
there has been considerable delay in accepting such suggestions. Unless the
suggested institutional and procedural changes are brought ih the administrative
set-up of the public sector, it will not be possible to fulfil the declared objectives
and improve the performance of public sector in India.
h b k Seth and Development

29.7 KEY WORDS
Committee on Public Undertakings : This is a parliamentary committee set up in
1964, consisting of members from the LoK Sabha and the Rajya Sabha. It is
entrusted with the function of examining the reports and accounts of public
undertakings to see whether in the context of the autonomy and efficiency, the
affairs of undertakings are conducted hccording to sound business principles and
prudent commercial practices. The committee is essentially a fact-finding body
and helps Parliament in ensuring accountability of public undertakings.
Critical Patb Method (CPM) : This is a planning technique which by means of
diagrams indicates the order in which jobs relating'to an activity or project are to
be accomplished or completed. It defines a project in terms of its component
events: By ordering the events or activities' and showing their interdependency
in the'form of a diagram, this technique enables one to identify the critical or
important events or activities, whose delay might lead to delay in the overall
completion of projects. This technique is used for planning, estimating,
scheduling and controlling of engineering, construction or related projects.
Inventory : It refers to part of the assets of an organisation consisting of raw
materials to be used in the manufacture of a product, goods in the process of
manufacture, finished goods which are ready for delivery to the customers.
Internal audit :'It is an integral part of any organisation which includes
examination of the accounts t o ensure that they are maintained properly,
expenditure incurred is within the prescribed limits and the financial rules and
regulations are adhered. The scope of internal audit is determined by the
.management of the organisation.
Manpower Planning : It is the process of developing and determining objectives,
policies and programmes in an organisation that will develop, utilise and
distribute manpower so as to achieve economic and other goals.
Management by Objectives : It is a management technique which helps in
achieving performance goals of an organisation. It is based on mutual
understanding between the management and employees under which specific
targets are agreed upon, actual performance towards the objectives is monitored
and if necessary, corrective action can be taken.
Materials Management : It consists of all tbe activities concerned with
movement of materials, production, control, inventory control, storage,
materials handling, purchasing etc.
Performance budgeting : A method of preparing budget in which items
appearing in the budget represent functions to be'performed or activities to be
undertaken. It is system of presentation of public experiditure in terms of
functions, programmes and activities/projects.
Programme Evaluation Review Technique (PERT) : It is a relatively new
planning and control technique which is designed to help the management wit1
planning, problem solving, control of organisational processes. It is generally
suitable for projects where there are uncertainities and with the help of this
technique, statements about the probability of completing a project within a
certain stipulated time can be obtained.
Public Enterprises Selection Board (PESB) : The board was set up by the
Government of India in 1974, entrusted with the responsibility of selection and
recruitment of top managerial posts in public sector undertakings.
Works Committees :.These are committees consisting of representatives of
employers and workers in equal number, .which are set up for industrial
establishments with one hundred or more workers. Its functions include matters
which affect the working conditions in the establishments like safety, provision
of amenities, educational and recreational activities etc.
Zero-base budgeting : It is an approach to budget formulation in which all the
activities have to be jdstified as though those activities were being started for the
first time. It aims at analysis and justification of existing activities and a
systematic consideration of how the objectives should be accomplished.
A~thePnlblumol
29.8 REFERENCES Public Sefter
Hanson A.H., 1962. Managerial Problenzs in Public Enterprises, Asia

Publishing House : Bombay.
Joshi Navin Chandra and S. Banerjee (Ed.), 1986. Readings in Public Sectors ( A
Book of writings in Indian context), UDH Publishing Company : Delhi.
Sanker, T.L., R.K. Mishra and S. Ravishankar (Eds.), 1985. Leading Issues in
Public Enterprise Management,Hirnalaya Publishing House Bombay.
Singh Prabhu Nath. 1982. Some Aspects of the Managerial and Economic
Problems of Public Enterprises in India,Janaki Prakashan : Patna.

EXERCISES
Organisational problems d a t i n g to planning, construction and
commissioning of public sector units
Operational problems relating to financial management, human
resource management, materials -management, marketing pricing.
Bureaucratic functioning of most of the public sectorqorganisationr
Lack of effective and proper linkages between the different units
within the'.pblic sector and the government
Inadequate delegation of power
Frequent interference by the politicians as well as the administrators
of the concerned de'partments
Ineffective ministerial control and parliamentary accountability
Composition of the Board of Directors consisting of both part-time
and full-time members. The part-time members' do not rake adequate
interest in thz functioning of the enterprise.

4 Inability to develop, managerial and technical personnel
Dependence on the civil service to staff various positions in public
sector which has led to problems relating to the bureaucratic culture,
short tenure and lack of commitment to the public enterprises
Improper remuneration policies due to which the public enterprises
,are not able to attract trained and competent managerial personnel
Defective manpower planning .leading to excess of staff strength at the
clerical and unskilled levels, employment of large-scale casual labour
etc.
High amount of inventories leading to heavy financial burden
Lack of adoption ef scientific methods of inventory control
Delay in the delivery of materjals
Lack of proper storage and handling facilities
Procedural delays in !he organisation for processing the orders for
purchase of materials.
There has been no uniform pricing policy in public sector and it varies
from one enterprise to the.other
Broadly, the pricing palicies can be classified into three types i.e.
(a) promotion oriented, (b) surplus generation oriented and (c)
regulation oriented pricing policy
Public Secta~and Development
In case of enterprises adopting promotion oriented pricing policy, the
prices are fixed low and external benefits generated are greater
compared to the surplus for the organisation's
In surplus generation oriented pricing, surpluses are generated by the
enterprises for ,their own development o r to contribute to the public
exchequer
The regulation oriented prices policy is adopted by enterprises
involved in production of goods for mass consumption with a view to
. '
stabilise and regulate the prices of goods and services and offer them
at a lower price.

UNIT 1 CONCEPT, NATURE AND SCOPE OF
PERSONNEL ADMINISTRATION .
Structure
1.0 Objectives
1.1 Introduction
1 . Concept of Personnel Administration
1.2.1 Personnel Administration : Meaning
1.2.2 Nature of Personnel Administration
1.3 Personnel Administration : Evolution and Development

1.4 Scope of Personnel Administration
1.5 Conclusion
1.6 Let Us Sum U p
1.7 Key Words
1.8 References
1.0 OBJECTIVES
After reading the unit, you should be able to:

explain the concept of personnel administration;
discuss the nature and meaning of personnel administration;
highlight its evolution and development; and
discuss the scope of personnel administration.
1.1 INTRODUCTION
People of a country are an important asset for it, s o is the case with organisations.
The successful functioning of an organisation depends on its manpower and quality
of leadership. The manpower by itself does not contribute to the development of a n .
organisation, it has to be converted into human resources through systematic
planning, adequate training and proper education. Without the growth of human
resources called the human capital, goals and objectives o f an organisation can never
be achieved. Human capital can be defined a s the sum total of knowledge, skills and
aptitudes of the people in the society. ~ e v e l o p m e n tof human resources poses a major
challenge for the developing countries like India. Manpower planning is an
important tool for developing human resources. Investments in manpower planning
whether made by government o r a, private organisation belong to the individual and
d o not depreciate. In fact they increase with the passage of time. Thus human
resources are an important part o f the total resources of an organisation. Though
financial resources, physical resources (the work place, machinery etc.) and
technological resources are also very important, it is the human resources which are
most vital as they generate the other resources. Adequate utilisation of human
resources would automatically lead t o optimum utilisation of financial, physical and : :
technological resources. N o organisation can achieve the desired goals without
effective management of all its resources, but human capital is the most essential
element of an organisation. As,personnel administration deals with the management
of the human resources, the study of its concept, nature, scope and developmenf '
assumes importance.
Downloaded from:-These aspects will be highlighted in this unit.
'erwnnel Administration
1.2 CONCEPT OF PERSONNEL ADMINISTRATION
The tasks of government are increasing everyday. Development and welfare

orientations have led to the expansion of government and its administrative
machinery. As the tasks, responsibilities and activities of organisations whether
public or private multiply, the demands on personnel, at every level, in terms of
efficient discharge of their duties also rise. Thus the task of personnel administration
is to, assure a.steady source of people who can contribute to the success of an
organisation and meet the growing demands of development. To understand the
concept of personnel administration, it is very essential to first understand the
meaning and nature of the term.
1.2.1 Persorlnel Administration : Meaning

Personnel administration is that part of administration which is concerned with
people at work and with their relationships within an organisation. It refers to the
entire spectrum of an organisation's interaction with its human resources from
recruitment activity to retirement process. It involves personnel planning and
forecasting, appraising human performance, selection and staffing, training and
development and maintenance and improvement of performance and productivity.
Personnel administration is close1)r related to an organisation's overall effectiveness.
There is no standard definition of the term 'personnel administration': Still there is a

widespread unaniAity among writers on its meaning, scope and purpose. According
to Flippo, personnel function is concerned with the procurement, development,
compensation, integration and maintenance of the personnel of an organisation for
the purpose of contributing toward the accomplishment of that organisation's major
goals and objectives. Dale Yoder uses the term "manpower management" instcad of
"personnel management" and includes both labour relations and personnel
administration within its ambit. According to him, "the term effectively describes the
processes of planning and directing the application, development and utilisation of
human resources in employment. Employers, employees, unions and public agencies
all have important roles to play in these processes):
According to Thomas G. Spates, "personnel administration is a code of the ways of

organising and treating individuals at work so that they will each get the greatest
possible realisation of their iMrinsic abilities, thus attaining maximum qfficiency for
themselves and their group and thereby giving to the enterprise of which they are a
part, its'determi~in~ competitive advantage and optimum results."
4
Michael Juciqk defines personnel administration as "the field of management which
has to do with planning, organising, and controlling various operative functions of
procuring, developing, maintaining and utilising a labour force such that the:
a) "objectives for which the.company is established are attained economically and

effectively:
b) ''objectives of all levels of personnel are served to the highest possible degree;
c) "objectives of the'community are duly considered and served."
The Institute of Personnel Management in U.K. defines personnel management as
"that part of the management function which is primarily concerned with the human
relaqonships within the organisation. Its objective is the maintenance of those
rehtionships on a basis which, by consideration of the well-beingof the individual,
enables all those e-ngaged in the undertaking to make their maximum personnel
coatribtation to the effective working of that undertaking." The Lndian Institute of
Petsonnel Management has also adopted. this definition.
The above-mentioned definition was replaced in-1966 by a more elaborate definition.
It reads, "Personnel management is that part of the management function which is
concerned with people at work and with their relationships within an enterprise. Its
aim is to bring together and develop into an effective organisation the men and
women who make up an enterprise and, having regard to the well-being of an
individual and of working groups, to enable to make their best contribution to its ,
success.
In particular, personnel management is concerned with the development of policies Concept, Nature and Scope
governing : of Personnel Adminlstrntioa
iManpower planning, recruitment, selection, placement and termination

Education and training, career development
Terms of emdoyment, methods and standards of remuneration
Working conditions and employees' services
Formal and informal communication and consultation both through the
representatives of employers and employees and at all levels throughout the
organisation
Negotiation and application of agreements on wages and working conditions,
procedures for the avoidance and settlement of disputes.
Personnel management is also,concerned with the "human and social implications of

change in internal organisation and methods of workirig and of economic and social
changes in the community:'
Thus we can say that personnel administration deals with the recruitment, placement,
training, disciplinary measures, monetary and non-monetary incentives and
retirement benefits of the human beings o r the personnel within an organisation. It
also deals with the nature of human relationships in an organisation, interaction
between the human beings within an organisation and interaction of human beings
k i t h the organisation. Personnel administration includes all activities and functions .
relating to policy formulation, planning, policy implementation, social change and
modernisation, administrative reforms and public relations in an organisation. It
aims at optimum utilisation of human resources in order t o achieve maximum results
with minimum wastage of funds and technology.
Personnel administration is variously known as 'personnel management', 'labour

relations', 'manpower management', labour welfare management', etc. But the term
'personnel administration' connotes a wider meaning, it includes both personnel
management and industrial relations. Many a times the terms labour relations and
industrial relations are used interchangeably with personnel administration but it is
always better to distinguish between them. The term 'labour relations' refers
primarily to the relation between management and organised labour. It-kcluaes
negotiations of contracts with unions. It deals with handling of differences with
unions and business agents. Some organisations have a labour relations officer or
director whose primary task is to advise and assist top management in their dealing
with union representatives. This official may or may not reIjott to personnel
administrator. In an unionised organisation, where there is no labour relations
officer or director, the personnel administratoreperforms the task of labour relations
officer.
Thus personnel administration aims a t :
Effective utilisation uf human resources

Desirable working relations among all members of the organisation
Maximum development '
Meeting the organisation's social and legal responsibilities.
According to Michael J. Jucius, personnel management should aim a t :
a) attaining economically and effectively the organisationa, goals;

b) serving to the highest possible degree the individual goals: and
c) preserving and advancing the general welfare of the community.
T o obtain these objectives, personnel administration is concerned with planning,

organising, directing, coordinating and controlling the cooperative efforts-of
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individuals within https://t.me/Pdf4Exams
a n organisation. https://t.me/Upsc_Zone_Official
Personnel Adminhtration * 1.2.2 Nature of Personnel Administration
Personnel function is crucial in any administrative organisation. The organisation
cannot afford to ignore it. Hence it becomes a basic responsibility of the
mariagement, be in the government or in semi or non-gbvernment organlsatidns. The
- changes in the socio-economic environment has its effect on management. The
management environment keeps changing due to the changes that occur in the total
socio-economic environment. The political environment also affects the work
environment in an organisation. Such changes get reflected in personnel
administration. These changes can be :
i) changing mix of the personnel entering government service organisation

ii) changing values of personnel
iii) increasing expectations of the government from their employees, and
iv) increasing expectations of the people from the government at different levels.
Thus management is affected by the changes in the social, economic and political
scenario. In fact it has to keep up with these changes. A higher number from
schedule castes, tribes and other economically backward classes are joining the
government service. A greater number of people with higher education, more
women, more technically skilled workers are also joining the government service.
'This has really changed the ratios of working force. With the proliferation of
activities under 'davelopment' and 'welfare' programmes, the employees are now
expected to be more competent and efficient. People at large expect the
administration to be efficient, effective and sympathetic. People's involvement in
administrative activities is increasing. Due to the constant demands o h
administration, the role of personnel administration is also changing.
Personnel are required to perform 'line' and 'staff' functions. Activities directly
related t o the primary objective of an organisation are called as 'line' functions. The
'staff'functionsare those which facilitate and assist the performance of line work.
They are in the nature of secondary activities and enhance the effectiveness of the
line agencies. For example, assistance in processing and supplying the required
number of personnel and training and development of personnel are essentially staff
functions. An organisation cannot function without the assistance of line and staff
personnel. At the same time, personnel function cannot be isolated from the rest of
the administrative functions. Personnel functions include both line and staff activities
in an organisation.
, Personnel administration does not always function in a formal organisation. No

organisation can solely run on the basis of formal rules and regulations, it comprises
human beings who are structured in an authority and responsibility network in order
to carry out the tasks and activities for the fu!filment of organisational objectives.
. This formal structure is supplemented, supported or sometimes obstructed and on
occasions taken over by the informal organisation. Informal organisation grows
within the formal organisation. It is a natural phenomenon and is based on social
and cultural relations among the personnel of formal graups. Political, economic and
psychological factors also contribute to the growth of informal organisation.
The functions of personnel administration are becoming more complicated day by

day. The problems of personnel administration differ from one organisation to the
other. Big organisations have more tasks to perform, they employ more people and
*servevaried objectives. The task of personnel administration in such organisations
becomes more intricate. As personnel administration deals with human beings all the
time, the crucial functions of motivation and morale of employees have t o be
p e r f o q e d by it. It has t o meet the growing needs of the people as well as satisfy the
increasing expectations of its employees.

Note : (i) Use the space given below for your answers.
(ii) Check your answers with those given at the end of the unit.
I) \bliat 15 meant by perwnnel admini<trat~on?
......................................................................
2) Discuss the nature oT personnel administrat~on.
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1.3 PERSONNEL ADMINISTRATION: EVOLUTION AND

DEVELOPMENT
While the evolution and development of personnel administration in U.K. and
U.S.A. was largely voluntary, in India, the growth of ersonnel administration can
C
be attributed to the efforts made by the government. hile in the West, the
pioneering work in the field of personnel management was motivated by the
managerial preoccupation with the concept of welfare, in India, unsystematic
recruitment practices, growing labour unrest, loss of production etc., initiated some
interest in personnel management.
In U.K., personnel administration had its origin in the concept of welfare as
propounded and practised by some of the enlightened entrepreneurs, who sought the
establishment of modern personnel administration. The term personnel management
actually originated in the U.S.A.
It was F.W. Taylor's scientific management which laid the foundation for the
development of personnel administration. Taylor laid emphasis on scientific selection
and systematic training and development of the individual worker. H.L. Gantt, a
close associate of Taylor, in scientific management movements, foresaw the need for
obtaining the willing cooperation of the worker. H e maintained that it was not
enough to tell the worker how t o d o a job, but it was aiso necessary t o promote the
ability and willingness t o d o a job. Mary Parker Follet also laid stress on training
and development aspects of management. The pioneers of scientific management,
apart from increasing efficiency, aimed at fighting fatigue and monotony among the
workers.
Most important breakthrough for personnel administration was Elton Mayo's

Hawthorne experiments and the human relations movement. These experiments
paved the.way for using the disciplines of sociology, psychology, industrial
psychology, social psychology etc., with a view to understanding employees and
organisational behaviour and influencing them through a motivational approach. All
this led to the gradual evolution and development of a theory and practice of
personnel management.
There were also other events and influences which led t o the growth of personnel
management. Various revolutionary concepts like mass production, mass distribution
and mass financing were evolved by industrial and business empires. The labour
shortages during the world wars and various labour problems posed a challenge t o
management. With the Great Depression in 1929, big business suffered a severe
setback. The State, the public and the trade unions, aimed at efficient professional
management. Their demands were, elimination of waste and maximum utilisation of
resources, particularly
Downloaded from:- human resources.
.Personnel Administration All these developments in America emphasised the fact that management of people
or personnel management is just as important as the management of production.
Thus the entrepreneurial interest, apart from other events in the sphere of worker
welfare provided the source of inspiration for the evolution of modem dynamic
personnel administration.
The history of the evolution and growth of personnel management in our country is
not very old. It was the Royal Commission on Labour which recommended in 1931
the appointments of Labour Officers to deal with the recruitment of labour to settle
their grievances. The industrial disputes of 1920s forced the government and
businessmen to think in terms of labour problems and promotion of personnel
management. The recognition of trade unions in India gave a new perspective to the
employer and employee relationship. Entrepreneurs like the Tatas, Calico Mills,
British India Corporation etc. had appointed Welfare Officers as early as 1920. These
Labour Welfare Officers performed the functions of redressal of employee grievances
and promotion of industrial harmony.
, In 1937 in Bengal, on the suggestion of the Government, the Indian Jute Mills
Owners' Association appointed a Labour Officer to bring about a settlement of
employee grievances with the mills and by 1939 five more Labour Officers were
appointed. Other Employers' Associations like Indian Engineering Association,
Indian Tea Association, the Engineering Association of India etc., also followed the
example of Indian Jute Owners' Association in appointing labour officers. In 1941,
the Government of India initiated the Tripartite Labour Conference with the
representatives of Government, labour and employees in order to promote uniform
labour legislation, determine a procedure to settle industrial disputes, and promote
consultations on industrial matters affecting the country. Now they have become
permanent and regular features of !abour policy. In 1948, the Factories Act ' ~ u l e s
laid down the appointment, duties and qualificarions of a new statutory officer in
industry called the Welfare Officer. The following years saw the emergence of yet
another officer called the Personnel Officer. The Personnel Officer deals with labour
welfare, industrial relations and personnel administration. Many companies in India
now have specialised personnel departments and a full-time Personnel Officer in
charge.
Now the number of personnel is increasing at a very fast rate, expenditure on

personnel is also correspondingly increasing. There has also been a trend in regard tc
the diversification in the personnel as more and more specialists, experts and
technicians are being appointed in government departments, public and private
organisations. Contemporary personnel does not just deal with welfare of employees
but also aim at achieving profits for the organisation. The motive is to earn profits
as well as benefits for the organisation and its employees.
1.4 SCOPE OF PERSONNEL ADMINISTRATION
Personnel administration incok.p,orates all aspects of management of persons in

organisation. The primary objective of personnel administration, as we have read
earlier in the unit. is to ensure effective u.tilisation of human resources in pursuit of
organisational goals. The personnel administration departments should dcsign and
establish an effective working relationship among all the mcmbcrs of an organisation
by division of organisational tasks into jobs. defining clearly the responsibility and
authority for each job and its relation with other jobs in the organisation. Personnel
administrution must try to enthuse among the employees feelings of commitment,
involvement and lovaltv to thc orgi~nisation.Thc ;rim is to csti~blishcortii:il rcl;~tions
among the emp~oyFesand do away with frictional sitbations arising out of personal
jealousies, rivalries and prejudices. Personnel administri~tionalso has to curb
unfavourable practiccs likc f;~vouritismand nepotism in an organis;~tion. ,
Personnel administration has to concentrate on various aspects of management like Concept, Nature md Scope
61 Persoanel Admlntstratioa
recruitment, training, promotion, conditions of service, employees welfare, employer-
employee relations and processes of morale and motivation. It has to develop links
with immediate, intermediate and external environment t o make itself effective and
efficient.
As the tasks of organisation increase, the responsibilities of personnel administration

also increase accordingly. It is not possible to solve the problems with a one-time
and one-stroke decision. Larger'the system more are the complexities. Take for
example, the Government of India, it is divided into ministries, departments,
divisions, units etc. It is spread over the entire length and breadth of the country.
Lakhs of people work in it, they operate a t different hierarchical levels and carry out
a large variety of functions. A number of services and their division into groups
constitute the entire workforce of the Central government. Almost similar is the
situation in each state. Personnel administration has to cater to all these aspects. It
requires continuous managerial input.
Planning and providing for the regular supply of the needed manpower for different
positions and in different numbers is an important task of the government. The
process of recruitment and utilisation of each micro-unit of human resource calls for
effective personnel administration, similarly, creating and maintaining desirable
working relationships also call for a series of continuous efforts on the part of the
personnel. Those responsible for personnel administration have to work for it
constantly.
The achievement of these two objectives becomes easier if the organ~sationprovides

appropriate opportunities for individual development. These opportunities can be in
/
the form of training. internal and external mobility, promotion, recognition and
reward. They act as strong motivators and satisfiers. Besides, salary structuring of
lakhs of employees is a wholesome task because each category has t o be adequately
and equitably compensated for the contribution it is expected to make towards
organisation's objectives. This is also a work of personnel administration. The
working force also has t o be subjected to certain d~sciplinein order to regulate
.proper performance of duty. Framing of conduct rules, laying down procedures of
disciplinary action, enforcement of those rules and a d n p t ~ o nof appropriate
procedures are also a part of personnel administraiion.
Employer-employee relations, provision for Joint Consultative Machinery,

establishment of public service tribunals for adjudication, adoption of welfare
measures and payment of retirement benefits etc. to the employees are the added
responsibilities of personnel'administration. Trade unionism among government
employees,has increased during the past few decades. Both employer and employee
unions have come up. There is now a dire need for expert skills to foresee personnel
needs and problems 2nd to plan for their satisfaction and rectification. All this
requires systematic personnel administration. Thus the scope of personnel
administration is wide and varied, moreover it is continuously expanding with the
changes in environment.
1.5 CONCLUSION
Thus we can say that it is the personnel which more than anything else determines
the quantity and quality of the performance and output of an organisation. Even the
contribution of money and material to the performance of an organisation depends
substantially upon their manipulation by the human beings in a n organisation. Even
the poorly devised machinery may be made t o work if it is manned with well-trained,
intelligent and imaginative staff. O n the other hand, the best planned organisation
may produce unsatisfactory results if it is operated by medircre ~ n disorganised
d
staff. Personnel constitute an integral part of the organisa!ion. It is with their
requisite skills, aptitude, integrity and organising capacity that they can build
the
imaee of their oreanisations as effective institutions in natinn h ~ i i l d i n ~ .
Personnel administration with its ever increasing responsibilities has become a n
indispensable part of management. There is a need for making personnel
administration responsible for bringing about innovative changes in the structure of
organisation, undertaking personnel research and conducting attitude surveys. There
is also a need for making personnel administration accountable for formulating cost
effective policies a n d programmes and establishing positive relationship between the
organisation and environment. A constantly changing scenario calls for better
recruitment procedures, newer training techniques, re-training methods, mid-career
train;ng, more coordination between$private and public welfare programmes,
effective organisational development, better performance appraisal devices a n d more
useful leadership methods.
, Check Your Progress 2

I) Highlight the development of personnel administration in India.
2) Discuss the scope of personnel administration.
1.6 LET US SUM UP
It is clear that no organisation can afford to disregard the needs of its personnel.
Every organisation has to keep its personnel satisfied. Personnel are the means
through which organisations develop. In this unit we familiarised ourselves with the
meaning and nature of personnel administration. The evolution and growth of
personnel administration was highlighted. The unit also discussed the scope of
personnel administration;
1.7 KEY WORDS
Formal Organisation : Formal organisation is one which is deliberately planned and

designed and duly sanctioned by the competent authority. It is bound by rules,
regulations and well-defined procedures.
Great Economic Depression : The world wide economic depression that started in
1929 and lasted till 1935. During this period purchasing power with the huyers was
very high b l ~ tthere was a severe shortage of goods in the market. It means that
demand f c r goods was more than the supply. The period was marked hy low
economic ;rctivity. inflation and m;iss unemployment.
Hawthorne Experiments : Experiments conducted hy Elton Mayo and his associates

at the Hawthorne Plant of the Western Electric Company (C'h~cago).The
experiments spreading over ;I period of ninehttps://t.me/Upsc_Zone_Official
ye;irs ( 1 91-4-32) laid th;it the
management should concentrate on human situations, motivation, employer- Concept, Naturo and Scope
o f Personnel Administration
employee relations, stability of the labour, co~duciveworking conditions a d
supervision. It emphasised the need for informal organisation.
Informal Organisations : These are shadow organisations of formal organisations.

They are ill-defined and do not have definite organisational goals. The relations
between the members of these or~,~lisationsare not specific. They function in a
flexible manner and are not bound by rigid rules and regulations.
Joint Consultative Machinery : It is a consultative body whic'n consists of

representatives of both employers and employees. This body meets at regular
intervals to discuss matters concerning the interests of employers and emp!oyccs and
krrive at certain agreed settlements. Matters relating to conditions of service of
employees, welfare of staff, management policies relating to improvement of
efficiency and work standards are discussed by this machinery.
Line Agencies : In order to carry out the major primary functions of the government,
a number of departments or administrative agencies are established. These are called
line agencies because thev are directly concerned with the execution or fulfilment of
the primary objectives of the government. They are responsible for controlling,
regulating, directing and commanding the administration and come frequently in
direct contact with people. Gljvernment departments and public corporations are the
examples of line agencies.
Staff Agencies : These agencies perform the secondary functions in administration.

They assist the line agencies in carrying out their functions. They provide them with
the necessary assistance, advice, counsel, support,, information and statistics etc.
Some examples of staff agencies are UPSC, Fiime Minister's Office, Cabinet
Secretariat etc. Line agencies cannot function withotit the help of staff agencies.
Taylor's Scientific Management : F.W. Taylor advocated a close collaboration and

deliberate cooperation between the workmen and the management. His philosophy
of management was based on four basic principles viz., the development of a true
science of work, scientific sdection of workers, the scientific education and
development of workmen and establishing cooperation between the management
and workers. Taylor's contribution to the development of scientific manggernent was
recorded In his papers; A Piece Rate System (1895), Shop Management (1903) and
Art of Cutting Metals (1906).
1.8 REFERENCES
Goel S.L. 1984. Public Personnel Administration; Sterling: New Delhi .
Rudrabasavaraj M.N. 1979. Dynamic Personnel Administration : Managemenr of

Human Resourcw; Mimalya : Bombay.
Sinha V.M. 1980. rersontlrr Administration : Concepts and Compararive Perrpectivea

R.B.S.A. : Jaipur.
Tripathi P.C. 1980. Personnel Management; Theory and Pracrice: Sultan Chand : New
Delhi.

Your answer should include the following points:
I)
personnel administration is that part of administratinn which'i< concerned with
people at work
i t dc;~l.;with the relations hi^ of ~ e o ~within
le an oraanisation
Personnel Administration it deals with all aspects o f administration of personnel from recruitment to
retirement
it involves personnel planning and forecasting
it relates to the functions of policy formulation, policy implementation, social
change, modernisation, administrative reforms and public relations
it aims at optimum utilisation of human resources
it is also called 'personnel management', 'labour relations' 'manpower
management' etc.
tne changes in the socio-economic environment has its effect on personnel
administration
it is also affected by political environment
there has been diversification in personnel functions
there has been proliferation of personnel activities
personnel are required to perform line and staff functions
personnel administration functions in both formal and informal organisations
the problems of personnel administration differ from one organisation to the
other.

Royal Commission on Labour, recommended the appointment of Labour
Officers in 1931
the industrial disputes of 1920s forced the government and businessmen to think
in terms of promotion of personnel administration
recognition of Trade Unions in India
appointment of Labour Officers with the Jute Mills
the Tripartite Labour Conference in 1941 gave a boost to establishment cf
cordial labour relatiom
the Factories Act of 1948laid down the appointment, duties and qualifications of
Welfare Officer in industries
emergence of Personnel Officer in various organisations.
personnel administration incorporates all aspects of management of persons in
an organisation
personnel administration has to establish cordial relations among the employees
it concentrates on various aspects of management like recruitment, training,
promotion, employees' welfare etc.
it has to constantly interact with the changing social, economic and political
environment
framing of conduct rules and laying down procedures of disciplinary action are
an important part of personnel administration
provision of a Joint Consultative Machinery, establishment of public service
tribunals and rairement benefits are the responsibilities of personnel
adininistration.

JNIT 2 FUNCTIONS AND SIGNIFICANCE

-
OF PERSONNEL ADMINISTRATION
- -- - --
Structure
Objectives
Introduction
Functions of Personnel Administration
2.2.1 Manpower Planning
2.2.2 Recruitment, Training and Promotion
2.2.3 Salary Structuring
2.2.4 Employees,Welfare
Significance of Personnel Administration

Let Us Sum Up
~e~ Words
References
2.0 OBJECTIVES

discuss the various functions of personnel administration viz. manpower;
planning, recruitment, training, promotion, salary structuring and employees'
welfare; and
highlight the significance of personnel management in an organisation.
-
2.1 INTRODUCTION
As we read in unit 1, personnel administration is a crucial p a n of an administrative
system. Administration sets for itself certain goals and objectives and personnel
administration assists it t o achieve them. It performs various functions in order to
fulfil organisational objectives. The successful functioning of an organisation is
dependent on the effectiveness of its personnel system. The functions like recruitment
of personnel, upgradation of their skills, formulation of a sound promotion policy,
maintenance of disci, line in the organisation, redressal of personnel grievances,
improvement of their working conditions etc. fall within the purview of personnel
administration. This unit will try to highlight these functions. A more detailed
discussion on these functions with regard to personnel system in India will be made
in Blocks -;, ,... - o TI +is Course.
.-
2.2 FUNCTIONS OF PERSONNEL ADMlNISTRATlON

- -
Some of the important functions of personnel administration are :
a) Manpower Planning
b) Recruitment
C) Training
d) Promotion
e) Salary structuring
f) Employees' welfare
No organisation can function efficiently unless and until the above-mentioned

functions are given proper attention. Let us now discuss these functions briefly.
Ptrsonnel Administration 2.2.1 Manpower Planning

Before the fdrmal process of selection of personnel begins, an organisation has to
make an assessment of its requirements in ter'ms of number of personnel needed for
a job, definition of a job, the skills and specialisation it entails, the duration for
which personnel are required, nature of work etc. Manpower planning is engaged
with these type of activities. Organisations whether large or small, whether public or
private, are in constant need of manpower. They require men and women for
different levels of positions for performing different kinds of jobs at different places
and intervals. The number of personnel with defined skills and specialisations needed
at different periodic intervals have to be forecasted. Manpower planning predicts the
number of personnel an organisation will have to hire, train or promote in a given
period.
Manpower planning makes long range estimates of the general and specific
manpower needs of the organisation for different activities. By anticipating the need
for various types of skill requirements and levels of personnel, well in advance, a
manpower plan is able to give adequate lead time for recruitment, selection and
training of such personnel. It controls delays and is a very effective device to develop
the required sources from which needed personnel can be made available.
The objectives of manpower planning are:
to ensure optimum use of human resources currently employed

to assess or forecast future skills requirements if the organisation's overall
objectives are to be achieved
to provide control measures to ensure that necessary resources. are available as
and when required
to determine recruitment level
to anticipate the weaknesses of organisational procedures and avoid unnecessary
dismissals.
to determine training levels
to provide a basis for management
to assess future accommodation requirements.
At the level of manpower planning, planners have to take into consideration various
things. The planner must take into account all such variables which are beyond
hisGer control, these are wavering variables which always affect the functioning of
atl organisation, for example strength of an organisation, investment, union rules etc.
The planners also have to identify those variables which are manipulative, for
example, productivity, incentives, training etc. the planners must determine in
advance the time horizons of their plans since they affect the changeability of
structures and functions within the system.
Manpower planning can' only be effective if goals are explicitly laid down. Manpower
planning has to determine the quality and quantity of personnel needed for a specific
job. The methods used for this purpose are job analysis, job description, job
specification, workload analysis and work force analysis. Without effective
manpower planning, the other functions of personnel administration viz. recruitment,
placement, training, promotion, welfare of employees etc. cannot be performed
properly.
2.2.2 Recruitment, Training and Promotion

Recruitment
Once the determination of manpower needs has been made, the recruitment and
selection processes can begin. Recruitment is the process of searching for
prospective workers and stimulating them to apply for jobs in the organisation. It is
a positive function which aims at increasing the selection ratio, that is the number of
applicants per job opening. In contrast, the selection process is a 'negative' function
because it attempts to eliminate applicants leaving only the best to be absorbed in
the organisation.
Recruitment determines the tone and calibre of the services whether public or
private. A faulty recruitment policy https://t.me/Upsc_Zone_Official
inflicts a pcrmanent weakness upon the
administration. Not even an effective training policy can make faultily recruited
persons bright and efficient. The basic elements of a sound recruitment policy
include :
>!
discovery and cultivation of the employment market for posts in the organisation
use of attractive recruitment literature and publicity
use of scientific tests for determining abilities of the candidates
tapping capable candidates from within the organisation
placement programme which assigns the right man to the right job; and
a follow-up probationary programme as an integral part of the recruitment
process.
Recruitment implies matching the personnel characteristics of potential employees
with the job requirements. The sources of recruitment can be broadly classified into
two: internal and external. Internal sources refer to the present working force of an
organisation. In the event of a vacancy, someone already on the payroll is promoted,
transferred or sometimes demoted. Filling a vacancy from internal source has the
advantages of increasing the general level of morale of existing'employees and of
I providing to the organisation a more reliable information about the candidate's
1 suitability. The major weakness of this source is that it may deprive the organisation
of a fresh outlook, originality and initiative. External sources refer to the methods
adopted by the organisation to attract people from outside the organisation through
a thorough assessment of their qualifications, skills and potential. Some of the methods
of determining qualifications are the personal judgement of the appointing officer,
certificates of ability, character and education, record of previous experience
(educational and professional) and examinations. Employment agencies,
advertisements, field trips, educational institutions, professional meetings, employees'
referrals, unsolicited applicants etc. are some examples of the external sources of
recruitment.
An organisation cannot fill its vacancies from one single source only. It must carefully
combine some of these services, weighing their cost and flexibility, the quality of
personnel they supply and their effect on the present work force. A planned
recruitment programme provides the organisation with job applicants from whom a
required number of selections are made. There is no standard selection procedure for
recruitment. Usually the selection is made through a written test or an interview or
both.
The final step in the selection process is that of inducting the new employee into the
new social setting ?f hidher work. This is done by familiarising the employee with
the new surroungngs and the rules and regulations of the organisation. Various
training metho+ are used to upgrade the skills of the new recruits and integrate their
goals with the/organisational goals, we will now discuss some of these methods.
Training
Training is a well-articulated effort to provide for increased competence in the
service, by imparting professional knowledge, broader vision, and correct patterns of
behaviour, habits and aptitudes. It should be a continuous, process in response to a
continuously felt need. Training helps the entrant by Inculcating occupational skill
and knowledge, by making h i m h e r familiar with objectives of the organisation and
hisher potential contribution in the funherance of department's or organisation's
goals.
Training adjusts the employees with the constant changes in the goals and techniques
of organisations. The deficiencies of the new appointees may be corrected by
imparting them necessary training. Training helps broaden the vision and outlook of
the appointees. It equips those already in the service for higher positions and greater
responsibilities, it enhances the efficiency of the employees and helps build integrity
and morale of the employees.
The terms training and education are closely related. Training is the art of increasing
the knowledge and skill of an employee for doing a particular job. It is concerned
with imparting specific skills for a particular purpose. On the other hand education
;is a broader term, it is concerned with increasing general knowledge and
understanding of the employee's total environment. The need for training is
universal. Everybody needs training so as to effectively discharge the obligations of

h i s h e r office. It is a continuous process.
Training can be informal or formal. Informal training is training by doing the work
and learning from mistakes. The ultimate success of informal training depends upon
the experience and seniority of the senior officer and hidher interest in the new
entrant. The aim of formal training is t o inculcate administrative skills in the
personnel through well-defined courses. Informal training improves the quality of
administration. Pre-entry training, orientation training, in-service training, vocational
:raining, post-entry training etc. are some of the examples of formal training.
Different methods of imparting training can be lecture method, case study method,
syndicate method etc. Whatever be the methods, the basic aims of training are
always :
inculcating fresh knowledge among the employees

upgrading their skills
familiarising the inducts to the organisation, its environment, work conditions,
rules, norms and goals
attuning the employees to the new needs of the organisation
broadening the views and outlook of employees
maintaining the morale of the employees
development of novel attitudes; and
reducing waste, accidents, turnover and absenteeism.
Every administrative system must pay adequate attention to its training

requirements. A well trained, well-aware and properly skilled personnel system is the
very heart of an organisation.
Promotion
Another vital function o f personnel administration is promotion. The word
'promote' is derived from the Latin expression 'promovere', it means 'to move
forward'. Promotion means advancement of an employee to a job better than the
present one in terms of greater responsibilities, more prestige or status, greater skill
and increase in pay. The need for. promotion arises from a variety of factors. An
organisation is able to retain the services of its personnel by the device of promotion.
Lower positions in the organisation are able to attract competent persons if it makes
provisions for ~ t personnel
s to move higher. A sound policy of promotion fosters a
feeling of belongingness in the personnel, contributes towards the continuity in
policies and practices and leads to building up of traditions and conventions in the
organisation.
According to W.F. Willoughby, a sound promotion system should fulfil the

following conditions :
i) adoption of standard specifications setting forth duties and qualifications

required for promotions in the governmerrt service
ii) the classification of these positions into distinct classes, series, grades and
services
i i i ) the inclusion within this classification of a11 the higher administrative positions
except those having a politic:rl character
iv) the ;idoption. as far as possihle of the principle of recntitment from within for
filling trp of higher posts
V) thc adoption of the principle of merit in deterni'ining the relative nierits of
cmployccs el~gihlcfor :id\~:~nccmcnt.
The ernptoyccs should he m;rdc awiirc not just of thc opportunities for promotion
open to them hut also of' the dcfinitc lines long which such promotion is to he
expcctcd and the conditions th;it niust he fulfilled hy them in getting it. This means
that tlrcrc should he a dcfinitc go;il hefore them towards which they can work.
Norrn:illy promotions arc d c p ~ ~ r t n ~ c nth;tt
t : ~ lis, n vacancy in a higher post in a
dcp:irtnient is ust~;illyf'illcd from ;iniong the cmployccs of that department even
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no suitable candidate within the department to fill a particular post and when a new Fuactiom and Signiflance
of Personnel AdminLstratlw
department is created or an old one is expanded.
There are two principles which are used in the system of promotion:
i) principle of seniority
ii) principle of merit.
The principle of seniority is an age-old principle. Employees attach great importance

to the length of service. According to H. Finer, "it is automatic and avoids the need
for making individual distinctions between one person and another, of placing the
young over the old, o f measuring the responsibility for the result of promotion."
But, this gives rise to two basic questions. Is the employee with the longest service
necessarily the most competent? If employees automatically qualify for higher jobs
by being senior, will new employees he motivated to give good performance? Yet,
seniority cannot be rejected altogether by using the internal method of promotion,
the administration can keep the morale of employees high and also encourage a
competitive spirit for better performance. Use of external method does provide for
the competitive spirit to grow but in the process affects the morale of the employees
adversely. Using the principle of merit in promotion requires fair practices.
In order to determine the merit of employees, a scientific system of 'performance

appraisal' needs to be developed. It should be made as objective as possible. The
appiaisal should be of regular and continuous nature and should evaluate the
quality, quantity and styles of performance. It should include also an appraisal of the
growth potential of an employee.
Taking into consideration the weak and strong points of both the principles, a mix
of the two is adopted in the organisations while selecting candidates for promotion,
both seniority and merit are given due weightage. Each organisation must have a
sound promotion policy. If promotions get governed by favouritism, the 'left outs'
will in all probability continue floating in the same organisation nursing grievances
against employers. Thus promotion has to be hased on just and fair norms as it is a
powerful means in the hands of the organisation to reward its faithful workers. It is
a powerful means to lead the employees towards the desired goals.
2.2.3 Salary Structuring

Development of a sound salary-system is an important function of personnel
administration. Salary has to be structured in such a way that the employees of the
organisation feel adequately rewarded and resources available to the organisation are
optimaly utilised.~Followingare the requirements for the development of a sound
pay system : a
i) the pay structure should be simple and rational

ii) the pay of a post should be related to the duties and responsibilities attached to
that post
I iii) it should take into consideration the qualifications and experience prescribed
iv) it should be comprehensive and adequate to enable the employee to have a
feeling of the total emoluments and to maintain a certain standard'of living
and
V) it should take into account the comparable salaries paid in alternative
occupations.
Comprehensibility and adequacy are the standard tasks of a sound pay structure.
Good compensation plans, well-administered, have a salut,ary affect on the entire
organisation. Employees are happier in their work, cooperation and loyalty are
higher, productive output is up and quality is better. In the absence of such plans
compensations are determined subjectively on the basis of haphazard and arbitrary
decisions. This creates several inequities which are among the most dangerous
sources of friction and low morale in an organisation. Although there can be both
monetary and non-monetaly forms of compensation prevalent in an organisation, yet
it is the former which is the most basic element by which individuals are attracted to
an organisation,
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that i s henefirial to the oreanisation.
Each organisation should structure the salaries of its employees in such a way that
no employee feels inadequately rewarded. Apart from basic salary, additional
allowances such as house rent allowance, conveyance allowance, recreation
allowance, leave encashment, festival loan etc. can be given to the employees.
Moreover the salary scales I ~ a v eto be constantly revised in view of price rise o r
increase in profits for the organisation
2.2.4 Employees, Welfare

Welfare of employees is one of the most important functions of personnel
administration, a good personnel system always gives topmost priority to the well-
being of employees. A sound personnel policy, proper recruitment and promotion
techniques, conducive training methods etc. create a certain physical and mental
condition of the employees so necessary for good performance. These conditions
need to be maintained as well. Motivation of employees and building up of their
morale at different levels help in maintaining these conditions. All types of welfare
programmes in an organisation are to help in maintenance of these-conditions only.
Employees' benefit programmes create and stimulate morale which contributes to the
1
creation and maintenance of favourable attitude towards work and work
environment. These prog ammes include fringe benefits such as holidays, differerit
types of leave entitlement1 education facilities, canteen facilities, leave travel fare
concession etc. Employee's physical condition is maintained through safety and
health programmes, .group health insurance plans, regular medical examinations,
proper working conditionis like proper lighting, ventilation, space and equipment etc.
These are all employees' welfare measures.
Maintenance of discipline and following a code of conduct in the organisation also
helps in creating conducive work environment in the organisation which is important
for employees' welfare. Penalties for violation of rules, for misperformance or for
non-performance vary widely in severity. The more usual forms of disciplinary action
are warning o r reprimand, reassignment to other duties, suspension from duty for a
certain peric : of time, demotion t o a position of lower rank o r grade and dismissal
or r,rmoval from the service. Strict disciplinary actions are very essential as they
increase the efficiency of work, raise the morale of the employees and keep the
inefficient out of the organisation.
As a model employer. an organisation provides many social welfare and security

services for its employees. These can be in the form of certain tangible be,nefits.
Some of these benefits supply financial protection against certain risks such as illness
accident, unemployment and loss of income due to retirement. Some other benefits
provide extra leisure, extra income and better work environment. These programmes
fulfil the physical, mental, financial, recreational as well as the social needs of the
employees.
A proper retirement scheme is also very essential fo; employees' welfare. The
organisation needs to assure its employees an easy and carefree life in their old age.
The age of retirement can be anywhere between 50 and 65. Proper retirement
benefits attract talented persons t o the organisation, they help the system of
promotion, through these benefits efficiency of employees increases. Besides pension,
some other benefits such as allowances to take care of inflation, medical facilities,
provident fund, family pension, travel concessions are also provided to the retired
employees. The primary aim of all these benefits is t o provide necessary means of
livelihood and freedom from certain worries to the employees in their old age.
Efforts must be made to provide counselling to help the retired personnel to utilise
their time and money effectively. All possible information should be passed on t o
employees who are seeking retirement, external expertise can also be used by the
organisation in terms of financial planning, planning for a second career etc. A
carefully devised retirement plan must always form a part of planning package of an
organisat ion.
Redressal of employees' grievances is yet another very important aspect of
employees' welfare programmes. 'The interests of the employees and the employers
should not be in conflict. Over the decades there has been an increasing
consciousness about common needs and interests of the employees. The employees'
various ways and channels t o solve the problems of the employees. Redres .{I cells in
the organisation should try t o remove the grievances of the personnel quick1 and
systematically. The organisation has to provide t o its employees effect~vele.it!ership.
It has t o generate the will to work among the employees. Inculcation of morLlle,of
that spirit, that state of mind, which expresses itself in loyalty, enthusiasm,
cooperation, pride in the service and devotion to duty is the end of the whole
personnel system. Employees must have a sense of security, achievement and
belongingness in the organisation. Through attitude surveys and proper recruitment,
selection, promotion, training, salary structuring.policies, an organisation can
formulate suitable welfare schemes and develop a conducive ,work environment for
its employees.

1) What is meant by manpower planning?
2) Recruitment is a very important function of personnel administration. Not even

a proper training programme can undo the harm caused by a f:iulty recruitmen!
procedure. Discuss.
....................................................................
3) Discuss the different principles used in the system of promotion.
4) What are thL various methods an organisation can employ for the general
welfare of its employees?
2.3 SIGNIFICANCE OF PERSONNEL ADRTINISTRATIOW
The quality of an organisation is dependent owlthe quality of its employees. than is,
the personnel ~t employs. With the tieve1opmtr:r of science and technology 2nd
growth of welfarc Functions in order to meet t ,le demands of exp:~ndingporulatinn
P C ~ S O M Aamtnistrntion
C~ the organisations whether public or private, have to perform a large number of tasks
I
varied and complex. It is only possible if the personnel engaged in the attainment of
objectives are efficient and sincere.
Among the three components required for developmental tasks, personnel, money
and material, it is the personnel or the human element which determines the quality
and quantity of the performance and output. Even the contribution of money and
material to performance depends substantially upon their manipulation by the
human beings in an organisation.
Walter R. Sharpshas aptly remarked, "good administration is a composite of

effective organisation, adequate material facilities and qualified personnel ... Even
poorly devised machinery may be made to work if it is manned with well-trained,
intelligent, imaginative and devoted staff. O n the other hand, the best planned '
organisation may produce unsatisfactory results if it is operated by mediocre or
disgruntled people. As per Ferrel Heady "The importance of administration is
almost universally recognised amongst ,commentators on development. Visually an
effective bureaucracy is coupled with a vigorous modemising elite as a prerequisite
for progress "
Thus, we can say that without efficient personnel, the organisational tasks can never
be fulfilled. Without efficient bureaucracy, the government can never make its plans
and policies a success. The performance of the organisation and growth of its
personnel is linked with the competence of personnel constituting the organisation.
Human resource development, as we read in unit 1 is the key to the efficiency of
personnel. No country should neglect the development of human resources. We also
witness a complete wastage of human resources due to unemployment,
underemployment and malemployment. Positive steps have to be taken to remove
these problems. The increase in labour force must entail an increase in economically
active population. The greatest natural resource of a nation is its people. Investments
in developing human resources through training, career development, planning,
counselling, selection, job-enrichment programmes and designing suitable
performance appraisal and reward systems can go a tong way in maintaining the
morale and motivation of people high. These programmes consequently influence
org~nisationaleffectiveness.
The most important proble* in public pemonnel administration is to ensure that vast
manpower resource employed in the state sector yields the best possible return.
Efficiency of public employees or the effectiveness of personnel system depend.on
several factors, such as the quality of talent attracted to and retained in the'public
service, nature of training which the enlployees receive, values and motivation of
employees, standards and norms set uj, by formal and informal work groups, .
'
effectiveness in inter-personal relation:jhips, styles of supervision and leadership,
nature and adequacy of work tools and procedures for decision-making and the
character of interrelationships with tire political process and social environment.
The ARC had obsehred that "the present personnel system does not make for a
rational and optimum utilisation of human resources within the civil service to the
best advantage of administration as well as the community:'
During the last 40 years, the countrj has taken up past developmental
responsibilities. This calls for an eff6:tive personnel system in order to formulate and
carry out organisational functions. P~lblicas well as private organisations are
growing day by day, thev both have 28 significant role t6 play in pursuit of
developmental goals and it is only thr mgn the help of right personnel and
management of the human resources that these objectives can be realised.

Note : (i) Use the space glven helo .v for your answer
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I) Highlight the significance o f personnel admin~stration.

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2.4 LET US SUM UP
Personnel administration has become a very crucial part of an administrative system.

The attitudes of the work force have undergone a change over the last few decades.
The age-old employer-employee relationship of loyalty and commilment is no longer
the only important reason for effective functioning of a system. Employees'
expectations have gone up due to greater democratisation, better employment
opportunities and changes in the technical environment and societal behaviour. The
employees of today are concerned more with the recognition, decision-making
participation more challenging tasks, they are less concerned with job security, they
also give higher preference t o leisure. Personnel administration has t o thus re0rier.t
its policies in order t o meet the ever changing and growing needs of the employees.
Employee development must now be a n important activity of personnel

administration. More emphasis should be there o n orientation training and self-
development schemes. The functions of recruitment, training, promotion, s a l a r j
structuring and employzes' welfare also have t o change according t o the change in
time. The effective working of these functions is a must for personnel system. As all
thew functions are interdependent, that is neglect of one may adversely zffect the
other function, the organisation has t o give equal time and attention to all these
activities.
Success of any administrative system depends on how effectively it handles its

personnel functions. The growing significance of personnel administration cails for
continuous and systematic changes in personnel functions in order to fulfi! the
expanding needs of the employees and the organisations. This unit familiarised us
with the different functions of personnel administration, and their importance and
significance in administrative system.
--
2.5 KEY WORDS
Case Study Method : Refer to Block 3, unit 11.
Compensatl~.:i d . s &,, ,.r+rly system for the payment of salaries t o employees is

referred to as a cnmpensation plan. It consists of a schedule of pay scalts applicable
t o classes of positions covered by the plan and n ~ l e sfor administration. Gencrall-i.
the compensation plan includes a separate pay scale for each class of positions. Each
pay scale includes within itself a range of salary rates, consisting usually of
minimum,'intermediate and maximum rates.
Employment Referrals : Some industries with a record of good personnel relations

encourage their employees t o bring suitable candidates for various openings in the
organisation.
Financial Planning : It means establishing the need for finance for the retired, their
sources of income, items on which to spend money, budget for income and
expenditure. It helps in augmenting sources of income for the retired persons. It
t.ducatcs them on meaningful use of time and leisure. Education on the need for
social activities. self-development. health care and legal affairs is also included in
financial plitnning.
P C ~ ~ OAdministration
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Group Health Insurance https://t.me/Upsc_Zone_Official
: It entails the usual financ~al
protection agalnst loss ot I~te,
based on term insurance at low rates made possible by the random spreading of the
risks among members of a fairly selective group.
In-Service Training : Refer to unit 1 1, Block 3.
Job Analysis : It is the process by means of which a description is developed of the

present methods and procedures of doing a job, physical conditions in which the job
is done. relation of the job to other jobs and conditions of employment. It is
intended to reveal what is to be done as opposed to what should be done.
J& Description : The results of a job analysis are laid down in job description.
Writing job descriptions for production workers, clerical people and first line
supervisors is an established practice. A more recent development is job description
for managers in an organisation.
Job Specification : It is a statement of minimum acccptable human qualities

ncccssarv to pcrform a job satisfactorily. Making job description as its base, it lays
down t l ~ r;tbilities and qualities that a worker should possess in order to hold the job
in questicul.
Morale : It is the capacity of an individual or a group of people to move persistently

and consistently towards a common goal. The group should have a strong confidence
in the desirability of the goal.
Orientation Training : Refcr to unit I I, Block 3.
Professional Meetings : Some companies send representatives to professional

pathcrings to recruit employees.
Probation Programme : Refer to unit 13, Block 3.
Syndicate hlethod : Refer t o unit 11 Block 3.

i
Unsolicited Appointees : Such type of appointees are those wk.o gather at factory 1
gates to serve as casual workers o r who send in their reauests for appointment
against a vacancy, if any, they are also an important resource of external
recruitment. i
i
I
Vocational Training : rhe cnlployce IS ti, hc trained in the specialised technique or 1
skill which is csscntlal f o ~
hl\/hcr vocation.
Work Force Analysis : Ilndcr this the possibility of absence or loss of personnel
through retirement. promotion. transfcr. dearh, discharge, or any other cause is
considered and suitahlc adjustment is matlc in the number of persons needed.
Work Load Analysis : The aim of this analysis is to make a forecast of sales.
2.6 REFERENCES b
Goel S.L. 1984,. Puklic rersonnel Adminisrrarion; Sterling: New Delhi.

Puri K.K. 1985. Public Adminisrrafion: Indian Spectrum: Kitab Mahal : Allahabad.
Sachdeva D.R. and Meena Sogani. 198 1 . Public Adminisrrarioh: Concepts'and
Applicarion. (Volume 2 ) ; Associated Publishing House: New Delhi.
Sinha V.M.1986. Personn~lAriminisrrcrrion: Conceprs and ~ o m ~ a r a t i vPerspective;
e
RBSA Publishers; Jaipur.
Srivastava L.P. 1987. Public Personnel Sysrem in India; Anmol: New Delhi.
*

Functions and Significance

2.7 ANSWERS TO CHECK YOUR PROGRESS EXERCISES of Personnel Administration

1) Your answer siiould include the following points:
manpower planning is engaged with assessment of requirements in a n
organisation in terms of personnel needed for a job, definition of a job, duration
of a job etc.
it predicts the'number of personnel a n organisation will have to hire, train o r
promote in a given period
it makes long range estimates of the general and specific manpower needs of the
organisat ion
it gives adequate lead time for recruitment, selection and training
itcontrolsdelaysand makesoptimumuseofhuman Tources
it ensures control measures to ensure that necessary mrces are available as
and when required
without effective manpower ,planning, the other functions of personnel
administration cannot be performed properly.
recruitment is the process of searching for prospective workers and stimulating
them to apply for jobs in the organisation
it aims at increasing the selection ratio
it matches the personnel characteristics of potential employees with the job
requirements
recruitment can be made through internal and external sburces
training aims at imparting professional knowledge, broader vision, correct
patterns of behaviour, habits and aptitudes
no proper training can undo the harm caused by faulty recruitment procedure, it
cannot make the faultily recruited personnel bright andtefficient.
principle of seniority
principle of merit.
motivation of employees and building up of their morale
fringe benefits
@ health and safety programmes
maintenance of discipline
social welfare and security services
proper retirement schemes
proper redressal machinery in the organisation
an organisation has to provide to its employees effective leadership.

I) Your answer should include the following points:
to meet the expanding demands of a large population, organisations hove to
perform a number of tasks, personne? thus have become a crucial part of any
organisation
without efficient personnel the organisational tasks can never be fulfilled
development of human resources cannot be neglected
the greatest natural resource of a nation is its people
investments in developing hum'an ' resources through training, career
development, planning, proper counselling, selection, job-enrichment
programmes is a must for organisational effectiveness
an effective personnel system is needed to formulate and carry out the
organisational functions.

UNIT 3 PUBLIC SERVICES AND THEIR

ROLE IN ADMINISTRATIVE SYSTEM
Structure
3.0 Objectives
3.1 Introduction
3.2 Meaning of Public Services
3.3 Relationship between the Government and the Public Services
3.4 Scope of Public Services
3.4.1' Transition fromf~raditional'tor~odem State'
3.4.2 Growth in the Functions of Public Services
3.5 Role-Models for Civil Services

3.6 The Changing Role of Public Services
3.7 Let Us Sum Up
3.8 Key Words
3.9 References
- OBJECTIVES
3.0
After reading this unit, you should be able to

@ discuss the meaning and importance of public services;
@ explain the relationship between the government and the public services;
@ highlight the scope and functions of public services; and
@ describe the different role-models for public services.
3.1 INTRODUCTION
If the 'execut~ve' is one of the three organs of the government, the other two being
'legislature' and 'judiciary', 'public services' form the arm of the executive. Its
function is to co,nvert the goals and objectives of the executive into reality. The
executive segment of the government needs the help of an organisation which may be
termed Public Administration for the proper formulation and implementaiion of its
programmes. One of the important parts of Public Administration is the 'public
sen4ces1. Public services is an instrument of development and change. It has become
one of the most essential and vital parts of the administrative system. The role and
functions of the public services within the administrative system constitute an
important focus of study. This unit will highlight the role and importance of public
services in the administrative sistem.
3.2 MEANING OF PUBLIC SERVICES
'Public Services' are generally defined to mean the civil services.constituted by the
government to translate all its plans and programmes into implementable action. In
common usage, civil service means that branch of governmental machinery which is
concerned not with law making but with law enforcing functions. In the executive
branch of the government. there are two parts, the ministers and civil servants. The
civil servants carry out the orders of the minicters and advise them in policy
formulation. According to E.N. Gladdcn, "CIVIIScnice is the name of an important
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1s more for it stands for a spirit essential to the success of modem democracy, an Public Services and thelr
Ook in Admlnbtrotlve System
Ideal of vocation in public officials who devote their lives to the service of the
communityl' In administrative parlance, public services have a slightly wider
connotation in the sense that they are taken to cover, besides civil servants, extended
group of employees who may be working in public sector undertakings, nationalised
banks and other quasi-governmental organisations funded wholly or partly by the
government. While the ci%l servants are the holders of civil posts, whose
remuneration in India is paid out of Consolidated Fund of India, others are not so
paid. In Britain, they are also accepted as "those servants of the crown other than
holders of the political and judicial offices, who are employed in civil capacity and of
course, remunerated through budget passed by parliament!'
In brief, as H. Finer stated,"Civil Service is a professional body of officials,
permanent, paid and skilled" and further, classified British Civil Service into three
categories, administrative (policy formulation and execution); technical (scientific and
specialised categories like doctors, engineers etc.) and manipulative (executing orders
of the first two classes). Public services is an important instrument of political
modernisation in the developing societies. Well-knit and well-organised public
bureaucratic structure precedes electoral democracy. It provides stability and
continuity to the system of government.
Public services is a blend of certain features viz. expertise, vitality and leadership.
This blend enables the public services to function in an independent and efficient
manner.
3.3 RELATIONSHIP BETWEEN THE GOVERNMENT AND

PUBLIC SERVICES
The art of governance and administration has been the integral feature of human
society. For governance, there has always been a government, whatever be its form
and for carrying out the objectives of the government, there has always been the
public services. Public services have always been an important arm of the
government for formulation, implementation, monitoring and evaluation of its
programmes. Thus, the kind, and the character of the public services would, no
a doubt, depend on the type of the government and the nature and the scale of the
tasks to be performed by it. As a consequence, whenever aiid wherever there is a
change in the government, the public services also undergo a change to some extent.
Bureaucrats have more knowledge, experience, inter-governmental ties and time than
the politicians. Both ate actually dependent on each other. The relationship between
the government and puhlic services has provided that the dichotomy between policy
formulation and implementation can never be strictly maintained in practice.
Experience has shown that this type of compartmentalisation between governmental
and administrative activities is partly, but not wholly true. It is very difficult for the
government to be only concerned with policy formulation whereas for the services to
only deal with administration of these formulated policies. Both in theory and
practice, there is frequent crossing of boundaries, as a result a relationship of
cornplimentarity, mutuality and interdependability has developed betwien the two.
The government sets the goals for public services, hence it is instrumental as a tool
to achieve these goals.
1) What is meant by 'public services'?

2) Highlight the relationship between the government and public services.

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.......................................................................
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3.4 SCOPE OF PUBLIC SERVICES
The role of public services is changing with time. A status-quo bound public services
can never solve the new and growing administrative problems. Public services have
to change in a, way that is c~nduciveto the development inn8vative administrative
programmes and systematic progress of the country. Its scope is widening and one
cannot think of all-round dqvelopment without effective public services.
3.4.1 Transition from '~raditional"to 'Modern' State

With the growth in the functions of the State, rising expectations of people and
development of science and technology, the role of the government has undsrgone a
substantial change. Government, has to undertake the primary responsibility of
governance of its people. This governance involves muitifacetea functions in the
political, social and economic areas. Law and order, internal security, defence against
external aggression are some of the sovereign functions of the state. As no
government can exist or acquire legitimacy in a political vacuum, the appropriate
political systems must necessarily be devised for survival nnci growth of the
government. Similarly, since people can't live on politics alone, their socio-economic
needs will also have to be catered to. Thus social, political and economic aspects of
governance become critical areas of concern for the administration.
As the government grows and undertakes newer tasks and responsibilities,

adrnin-istration also has to respond suitably and effectively. This administrative
response is possible only with a proper and rational organisation of the public-
services, for, a d ~ i s t r a t i o nwill be reduced to nothing if there is no competent
public services t/o assist it. When the state changes its ideological philosophy from
the traditional to the modern, the administration also undergoes a fundamental
change. Thus, when the state transcends itself from 'warfare' to 'welfare', the
administration undergoes a transition from 'law and order' orientation to
'developmental' orientation.
If development becomes the focus, planning becomes essential, for it is only through
a systematic and scikntific planning that the resource-mobilisation and input-
utilisation within the shortest time is possible in order to attain optimal output.
Administration thus has to pay attention to policy formulation, programme design,
project management and programme evaluation. For all this. efficient and effective
public services is required since efficiency in the conduct of government business
depends primarily on the ability oi personnel employed by the state. Government
cannot afford to have personnel, within the services, who are not fit. meritorious and
competent. When the country adopts development oriented goals and objectives, the
governmental duties become not only socio-ecoaomically compulsive but also acquire
new dimensions.
This calls for efficient and qualified personnel. Plans for administrative reforms can
only be successful if they are accompanied by a highterled attitude and motivated
ability on the part of the public personnel. A competent personnel is, tJlus the
sinequanon of an effective public services and the qualities that are sought for in
public personnel are integrity, ability, dedication, devotion to duty, intelligence and
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3.4.24 Grawtb in the Functions of Public Services RbUc Sarlca d tklr

Rok In A d m b ~ d l r cSydcs
The public officials are required t o perform all the tasks and duties arising out of the
obligations of the government in rendering service t o its people. Some of these tasks
are, advising ministers o n policy issues, supervising all aspectsof administrative,
technical and scientific programmes, economic and financial activities, social welfare
and services. They are also engaged with delegated legislation, administrative
! adjudication and public relations:
With the incrtase in the welfare functions the purpose- and the scope of the
administration have been comp!etely reoriented. The U.N. Handbook noted: The
State is expected today t o be the acceleratorof economic and social change and. no
longer the preserver of the statusquo. And in its new role a s the prime mover and
stimulator of national development, it is expected t o spread the benefits of economic
and social progress t o everyone. No longer dare a government indefinitely limit the
enjoyment of the fruits of the earth and of man's labour and ingenuity t o a small
privileged class. Moreover, the modern state is expected to achieve these purposes
within the general framework of the consent of the people,'and with due regard t o
the rule of law and individual human rights. I t is difficult today to find a State,
whatever its present power structure that does not call itself a democracy, a
government of the people.
A modern State may act as the director, entrepreneur o r stimulator of private
initiative, o r indeed. in all the three capacities. In a socialist economy practically all
organised effort is placed in the public sector and.its entire management becomes the
concern of the public services. Many countries because of their prevailing social and
economic conditions and availability of resources are committed to reserving the
largest possible sphere of activity to private enterprise and local initiative. But even
in these courltries vast increasing functions and activities concerning national level
opinion are undertaken by the government. The capitalist economies have witnessed
a n expansion of their public services. In these countries, many such areas have come
u p which are solely under the public sector, where the private sector is not able to
enter.
The twentieth century, thus, is witnessing an extension of governmental functions

beyond all limits. The concept of welfare and service State has been almost
universally accepted. Governments have taken up the responsibility of utilisation of
manpower, natural resources and technology t o create an environment conducive t o
all-round economic development and social well-being. This further strengthens the
role of public services. The demands of the people upon their government have
become insistent, the government is considered to be a n agency to meet these urgent
demands and devise ways t o overcome social and economic deficiencies in the
The Public Services have become today one of the most essential and vital parts of
the government. A s the civil services form a very important part of public services,
this unit will emphasise more on the functions and role of the civil services. The civil
servants perform a number of functions. The major functions are:
Determination of Policy :The civil servants are actively involved in the forrnulation
and'determination of the policy of the country. Although policy is the sphere of the
legislature, the technical demands of the government's role call for the intervention
of public servants in t h e matters of policy formulation. The civil servants recommend
policies t o the ministers. The ministers being amateurs cannot understand the
complexities of the public policy and consequently act on the advice of the civil
servants. Thercfore, the civil servants greatly influence t h e formulation of the
national policy. The civil servants suggest alternatives to policy which are practically
enforceable as they know how the policy works in practice.
Implementation of Legislation and Pol~cies: The civil servants execute the policies
passed by. the legislature. The civil servants exercise a large sphere of discretion in
the execution of laws and policies. He/she weighs carefully all the factors that may
affect implementation before taking an action. They have to see whether the law or
policy is favourable and enforceable, they must act impartially and honestly
according to legislative standards and the rule of law.
Personnel Administration Delegated Legislation : The civil sCrvants also frame departmental legislation. The
legislature gives a broad outline of the legislation and delegates to the civil servants
the power to make details of that legislation. Delegated legislation has become very
useful because the legislature has no time to frame detailed rules and regulation and
is not familiar with the complexities of the rnodern legislation. The civil servants
frame rules and regulations and issue orders in accordance with the legislation passed
by the legislature. These rules are thus scrutinised by the legislature again and then
enforced by the civil servants.
Administrative Adjudication : The civil servants today exercise quasi-judicial powers

also. They determine the cases on issues involving the rights and obligations of
private citizens or parties. Some judicial powers have to be in the hands of civil
servants in order to secure public interest and protect the poor from exploitation.
The growth of administrative adjudication is the result of the need to have
reasonable and speedy justice i l l cases under social enactments and cases involving
technical complexities. The civil servants enforce policies and therefore are able
to give judgement according to the requirements of the policies.
Besides these, the routine functions of civil services are licensing and inspection,
regulation of government policies, collection of taxes, taking note of working
conditions etc.
Thus in brief, civil servants perform the functions o f :
a) Advising the government regarding the programmes. Providing the ministers

with necessary information and statistics.
b) Implementing the plans. policies and programmes formulated by the
Government.
c) Monitoring and evaluating the programmes of the Government.
d) Carrying out the tasks delegated to them by the Government.
e) Determining cases on issues involving rights and obligations of private citizens
and parties.
3.5 ROLWMODELS FOR CIVIL SERVICES
Instrumentality Role
There is a general agreement that the civil services should play basically an
instrumental role in its operation, in-as-much as it is not the master but agent of
policy formulation and execution. It is, therefore, almost universally expected, and
substantially accepted, that the services should be so designed and structured as to
respond systematically and willingly to the political leadership and policy parameters
This essentially represents a philosophy of primacy of political control over
Despite their participative and pervasive presence in the policy programmes of the
state, the public services are not supposed to stray too much from their instrumental
role to become prime mover behind policy making. Fritz Morstein Marx credits
"merit bureaucracies even in modern nation states of the West as having contributed
substantially to the viability of the policy " through "professional outlook to every
conduct of governmental activities'.' It is not the same thing to say that the public
services cannot, should not and need not, under any circumstances, involve
themselves into policy making process, but by and large, the civil servants shoi~ldnot
involve themselves in policy making full-flegedly
Neutrality Role
The neutrality role of the civil services is in consonance with its instrumentality role.
It is thus clear that if civil services have to perform, in the right spirit of their
structural functional framework, they have to be "neutral" in their approach,
outlook and activities. No way should their political values affect their conduct and
hehaviour. Civil servants are the objective, dispassionate and non-partisan band of
professionals who should d o a job entrusted to them with clinical proficiency, Public Services and their
efficiency and dedication. Once a policy has been decided and decision taken t o Role in Adminbtrative System
implement the programme, all that civil servants should d o is t o try to use all the
availrtble resources in an optimum manner for the execution of the programme. In
other words, the civil services must not be allowed LO. take political sides. The
individual value-system may.certainly come into $lay while rendering advice to the
ministers o r at the time of strategising for policy but not thereafter. The civil
scrvants ;ire not the political agents but servants of the state. Political neutrality is
thc sinequanon of civil servants, the civil service and party politics should be kept
poles r t p a r t . ' ~ h u sthe civil servants are. expected to implement the policies decided .
upon by the government. It is neither responsible for political content of
programmes nor it has t o defend it in public.
Commitment Role
Should the civil servants be committed t o the cause of a party, o r the ruling party o r
a person of the party? Intellectualfi? Emotionally? Ideologically? Where should their
commitment lie? Answers t o such questions are very important for understanding the
commitment role of the civil services. Different views have been expressed on the
subject. The first and the common view holds that commitment means that the civil
servants should be in accord with the policy objectives of the government. ~ e c o h d l ~ ,
it has been held that such a commitment should be to a new social a n d economic
order, and has t o be consciously built and nurtured through the careers of civil
servants'. The third view is a corollary t o the second view, it says that commitment
should be related t o the developmental philosophy ot theastate, societal. economic
and political, besides all the other modernising and nation-building programmes.
Fourth view holds that commitment should, ideally, be t o the ideals of the
Constitution of the country which represents the collective wisdom of the people
regarding the governance of the policy. And, ultimately, commitment has t o be to
the conscience of the civil servants, their belief, cultural and ethical values and sense
of justice and righteousness.
Civil servants have often displayed their personal allignment, identification and
belongingness to political parties, they often display personal loyalty t o 'the boss'.
This kind of personalised commitment helps the civil servants in better career
progression and moreacceleiated\elevation. But the term committed bureaucracy does
not mean a bureaucracylloyal t o a particular political party, it does not even connote
civil servants owing loyalty t o a particular individual, political person o r leader. It
means that bureaucracy should he committed t o the objectives, ideals, institutions
and modalities contained in the Constitution.
Impersonality Role
Civil services should, by and large adopt a n 'impersonality' profile while dealing with
matters concerning policies, programmes and issues. Civil servants cannot afford t o
take o r twist a decision on the basis of the persons involved with it o r the persons
who can be affected by it, but should strictly conform t o the principles, rules,
guidelines etc. They should govern the matters before the government, irrespective of
the status, standing and position of the affected individuals. Civil servants have to
take a dispassionate approach t o problems.
Anonymity Role
The role of anonymity requires that the minister has t o answer for the actions of
civil servants in the Parliament. The civil servants thus are protected from criticism
of Parliament. A minister has t o protect the civil servant who has executed h i d h e r
definite order. Minister is also responsible t o the parliament for the wrong action of
the civil servant. Thus the principle of anonymity goes hand in hand with the
principle of ministerial responsibility. It means that civil servants work behind the
curtain, they cannot openly come out and play a predominant role in politics. They
have t o function in a n environment of anonymity, this helps them in taking honest
and objective decisions.
Professionality Role
The civil servants are employed for their knowledge, skill, expertise, experience,
competence and merit. They musi utilise all their skills to implement the development
programmes with full zeal and enthusiasm. The civil servants must be trained https://t.me/Upsc_Zone_Official
to use.
Personnel Administration all the mental, physical and technical skills at halid in a most effective and efficient
manner. The aim should be to train civil servants in such a way that maximum
results can be achieved with minimum inputs at the least cost within the shortest
time frame. Professional excellence, result motivation and intellectual integrity should
be their motives. Learning and continuing education should be built into the system
itself, for that is the foundation for building a professional super structure.
Professional role of the civil servants is the genesis of their existence.
3.6 THE CHANGING ROLE OF PUBLIC SERVICES
In view of the growing complexities of governmental tasks, the future administrators

must acquire knowledge in the fields of science and technology, social and
behavioural sciences, modern tools of management, human relations in management
and administrative research and development. The 4dministrative Reforms
Commission observed that the "role of generalists" in administration is losing its
validity in several fields. This is an inevitable consequence of the increasing
application of science and technology in solving administrative problems.
In the context of the new challenges of change that the public services have to face,
the iatter cannot escape two compulsions, one of adaptation and the other of
professionalisation. Various factors like changing political scenario, growing
aspirations.of people, expanding scale of administrative operations, increasing size of
administrative structure and developing science and technology are forcing public
services t o adapt to the different changes and professionalise itself.
According t o Gabriel A. Almond, the public services have to attend to certain

functions either in combination with political authorities, confidentially,
independently o r single handedly and openly. H e identified seven such functions and
categorised them into input and output fdnctions. Input functions are political
socialisation,'intetest articulation and aggregation and political communication. The
output functions comprise rule-making, rule application a;rd rule adjudication. For
discharging these functions properly, the public services must address themselves to
two types of relationships, one of mutual compliance, referring t o 'internality'
relationship and other of adaptation, relating to 'externality' relationship. Both
influence the performance of public services and must therefore be integrated. T o
cope up with these colossal functions, the public services must acquire and develop
appropriate and adequate capacities. Unless they are fully equipped, they cannot help
in achievement of goals of the programmes and policies and can lead to a wide gap
between declared objectives and their realisation. The public servants must undertake
capability generation programmes (such programmes must aim at increasing the
capability of public servants in order to perform the administrative tasks properly)
within the framework of specific needs, particularistic environment, local culture and
ethos. With the growing involvement of public services in the public sector
enterprises and other quasi-government undertakings, they have to become more
flexible and adaptable.
2%
\ ..
Check Y w r Progress 2
1) What are the different functions of civil services?

Public SenJces and their

2) What d o you understand by the commitment role of civil services? Role In AdminktraHve S y s t w
i
3) The neutrality role of the civil services is in consonance with its instrumentality
role. Discuss.
3.7 LET US SUM LIP
The efficiency of public services is very essential for the proper functioning of any
administrative system. The public servants are constantly engaged with the
formulation, implementation and evaluation of policies and programmes. Due t o
increase in governmental tasks and complexities of its activities, the civil services are
involved with delegated legislation and administrative adjudication. The concept of
Welfare State has broughtthe government and public services closer to the people, a
cordial relationship between the public services, the government and the people has
to be established. This unit highlighted all these aspects and discussed the meaning,
scope and role-models of public services.
3.8 KEY WORDS
Consolidated Fund of India : In India, the centre and states have each its consolidated
fund to which all receipts are credited and all authorised payments are debited.
Externality Relationship of Public Servants: The relationshi between the public on
f
the one hand and government on the other. It means that he public sekants have
not adapted themselves t o the nature of governmental policies and growing
aspirations of the people.
lnput'Functions : The activities which are connected with the formulation of rules,
policies and programmes are called input activities or functions, these functions
decide the nature of rules and programmes in an organisation. Activities like
assessment of resources available, selection of best possible alternative, interest
articulation are all input functions.
Internality Relationship of Public Servants: The relationship among the public

servants. The relationship of mutuality and cordiality has t o be established among
the public servants. The externality relationship is dependent on the internality
: relationship of public servants.
I
Output Functions : After the rules and the programmes of the organisation are
decided upon, they have to be formalised, implemented!ponitored and evaluated.
The activities relating to these tasks are output activities o r functions.
"'
Personnel Administration Political Modernisation : Political modernisation in developing societies means that
the masses should participate in governmental decision-making, that the regional
loyalties of individuals should be replaced by the secular loyalties of citizenship and
the roles of various structures of the society should not remain diffused.
Sine qua non : Indispensable condition o r qualification.
Welfare State : A State which makes substantial provisions for the welfare and well-
being of its citizens especially the deprived sections gnd those in need, through law
and administration.
3.9 REFERENCES
Bhambhri C.P. 1971. Bureaucracy and Politics in India; Vikas: Delhi.
Kaushik S.L. 1983. Public Administration in India: Emerging Trends; Kitab Mahal:
Allahabad.
Pant A.D. and Shiva K. Gupta (eds) 1990. Bureaucracy, Development and Changes:
Contemporary Perspectives: Segment: New Delh i.
Srivastava L.P. 1987. Public Personnel System in India; Anmol: Delhi.

public services are the services constituted by the government
it is entrusted with the task of implementing the plans of the government ,
public services include the civil servants and the employees working in public
sector undertakings quasi-governmental organisations and nationalised banks
public services is a professional body o f experts
expertise, vitality and leadership are some of the important features of public
services.
2) Your answcr should include the following points:
public services is an important arm of the government
dichotomy between policy formulation and implementation can never be strictly
maintained in practice
public services are also involved in policy lbrmulation and government also does
not restrain from policy implementation every time
public servants have more knowledge, time and experience than the politicians.

civil servants advise ministers on policy issues
they are engaged in delegated legislation
as the functions of government are increasing. thc rolc of civil services is
becoming more importapt
-thcv carry out the formulated plans and programmes
they arc engaged w ~ t hadministrative adjudication
civil services are engaged with monitoripg and evaluation ot' go\ernmcnt
programmes.
2) Your answcr should includc the l'ollowing points:
many views ha\.c bccn expressed on commitment rolc ol. civil services
instead ofpersonaliscd commitments wh'ich the civil servants ~ ~ s u a ldisplay,
ly the
commitment should be towartls the objectives o f the programmes and ideals of
the Constitution.
Your answer should include the following points: Public Senkes and them
Role in Admlnistrdve Syetpm
civil services have to be neutral in their outlook and activities
their political values should not affect their conduct and behaviour
they should be a non-partisan band of professionals
they should try to implement the policies without bothering about the people
involved, they should try to utilise the resources in an optimum manner to
achieve maximum k s u l t s
they should only play an instrumental role
civil servants should not become the prime movers behind policy making, at least
they should not involve themselves in policy making full-fledgedly.

UNIT 4 CHARACTERISTICS OF PUBLIC

PERSONNEL ADMINISTRATION IN
INDIA
Structure
Objectives
Introduction
Characteristics of Public Personnel Administration in India
Public Personnel Administration: Some Dysfunctionalities
Evolving an Efficient Public Personnel System
Let Us Sum U p
Key Words
References
4.0 OBJECTIVES
After reading this unit you should be able t o :

discuss the various characteristics of public personnel administration in India;
describe the dysfunctionalities in the present personnel administrative system;
and
highlight the future trends in personnel administration and the ways a n d means
of improving the personnel system.
4;l INTRODUCTION
As we read in Unit 3, the public services represent the government's instrumentality

for realising the objectives of the State. The services are personified in the public
personnel and have structural-procedural aspects built into them. Services are based
on 'cadre' system and are regulated by a number of rules, regulations, directives,
instructions etc. through which the conditions of the employment of the personnel
recruited and retained in the services are governed. The functions of the government
have expanded manifold in modern times and so have the public services. The
services have increased in number, categories and specialities. Besides administrators.
managers a n d clerical personnel, the public services today have ,technical people of al
conceivable kinds, doctors, engineers, scientists, technologists etc. The services have
1
now t o look after the administrative, programmatic and implementational aspects of
governmental policies, besides helping the political executives with advice on the
desirability, feasibility and viability o f policies.
If government, and therefore, Prlblic Administration is peculiarly and primarily

concerned with the achievement of what 0. Glenn Stahl has described as "order and
promise", meaning thereby "assurance of current stability and faith in the Suture".
the public personnel are the people who make it possible. These people, underti~ke
various kinds of activities, from trivial to critical, which affect the entire fabric ol'
society. N o aspect of citizen life can now escape the attention of government and.
therefore, of the public personnel. IS 'development' in all its varied dimensions and
facets is the focus, it needs t o be seen whether the prevalent personnel system meets
the requirement and, if not, in what direction, it needs t o tie reformed, restructured
and revamped. This unit will deal with the general characteristics of personnel
administration, its dysfunctionalities and future prospects.
Cbaracterlstirs of PubUc
4.2 CHARACTERISTICS OF PUBLIC PERSONNEL Personnel Adminktrstion la I d a
ADMINISTRATION IN INDIA
Public personnel administration in India comprise the public services of the country.
By now you must be familiar with the meaning and scope of public services in India,
their role in the administrative system must have also become clear. The public
personnel administration has c ~ r t a i ncharacteristics which are different from the
private administration in many ways; Public personnel administration has to cater to
the needs of larger number of people and is engaged with the supply of varied
services. Public personnel administration does not exist in a vacuum. It is the
product of basic public policy, it operates under public scrutiny, it mirrors general
social and economic conditions, and it has a continuous impact upon the general
welfare. The government is dependent o n the public personnel system for the
implementation of its programmes, without proper utilisation of human services, n o
policy, programme or rule can be made successful.
Present Public Personnel Administration is a Legacy of the Past

The bureaucracy in India, especially the top bureaucracy is a spillover of British
rule. The East India Company promoted a service structure for meeting their
commercial and trading interests. In 1858 when the British Government took over
the reigns of administration in India, the political consolidation of the country and
exploitation of the country's resources to serve its own interests became its aims.
This called for minimum economic, social and developmental activities but maximum
administrative stranglehold. The s u p ~ r i o rcivil services that is the higher civil services
were manned by either British o r Indians recruited from higher economic and feudal
strata of society. The lower subordinate levels comprised only the Indians. The whole
system was an excellent example of high and low, top and bottom, master and
servant.
The preponderant characteristics of public personnel system were:
it was 'elifist', exclusive in outlook and approach
it displayed despotism in action and behaviour
it maintained safe and wide distance from the people
it developed structural rigidity and functional frigidity
it was too hierarchic and precedent adherent
it had no human relations orientation
it had feudalistic, and separatist attitude and temper
it had no welfare o r development motivation.
India became independent in 1947, but could not develop o r structure a novel' public
personnel system. Our Independence was accompanied by painful partition of the
country, communal riots, massive migration of displaced persons and influx of
refugees. Moreover we had to tackle with the complicated problems of integration of
states, depletion of administrative personnel due t o voluntary retirement of British
ICS officers and transfer of Muslim ICS officers t o Pakistan. If the health of the
economy was bad on account of the after effects of the second world war and
partition, the condition of administration, particularly personnel administration was
worse. The basic administrative structure remained the same. There were gaps in the
cadre, experienced.senior level officers were very few in numher and competent
personnel were just not available.
With the a d o p t ~ o nof the Constitution in I950 and commencement of our first five
Year Plan, lot of pressure came to be laid on the personnel system. The elitist
hierarchic authoritarian and rigid administration now had to be revamped in order
to meet the Constitutionalob~ectivesof liberty, equality, fraternity and justice. Our
plan objectives viz. economic development, industrialisation, modernisation, and
social justice put the ;idministration under considerable strain, the administration
had to be convertcd I n t o a development and welfare oriented administration. We can
say that after Independence, two basic changes took plz~cewhich greatly affected the
role of civ~lservice. First, with the adoption of the system of parliamentary
democracy, the civil service became accountable to the political executive. Secondly,
civil service became an instrument of development.
Personnel Administration Public Personnel System Aims at Fulfilment of the Goals of the Government
Personnel system, for that matter any system must have a purpose which has to be
related to the objectives of the organisation. In the case of public personnel
administration in India, its basic aim is the facilitation and fulfilment of the goals of
government. This is the rationale for creating the government services, this is the
justification for their existence. Once the goals have been formulated, the public
personnel system must rise t o implement the programmes and achieve the qualitative
and quantitative targets by judiciously harnessing the available resources, keeping
two dimensions in view, time and cost. For this purpose, public personnel system is
involved with the functions of recruitment, selection, placement, training, health,
safety, performance-rating, promotions and general welfare of the employees.
Increase in Development Functions

The extension of social security benefits and an enlarged public aid to education
have become very important functions of the government. The government has
assumed the-larger responsibility of achieving security and well-being of all citizens.
Implementation of these changes is not an easy task. The skills and experience of
public service is required for this purpose. The public service is an essential social
instrument, it bridges the gaps between legislative content and its fulfilment. Public
service can help to establish and strengthen the minimum conditions required for
economic development. It is responsible for laying down conditions for the
maintenance of law and order, development of infrastructural facilities and
favourable administrative structure. The public services by fixing certain general o r
specific output objectives, play an important role in modifying the resource structure
of the country. The public services have now taken control of government
undertakings or semi-government bodies.
Growing Number of Public Personnel
Due to the increase in the social and economic functions of the government, the
number of public personnel is increasing a t a very fast rate. As the tasks of the
government are increasing, the need for personnel t o perform these tasks is also
growing. A large number of new departments, corporations, commissions and boards
are now being set up. The Second Pay Commission had estimated that on April 1,
1948, there were 14,45,050 employees in the Central Government. On June 30, 1957,
this figure had increased to 17,73,570. On January 1, 1965, it increased to 22,64,795.
On January 1, 1981, it further increased to 32,27339. This shows that with every
new activity of government that aims at providing new services for the welfare of
people, the number of government employees is constantly increasing.
Growing Number of Specialists in Public Services

The concept of Welfare State, increase in theaspirations of people and the growth of
science and technology has brought forth the demand for increasing role of
specialists in administration. New specialism, new techniques, new methods are now
being expected from the civil servants. The role of the specialists in public services
has thus become very crucial and their number in the services is constantly
increasing. The expanding role of specialists will be.properly dealt with in Unit 9 of
the next Block.
Low Rate of Turnover of Employees in Government Service

The rate of turnover of government employees is quite low in India. According to
0 Glenn Stahl, the employees leave their jobs for a variety of reasons like voiuntary
resignation, optional retirement, instances of death or frequent transfers. In India
people accept the government service as a career and d o not resign on their own due
to permanency and moderately good conditions of service. Reasonable hours of
work, good leave entitlements, provident fund and retirement benefits, housing and
health facilities attract the people to public services and are even able to retain them.
Sound promotion policy is another factor which encourages public personnel and
fosters a feeling of belongingness in them. In addition, an adequate retirement and
pension system also encourage personnel to continue in service till their retiremc.111.
Thus the turnover of public personnel 1s quite low. Most references of turnover are
Downloaded from:- confined to the vacancies occurring due t o death,
https://t.me/Pdf4Exams removal, dismissal and retirement
Prevalence of Rank Classification in the Services Ch~rtcrirtlcsof Rboc

Pe~ollnelAdmi&mtla IB 1-
Classification of governmental position is a must for a career service. based on merit.
It enables rational standards or norms to be set up for the selection of personnel,
permits uniformity in the method of describing different types of jobs and establishes
an alike basis for giving equal status and equal pay for equal work. There are two
well-known systems of classification, one is Rank Classification and the other is
Duties orposition Classification. India follows the system of rank classification. In
India, the public personnel are classified into~'c1akses'as well as 'services*. We have
) four classes of service, class 1, class 2, class 3, class 4, these are now called Group A,
1 B, C and D services, corresponding to differences in the responsibility of the work
performed and the qualifications required.
Another way of classification is into 'services'. Public personnel in India are directly
recruited to different services e.g. Archaeological Service, Engineering Service, Post
and Telegraphs Traffic Service ztc. Once the public personnel are recruited to these
services, they continue to be the members of the particular service until they retire or
resign. At presedt public services are classified into the following classes :
1) All-India Services
2) Central Services, Group A, B, C & D
1 3) State Services
4) Specialist Services
5) Central Secretariat Services, Group A, B, C & D
Rank classification system is very easy to understand and administer, it promotes

mobility by facilitating transfers within the services, it is flexible in operation, it
opens more career opportunities for individuals. But this type of system violates the
principle of 'equal pay for equal work', it does not define the contents of any job in
detail, it does not explain what is expected of a post. This system is not conducive to
the formulation of scientific standards on which selection of personnel, training,
posting, transfer, career development, promotion etc. may be organised. The position
classification system prevalent in the USA, C h a d a , Philippines etc. has various
advantages over rank classification system prevalent in our country. You will study
the classification of civil services in India in detail in unit 8 of Block 2.
Limited Political Rights of Civil Servants

Extremely limited political rights of the civil servants have been regarded as one of
the essential conditions to maintain the discipline, integrity and political neutrality of
the services. T o ensure political neutrality of the public services, the civil servants are
denied direct participation in the political activities. The Government of India's Civil
Services Conduct Rules for ensuring neutrality of the service in politics provide 'the
following :
1) Rule 5 of the Central Civil Service (Conduct) Rules, 1964, prohibits civil servants
from taking part in politics. They cannot be members of any political party or
any organisation which takes part in politics nor can subscribe in aid of or assist
in any other matter, any political movement or activity.
2) Clause 2 of Rule 5 of the Central Civil Services (Conduct) Rules requires the
civil servants to endeavour to prevent any member of their family from taking
part in, subscrib.ing in aid of or assisting in any manner any movement or
activity which tends, directly or indirectly, to be subversive of the government as
established by iaw. In case the civil servant fails to prevent a member of his
family from indulging in any of the aforesaid actions, he has to make a report to
the effect to the government.
3) Article 326 of the Constitution of India guarantees the right of franchise to every
citizen of India, whose age is !8 years or above and who does not suffer from
other disqualifications. But under the Conduct Rules the civil servants are not
free to give arfindicatipn to the public of the manner in which they propose to
vote or have voted.
4) Rule 4 of the All India Services (Conduct) Rules, 1954, civil servantb are
forbidden to canvass or use their influence in an election to any legislature or
local authority. https://t.me/Upsc_Zone_Official
. ..
Penonncl Administration
5) Civil servants cannot express themselves on political issues. According to Rule 8
of the Central Civil Services (Conduct) Rules they are prohibited to
communicate any official document or information to any one whom they are
not authorised to communicate.
Thus we can conclude 'that the political rights of the civil servants are extremely
limited. The higher civil servants must be above politics, as they have to serve the
changing governments drawn from different political parties with the same vigour
and honesty. According to Masterman Committee Report, "the public interest
demands the maintenance of political impartiality in the Civil Service and confidence
in that impartiality is an essential part of the structure of Government.....".
Therefore, it is necessary that political rights of the civil servants are limited.
Role of Public Service Commission in Public Personnel Aeinistration

The Public Service Commission is an independent statutory body. In India, the
Public Service Commission has been so designed as to function only as an advisory
body. All rights regarding the appointments of personnel are vested in the
Government. The Constitution does not envisage vital role for the Commission in
personnel administration. The Constitution of India provides for a Union Public
Service Commission and for State Public Service Commissions along with a Joint
Public Service Commission on the request of two or more state governments.
The functions of the Union and State Public Service Commissions may be
summarised as follows :
I) T o advise the Government on matters regarding the method of recruitment and

principles to be followed in making appointments to the civil services either
directly or by promotion.
2) T o conduct examinations, written as well as personality tests, for appointments
to the civil services of the respective governments.
'3) To advise the government on matters relating to the suitability of candidates for
promotion and transfer. Recommendations for such ?remotions tire made by the
concerned departments and Commission is requested to ratify them.
4) The Commission is consulted on matters relating to temporary appointments for
periods between one to three years, grant of extension of services and
re-employment of certain retired civil servants.
5) The Commission is also consulted on matters relating to regularisation of
appointments, claims for the award of pension, claims for reimbursement of
legal expenses incurred by the Government servants in defending legal .
proceedings instituted against them relating to acts done in the execution of their
official duties, claims for pension, or compensation in respect of injur~es
sustained on duty.
6) The Commiss~onis also consulted while making of an order in any disciplinary
case in the conditions like, ti) censure; (ii) withholding ~f increments or
promotions; (iii) reduction to a lower service, grade or post; (iv) compulsory
retirement; and (v) removal or dismissal from service.
7) The Commission has to present to the President or the ~ b v e r n o r as
, the case
may be, its annual report, with its recommendations.
There is a provision that the Parliament and the State legislatures. as the case may
be, may confer additional functions on their respective Public 'Service Commissions.
Thus the Public Service Commission is a recruiting agency with purely advisory role,
consulted also in certain disciplinary and other matters. There are some statutory
restrictions on the powers of the Public Service Commissions. According to an
amendment in Article, 320, which was effected in 1961, it is not necessary for the
President to consult the UPSC in a case where he proposes to make an order for the
removal, dismissal or reduction in rank of a civil servant after he is satisfied that
such action is necessary in the interest of the wcurity of the State. The role of the
UPSC and SPSCs will he dealt with in Unit 1https://t.me/Upsc_Zone_Official
O o f Block 3.
(ii) Check your ansvvers with those given at the end of the unit..
1) Increase in the developmental functions and the growing role of specialists in the
Public Services are the important characteristids of public personnel
administration in India, Explain.
.......................................................................
2) Discuss the role of Public Service Commission in public personnel

administration.
3) The present public personnel administration is a legacy of the British. Discuss.
4.3 PUBLIC PERSONNEL ADMINISTRATION IN INDIA :

SOME DYSFUNCTIONALITIES
Over the decades the personnel administrative system in the country has developed
certain functionalities and dysfunctionalities. T o make public personnel system
effective, the dysfunctionalities have to be properly identified and removed.
n e Conference on Personnel Administration held in 1968 under the auspices of
Indian Institute of Public Administration. ~ e w ' ~ e l hlaid
i , that "the existing
personnel system did not meet the requirements of a desirable personnel
administrative system. The existing system leaned too heavily on cadres. Our elite is
more "status-oriented" rather than "achievement-oriented". The cadre system's
sanction is based on the criterion of an outdated selection system by means of a
purely academic examination.
The requirements i.e. the desirable ingredients of a good and sound personnel system
were identified as.follows, namely:
i) The best man for the job
ii) Increasing professionalisation
iii) Competitiveness ih selection for higher administrative positions
iv) Placement t o be job-oriented and not status trapped
v) Motivation for better performance
vi) Equal pay for equal work
vii) Objective evaluation of performance
viii) Rational promotion and personnel development system
ix) Appropriate organisation of functions of government and appropriate policies
and practices to enable optimum personnel performance.
In a Seminar on "Public Services and Social Responsibility", organised by Indian

Institute of Advanced Study in Shimla (October 1973), some of the characteristic
inadequacies andweaknesses of the public service system in India were identified and
I
debated. They were :
1) Bureaucracy, especially its higher echelons, has acquired a class character. In

operation, its instrumental role is often subordinated, and it emerges as an end
in itself.
2) The gap between the administration and the citizen is widening. Though
unpalatable, it is, nevertheless, true that bureaucracy has been somewhat
insensitive to the needs of the latter and has lost credibility.
3) The public services are immobilised by their size. Today bureaucracy has.become
a slow-moving and dull-witted giant.
4) There are contradictions and incompatibilities at different levels of bureaucracy.
Frequent confrontations between these levels paralyse the entire machine.
5 ) The public services have become a prisoner of their own procedures and
precedents. Negative thinking appears to prevail. This leads to inaction
rationalised in various ways. . '
6) The public services are becoming increasingly inadequate in taking up the
new tasks and challenges. Even in the maintenance of law and order,
bureaucracy often finds itself ineffective. In the economic field, its performance
has generally been poor. It has rarely been able to take a dynamic view of the
emerging problems. It tries to chre today's ill with yesterday's remedies, quite
often these do not work.
7) The generalist tradition still prevails, on the contrary, need of the day is
specialisation. Little attention appears to be given to evolving structures for
specialised roles to meet the challenges of the emerging constellation of social
needs.
8) In the general area of policy w k i n g , the public services havt not given a
convincing account of themselves, they act by hunches and intuition rather than
trained insights.
In its Report on Personnel Administration, the Administrative Reforms Commission

(ARC) (1968) while emphasising the need for a new personnel system dealt with
various aspects of personnel system in Central Government and highlighted its
shortcomings.
The first of these shortcomings, according to ARC, relates to professional
inadequacy of the system to face the great diversification of the functions which calls
for a variety of skills in the higher administration.
Secondly, ARC diagnosed that the "tenure system" through which non-professional
and non-committed 'birds of passage' are brought temporarily, impeded "buildivg up
new expertise in personnel!'
. Thirdly, it laid that "generalism" ~ h i c hhas been the hallmark of Indian personnel
system has lost "its validity in several fields and is declining in importance" as an
inevitable consequence of rapidly "growing technological sophistication" in
administration.
Fourthly, it would be in public interest to cast the net wide and choose the best
material in an effort to'hatch jobs with the persons possessing needed qualification.
In the prevalent system, man-job-match is not ideal, nor is it consciously practised,
in view of the application of "cadre" concept.
Fifthly, in the policy advice and managerial decisions where specialist-professionals
are not expected "to involve themselves directly" the whole process is amateurish,
frustrating and time consuming.
-
Sixthly, there is irrationality in the "remuneration pattern of the different services"
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which does not "provide for recognition of merit,
adequate opportunities for
I
~romotionand continuous incentive for good ~erformance."
>
Eighthly, "adherence to seniority has proved damaging to quality." Finally "the Chuacteriatla of h b b c
present personnel system does not make for a rational and optimum utilisation of Pnsonoel Administration 11161.
human resources."
----
4.4 EVOLVING AN EFFICIENT PUBLIC PERSONNEL
SYSTEM
The public personnel system h.as to perform many vltal tasks, human element is the
most crucial part of any system and it has to be adequately utilised. Various
dysfunctionalities that have developed in the public services over the decades are
posing a lot of hurdles in the pursuance of administrative objectives. The problems
like the increasing gap between the administration and citizens, the immobility of
public services, red-tapism, obsolete methods of operation etc. have to be tackled
properly.
i In order to evolve an efficient public personnel system a much more closer

interaction is called for between the public servants and the citizens. The concept of
isolation of civil servants from the public has to be done away with. Constant
interaction between the public personnel and government can also solve the
1 difficulties to a great extent, a positive and cordial relationship between the minister
and the public servant is needed. According to H. Finer, "However adequately
organised the political side of the government, however wise the political philosophy,
high leadership and command, these will be of no effect without the body of officials
who are experts in applying power and wisdom to the particular cases and are
permanently and specially employed to d o so."
There is a need ror citizen's participation in administrative processes. Citizens should

not just be the recipients of the fruits of the implemented programmes, they must
actively take part in the formulation, implementation and monitoring of plans as
well. Role of voluntary agencies, planning bodies at the grossroots level and
panchayat bodies has become very important. These bodies must aim at optimal
utilisation of human resources.
Media can also play an effective role in removing the dysf&ctionalities of public
personnel administr It can highlight the methods adopted by administration in
removal of citizens grievances. It can draw the attestion of people to the difficulties
faced by citizens instheirinteraction with the administrative personnel and the ways
or methods by which they can voice them. Media can highlight the role of non-
governmental organisations and cooperatives in increasing people's participation in
administration.
* Je
Eheclr Your Progress 2
1) Discuss the dysfunctionalities of the present public personnel system.
2) In what way can we evolve an efficient public personnel system?

Personnel Administration
'4.5 LET US SUM UP
No administrative system can function properly unless and until its personnel are
honest, hard-working and efficient, unless they are properly recruited, trained 2nd
promoted and unless they enjoy certain benefits in the organisation. The various
characteristics of public personnel system differentiates it from the personnel system
prevailing in the private organisations. The increasing developmental and welfare
functions are posing new challenges for the public personnel system. The present
system, which is a British legacy has to try t o transform many of its features and
functions which have lost their relevance. The aspirations of people, the change in
the attirudes of employees, the stress on developmental activities calls for a
revamping in the personnel system. This unit gave us an idea about the different
characteristics of public personnel administration, its dysfunctionalities and the way
by which these can be tackled.
4.6 KEY WORD$
Despotism : Cruel and uhfair government by a ruler or rulers who have absolute
powers.
Tenure System :The system of filling senior posts in the Secretariat by officers who
come from the states o r from the (3entral services for a particular period and who
after serving their tenure, revert back t o their parent states or services.
Position Classification : The object of position classification is to provide a basis for
fixing fair pay for work performed. A position is a basic organisational unit. Each
position represents certain well-defined duties regarding the work assigned to the
position and matters for which an employee is held accountable. Duties in a class
should be sufficiently similar.
4.7 REFERENCES
Jain R.B. 1976. Contemporary Issues in Indian Administration; Vishal : New Delhi.
Jain R.B. 1983. Public Services in Democratic Context; IIPA : New Delhi.
Maheshwari S.R. and A. q a s t h i . 1987 Public Administration; Laxmi Narain
' Aggarwal : Agra .
Puri K.K. 1985. Public Administration : Indian Spectrum; Kitab Mahal : Allahabad.
Sinha V.M. 1986. Personnel Administration :Concepts and Comparative Perspective;
R.B.S.A. : Jaipur.
Srivastava L.P. 1987. Public Personnel System in India; Anmol : New Delhi.
Stahl 0.Glenn. 1975. Public Personnel Administration; Oxford & IBH : New Delhi.

the government has assumed the larger responsibility of achieving security and
well-being of the citizens, for this purpose, skills and expertise of public services is
needed
public services bridges the gap between the formulation and implementation of
the policies
civil services is responsible for establishing and strengthening the conditions ~hararteristicsc l Public
required for economic development, maintenance of law and order, development ~ n n e Administration
l in India
of infrastructural facilities etc.
'
civil services is responsible for modifying the resource structure of the country
increasing developmental functions and aspirations of the people calls for new
specialism, new techniques, new methods etc. in the public personnel
administration
number of specialists in administration is constantly increasing.,
-

the functions of Public Service Commission are to advise the Govtrnment or
matters relating to recruitment
to conduct examinations
to advise the govemmeqt on the suitability of candidates for promotion and
transfers
it is consulted regarding matters relating to temporary 'appointments
matters relating to regularisation of appointments
matters relating to disciplinary action against the employees.
3) Your answer should inc!ude the following points :
the top bureaucracy is a spill over of British rule
during the British period, the higher civil services were manned by either British
or Indians recruited from higher economic and feudal strata of society. The lower
subordinate levels comprised Indians only.
the public personnel system during the British period was elitist, displayed high
authoritarianism, was too hierarchic, had no developmental or welfare
' orientation and was too rigid in structure
after Independence, the basic admini~trativ~ structure remained the same
after Independence two basic changes took place, first, the civil service became
accountable to executive and second, civil service became an instrument of
development.
AS per the seminar on "Public Services and Social Responsibility" organised by
Indian Institute of Advanced Study in Shimla (1973)
bureaucracy has acquired a class character
the gap between citizen and administration is widening
the public services are immobilised by their size
there are contradictions and incompatibilities at different levels of bureaucracy
public services has become a prisoner of its procedures and precedents
in economic field, the performance of bureaucracy has been poor
performance of public services in the area of'policy making has not been very
convincing
According to ARC-Public Services suffer from a professional inadequacy, it
not able to face the great diversification of the functions
tenure system has impeded building up of new expertise in the personnel
technologically sophisticated tasks of administration calls for new specialism in
the services. Emphasis on generalism has lost its validity
vocational remuneration policy
' improper utilisation of human resources
adherence to seniority has proved damaging to quality.
closer interaction between public servants and citizens is needed
constant interaction between the public petsnnnel and government can also solve
problems
need for citizen's participation in formulation, implementation and monitoring
of policies
role of media in highlighting the problems of administration and the grievances
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need for increase in the ~ a r t i c i ~ a t i oof
n NGOs and coaneratives in
UNIT 5 CIVIL SERVICE IN THE CONTEXT

OF MODERN BUREAUCRACY
Structure
5.0 Objqtives
5.1 Introduction
5.2 Meaning of Bureaucracy
5.3 Types of Bureaucracy
5.4 Features of Bureaucracy
5.5 Role of Bureaucracy
5.6 Growing Importance of Bureaucracy in Recent Years
5.7 Merits and Demerits of Bureaucracy
5.8 Let Us Sum Up
5.9 Key Words
5.0 OBJECTIVES
state the meaning of bureaucracy and its various types
0' explain the various features of bureaucracy
discuss the growing importance of bureaucracy in recent years
describe the merits and demerits of bureaucracy; and
highlight the expanding functions of bureaucracy.
5.1 INTRODUCTION
Bureaucracy is an essential part of an organisation. Every organisation, whether big or small
adheres to bureaucratic structure in some form or the other. Lately, the bureaucracy has
come under severe criticism. Most people refer to it only negatively. Yet, despite its
manifest defeciencies or exposed vices, no organisation, whether it is in governmental,
public or private sector, has been able to do away with bureaucracy. On the contrary, all big
institutions or organisations, for example, educational institutions, service agencies, research
bodies, charitable trusts etc., have made the bureaucratic structure a vital part of their
existence. Thus it can be stated that bureaucracy has a strong staying and survival capacity.
Even the critics and opponents admit that there is more to be gained by keeping or retaining
bureaucracy than abandoning it.
We have to, therefore, analyse as to why bureaucracy has become absolutely indispensable.
It will, thus, be useful to have a closer look at the meaning and significance of bureaucracy,
its growing importance, its features, functions, merits and demerits. This unit will try to
highlight these aspects.
5.2 MEANING OF BUREAUCRACY

Bureaucracy is a difficult term to define. It means different things to different people. There
are almost as many definitions of bureaucracy as there are writers on the subject who
emphasise different aspects of bureaucracy. As such there is no terminological accuracy
about the concept of bureaucracy. Some equate bureaucracy with efficiency and others with
inefficiency. To some, it is a term synonymous with civil service and for others it refers to a
body of officials. But basically, bureaucracy is a systematic organisation of tasks and
individuals into a pattern which most effectively achieves the desirable ends of such
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administrative system organised as a series of interrelated
--
Civil Services in I n d i In a more traditional sense the term bureaucracy is derived from the Latin word 'bureau'
which means 'desk' and Greek word 'cracy' which means rule. Thus it refers to desk rule or
desk government. It was a Frenchman, Vincent de Goumay, who first coined the term
bureaucracy in 1765. The normative model of bureaucracy emphasises the structure of
organisation. While the empirical model of bureaucracy, that is bureaucracy in the modem
context, emphasises the behavioural and functional patterns in organisation.
If we look into structural features of bureaucracy like hierarchy, division of labour, system
of rules etc., bureaucracy is value-neutral. From behavioural angle, since it displays certain
characteristics like objectivity, rationality, impersonality, rule orientation etc., bureaucracy
shows some functional i.e. positive as well as some dysfunctional i.e. negative symptoms.
From the achievemental point of view, it can be regarded as a pattern of organisation that
maximises efficiency of administration.
5.3 TYPES OF BUREAUCRACY

Bureaucracy is influenced by social, cultural, economic and political factors. With the result,
at different points of time in history, it has taken different shapes and forms. Fritz Morstein
Marx has categorised bureaucracy into the following four types :
1) The Guardian bureaucracy

2) The Caste bureaucracy
3) The Patronage bureaucracy
4) The Merit bureaucracy
The Guardian bureaucracy was prevalent in China upto the advent of the Sung period (960
A.D.) and in Russia during 1640 and 1740. The bureaucracy comprised guardians who were
selected on the basis of their educatiori and were then trained in right conduct. They were
considered the custodians of justice and welfare of the community. Marx defined this type
as "a scholastic officialdom trained in right conduct according to the classics".
The Caste bureaucracy has a class base. According to Marx, it "arises from the class
connection of those in the controlling positions". In this type, recruitment is made from one
class. Such type is widely prevalent in oligarchical political systems. Under such systems
only persons belonging to upper classes or higher castes can become public officials. Thus,
in ancient India, only Brahmins and Kshatriyas could become high officials. According to
Marx, another way in which such a type manifests itself is, by "linking the qualifications for
the higher posts with arrangements that amount to class preference". This is what
Willoughby has described as the aristocratic type existing in England till recently where
aristocratic classes were preferred to the civil service positions.
Another name for the Patronage bureaucracy is the "spoils system". Its traditional home has
been the U.S.A., though patronage had full sway even in the U.K., till the middle of the 19th
century where it helped the aristocracy to gain entry into the civil service. This type of civil
service exists where public jobs are given as a personal favour or political award. It is
interesting to note that this system worked differently in the U.K. and the U.S.A. In the
U.K., patronage bureaucracy marched side by side with an aristocratic social order and
fulfilled its purpose. In the United States, on the contrary, the system worked quite
differently and jobs were distributed as spoils to the victorious political party. This system
of patronage bureaucracy was condemned as an anachronism for its lack of technical
competence, for its careless discipline, its concealed greediness, its irregular ways, its
partisanship and for its absence of spirit of service.
The Merit bureaucracy has, as its basis, merit of the public official and it aims at efficiency
of the civil service. It aims at ''carixr open to talent". Here an attempt is made to recruit the
best person for the public service, the merit being judged by objective standards. In modem
times, this method is in vogue in all the counmes. Appointment to public service is now no
longer governed by class considerations, and it is no more a gift or a favour. The public
servant is not a self-appointed guardian of the people. The civil servant in a modem
democracy is really an official in the service of the people, and is recruited on the basis of
prescribed qualifications rested objectively. Also he/she owes the job to no one except to
one's hard work and intelligence. https://t.me/Upsc_Zone_Official
Civil Sewice in the Context

5.4 FEATURES OF BUREAUCRACY of Modern Bureaucracy
The concept of bureaucracy was fully developed by Max Weber. In the Weberian analysis,
bureaucracy refers to the sociological concept of rationalisation of collective activities.
s According to Weber, it is important for the constitution of modem complex society,
irrespective of its political complexion-capitalist or socialist. It describes a form or design
of organisation which assures predictability of the behaviour of employees. Certain design
strategies are built into the bureaucratic form of organisation :
a) All tasks necessary for the accomplishment of goals are divided into highly specialised
jobs Thus division of labour and specialisation are ensured in the organisation.
b) Each task is*performedaccording to a consistent system of abstract rules. This ensures
uniformity and coordination.
c) Each member in the organisation is accountable to a superior for his and his
subordinates' actions. The principle of hierarchy is thus emphasised.
d) Each o~cial'conductsthe business of his office in an impersonal, formalistic manner.
e j Employment is based on technical qualifications and is protected against arbitrary
dismissal. Promotions are based on seniority and achievement.
Weber's model of bureaucracy, it has been stated, serves as a frame of reference for soCial
research into bureaucratic realities. This model is considered to be an 'ideal-type' or
'classical model'. To the extent the stated characteristics are present to the maximum in an
organisation, that organisation is considered to have an ideal type of bureaucracy.
From the Weberian formulation, one can deduce a set of structural features and another set
of behavioural characteristics. Structurally, a bureaucratic form of organisation exhibits the
following characteristics :
Division of Labour
The total task of the organisation is broken down into ajnumber of specialised functions.
Hierarchy
The structure of bureaucracy is hierarchical. The extent of authority is determined by the
levels within the hierarchy.
System of Rules
The rights and duties of the employees and the modes of doing work are governed by clearly
laid down rules. Observance of rules is said to prevent arbitrariness and bring about
efficiency.
Role Specificity
Every employee's role in the organisation is clearly earmarked with specific job description.
The organisation's expectations of each employee are limited to his job description.
The set of behavioural characteristics of bureaucracy can be described as follows :
Rationality
Bureaucracy represents a rational form of organisation. Decisions are taken on strict
evidence. Alternatives are considered objectively to arrive at a decision.
Impersonality
A bureaucratic form of organisation does not entertain any irrational sentiments. Personal
likes and dislikes are not expected to come in the way of work performance. Official
business is conducted without regard for persons. It is a machine-like organisation and as
such it is characterised by high degree of impersonality.
Rule Orientation
Depersonalisation of the organisation is achieved through formulation of rules and
procedures which lay down the way of doing work. The employees are to strictly follow the
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of their duties. https://t.me/Upsc_Zone_Official
Civil Services in India Neutrality
As, an aspect of impersonality, this characteristic implies unbiased thinking i.e. bureaucracy
serves any kind of political regime without being aligned to it. It has commitment to work
only and to no other value.
As against these positive behavioural characteristics of bureaucracy, there are certain

negative or Gysfunctional characteristics. These are (a) buck-passing (b) red-tapism
(c) reluctance to delegate authority (d) extreme objectiveness (e) smct adherence to rules
and regulations (f)rigidity (g) unresponsiveness to popular demands and desires (h) self
aggrandisement (i) conservatism (i)precedent-addiction (k) diffusion of responsibility
(1) ignoring human element in administrative behaviour (m) arrogance etc. We will be
discussing in detail, the merits and demerits of bureaucracy in Section 5.7.

1) What do you understand by bureaucracy?
...........................................................................................................................................
2) State the different types of bureaucracy.
...........................................................................................................................................
3) Discuss the features of bureaucracy.
...........................................................................................................................................
5.5 ROLE OF BUREAUCRACY

Bureaucracy has a very important role in bringing and sustaining development and growth
in a country. It is almost universally expected that bureaucracy be so designed and shaped as
to respond willingly and effectively to policy leadership from outside its own ranks.
Bureaucracies under a wide variety of political regimes display similarities and diversities at
the same time. As Ferrel Heady has said, "bureaucracy should be basically instrumental in
its operation, that it should serve as an agent and not as master".
But we cannot assert that bureaucracy can or should play strictly an instrumental role,
univolved in policy making and unaffected by exposure to political process. In fact the
major cause for wony about bureaucracy is the possibility of its moving away from the
instrumental role to become a primary power wielder in the political system. La Palarnbora
felt that restricting the bureaucracy to an instrumental role is all the more difficult in
developing nations "where the bureaucracy may be the most coherent power centre and
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https://t.me/Pdf4Exams development are likely to involve
authoritative rule-making and rule-application by governmental structure which results in Civil Service In the Context
of Modern Bureaucracy
the emergence of 'over-powering' bureaucracies".
Bernard Brown and Milton Esman acknowledge the centrality of administration in

developing systems, while advocating that it be strengthened rather than downgraded.
Thus, bureaucracy essentially is an instrumentality of the government and is an aid, an

essential equipment, for operational purposes. Bureaucracy by its, recruitment, training,
style and culture is best suited for playing the role of adviser to politicians rather than
playing the politician's role. In any democratic set-up, where the party with the mandate of
majority of the people gets the controlling authority to govern, it is the politicians who have
to fulfil people's demands and aspirations; they reflect nation's will. Therefore, any one who
does not represent the people cannot speak for them. Bureaucrats thus have no primacy, no
supremacy, in determining such macro-level national policies. They can, at best, tender
professional advice and render assistance, as may be needed from time to time, to the
political policy makers in defining and refining the policies. They play, most certainly, the
significant crucial role in implementing such policies and taking decisions within the overall
framework of such policies.
In normal circumstances, the bureaucrats, since they are professionally trained in their art of
"driving under direction", have perfected the technique of 'decision-making'. But otherwise,
when it comes to "discontinuity" or "uncertainty", that is, at the time of emergency, the)
look for directives and seek dictates. Rule application, rule interpretation and rule-
adjudication are some of the tasks better done by the bureaucrats. Politicians do not remain
in power permanently as they come and go through time-bound electoral process. Political
executives are temporary masters, but bureaucrats are permanent employees of the state.
They are recruited for their superior merit, knowledge, professional competence, technical
know-how, experience and expertise. Their primary concern is goal realisation. It is only
after the laws regarding the social, political and economic issues have been made that the
bureaucrats come in the picture. And whatever further is required to implement these laws is
taken over by the bureaucrats and completed. Whether it is the making of rules and
regulations under the system of 'delegated legislation' or issuance of necessary directives
and guidelines, the bureaucracy performs its functions rather well.
Administrative efficiency through a series of decision-making and decision-implementing

activities is the handiwork of bureaucracy. If bureaucracy is often criticised for inefficiency
in administration, its deficiencies, slowness, conservatism, negativism, delays etc.. it has
also to be appreciated for all iris achievements in terms of socio-economic development and
progress.
There is no doubt that the traditional 'legal-rational' concept of bureaucracy has undergone
a change. As discussed earlier, the bureaucracy is not just instrumental any more, waiting
for orders to execute, unmoved, unconcerned by any changes. It functions with emotional
and psychological involvement in executing programmes. The old time distinction and
water-tight compartmentalisation between policy and execution is fast disappearing. In the
present developmental administration landscape, the bureaucrat has to take the lead.
In expanding arena of science and technology, the bureaucrat is every where, and has to
administer and manage all developmental programmes. In the present times, the bureaucrat
cannot afford to be a passive onlooker, and in many cases, helshe has to be pioneering, and
display risk taking entrepreneurial skills.
5.6 GROWING IMPORTANCE OF BUREAUCRACY IN

RECENT YEARS
Bureaucracy plays an instrumental role in converting the government policies into
programmes, programmes into projects and projects into tasks for bringing about
development. In a developing country like India, government has to act as the "regulator,
mediator, underwriter, provider of services, promoter of national standards of decent living
and economic and social diagnostician and repairman". State penetration in development
process is vital in a country committed towards achieving full employment, satisfactory rate
of growth, stable prices. healthy balance of payments, increased production and equitable
distribution; this automatically calls for bureaucratic intervention
Civil Services in indh In situations of development and change, bureaucracy provides the vast majority of
necessary professional, technical and entrepreneurial resources. Without bureaucracy,
government cannot function and will not be able to achieve whatever goals it has set for
social and economic advancement. Bureaucracy is the agency of such accomplishment. It is
involved in all major economic and social activities viz., education and literacy, health and
family welfare, rural development and renewal, industrialisation and urbanisation,
institutional restructuring, infrastructural modernisation and diverse nation-building
programmes.
The importance of bureaucracy is fast growing. The larger the doses of development the
greater is going to be the crucial significance of bureaucracy. Now let us understand some of
the reasons responsible for growing importance of bureaucracy in recent years.
Increasing Population
If one takes a look at the national scenario, it is apparent that population is increasing. This
is more so particularly in developing societies where the population is increasing in
geometrical proportion, outpacing the resource-generation and all other developmental
endeavours. Population explosion implies more mouths to be fed, which means more food
requirement and this necessitates higher production. This requires provisi~nof all necessary
ingredients like irrigation, fertgisers, seeds, storage, marketing etc. Similar is the situation in
regard to industry. It is the administrative bureaucracy which is called upon to take charge
and manage these tasks. The bureaucracy becomes the 'go-between' with the people on the
one hand and government dh the other. The importance of bureaucracy would naturally rise.
with the expanding role it is asked to play.
Industrial Development
Industrial development of the country, economic growth through trade and commerce.
setting up of steel plants, petrochemicals, fertiliser plants etc.. inevitably lead to expansion
of administration and reliance on bureaucracy. It is required, not only in policy-programmes
but also for ground level executiohal activities.
The Growing Need of Welfare of People

The 'Welfare State' philosophy with the fundamental objective of rendering service to the
people necessitating, all round societal development has made it imperative to usher in a
'bureaucratic state'. Where government is the only significant social sector willing to
assume the responsibility for 'transfornative welfare', bureaucracy has to mobilise the
necessary resources.
Multifarious Activities of Modern State

The activities of the modern state have become so diverse and have multiplied so much in
scale that more and more public personnel, in their manifold varieties and categories are to
be recruited. The developmental, regulatory and even traditional law and order or security
functions of governmental administration have grown and people's dependence on
administration for more and more things has magnified the importance of bureaucracy.
Rising Expectations of People

The present times are witnessing a revolution in the rising expectations of the people. Gone
are the days when people were passive, dumb, non-questioning and non-assertive. Masses
today are demanding, questioning and asserting. They have become conscious of their rights
and are demanding better education, health, housing, decent standard of living and better
quality of life.
All these constitute the modem charter of demands of the people which would mean a long
agenda of action for the government, leading, in turn, to widening the rectangle of
; responsibilities and importance of public bureaucracy. ;
5.7 MERITS AND DEMERITS OF BUREAUCRACY

We have discussed in one of the earlier sections about the'structural and behavioural
characteristics of bqreaucracy. The merits and deherits of bureaucracy flow basically from
the structural strength and behavioural weaknesses of bureaucracy respectively. The very
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several criticisms from almost all
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,
quarters, proves, beyond doubt, that there is some intrinsic merit in bureaucracy, otherwise, Civil Service i n the Context
it would have been wound up long back.
As has beeil stated, bureaucracy is organised on the principle of division of labour, which
leads to specialisation which is a welcome feature of organisational rationalisation and
economic development. Through division of labour, bureaucracy promotes expertise and
professionalism.
Similarly, bureaucracy's other structural feature of hierarchy leads to distribution of

authority and makes possible better and more effective supervision of work. Hierarchy
facilitates orderly arrangement of superior-subordinate relationship and integrates the
various roles of the different functionaries. Apart from setting up vertical network, the
horizontal work relationships lead to better consultation, pooling of experience, exchange of
views and consensual decision-making after taking into account multiple points and counter
points. If hierarchy sometimes induces delay, it also makes possible sound policy making.
Bureaucracy basically is an administratiye system based on clear and well understood rules
and regulations which would eliminate personal prejudices, nepotism and idiosyncracies.
Systematisation of rules and regulations reduces the sphere of individual discretion which
contains the element of corruption. Strict observance of rules in public organisations and
government have, to a large extent, reduced the scope of norm-deviation and has promoted
the development of ethical behaviour in the bureaucrats.
As a structural-functional system bureaucracy represents a rational form of organisation. It

reflects organisational orderliness, objectivity and stability.
Similarly, impersonality is also one of the merits of bureaucracy. Decisions are based not,
on communal or regional considerations, but generally keeping the interests of the
community as a whole and other social considerations in view i.e. keeping 'public interest'
in view. In fact one of the strong points of bureaucratic functioning is that much of the
decision-making activity is done through files and papers where statutory or well
documented rules and regulations predominate.
Another merit of the bureaucracy is its neutrality. Bureaucracy being the instrument of the
governmental organisation is supposed to act in the best interests of the state policy without
too much of personal commitment or sectarian bias. The traditional or classical bureaucracy,
particularly of the Weberian variety, is based on the political neutrality principle under
which the bureaucrats must not display, either in their action or behaviour, any inclination
towards any political ideology. They are supposed to perform the instrumental role and
discharge their allotted duties and perform the tasks assigned to them in a professional
manner, not swayed by personal likes and dislikes.
Bureaucracy is a system where selection of officials is done by merit and the officials are
subject to discipline and control in their work performance. Hence better results are likely to
flow from a valuable combination of best brains and rationalised structural functional
arrangement.
Max Weber has stated : "the purest type of exercise of legal authority is that which employs
a bureaucratic administrative staff'. According to Herbert Morison "bureaucracy is the price
of parliamentary democracy".
The contribution of bureaucracy to governmental administration is quite significant. It has

made administration more efficient, stable, objective, impartial and consistent. In fact, it is
almost indispensable. Hence what is needed, is to guard against those characteristics and
defects which distort its functionality. It should be subject to a continuing review so that it
can be kept on its right orbit.
Pemerits of Bureaucr;;lq
The demerits of bureaucracy also flow from those very.s'tructural features and characteristics
which make for its merits. In fact, the positive behavioural traits could themselves be
converted into negative.dysfunctiona1itiesif not handled with care.
Many and varied criticisms have been levelled against bureaucracy. One of its strongest
Civil Services in India critics was ~ & n s Muir,
a ~ who in his book 'How Britain is Governed', has stated that "under
the cloak of democracy, it has thriven and grown until, like Frankenstein's Monster, it
sometimes seems likely to devour its creator". Lord Hevart characterised the power and
authority of bureaucracy as 'Neo-Despotism'.
Bureaucracy has been characterised as unresponsive to popular demands and desires. It is

often found that people who come to the various officials for help or assistance are
needlessly harrassed-which gives the impression that bureaucrats derive pleasure out of
such harrassment of people. Often bureaucrats show utter lack of concern for public
demands or popular aspirations. They become so regulated by the system that they are
indifferent to public interest.
Bureaucracy has also given rise to diffusion of responsibility. No one in the official
hierarchy wishes to take positive responsibility. "Passing the b u c k and transfeming the
responsibility for either wrong action or inaction is one of the very natural characteristics of
bureaucracy.
Bureaucracy also suffers from the vices of excessive redtapism or excessive formalism.
Redtapism, which implies 'strict observance of regulations' has become one of the symbols
of bureaucracy. It is one of the peculiar phenomena of bureaucracy that it lays too much
emphasis on procedure through "proper-channel" and precedents which become improper or
costly from the point of view of achievement of results and accomplishment of targets.
Lack of dynamism, rigid conformity and non-conformism are other maladies of

bureaucracy. It is conservative. It wants to play safe and will not like to go beyond the orbit
of safety. Generally bureaucrats do not favour risk, adventurism, forward looking vision.
With the result, bureaucracy only plays the game of the possible under the dictates of
precedents or orders of superiors.
Empire-building is one of the built-in-tendencies of bureaucracy. The bureaucrats,

particularly the ones at the higher level, believe in expanding the frontiers of power by
creating and multiplying different organisations under them and justifying their actions on
grounds of usefulness or essentiality.
In bureaucracy, there is less accountability but more pseudo-authority; whereas authority

and responsibility should go together as they are the two sides of the same coin.
Bureaucracy is obsessed with routine and trivial matters rather than a concern for substance.
It has also the reputation of being needlessly rigid in outlook and indifferent to popular
aspirations, which sometimes promotes a perception that "bureaucracy is contra-
democracy". Walter Bagehot comments, "It is an inevitable defect, that bureaucrats will care
more for routine than for results". Similarly, Burke states that "they will think the substance
of business not to be more important than the forms of it".

1) Discuss the role of bureaucracy.
...........................................................................................................................................
...........................................................................................................................................
...........................................................................................................................................
2) State the reasons for the growing importance of bureaucracy in recent years.

3) Discuss the merits of bureaucracy. Civil Sewice in the Context

...........................................................................................................................................
...........................................................................................................................................
...........................................................................................................................................
4) What are the demerits of bureaucracy?

...........................................................................................................................................
...........................................................................................................................................
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...........................................................................................................................................
...........................................................................................................................................
5.8 LET US SUM UP

Bureaucracy is an essential part of an organisation. In this unit, we have discussed the
meaning of bureaucracy, its various types, as identified by Morstein Marx, viz., the
Guardian, Caste, Patronage and Merit bureaucracies. We have highlighted Weber's 'ideal
type' model of bureaucracy which brings out certain positive structural and behavioural
characteristics.
Bureaucracy plays a very important role in bringing and sustaining growth and development
in a country. Various aspects of the role of bureaucracy have been touched upon. In recent
years certain factors have contributed to the growing importance of bureaucracy like rising
expectations of people, multifarious activities of the modem state, Industrial development
etc., these have been dealt in the unit. Though bureaucracy has been looked at derogatively
by many, we have not been able to do away with it despite its deficiencies. This establishes
the fact that there is some intrinsic merit in bureaucracy. The merits and demerits of
brlreaucracy have been dealt with extensively in the unit.
5.9 KEY WORDS

Anachronism :Something which seems very out of date.
Buck Passing :It is an informal expression to mean passing on blame or responsibility to
someone else.
Devour :Destroy.
FrankensteieSs, . . ~ ~ ~ s t:t.
;I
fictional character who destroyed its own creator.
Horizontal Work relationships :Work relationships between people of the same rank in
different hierarchies in an organisation.
Idiosyncracy :One's own peculiar or unusual habits, likes, dislikes etc.
Neo-Despotism :In earlier times people had to contend with the pdwer of an autocratic
ruler, i.e. a despot. In modem times the outer appearance is democratic i.e. benevolent rule
by the people's representatives. But in fact the real powers are concentrated in the powerful
hands of bureaucracy. Hence, the use of the term neo-despotism.
Population Explosion : Rapid and large-scale increase in population,
Self-aggrandisement :The act or pmess of making oneself more influential or wealthy
especially by ruthless means.
Civil Services in Indh

--
Albrow, Martin, 1970. Bureaucracy, Macmillan : London.

Bhattacharya, M. 1979. Bureaucracy and Development Administration, Uppal Publishing
House :Delhi.
M m , F.M. 1957. Administrative State, University of Chicago Press : Chicago.
Merton, Robert K. et al (Ed), 1952. Reader in Bureaucracy, Free Press : Glencoe.
Sinha, V.M. 1986. Personnel Administration -Concepts and Comparative Perspective,
R.B.S.A. Publishers : Jaipur.
Srivastava. Om Prie, 1991. Public Administration and Management -The Broadening
HOI?;ONJ (i701.2),Himalaya Publishing House : Bombay.

EXERCISES
There is no terminological accuracy about the concept of bureaucracy.
Basically, it is considered as a systematic organisation of tasks and individuals into
a pattern which most effectively achieves the desirable ends of such collective
efforts.
Traditionally it was referred to as desk government or rule.
The normative model of bureaucracy emphasised the structure of organisation
whereas the empirical model stressed behavioural and functional patterns in
organisation.
Guardian bureaucracy
Caste bureaucracy
Patronage bureaucracy
Merit bureaucracy.
. The structural features of bureaucracy include :
Division of Labour
Hierarchy
System of rules
Role specificity.
The behavioural characteristics of bureaucracy are :
Rationality
Impersonality
Rule-orientation
Neutrality.
Important role played by bureaucracy as an instrument of the government, as an aid
for operational purposes.
It renders professional advice and assistance from time to time to the political
policy makers in defining and refining the policies.
Bureaucracy plays a crucial role in implementation of policies and taking decisions
within the overall framework of such policies.
Discharges the important tasks of rule application, rule interpretation and rule-
adjudication.
Responsible for goal realisation, accomplishment of objectives, programmatic
effectiveness and efficiency of administration.
2) Your answer should include the https://t.me/Upsc_Zone_Official
followlr~,!points :
- .
a Industrial development
a Growing need of welfare of.people
Multifarious activities of modem state
Rising expectations of people. .

a Division of labour leads to specialisation, expertise, professionalism
a Distribution of authority and effective supervision of work
a Rules and regulations eliminate personal prejudices, nepotism; promotes the
development of ethical behaviour in the bureaucrats
Impersonality
Neutrality
a Organisational orderliness, objectivity and stability.
a Unresponsive to popular demands and desires
a Diffusion of responsibility
Excessive redtapism or undue formalism
a Lack of dynamism, adventunim and forward looking vision
Self perpetuating
Empire building
a Lack of accountability
Concern for routine and trivial matters.

UNIT 6 BASES OF BUREAUCRACY
Structure
Objectives
Introduction
Basis of Position of Bureaucracy
Bureaucracy-Representative Nature
Broadening Base of Indian Bureaucracy
Let Us Sum Ilp
Key Words
Some Useful Books
6.0 OBJECTIVES
discuss the basis of position of bureaucracy
explain the representative nature of bureaucracy; and
describe the broadening base of Indian bureaucracy.
6.1 INTRODUCTION
Bureaucracy is the instrumentality of the government to translate the formulated policies
into programmes and programmes into realities. Modern state has assumed an array of new
functions in the fields of social development, economic progress, institutional
modernisation, nation-building, enrichment of the quality of life for the people. To attend to
all these activities, the government of the day must have an adequate administrative
machinery so that the welfare programmes and developmental missions of the government
can be implemented in the most effective manner. Bureaucracy of the country is precisely in
charge of these challenges of change to transform a society poised for a take-off. In the
previous unit i.e. 5, we have discussed the role of bureaucracy, its increasing importance in
recent years. In this unit, we shall discuss the basis of position of bureaucracy in India and
the case for representative bureaucracy. This unit highlights the broadening base of the
Indian bureaucracy, some of the studies undertaken in India relating to socio-economic
background of the public bureaucracies.
6.2 BASIS OF POSITION OF BUREAUCRACY

There are different personnel systems in different countries. Indeed, it is difficult to find
uniformity in the matter of personnel practices, civil service laws, bureaucratic structure and
other dimensions of bureaucracy. Every country has its own societal tradition.
environmental compulsions, economic and institutional influences which shape the
administrative and personnel system of the government. Bureaucracy occupies an important
place in every system. What is important is to know the basis of position of bureaucracy
from where does it derive its authority, since all the administrative powers are vested in
bureaucracy. Regardiilg this there is neither a common practice or theory. The French
Constitution laid down that the fundamental principles governing the civil service fall within
the domain of law and authority of legislature. But application fell within the sphere of
regulation of authority of the executive i.e. the parliamentary legislation and rules and
regulations made by the executive there under constitute the basis of bureaucracy. In the
United Kingdom, civil service had been regarded as 'Sovereign's Service'. The Parliament
being sovereign, it can make any law that it deems fit regarding the organisation and
regulation of matters concerning bureaucracy. In USA, part of the civil service is controlled
by StatutesIActs passed by the Congress and the other part by the President through
instructions and orders within the framework of laws.
In India, the bureaucracy derives authority from the Constitution, parliamentary legislations, Bsses of Bureaucracy
rules, regulations issued within the framework of statutes. Parliament may create All India
Services common to the Union and the States and also regulate the recruitment and
conditions of service of members of such services. The Indian Administrative Service
, (I.A.S.) and the Indian Police Service (I.P.S.) which came into being prior to the
commencement of the Constitution were deemed to be services created by Parliament under
Article 312. Parliament has enacted the All-India Services Act to regulate the recruitment
and other conditions of service of the All-India Services in consultation with the states.
There is a large number of rules and regulations concerning the various aspects of service
conditions of the members of All-India Services, framed in pursuance of the authority given
under the State Acts.
So far as the Central Services are concerned, Parliament has not framed any act so far. The
conditions of service including recruitment of the Central Service Officers are regulated by a
large number of rules as well as regulations made in pursuance of the authority given under
Article 309 of the Constitution.
In a parliamentary democratic system where ultimate power belongs to the people and is
exercisable through their representatives in the Parliament, pure discretionary and arbitrary
rules concerning bureaucracy are not possible and also not encouraged. In such a system,
unlike in monarchical and feudal systems of administration, right from recruitment and
selection to their retirement, everything is governed by specified rules, executive
instructions, orders etc., issued by the executive organs of the government from time to time. .
The position of bureaucracy is not exposed to vagaries of individual whims or personal
i
I
I
predilections. Patronage, nepotism and other forms of corruptive influences and norm
deviations are sought to be reduced. In other words, where the Constitution is supreme and I
parliamentary legislation is the authority and the rules and regulations exist as governing
guidelines for bureaucracy, there is a greater scope for not only positive fairplay but also
equitous opportunity is aff~rdedto all members of the society to join the bureaucracy
through prescribed procedures. Obviously, the base of bureaucracy becomes not only
Constitutionally ordained and legally well-defined, but also gek broad based and
representative.
In Section 6.4, we will examine how representative and broad based Indian bureaucracy is
and its various aspects.
6.3 BUREAUCRACY-REPRESENTATIVE NATURE

Bureaucracies in most of the countries till about the middle of the nineteenth century
comprised men drawn from a numerically small upper classes as it was felt they were more
capable to occupy administrative positions. But slowly the introduction of merit for
appointment to civil services andthe growth of representative institutions, emphasised the
need for having a reprea~ntativebureaucracy. This interest derived, in the first instance, in
the U.K. frem sporadic charges made about the unrepresentative character of the British
Civil Service and its domination by the middle class. It was against this background that
Kingsley's work on representative bureaucracy (the term representative bureaucracy was
first used by Donald Kingsley in 1944) and Kelsall's detailed study of the social composition
of the British administrative class (1955) were undertaken. The social base of bureaucracy,
particularly the Administrative Class in Britain, had earlier been highly 'elitist'. The landed
aristocracy, the feudal lords, those who studied in Oxford and Cambridge Uniyersities used
to be attracted to and formed the central core of the civil service which had high prestige and
status. But with passage of time, there has been broadening of the base, as more and more
people from working classes, are now entering the higher civil service through open
competition, besides being promoted from subordinate grades. For instance, in Britain in
1966, a significant component of the total membership of the administrative class to the
extent of 40% were promoted from lower ranks. With the introduction of 'Method II'
examination for recruitment to civil services, people with adequate learning capabilities are
entering bureaucracy which is now becoming more representative than before.
In France, Bottomore's researches (1954) into the French higher Civil Service were in part
inspired by conremporary accudations against it as an unprogressive, urban middle class
monopoly. Likewise,
Downloaded the Warner
from:- Groups, in America in their study on 'The American https://t.me/Upsc_Zone_Official
Civil Sewices in India Federal Executive' (1963) intended to find out whether the bureaucrats were representative
of the kinds of citizens ordinarily found in America. The social base of the American Civil
Service is broader as compared to India or the UK. Paul P. Vanriper attributed the success of
American democracy, in part at least, to the representative character of the Federal Civil
Service.
The objective of all these studies as discussed above was to find out how representative a
higher civil service of the particular country is of the respective regions, occupational groups
and classes. It is felt that the more representative the bureaucracy is of the various sections
of society, it will be more responsive to their needs.
C

1) Discuss the basis of position of bureaucracy in the UK and the USA.
2) Descri-be the sources through which bureaucracy derives authority in India.

...........................................................................................................................................
3) The term 'Representative Bureaucracy' was coined by

a) Bottomore
b) Kelsall
c) Donald Kingsley
d) Warner
6.4 BROADENING BASE OF INDIAN BUREAUCRACY

The m&w state is an administrative state. As discussed earlier, the functions of the
governmmr ppresenting the state have expanded so extensively and comprehensively that
"
even the minutes; aspects of citizen's life have been brought under the regulatory control of
the state apparatus. The government has become the prime-mover, initiator and promoter in
various activities, supplementing and complementing the private endeavours. With the
expansion of governmental charter of responsibilities bureaucratic intervention and even
penetration has become pronounced. It creates a great demand on the educational system of
the country, which has to throw up the requisite number, and kind of 'marketable'
bureaucrats of different types and skills. There was a time when, in the context of limited
educational opportunities available, the "elites" of the society used to fill the higher civil
services of the country. The elitist character of the Indian Civil Service is well known. Now
with the frontiers of education expanding phenomenally even the groups traditionally
thought to be outside the administrative umbrella, have now been brought within the ambit
of bureaucracy. Those belonging to rural areas, scheduled castes, scheduled tribes and
backward castes are entering the bureaucracy and the base has expanded.
Let us now discuss the findings of a few research studies undertaken in India on socio-
economic background of the bureaucracy. The focus of these studies has been on higher
civil services. The first such study relating to public bureaucracy was conducted by
R.K. Trivedi and D.N. Rao in 1960 on "Regular recruits to the IAS", and sought to look into
the background of the directly recruited IAS officers with a view to findin;: out xhcther
(a) any significant patterns or trends have emerged over the last thirteen years in regard to Bases of Bureaucracy
their social background as revealed by their fathers' occupations and their ruraVurban
affiliations etc., (b) there is any concentration of the direct recruits belonging to any
particular economic class and (c) any particular type of education (e.g. public school or
foreign universities) or studies in certain regional universities in the country have given any
added advantage to the candidates in the open competitive examinations.
This study brought out the fact that in so far as the occupations of the fathers of the regular
recruits are concerned, there is predominance of government servants, followed by teachers,
advocates, etc. 79 per cent of the total number of recruits were from urban areas while 21
per cent of them were from rural areas. Women accounted for 3.1 per cent of the regular
recruits to the I.A.S. Those belonging to the scheduled castes and tribes constituted 2.1 and
1.5 per cent respkctively of the total recruits. The study further brought out that about 113 of
the total number of recruits came from upper income-bracket families. Though the average
representation of persons belonging to the lower-income group is only 8.9 per cent, their
numbers and percentage have been steadily increasing since 1950 at the expense of those in
the middle income group category. About 10.2 per cent and 4.4 per cent of the recruits were
those who were educated in public schools and foreign universities respectively. However,
since 1956 an upward trend has been noticeable. The universities which contributed the
largest number of successful candidates to the I.A.S. were the universities of Madras, Delhi,
Allahabad and Punjab.
Another study was conducted by C.P. Bhambri during 1966-67 on the Socio-Economic
Background of Higher Civil Service in India. The sample comprised about 309 probationers
undergoing training at the National Academy of Administration, Mussoorie. Their
educational background revealed that about 75% of them had Master's degree from Indian
Universities while 1 1% possessed qualifications substantially higher than Master's degree.
The socio-economic background of the recruits showed heterogeneity as there were children
of persons holding the highzst posts at the union and state levels in the fields of
administration, judiciary, army, police as well as children of school teachers, clerks, revenue
officials etc. In our country where an overwhelming majority of the population is engaged in
agriculture this study revealed that nearly 17% of the recruits into the higher civil services
belonged to farming families. Out of these 17%, most of them with an agricultural
background belonged to middle income brackets in the rural society and a small number
were from rich landowning class.
The next study that was undertaken in 1971 was by Subramaniam, entitled "Social
Background of India's Administrators". This research study revealed that nearly 80 per cent
of the entrants to the higher civil services in India were drawn from the urban sdaried and
professional middle class. Those belonging to the business classes were less represented
compared to the civil servants and professionals. Those drawn from a commercial
background were mostly the Sons of small-town meichants or the employees of small
business houses. The farmers and agricultural labourers forming the bulk of the workforce
were grossly under reprbdented in all the services even more than the artisans and the '
industria1 workers.
Within this broad picture of middle class dominance, the social composition has broadened.
One obvious reason for this is the recruitment of a quota of candidates from the scheduled
castes and tribes. This broadening of t k social background, has also been accompanied by
features such as a more even distribution of recruits from different states, different language-
groups, and different educational institutions. Although there has been a simultaneous fall in
proportion of first class graduates, still, greater proportion of them come from public
schools, better colleges, and enter services due to their good performance in the examination
and interview.
These few studies, have, unfortunately, not been updated. There must have been mapy
changes in the socio-economic landscape of this country, which, in their turn, might have
created counterpart-impact on the bureaucracy in India, by influencing its social
composition, character and representativepess. But on the basis of certain derived secondary
information, some impressionistic trends &anbe inferred.
Civil Service examination conducted by the U.P.S.C. for recruitment of higher non-technical
civil servants throws
Downloaded up significant
from:- and relevant data about the educational background
https://t.me/Pdf4Exams of
Civil Services in Indin the candidates, the spread of scheduled castes and scheduled mbes members (which would
give an indication of their social background), universities which contribute the successful
candidates (indicating the regional representation of bureaucrats) etc. Let us analyse, these
aspects on the basis of data of Civil Services (Main) Examination, 1987 which is presented
helow. ' h e number of candidates who actually appeared in the examination was 9103, out
of which 817 candidates were finally recommended for appointment.
Table I, below indicates the distribution of candidates according to (i) degrees obtained by
them i.e. Higher ((Hons.)/Post-GraduatePoctoral) degrees and pass degrees (ii) proportion
of first class vis-a-vis others and (iii) performance of those with first class vis-a-vis others
with success ratio.
Table I
No. of 1st Others No. of 1st Others
candidates class candidates class
who appeared who qualified
Higher Degrees 6264 3618 2646 616 45 1 165
(68.81%) (57.76%) (42.24%) (75.40%) (73.21%) (26.79%)
Pass Degrees 2839 1339 1500 20 1 113 88
(31.19%) (47.16%) (52.81) (24.60%) (56.22%) (43.78%)
There are about 135 universities spread in different parts of the country, from which the
candidates appear for the higher civil services. The top ten universities in relation to the
number of candidates appearing in the examination, together with the success ratio, is at
Table I1 below:
Table I1
S.No. Name of University No. appeared No. quali- Success
- - - --- - -
fied ratio
Allahabad University
Andhra University, Waltair
Delhi University
Jawaharlal Nehru University,
New Delhi
Lucknow University
Osmania University. Hyderabad
Panjab University. Chandigarh
Patna University
Rajasthan University, Jaipur
Utkal University
These ten Universities provided 4337 (47.64%) candidates who appeared, of which 422
(51.65%) qualified. It may be noted that the three universities which accountedfor more
than 500 candidates (appeared) are Allahabad, Delhi & Rajasthan. Of these three, Delhi's
success ratio (1:7:07) is higher than the overall success ratio (I: 1l:14). It is also noteworthy
that the three Presidency Universities i.e. Calcutta, Bombay and Madras do not find any
place in the top ten universities which furnish largest number of candidates who appear,
although the success ratios of these 3 universities (Calcutta-l:9:92, Bombay-1:13:37 and
Madras-1:9:47) are much better than many of these ten universities. Interestingly, from the
success-ratio. Tamil Nadu Agricultural University, Coimbatore had the best record in 1987
exarniriation (1:3:30), followed by Indian School of Mines, Dhanbad (1:3:87), I.I.T., Delhi
(1:4:60) and Jawaharlal Nehru University, New Delhi (1:4:93) etc., though this by itself
does not reveal much. But one thing is clear that there is a wide variety of candidates from
all kinds of general and technical disciplines, e.g., Humanities, Social Sciences, Linguistics,
Pure Sciences, Veterinary Science, Agriculture. Technology, Medicine, Mining etc. Indeed,
in 1987 Civil Services Examination, 9103 actually appeared in the Main Examination with
as many as 48 optional subjects in fields such as Management, Public Administration,
Economics, Political Science, Psychology, Sociology, Statistics, Commerce & Accountancy,
Historv, Law, Anthropology, Zoology, Geology, Philosophy, Literature, Engineering (Civil
& Mechanical) etc. History claimed the highest number of successful candidates (263 out of
3403), followed by Sociology (201 out of 2067), Political Science & International Relations
(141 out of 1409), Physics (92 out of 865), Anthropology (85 out of 734), Psychology (80
out of 821), Ekonomics (80 out of 792), Public Administration (76 out of 754), in that order.
The performance of candidates obtaining first division varied considerably from university
to university, but there were at least 55 universities/institutions belonging to Andhra
Pradesh, Tamil Nadu, Assam, Himachal Pradesh, Uttar https://t.me/Upsc_Zone_Official
Pradesh, West Bengal, Bihar,
Kerala, Jammu & Kashmir, Maharashtra, Karnataka, Rajasthan, Manipur, Orissa, Punjab & B a w of Bureaucracy
Gujarat from which no candidate having first division succeeded in qualifying for
appointment. Interestingly, out of 10 candidates holding Doctoral Degrees who appeared,
none could qualify.
Age-distribution of the successful candidates also make revealing study. 49% of the general
candidates belonged to the age-group of 21-24 years and 51% to 24-26 years. As against this
15% of the SC/ST candidates belonged to 21-24 age-bracket, 27% to 24-26 years, 23% to
26-2t years, and 35% to 28-33 years. Apart from the aspects of age-composition-and-mixin
the service cadres, and proportion of direct recruits to promotees, it has significant
dimensions, in deciding about the number of chances to be given as also the upper age limits
to be allowed for the examinations.
Representation of Scheduled Castes/Scheduled Tribes in Civil Services

During 1984 to 1987, SC/ST candidates have been appointed against the full quota of their
reserved vacancies in i) Civil Services (Main) Examination, ii) Indian Forest Service
Examination, iii) Combined Medical Services Examination, iv) Special Class Railway
Apprentice Examination, & v) Asstt. Grade Examination. The 'short-fail cadres' are:
a) Engineering Service Examination
b) Indian Statistical Service Examination
c) Geologists' Examination
d) Stenographers' Examination.
This would indicate low 'backward class' representation in the various techno-professional
cadres of the public services, though things are improving, of late.
The tables below indicating the representational position of SC/ST against their reservation
would show that things have improved phenomenally over the years.
REPRESENTATIONAL INCREASE OF SCHEDULED CASTES

Group Scheduled Castes Representational increase
with ref. to 1965 figures
Absolute terms %age
REPRESENTATIONAL INCREASE OF SCHEDULED 'TRIBES
Group Scheduled Tribes Numericid Incieasc

--
in in Absolute term %age
1965 1987 '
Alongwith the increase in the representation of SC/ST in the federal civil services, there tias
also been substantial representation of 'other backward classes' (ORCsj for whom tflere w:72
no reservation. The figures (compiled in 1979) indicating the SC/ST and OBC proportion\
of the total employees (all classes/groups together) in the Central Governmenr (including
Public Sector Undertakings), as given in the table below, reveal hopeful trends
'Total Employees SC/ST OBC
MinistrieslDeptt. 73339 12343 3545
(16.83) (4.83)
Autonomous Bodies/ 9076 1 163948 131012
AlUSub Offices (18.06%) (14.4340)
PSUs 590689 117864 62650
(i9.9596) 610.61)
TOTAL 1571638 294155 19730 ,
-- - (18.72) (1255c;>l
Clvil Services in India As against 18.72% for SC/ST who enjoyed constitutional safeguards in the form of
reservation and many other concessions and privileges the OBC percentage stood at 12.55%
which is quite high, when set against the background of their socio-economic and
educational backwardness and no uaranteed facilities at the ground as well as recruitment
f
levels. Of course, their percentage p total population is also higher (in fact more than
double) than that of SC/ST combined (52% against 22.5%). which limits to a great extent,
the representative character of the public bureaucracy.
But certain emerging trends which are noticeable in recent years in India, relating to
widening base of bureaucracy are:
1) More and more scheduled castes/tribes u e entering in large numbers in civil service
cadres-not only against reserved quota but also on their merit. During the last many
years there has been no SC/ST shortfall in recruitment to higher civil services, except in
certain professional cases.
2) Other Backward Classes also are following suit in terms of numerical increase in their
representation in the civil services-which indicates a good widening of the base of
bureaucracy.
3) Due to the spread of educational facilities in the country side, the urban hold is
declining and more and more candidates with rural background are being inducted in
the civil services.
4) Civil Service is no longer the monopoly of 'Oxbridge'-type of convent and public
school boys & girls. Since there is now a more even spread of other educational
institutions which are throwing up greater number of su~cessfulcandidates in
competitive examinations.
5) Though 'middle class' still dominates the civil service scenario, along with 'upper', the
'lower' middle class also is making their presence more and more which is breaking the
earlier 'economic barrier' of the higher civil services.
6) Children of civil servants, academicians, professionals, etc., still preponderate in the
civil services, though other classes belonging to 'lower-middle' and 'lower'
communities are also sending their wards in increasing number.
Bureaucracy in India especially the higher civil services, of late has no longer been the
preserve of the well-to-do class and the social composition of the services is broadening.
Efforts in the direction need to be made through greater spread of education, evolving more
scientific methods of recruitment, so that without compromising the principle of merit, more
can be drawn within the fold of bureaucracy.

Note: 1j Use the space given below for your answers.
2) Check your answer with the answer given at the end of the unit.
1) Comment on the emerging trends relating to the widening base of Indian bureaucracy.
6.5 LET US SUM UP

Bureaucracy is an essential instrument of the government in implementing the policies and
programmes of the government. In this unit, we have discussed the important question of
basis of position of bureaucracy. The dangers of patronage. nepotism, other corruptive
influences gets lessened, when the bureaucracy is governed by specified rules, executive
instructions issued by the executive organs of the government. We have also discussed the
representative nature of bureaucracy and the studies undertaken in this field in countries like
U.K.,U.S.A.. France. The unit highlights the widening base of bureaucracy in India at
higher levels and the major findings of a few studies undertaken in India in this direction. In
this respect, certain emerging trends noticeable in recent years are also discussed.
6.6 KEY WORDS

Method I1 Examination :This was one of the avenues of entry into the administrative class
in the UK introduced in 1945. Under this method candidates are required to appear at a
qualifying examination consisting of three papers-Essay, English m d Geccral papers.
After qualifying in the examination, selected candidates are taken to a coun~ryhousefor an
extended interview by the Civil Service Selection Board. The candidates are again required
to appear for an interview before the final Selection Board.
Predilections: Strong likes.
Representative Bureaucracy :A Civil Service representing adequately every caste, class
and religious groups of p6pdation. This type of bureaucracy is expected to be responsive
and responsible to the people of the country.
-.--- --
Bhambri, C.P. 1972. Socio-economic Background of Higher Civil Service in India in
Administrators in Changing Society, National Publishing House : Delhi.
Jain K.B. and O.P. Dwivedi. 1989. Bureaucracy in India: The Developmental Context in
Jain R.B. (Ed.)Bureaucratic Politics in the Third World, Gitanjali Publishing Iiouse:
New Delhi.
Sinha, V.M. 1986. Personnel Administration-Concepts and Comparative Perspective,
R.B.S.A. Publishers: Jaipur.
Subrahmaniam, V. 1971. Social Background of India's Administrators, Publication
Division, Government of India: New Delhi.

EXERCISES
In the UK, laws framed by the Parliament regarding the organisation and regulation
of matters concerning the bureaucracy form its basis.
In the USA, the basis of position of bbreaucracy is determined partly by Statutes
and Acts passed by the Congress and also by the President through instructions and
orders within the framework of laws.
2) Your answer should inciude the following points:
Coi~stilulion
FA, . . .,..sislations
Rulcs and ~egulationsissued within the framework of statutes.

Increase in the entry of candidates belonging to scheduled castes, scheduled tribes,
, other backward castes into the Civil Services.
Due to the spread of educational facilities in the country side, the urban hoki is
declining and more candidates with rural bxkground are enterie the bureau~iacy.
The earlier 'economic barrier' of the higher civil services is k i n g broken with the
'upper' and 'lower middle class' making their presence along with the middle class.

UNIT 7 DEVELOPMENT OF PUBLIC

SERVICES IN INDIA
Structure
Objectives
Introduction
Civil Services mtil the Advent of the East India Company
Civil Services under the East India Company (1675-1857)
Imperial Civil Service (1858-1917)
Civil Services under the Government of India Acts, 1919 and 1935
Civil Services in the Post-Independence Era
Let Us Sum Up
Key Words
Some Useful Books

explain the system of civil services existing in India until the advent of the East India
Corn yany
discuss the civil services under the East India Company
describe the Imperial Civil Services
state the changes brought about in the civil services under the Government of India
Acts, 1919 and 1935; and
discuss &e civil services in the post-Independence era.
7.1 INTRODUCTION
The development of public services in India is neither a phenomena of modem India, nor, as
. isoften assumed, the contribution of British rule in India. There is historical evidence of
presence of a civil service structure in ancient India but it lacked good operational
framework or institutional arrangements. Also there was no continuity in civil services, as
any change in the regime. would bring changes in the civil service. The term civil service
and the system as we know was introduced for the first time by the British. The present day
civil service is the result of successive changes under the rule of East India Company and
the Crown.
This unit deals with the system of civil services that was prevalent until the advent of the
East India Company and the development of civil services under the Ea t 1ndia Company
"I
and the Crown under various acts. It will also explain the structure of civil services and
changes brought about in it in the post-Independence era.
7.2 CIVIL SERVICES UNTIL THE ADVENT OF THE

EAST INDIA COMPANY
Until the Mauryan period in Indian history begining around 321 B.C., there is insufficient
data on the structure of Indian public services or their management. Kautilya's Arthasastra,
written around 300 B.C., is an extensive treatise on government and administration. It is
mentioned that 'Amatyas' and 'Sachivas' were the important administrative functionaries
during the Mauryan period. There were kthanlkas' who used to functior? as executive
officials. The highest ranking officers in the administrative hierarchy were the 'rnantrins' .
who were chosen from anlongst the 'Amatyas'. During the Gupu period too, it is s a y thac
civil administration was under the charge of the 'Mantrins'. A new office of
'Sandhivigrahika' who was in charge of foreign affairs, was introduced during this period. Development of Public S ~ N ~ C ~
in India
In ancient times, recruitment to these offices was done on the basis of heredity and family
background. In India, recruitment on the basis of open competitive system was not known
during that period, though in China, such a system was in vogue since 120 B.C.
During the Moghul period the administrative system was centralised. No distinction was
made between the civil and military administration. Civil Service was organised on a
military basis and controlled by the military department. The Moghul administration in India
presented a combination of certain features of the Arabic administrative system with certain
classical Indian administrative practices. The presence of this foreign element in the Moghul
administration can be illustrated by reference to their provincial administration.
In the early centuries of the Arab rule, especially in Egypt, two political functions were
sharply distinguished, the governership and treasury. The Governor (called 'Amir') had
control over the military and police only. Alongside was the head of the treasury (called
'Amil'). These two officers provided an effective system of neutral checks and balances.
Under the Moghul administration too, this was the relationship between the 'Subahdar' or
provincial governor and the 'Diwan' or the revenue chief'of the province.
Civil Services in an organised form, as existing now, evolved through various stages during
the rule of the East India Company and the British Crown, about which we will study in the
following sections.
CIVIL SERVICES UNDER THE EAST INDIA

COMPANY (1675-1875)
Formative Stage
The development of the civil services in India dates back to the fiGt quarter of the 17th
century, when some British merchants, under the banner of the East India Company, came
to India for the purposes of trade. The earliest organised civil service in British.India was the
'Covenanted Civil Service' which constituted a group of men who canied on the trade of the
East India Company and were known as its 'civil servants'. These were distinct from the
naval and military officers of the company. The servants of the company were purely
commercial agents, known as 'factors' and were incharge of the trading stations which were
established along the sea coasts. These 'factors' were neither statesmen nor administrators,
but those who had some knowledge of Eastern trade.
In 1675, the company established a regular gradation of posts..Thus a youngman was

recruited first as an 'apprentice' to later become a 'writer' and, after serving in this capacity
for five years, could be promoted as a 'factor'. The 'factors' after putting in three years
service could be promoted as 'Junior Merchants' who usually after a period of three years of
service could become 'Senior Merchants'. The business transacted by these officials was
commercial in nature. I:.;tially, the power of appointment to these posts vested with the
Court of Colnmittees but, in 1714, it was laid down that appointments in the company were
to be made through the recommendatory nomination of the members of the Court of
Directors. Every writer had to enter into a convenant or indenture with the company. It was
a long document which contained many conditions including faithful, honest, diligent and
careful service and bound the writers to observe, keep and fulfil each and every order of the
company and the Court of Directors. Hence they were known as covenanted civil servants.
This patronage principle operated in varied modes and forms till 1833, when limited
competitive element in the selection of company writers was introduced.
1765-1853--The Mercantile Service Assuming the Role of an Administrative Service

For over a century and a half, the service remained a purely commercial service. Later, from
1760 onwards, as trade expanded administrative tasks increased and the civil service of the
company started assuming more administrative responsibilities. By 1765 the term 'civil
servant' came to be used in the records of the company. The grant of Diwani to the
Company by the Moghuls in 1765, was another landmark in the territorial acquisition of the
company and consequent increase in the administrative duties of the civil servants of the
company. In 1772, the directors of the company decided to function as diwans themselves
and took over the administration. Besides the civil service needed to be streamlined, as there
H .I\ the problem
Downloaded of the covenanted
from:- servants being engaged in private trade and bribery.
Civil Senioes in India The Regulating Act of 1773 made a clear distinction between the civil and commercial
functions of the company which resulted in a separate personnel classifica_tiori.The
commercial transactions of the company were to be kept separate from revenue and judicial
administration, which were to be conducted by a separate class of servants. The Act also
prohibited private trading by all those civil servants responsible for collection of revenues or
administration of justice. Private trading was restricted to those engaged in commercial
transactions. It forbade civil servants from accepting any gifts from the people.
The patronage principle which was in vogue in the recruitment of servants, was also
extended to promotions in the service. Nepotism was rampant and all this had an effect on
the civil service which was demoralised. The Pitt's India Act of 1784 with regard to civil
service laid down that the vacancies in the Govemor General's Council were to be filled by
the covenanted civil servants. The Crown was given the power of removing or recalling any
servant of the company. The Act fo;the first time laid down age limits for new entrants in
the service of the company. It fixed the minimum age for appointment to the post of writer
at fifteen years and maximum at eighteen years.
It can be said that the Charter Act of 1793 made a significant contribution to the
development of civil services in India. It laid down that any vacancy'occuning in any of the
civil offices in India "shall be filled from amongst the civil servants of the company
belonging to the Presidency in which such vacancies occurred". The Act excluded outsiders
from entering the service even though they enjoyed patronage in England. The Acttried to
improve the morale of the civil service by making it a closed and exclusive service. The
maximum age limit for appointment to the post of writer was raised to 22 years.
In 1800, Govemor General Wellesley, established the college at Fort WiIliams with the
objective of training civil servants. But this was not favoured by the Court of Directors.
Finally, in 1806, the Court of Directors decided to set up a training institution at Haileybury
in England which was accorded a statutory status by the Charter Act of 1813. The writers
nominated by the Court of Directors of the Company were required to undergo two years of
training at the institution and pass an examination before they were confirmed as writers.
The areas of training included European classical languages, law, politrcal economy, general
history, oriental languages etc. This College was abolished later in 1857.
The designations of merchants, factors etc., continued till 1842 even though they did not
perform any commercial functions after the Charter Act of 1833. This Act, which
completely prohibited trade and commerce, proposed a significant change in the civil
services. It proposed the introduction of a limited competitive examination. The need for a
strong bureaucracy was felt in the 1830s as a replacement for the patronage exercised by the
Company. A system of open competition through examination and adequate provision of
education and training of the civil servants was sought. The proposal for open competition
which was mooted for the first time by Lord Grenville in 18 13, could never materialise.
Lord Macaulay, speaking in the British Parliament on 10th July, 1833 on the Charter Act
said 'it is intended to introduce the principle of competition in the disposal of writerships
and from this change I cannot but anticipate the happiest results". A clause was inserted in
the Charter Act granted to the company declaring that henceforth fitness was to be the
criterion of eligibiIity to the civil services irrespective of caste, creed or colour.
The proposal of having open competition did not come into effect till 1853, though the
Charter Act contained a provision in this regard. The old powers, rights, of the Court of
Directors to nominate candidates for admission to the College of Haileybury were to cease
in regard to all vacancies which occurred on or after April 1854. The Act provided for
appointment of members of the covenanted civil service of India on the basis of a suitable
competitive examination which was to be held in London. The President of Board of
ControI, Sir Charles Wood appointed a five-member Committee headed by Lord Macaulay
to advice on the measures to be adopted to give effect to the Act of 1853, which, at least in
theory, threw open appointments in the Indian Civil Service to competition without any
discrimination. The committee (popularly known as Committee on the Indian Civil Service)
laid down certain age limits for admission to the college of Haileybury. It desired that the
minimum age limit be raised to eighteen and the maximum to twenty-five. It was in favour
of civil servants entering the service at a young age but also specified, that they should have
received the best, the most liberal, the most finished education that the country could then
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afford. It laid emphasis on g w r a l education, strengthening
of understanding, which
precedes special education or training in any skill. The Committee recommended the rsevtiopment of public Services
in Krldia
selection of candidates on the results of a competitive examination, and also laid stress on
the need for completion of a period of probation before the final appointment of the
candidates. It was not in favour of continuance of the College at Haileybury. It also laid
down that the examination should be so conducted as to ensure the selection of candidates
with thorough and not superficial knowledge.
These recommendations were accepted by the Board of Control and regulations were framed
governing the examination and selection of candidates to the civil service. The first
examination under the Board of Control was held in 1856. The following years witnessed
significant changes in the civil services, about which we will read in the next section.

1) Discuss the formative stage of the civil service under the East India Company.
I ...........................................................................................................................................
...........................................................................................................................................
2) What changes were brought about by the Regulating Act of 1773?
...........................................................................................................................................
...........................................................................................................................................
3) Discuss the recommendations of the Macaulay Committee on Indian Civil Service set
up In 1853.
I?t"PFRl A 11 CIVIL SERVICE (1858-1917)

On the termination of company's government in 1858, Indian administration came directly
under the Crown. The Government of India Act, 1858 vested the power of superior
appointments of a political nature with Her Majesty. Her powers, in actual practice, were
exercisable by the Secretary of State for India, a Minister of Cabinet rank, who was to be
assisted by an under secretary and a council of fifteen members. The powers and functions
exercised by the Board of Control and Court of Directors were transferred to the Secretary
of State in Council. The responsibility for the conduct of competitive examinations for
appointment to her Majesty's civil service was transferred to the Civil Service Commission
(set up in 1855) in London.
With 1858, started a new era in the history of public services in India. The system of
reserving certain posts for the members of the covenanted service was introduced. This
continued upto Independence and still to some extent is a part of the successor service i.e.
the Indian Administrative Service, The Indian Civil Service Act, 1861 rescrved certain
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principal posts tofrom:- https://t.me/Pdf4Exams
be filled from the covenanted service. All these posts were put in https://t.me/Upsc_Zone_Official
a
schedule. It also laid down that any person, Indian or European, could be appointed to any of
the offices specified in the schedule annexed to the Act provided he had resided for at least
seven years in India. A person appointed under it had to pass an examination in the vernacular
language of the district in which he was employed and also remain subject to such
departmental tests and other qualifications as the authorities might impose. All appointments
were to be reported to the Secretary of State and unless approved by him within twelve months,
were declared void. The provisions of this Act did not obviously satisfy the Indian public
opinion and its growing demand for Indianisation of services. The Act virtually remained a
'dead letter' partly on account of the disinclination of authorities to give effect to it and
largely because of the basic difficulty in implementing the recruitment requirements of the Act.
There was growing demand by educated Indians to secure employment in the Covenanted
Civil Service. There was failure on the part of Bricsh to fulfil the assurance given in the
Government of India Act, 1833 and Queen's Proclamation of 1858. The Act provided that
no Indian 'shall by reason of his religion, place of birth, descent, colour, or any of them, be
disabled from holding.any place, or employment' under the Government of the East India
Company. The selection based on patronage prevented Indians from getting into the service.
Though open competition was introduced under the Charter Act of 1853, the provisions such
as fulfilment of fitness criteria for competition, holding of examination in London did not let
Indians compete.
The British Parliament passed an Act in 1870 authorising the appointment of any Indian (of
proved merit and ability) to any office or the civil service without reference to the Act of
1861 which reserved specific appointments to the covenanted service. It also did not make
the desired headway, as the opinion was divided on throwing open all civil appointments, or
establishing a proportion between Indians and Europeans in the tenure of higher offices.
New rules were framed in 1879, which established the Statutory Civil Service; it provided
that a fifth of covenanted civil service posts was to be filled by the natives. Only Indians
were eligible to be appointed to this by the local government subject to approval of
Government of India and the Secretary of State. Unfortunately, the statutory system also
failed to achieve the purpose for which it was created. With the Indian National Congress,
passing in its very first session; in December, 1885, a resolution for simultaneous civil
service examination in England and India, the pressure for Indianisation increased further.
The British government decided to consider the question of admission of Indians either to
the covenanted civil service or to the offices formerly reserved exclusively to the members
of the service.
Aitchison Commission
A Commission headed by Sir Charles Aitchison was appointed in 1886, to prepare a scheme
of admission of Indians to every branch of public service. It was expected to look into the
question of employment of Indians not only in appointments, ordinarily reserved by law for
members of the covenanted civil service but also in the uncovenanted service covering
lower level administrative appointments. The Commission rejected the idea of altering the
system of recruitment to the covenanted civil service. It advised the abolition of the
Statutory Civil Service and advocated a three-fold classification of civil services into
Imperial, Provincial and Subordinate. The provincial service was an exclusive sphere of
extended Indian employment in the public service. It alqo proposed a reduction of the list of
the scheduled posts reserved by the Act of 1861 for the members of the covenanted civil
service and the transfer of a certain number of posts to the provincial civil service.
As recommended by the Commission, the Statutory Civil Service was abolished. The
designation covenanted civil service was also done away with and the civil services of the
country were divided into three grades-the imperial, provincial and subordinate civil
service. The superior posts were included in the imperial civil service and recruitment to it
was to be made by the Secretary for State in Council. ?be provincial civil service was
designated after the name of the particular province to which it belonged. The lower level
grades of the uncovenanted service were constituted into a subordinate service. The practice
of holding examinations for entry to the civil service in England, continued as the
Commission strongly advocated it. It was of the view that since the Indian Civil Service
represented the only permanent English official element in India, examinations in England
become essential to maintain the English principles and methods of the government.
The demand for Indianisation became persistent and there was mounting pressure for Development of Publk Services
3 holding simultaneous examinations in England and India. Once again, the question of in India
Indianisation was examined by a Public Service Commission in 1912 under the
chairmanship of Lord Islington, the then Governor of New Zealand. The Comniission
observed that at that time Indians constituted only 5% of the civil service. The Comrhission
supported "two separate channels of access to the Indian Civil Service itself, one in England
(open to all alike) and one in India (open to statutory natives of India only)". It sought to
apply a method for inducting Indians to the higher offices by reserving twenty-five per cent
posts for them, i.e. 189 out of 755 posts were to be filled by them. It proposed categorisation
of the services under the Government of India into Class I and 11. But no radical change in
the structure of the organisation of the civil service was envisaged by the Commission. Also
it took nearly four years for it to submit the report. As a result, due to lapse of time, the
proposed measures came to be regarded as inadequate by the enlightened public opinion in
India.
7.5 CIVIL SERVICES UNDER THE GOVERNMENT OF

INDIA ACTS, 1919 AND 1935
On 20th August 1917, E.S. Montague, the then Secretary of State in India, issued the historic
declaration in the House of Commons announcing the British Government's new policy of
"increasing association of Indians in every branch of the administration, development of self
governing institutions with a view to the progressive realisation of responsible Government
in India as an integral part of British Empire". A year later, i.e. in 1918, Montague and
Chelmsford (the then Viceroy), both in their joint report on Constitutional changes,
expressed supplementing the recruitment to civil services in England by fixing a definite
percentage of recruits from India. The percentage was fixed at thirty-three per cent for
superior posts with an annual increase of one-and-a-half per cent. They proposed an increase
in percentage of recruitment to other services in India. They were in favour of appointments
to be open to all branches of public services without racial discrimination and holding a
separate competitive examination in India.
The Government of India Act, 1919 on Constitutional reforms recommended a threefold

classification of services into All India, provincial and subordinate. All the Imperial services
then functioning in the provinces whether in the reserved or transferred departments, were
designated as the 'All India Services'. Special safeguards were guaranteed to the members
of All India Services in regard to dismissal, salaries, pensions and other rights. The Act
proposed as a safeguard against political influence the constitutionbf a Public Service
Commission entrusted with the task of recruitment to the service.
In 1922, the first competitive examination was held under the supervision of the Civil
Service Commission. The Indian candidates selected on the basis of its results were put on
probation for two years at an English University.
The Lee Commission

In the midst of great ~liticalfurore in India over the negative British response towards
Indianisation of services and in view of the several complicated problems in relation to the
public service matters, in 1923 a Royal Commission on Superior Civil Services in India
uhder the chairmanship of Lord Lee was appointed. The Commission recommended the
division of main services into three classes : (a) All India (b) central and (c) provincial. The
central services were those which dealt with the Indian states and foreign affairs, with
administration of the state railways, posts and telegraphs, customs, audit and accounts,
scientific and technical departments. The Commission recommended that the Secretary of
State should retain the powers of appointment and control of the All India Services (mainly
Indian Civil Service, Indian Police Service, Indian Medical Service, Indian Forest Service
and Indian Service of Engineers) operating in the reserved fields of administration. The most
important recommendation of the Lee Commission was regarding services operating in the
transferred fields (e.g. Indian Educational Service, Indian Agricultural Service, Indian
Veterinary Services eic.), whose further recruitment and appointments were to be made by
the concerned local governments. Thus those services were to be provincialised. The
existing members of the All India Services were to retain all rights of the officers of All
India Services, but the provincial governments were giverl powers of appointment only on
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occurrence of fresh https://t.me/Pdf4Exams
vacancies. https://t.me/Upsc_Zone_Official
Civil Services in lndia In regard to the central services, the Commission limited the power of appointment of
Secretary of State to the Political Department, Imperial Customs Department and the
Ecclesiastical Department. Appointments to all the other central services were to be made b j
the Government of India. The Commission recommended twenty per cent of superior posts
to be filled by promotion from provincial service.
To maintain superior standards of recruitment by regulating the exercise of patronage, the

Commission urged the establishment of the Statutory Public Service Commission (as
recommended by the Government of India Act, 1919). This Public Service Commission was
to perfonn the functions of recruitment of personnel for the All India, central and provincial
services, and also other quasi-judicial fuiictions connected with discipline, control and
protection of the services. It also made detailed recommendations about the various
conditions of service like pay, pension, leave, passage, housing etc. As regards
Indianisation, it suggested that out of every hundred posts of Indian Civil Service, fourty
should be filled by direct recruitment of Europeans, fourty by the direct recruitment of
Indians and twenty by promotion from the provincial service so that in fifteen years i.e. by
1939, half would be held by Indians and half by Europeans.
The recommendations of the Lee Commission were accepted by the British Government.
With the discontinuance of the All India Services in the transferred departments, the only
All India Services which survived were the Indian Civil Service, Indian Police, Indian
Service of Engineers (Irrigation Branch), Indian Medical Service (Civil Branch) and Indian
Forest Service (except in the provinces of Burma and Bombay). The Public Service
Commission in India was set up in 1926 and the examination for recruitment to civil service
in 1927 was supervised by it on behalf of the Civil Service Commission in England.
The Government of India Act, 1935 (Indianisation of Higher Civil Services etc.)
As the Act of 1935 introduced provincial autonomy under responsible Indian Ministers, the
rights and privileges of the members of the civil services were carefully protected. The
protection of the rights and privileges of the civil service was a special responsibility of both
the Governors and the Governor General.
It was provided that a civil servant was not to be dismissed from service by an authority
below the rank of the officers who had appointed him. The salaries, pensions, emoluments
were not subject to the vote of the legislature. The Act also provided for the setting up of a
Public Service Commission for the federation and a Public Service Commission for each of
the provinces, though two or more provinces could agree to have a Joint Public Service
Commission.
As a result of introduction of provincial autonomy under the Act, only three services i.e.
Indian Civil Service, the Indian Police Service and Indian Medical Service were to continue
as All India Services. Recruitment to other All India Services (Indian Agricultural Service,
Veterinary Service, Educational Service, Service of Engineers, Forest) were provincialised,
their recruitment and control coming under the provincial government. The serving
me'mbers continued on existing terms and the conditions of service were fully protected.
7.6 CIVIL SERVICES IN THE POST-INDEPENDENCE

ERA
After Independence the structure of the civil services underwent a change. Three types of
services viz., All India Services, central services and state services were created.
All India Services

The Constitution of lndia had recognised only two All India Services namely the Indian
Administrative Service and Indian Police Service. The indian Administrative Service
replaced the former Indian Civil Service and similarly in 1951 Indian Police Service was
constituted in place of the Indian Police. In 1966 another All-India Service i.e. the Indian
Forest Service, was created. The members of the All India Services, like the central services
are recruited and trained by the central government, but they are assigned to different states.
They serve the respective state government to which they are allotted and their service
conditions are also governed by the states, except that disciplinary action against them can
be taken only by the President of India in consultation with the Union Public Service
Commission. They also serve the central government on deputation ind after a fixed tenure,
they are expected to return to their respective states.
In 1951, All India Services Act was passed. By virtue of powers con~erredby sub-section.
(1) of Section (3) of this Act, the central government framed new set of rules and
regulations pertaining to the All-India Services, as the old rules at certain places had become
redundant.
Central Services
These services are under the control of the Union Government and are responsible for the
administration of central subjects. These include, Indian Foreign Service, Indian Audit &
Accounts Service, Indian Postal Service etc.
State Services
These are services exclusively under the jurisdiction of the state govemments and primarily
administer the state subjects. However 33 per cent of posts in the All-India Service are /
filled by promotion from the state services.
This three-fold classification of services reflects the Constitutional pattern of division of

subjects into Union, State and Concurrent. Also this is a unique feature of our federal
system.
Recommendations of Administrative Reforms Commission on Civil Services

As a sequel to the forming of the Department of Administrative Reforms in 1964,
Administrative Reforms Commission (ARC) was set up in 1966. Its objective was to focus
on "the need for ensuring highest standards of efficiency and integrity in the public services
and for making public administratiod a fit instrument for carrying out\,thesocial economic
goals of development as also one which is responsive to the people". ' h e twenty reports of
the Commission containing in all 58 1 recommendations constituted landmark efforts at
- adapting the administrative system or procedure to the demands of developmental
functions or tasks;
- improving efficiency, effecting economy and raising administrative standards;
- maintaining a balance between the demands of the present and needs of the future, as
well as between innovativechange and administrative stability;
- promoting responsiveness of the administration to the people.
The Commission, aided and advised by three study teams, made fervent plea for
professionalism and specialism in the civil services. It made recommendations for
systematic planning for cadre management in civil services, new systems of perfokance
appraisal and promotion, Civil Service Tribunals, training etc. One of the important
recommendations, which was expected to make a profound impact on the human resource
management system in the central government related to the setting up of a central personnel
agency in the form of a separate Department of Personnel functioning directly under the
Prime Minister. This structural reorganisation was expected to systematise and rationalise
the management of human resources from a central point with a uniform directional focus.
There is a detailed discussion on the evolution, functions and role of Department of
Personnel in Unit 10 of Block 3 of this course.
a

1) What were the important features of the Indian Civil Service Act, f861?
) Discuss the measures taken by the British Government to gi& effect to the
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of Aitchison Commission. https://t.me/Upsc_Zone_Official
3) Descri-le the major recommendations of the Lee Commission on superior civil services.
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LET US SUM UP
Civil Services, though, not in an organised form, have existed since ancient times. This unit
discussed the civil services during the ancient and medieval times. Later, with the advent of
East India Company, the civil service constituted a group of men known as factors who
carried on its trade. Graduuy, with the change in emphasis of functions of the company
from trade to administration, the civil service also started assuming administrative functions.
There is a discussion on variow changes brought about in the civil service from 1765-1853
through various Acts. In 1853, recruitment to the civil service on the basis of patronage was
replaced by open competition. We also read about the developments in the civil service,
since 1858, when the Indian administration came directly under the Crown. We pointed out
that in order to meet the growing demand of Indians to secure employment in the civil
service, the British government appointed various Commissions. Though certain changes
were brought about, these were considered,inadequate by the Indi-ns. This unit highlighted
the significant changes brought about in the civil services under the Government of India
Acts, 1919 and 1935. It also discussed the constitution of civil services in the post-
Independence period.
KEY WORDS
Ecclesiastical Department :Department dealing with matters relating to the Church.
Grant of Diwani :In 1765, the Company secured the right to collect taxes in Bengal, Bihar
and Orissa.
Patronage :The practice of making appointments to the Company's office through favour.
Provincial Autonomy :Under the Government of India Act, 1935, the provinces were
given a separate legal status, specified subjects were allotted to it and a federal relationship
with the centre was established.
Queen Victoria's Proclamation :It was declaration of 1858, which expressed the Queen's
intention to administer the Government of India for the benefit of all her subjects i.e. all
those under her authority and control resident therein and declared that "In their prosperity
will be our strength, in their contentment our security"
Reserved and Transferred Subjects :The Government of India Act, 1919 introduced a
two-level government at the provincial level under which the subjects were divided into
reserved and transferred. The transferred subjects were placed under the control of the newly
elected ministers who were responsible to the provincial legislature. The reserved subjects
remained under the control of Governor-in-Council.
Statutory Civil Service :A new scheme created in 1879, provided for the constitution of
Statutory Civil Service. It provided that a proportion not exceeding one-fifth of the persons
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Civil Service should be Indians nominated
hv l n r g l onvommentc
Statutory Natives of India :This comprised Indians and members of the domiciled Development d public &rvicea
in India
community i.e. those who were residing in India formerly called Eurasians and now known
as Anglo-Indians.

Maheshwari, S.R.. 1970. Evolution of Indian Administration, Lakshrni Narain Aggarwal :
Agra.
Mathur, P.N., 1977. The Civil Service of India (1731-1894),D.K. Publishers : New Delhi.
Misra, B.B., 1977. The Bureaucracy in India-An Historical Analysis of Development upto
1947, Oxford University Press :New Delhi.
Misra, B.B., 1970. The Administrative History of lndia (1834-1947)-General
Administration, Oxford University Press : New Delhi.
O'Malley, L.S.S., 1965, The Indian Civil Service 1601-1930, Frank Case & Co. Ltd. :
London.
Puri, B.N., 1980. Some Aspects of the Evolution of Indian Administration, IIPA : New Delhi.
Singh, Chandra has, 1989. The Civil Services in lndia (1858-1947)(A Historical Study),
Atmaram & Sons Delhi.
Sinha, V.M., 1986. Personnel Administration-Concepts and Comparative Perspective,
R.B.S.A. Publishers : Jaipur.
Shukla, J.D., 1982. Indianisation of All India Services, Allied Publishers Pvt. Ltd. :New
Delhi.

EXERCISES
Formation of Covenanted Civil Service in the initial stages, which consisted of a
group of men who carried on the trade of the East India Company.
These youngmen known as factors were incharge of trading stations and had some
knowledge of Eastern trade.
Establishment of a system of regular: gradation of posts from apprentice to senior
merchants in 1675.
Distinction made between the civil and commercial functions of the company
resulted in separate personnel classification.
The commercial transactions of the company were to be kept separate from revenue
and judicial administration.
Prohibited private trading by all those civil servants who were responsible for
collection of revenue or administration of justice.
Private trading was allowed to those engaged in commercial transactions.
Features of the Macaulay Committee recommendations are :
Laid down age limits for candidates seeking admission to the college of
Maileybury.
Selection of candidates on the basis of a competitive examination.
Emphasised on general education of the candidates which precedes special
education or training in any skill.
Examination was to be conducted in order to ensure selection of candidates with
thorough and not superficial knowledge.
The important features of the Indian Civil Service Act, 1861 are :
Reserved certain principal posts to be filled by the members of the covenantedhttps://t.me/Upsc_Zone_Official
civil
Civil Services in India service and all these were listed in a separate schedule.
Laid down residence for at least seven years in India as a prerequisite for
appointment of any Indian or European to offices specified in the schedule. -
All appointments were to be reported to the Secretary of State for approval.
Abolition of the Statutory Civil Service.
Categorisation of the civil services of the countq into Imperial, provincial and
subordinate.
The designation covenanted civil service was done away with.
Inclusion of superior posts in the Imperial civil service, the appointments to which
were to be made by the Secretary for State in Council.
The provincial civil service was to be named after the province to which it
belonged.
The important recommendations of the Lee Commission are :
Three-fold classification of services into All India, central and provincial.
Recruitment to the services operating in the transferred fields, to be made by the
concerned local governments.
Twenty per cent of the superior posts to be filled by promotion from provincial
service.
Setting up of the Statutory Public Service Commission entrusted with functions of
recruitment to services and other quasi-judicial functions.

UNIT 8 CLASSIFICATION OF SERVICES

(CADRES)
Structure
Objectives
Introduction
Classification of Services-Meaning and hnportance
Bases of Classification
Advantages of Classification
Types of Classification
Classification of Services in India during the Re-Independence Period
Classification of Civil Services Since Independence
Critical Appraisal of the Existing Classification System
Recommendations of the Administrative Reforms Commission (ARC)
Recommendations of the I11 and IV Central Pay Commissions on Classification of
Services
Let Us Sum Up
Key Words
Some Useful Books
8.0 OBJECTIVES
After studying this unit you should be able to :
state the meaning, importance and bases of the classification of services
discuss the advantages and types of classification
explain the system of classification of services in India during the pre-Independence
period
describe the present system of classification of services
critically evaluate the existing classification system; and
shed light on the recommendations of the Administrative Reforms Commission and the
third and the fourth Central Pay Commissions on classification of services.
8.1 INTRODUCTION
India's Civil 'Services as existing today have evolved through different stages and phases
from mercantile to governmental, from colonialised (British) to the existing Indianised form.
m e structural aspects, organisational arrangements and the staffing patterns have all been
moulded to suit the specific requirements of the times and h e controlling authority. The
Government of India, in 1947, inherited an organisational structure of the services from the
British and retained its basic features without any radical or drastic innovations. The
classification of the services followed more or less the same philosophy, the same principle
and a similar pattern. In fact, Indian Independence in 1947 did not bring about any break in
the administrative system of the country; on the contrary, it formally institutionalised and
later constitutionalised the inheritance. The present system of the classification of services is
but marginally a varied form and version of what existed before 1947. It is, therefore,
worthwhile to have an understanding of the system as it evolved through various stages to
the present form.
This unit will explain the meaning, importance, basis and advantages of the classification
system. We will also discuss the pattern of classification of services during the pre-
Independence period and changes brought about in it on the basis of recommendations of the
various Commissions
Downloaded from:-and Acts. The present system of classification of services, its critical
Civil Servifes in I d & appraisal, the recommendations of the Administrative Commission, the I, I1 111 & IV Pay
Commissions have also been dealt with.
8.2 CLASSIFICATION OF SERVICES-MEANING AND

IMPORTANCE
In simple words, classification is the process of division of things or persons on the basis of
common characteristics. In personnel administration classification means grouping of
various positions on the basis of their duties and responsibilities. Positions having similar
duties and responsibilities are put together in one class. A class has been defined by Stahl as
"a group of positions sufficiently alike in their duties and responsibilities to justify common
treatment in various employment processes".
The importance of classification of services cannot be overemphasised. Classification brings

some orderliness into the system and makes for uniform treatment of all the people who are.
grouped together on certain criteria. It also makes possible justification of differential
privileges given to certain distinct categories. The duties, responsibilities, qualification
requirements, eligibility conditions, salary, status, even authority to be vested, all depend, to
a great extent, on the proper system of classification. Hence it has considerable functional
value and validity. According to Finer, "upon proper classification depends the efficiency of
recruitment, the possibility of creating a rational promotional system, and the equitable
treatment of people working in different departments".
Classification of services is important because it determines the operational jurisdiction of

the services and the nature of the responsibilities to be discharged as also the jobs to be
performed by the incumbents of different groups within the services. It facilitates
identification of various hierarchic layers and functional segments of the services at any
given time. Classification is an organisational tool of great importance, which, if
administered properly, can bring satisfaction to the functionaries. We will discuss in detail
the advantages of classification of services in Section 8.4.
BASES OF CLASSIFICATION
As said, earlier, classification is a process of grouping objects, alike in one or more
characteristics, in classes, taking into account several criteria for such classification. Hence
it is important for us to know the bases of such classification. Functional identity is one such
basis. Functions are determined on the basis of job-tasks, duties and responsibilities. When
jobs similar in nature are indexed, they form a group and there can be higher or lower
groups of broadly similar work units. The functionaries working on such jobs require certain
general or specific qualifications which are often related to the class of such jobs.
There can be many bases of classification like qualifications, duties and responsibilities.
From the administrative point of view, however, classification on the basis of duties and
responsibilities, nature and spheres of activities,job similarities etc., is appropriate and
useful. The duties and responsibilities assigned to a position determines its significance
rather than its qualifications and salary. A number of similar or identical positions, when put
together constitute a 'class'. The positions which are in one class have identical qualification
requirements and salary structure. In India, the classes are further grouped into broad
occupational groups called 'service' like All India Services, Central and State Services. We
follow the system of rank classification of services in India, about which we will read in
Section 8.5.'
8.4 ADVANTAGES OF CLASSIFICATION

Classification of service is no more regarded as an organisational necessity but as a
functional necessity. Its main justification has been not only in terms of the systematisation
of the services it offers but also in the wide and extensive support it provides to
management. In addition, classification provides for a major control mechanism and offers a
set of both realistic and accurate planning devices.
Facilitates Proper Division of Work Classification of Services (Cadres)

Classification system, as a tool of management, offers considerable assistance in developing
an administrative hierarchy and in making proper division of work. This makes it easy for
the management to organise its work and divide it properly amongst the various levels. Also,
the classification system sets out the necessary hierarchy and establishes the levels in it.
Removes Arbitrary Standards

The classification system, byinstitutionalising pay structure and other terms of service
based on certain objective criteria, can remove arbitrary standards. This makes it possible
for the management to remove personalised considerations in matters relating to civil.
services and to ensure fair treatment to employees. Such a system generates a substantial
feeling of security and justice in the minds of an average employee.
Promotes Employee Motivation

The classification system can be employed by the management for directing its operations
and for sustaining employee motivation and provide necessary incentives. A systematically
developed classification scheme makes it possible for the management to identify areas of
work, differentiate between employees according to the job they do and also to promote
employees who show potentialities for doing higher kind of duties, thereby giving
recognition to the deserving and meritorious personnel.
Ensures Effective Manpower Planning and Utilisation

An immediate assessment of the type and quantum of skills available within an organisation
is easily made, thereby locating the persons qualified in each category. It makes it easy to
control the intake of skills in proportion to the requirements and also to build up a personnel
inventory.
Lays Down Uniform Work Standards

The.classification system also makes it possible to devise uniform work standards for the
variouslevels which helps in enhancing the productivity of the existing personnel. It
prevents wastage of skills, by seeing that an employee is given tasks commensurate to his/
her skills. Exacting a minimum standard of work output is made possible and high priced
and scarce skills can thus be more effectively utilised.
Speeds up the Recruitment Process and Indicates Training Needs

Classification is also a planning device. In an organisation, once specifications for necessary
personnel and their qualifications are determined at various levels, it becomes easy to plan
for their supply. It becomes easy especially for the recruiting agency to prescribe standards
for application as well as for examination of the candidates. The recruiting agency is then in
a position to phase the recruitment programme, advertise for a group of similar jobs,
organise the schedule of recruitment by time-periods and even devise a speedy recruitment
process in a critical area.
Under a good classification system, the recruitment process will also quickly indicate the
training needs. In cases of dearth of personnel possessing any particular skills or requisite
qualifications, it indicates, to the concerned authority, the need for developing certain
related training programmes. Similarly, when employees from a certain level are being
promoted to higher level jobs, it becomes easy in identifying the type of training programme
that can prove heipful to these employees to meet the demands of the higher job.
Helps in Maintaining Uptodate Personnel Records

The classification system also makes it easy to maintain uptodate personnel records. Once
record-keeping is made a part of the system, indiGdual cases or that of a group are
amenablc to organised treatment. Easy availability of such records helps in knowing about
the size of the service, each of its levels, of its functional group as well as the rate of
turnover. All these are useful for management in handling many service problems, study
employment trends and patterns and plan its personnel policies and programmes.
$.5 TYPES OF CLASSIFICATION

Classification, being a process of grouping objects, alike in one or more characteristics into
classes, there can obviously be several criteria for such classification. But there are two well
known types of classification, one which was developed in the Britain and the other in the
Clvll Servlces in Indla United States. The basic distinction between the British and the US systems really lies in the
"position" versus "rank" concept in the civil services. Almost all over the world, the
government posts have been classified by these two well known methods. A brief mention
about this has already been made in Block 1. Let us now discuss these two types in detail.
Position Classification
The more sophisticated of the two types is the 'position' classification system. This is
prevalent in the USA. Position connotes a group of current duties and responsibilities
assigned by a competent authority requiring the full time or part time employment of one
person. It has been defined as the work consisting of the duties and responsibilities assigned
by competent authority for performance by an employee or an officer.
In position classification, a person's rank, salary etc., depends on the functions of the
position-the duties and responsibilities attzched to the job he/she performs. Here the duties
and responsibilities which are attached to the job are more important than the person
discharging those duties. In the view of Milton M Mandell "By classification is meant the
grouping of positions on the basis of similarity of duties and qualifications requirements".
The International Civil Service Advisory Board of the United Nations also endorsed this
view and states "It is the consensus of the organisations that the general level of duties and
responsibilities constitutes the only realistic basis for achieving a comparable classification
of posts".
In position classification, positions that are comparable are brought together into a common
group called 'class'. The 'class' or 'class of positions' is made up of positions which are
sufficiently similar in (a) kind of subject matter of work, (b) level of difficulty and
responsibility, (c) qualification requirements of the work, so as to enable similar treatment in
personnel and pay administration. So that is how a class is formed in position classification
system.
Now there is one more term known as 'grade' and let us understand what it is. A grade is
used to denote all classes of positions which (although different with respect to kind or
subject matter of work) are sufficiently similar as to (a) the level of difficulty and
responsibility and (b) the level of qualification for the job. (For example, civil engineer,
accountant, geologist etc.) Hence in a grade, all classes are brought together irrespective of
the occupation, but those which are of comparable levels of responsibility.
Under the position classification system, each position should be placed in its appropriate
class. Each class should be placed in its appropriate grade. Thus, we bring together positions-
' .
which are alike or very closely related into a class. positions which are in one class are
closely comparable in duties, responsibilities and needed qualifications, and can be dealt
with as a unit for personnel, budgetary and organisational p v o s e s . We bring together into
class-series all the classes which are in the same occupational group. Classes in a series form
a logical occupational pattern and define the hierarchy of responsibility for thzt occupational
group. We have one more logical grouping, that of grade. We bring together into a grade all
classes, regardless of occupation, which are. of comparable responsibility. Hence grades
form lo~icalgroups for the setting of pay scales.
Rank Classification
This type of classification is followed in Britain and India. This is the traditional way, in
which public servants are classified in a hierarchical order according to their rank, in a
sense, as in the case of the Army.
The classification of the British "Treasury Classes" to which the Indian Public Services is a
close parallel, is a good illustration of classification by rank system. Here the status and
salary of a person are determined with reference to the service he/she is assigned after
recruitment. For example, a person belonging to the Indian Administrative Service may
serve either in the Secretariat. or in the field or in any Corporation, but he/she would be
drawing the same salary and holding the sake status in each case.
Modem position classification does not accept the traditional notion that environmental
background and getteral educational attainment makes a person qualified enough to handle
any and every kind of job In the governmept. It is thus a science of administrative
specification and requires that specific ski~s'andknowledge be prescribed and accepted for
each 'level', 'post' or 'position' in the public service.
Position classification thus tries to classify public service on the basis of a uniform job- Clppgjfmtion d Services (Cadm)
language. In position classification, the main objective is to lay the foundation for equitable
treatment for the public service employees by the accurate definition, orderly arrangement,
and fair evaluation of positions of each employee in the public service. Whereas rank
classification is based on job-performance in respect of a cluster of functional positions by a
group of people, with diverse qualifications/experience/aptitude but of same or similar rank,
as in Army or India's cadre based services.

1) What do you understand by classification?Discuss the importance of classification of
services.
2) Explain any four advantages of the classification of services.
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3) What are the types of the classification of services? Discuss their features.
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8.6 CLASSIFICATION OF SERVICES IN INDIA DURING

THE PRE-INDEPENDENCE PERIOD
As a result of the British rule, the civil services in India came to be classified on the British
pattern. The system of classification of services during the British period also, underwent
various changes time and again. Let us now discuss briefly, the classification of services in
the pre-Independence period.
Classification of Services into Covenanted and Uncovenanted

Till nearly the end of the 19th century, superior services in India were manned almost
exclusively by Europeans, most of whom belonged to what was known as the "Covenanted
-
Services". The civil servants appointed in England for service in India had to subscribe to
covenants with the Company "by which they bound themselves not to trade, not to receive
presents, to subscribe for pensions and so forth". The Writers (about whom we have read in
Unit 7) had to sign certain agreements and conditions between the company and himself.
These were embodied in an accompanying document called 'Covenant' and hence the term
'Covenanted Civil Services', evolved.
The policy of the East India Company in the initial stages, particularly since 1781, was to
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England. The Charter
Civil Services in India Act of 1793 categorically laid down that all civil posts below the rank of a councillor should
be filled by covenanted civilians recruited in England. But the limited supply of covenanted
civilians could not meet the growing needs of the Company. Therefore, persons who did not
belong to the covenanted qivil service which comprised people from England, had to be
appointed to serve in subsdinate capacities, and they came to be known those belonging to
the "Uncovenanted Service" in contradistinction to the covenanted civilians. The
uncovenanted service comprised mostly Indians.
Slowly, the spread of western education in India, aided principally through the efforts of
Lord Macaulay, awakened in Indians lively expectations of being employed in the higher
offices reserved for the Coveiianted Civil Service. As we have read in Unit 7, the Charter
Act 1833, provided that no formal positive disqualifications were to be there in the
employment of Indians in any office. Later, the Charter Act of 1853, threw open all posts in
the Covenanted Civil Service to public competition. But difficulties arising from the conduct
of competitive examinations being held in England practically debarred Indians, save in a
very few cases, from availing themselves of the right to compete. Then the transfer of power
from the Company to the Crown through the Government of India Act, 1858 and the
Proclamation of Queen Victoria promising "free and impartial admission of Indians to
offices in Her Majesty's Service" brought new hopes to the people in the country.
Threefold Classification of Services as Recommended by Aitchison commission

In 1886, the Public Service Commission under the presidentship of Sir Charles Aitchison
(more widely known as Aitcbison Commission) was set up. It was to examine the system
under which 'natives of India' were admitted to the higher branches of the civil
administration i.e. Covenanted Civil Service either under the Government of India Act, 1858
or the Act of 1870. It recommended a three-tier system of classification of services:
i) the old Covenanted Service was to be designated "Imperial Civil Service of India"
recruitment to which was through conduct of a competitive examination in England.
'They were appointed by the Secretary of State for India.
ii) A local civil service in each province to be called the "Provincial Civil Service" was
recommended to be constituted consisting of all those offices not reserved for the
members of Covenznted Service. It proposed to remove the lower grade appointments
from this service and to add at its top a few highly paid posts normally reserved for the
members of the Covenanted Civil Service. Recruitment to this service was to be done in
each province under various methods adapted to local circumstances.
iii) The third tier was "Subordinate Civil Service" which was to be constituted by
transferring the lower grade posts from the uncovenanted service.
The orders of the Secretary of State on the Aitchison Commission report were embodied in a
resolution of the Government of India passed on 21st April 1892. The old scheme of
classification into covenanted and uncovenanted was done away with. The "Imperial Civil
Service of India" and the "Provincial Civil Service", designated after the ilame of the
province to which it belonged, came into existence. The Imperial Services and the
Provincial Services constituted the higher services and apart from Subordinate Services
there was another category of Inferior Services comprising clerks, typists, peons and
messengers. In the case of higher civil services, the classification was based not on any
rational formula of duties or functions, but on the basis of their recruitment.
In fact, the Royal Commission on Public Services in India known as Islington Commission
(1912-15) pohted out this anomaly and suggested a new classification, consisting of two
classes in the Services--€lass I and Class 11.
Changes brought about in the Classification of Services under the Government of

India Act, 1919
After the introduction of the Government of India Act, 1919, the Imperial Services or
superior services as they were called, came to be divided into two classes according to the
subjects administered, e.g., subjects which were under the direct management of the central
government in India and subjects which were primarily controlled by the provincial
governments. The former were classified as Central Services and the other class which
worked primarily under the provincial governments came to be known as the All India
Services, as these were recruited by the Secretary of State to work in any part of India.
Since the Government of India https://t.me/Upsc_Zone_Official
Act, 1919 introduced the system of dyarchy at the provincial
level, the departments of the provincial governments were divided into 'reserved' and Chisiftcation of Services (Cadres)
'transferred'. As a result, the services operating at the provincial level, came to be
differentiated into one sphere or the other. Those services which were assigned primarily in
the reserved sphere were the Indian Civil Service, the Indian Police, the Imgation Branch of
the Indian Service of Engineers (the whole cadre of this service in Assam, and except the
provinces of Burma and Bombay) and the Indian Forest Service. The recruitment and
, control of these services was the responsibility of the Secretary of State. The services which
were functioning in the transferred departments were the Indian Educational Service, the
Indian Agricultural Services, the Indian Service of Engineers (Roads & Buildings branch),
1
the Indian Forest Service (in Bombay & Burma) 2nd the civil side of the Indian Medical
Service.
It was decided to retain these services, not only in "reserved" areas but also in "transferred"
spheres, with the Secretary of State in Council continuing to recruit and control them. The
basic conditions of service of all these services were framed, determined and guaranteed by
Secretary of State and in effect, they were the Secretary of State Services, with the right of
deployment vested ultimately in the superior authority in London.
Following the Government of India Act. 1919, changes were made in the service structure.
The superior or Imperial Services were separated into All-India Services and rhe Central
Services-usage that has continued to this date. The Civil Services (Classification, Control
and Appeal) Rules made in 1930 indicated that the public services in India were categorised
into (i) the All India Services, (ii) the Central Services, Class I, (iii) the Central services,
Class 11, (iv) the Provincial Services, (v) the Specialist Services, and (vi) the Subordinate
Services. Of these, the Provincial Services came under the jurisdiction of the provincial
governments. The specialist services covered some of the technical fields like engineering.
The Central Services were divided into (i) Class I, (ii) Class 11, (iii) Subordinate Services,
and (iv) Inferior Services.
The main distinction then between the Class I and Class I1 Services was that for the fonner,
all first appointments were made by the Governor-General in Council while for Class I1
positions, a lower authority was empowered to make the appointments. Class I and Class I1
officers generally enjoyed the "gazetted" status, while the 'subordinate' and the 'inferior'
officers had no such status symbol. The Subordinate Services consisted of posts carrying
ministerial, executive, or outdoor duties and the inferior services those posts of peons or
messengers, whose maximum pay at that time did not exceed Rs. 301- per month.
Recommendations of the First Central Pay Commission

The important step in the direction of classification of services came in 1946, when the first
Central Pay Commission reviewed the matter. It took exception to the description of the
services as "subordinate" and "inferior" on the ground of its being derogatory and
recommended its substitution by a numerical calling. It recommended that these two
services be called Class I11 and IV respectively. The technical services were also drawn into
the classification so that no separate class of technical services is hereafter made.
Accordingly the fourfold classification of services into I, 11,111 & IV was adopted by the
Government.
8.7 CLASSIFICATION OF CIVIL SERVICES SINCE

INDEPENDENCE
Civil Services, after Independence, have been categorised into three types-All India
Services (common to both Centre & States), Central Services (for purely Central subjects)
and State Services (for administration of subjects under State jurisdiction). The All-India
Services, like the Central Services, are recruited and trained by the Central Government, but,
for work, they are assigned to different States. They serve state governments and their
service conditions are also governed by states, except that the disciplinary action against
them can only be taken by the President of India in consultation with the UPSC. Frequently,
they also serve the central government on deputation, and after a fixed tenure they are
expected to return to their respective states. The rules and regulations governing the new
services are framed in consultation with state governments and the Union Public Service
Commission (UPSC), ih accordance with All-India Services Act, 1951. Art. 3 12 of the
Constitution of India
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from:- the 'formation of Indian Administrative https://t.me/Upsc_Zone_Official
https://t.me/Pdf4Exams Service
Civil Services in lndb (IAS) and Indian Police Service (IPS)'. This was done on the eve of Independence as a
result of the decision taken in Premiers' Conference in 1946. Later, Indian Forest Service
was also included as the third All India Service.
Central Services
a) The Civil Services of the Union are classified into four categories as follows:
i) Central Services Class I: This category has services like Indian Foreign Service,
Central Health Service, Railway Service, Central Secretariat Service etc.
ii) Central Services Class 11: This includes services like Central Secretariat
Stenographer Service Grade I, Telegraph Engineering Service, Telegraph Traffic
Service etc.
iii) Central Services Class 111: This comprises services like Central Secretariat Clerical
Service, Post and Telegraph Accounts Service etc.
iv) Central Services Class IV: This category consists of peons, sweepers, gardeners
etc.
b) General Central Service.
Central civil posts of any class not included in any other Central Civil Service are deemed to
be included in the General Central Service of the corresponding class and a government
servant appointed to any such post is deemed to be a member of that service unless helshe is
already a member of any other central civil service of the same class.
State Civil Services

These are services exclusively under the jurisdiction of the state government, and primarily
administer the state subjects. However, in recent years, 33-113% of posts in the All-India
Services are filled by promotion from the State Civil Services and 15% of these 33-113%
quota from other State Services.
This triple scheme of services viz., All-India, Central and State, somewhat reflects the
constitutional pattern of concurrent'subjects, union subjects and state subjects. This is a
unique feature of the federal system in India which is not found elsewhere.
8.8 CRITICAL APPRAISAL OF THE EXISTING

CLASSIFICATION SYSTEM
The classification system of the services in India has been criticised on many grounds-
As the Second Pay Commission Report puts it, "the lines of division n m horizontally across
the service, resulting in a grouping of services and posts on a non-departmental and non-
occupational basis". There may be several grades in one class, which may be indicative of
the salary and hierarchy in the services, but not of functions or occupation
The designation of the officer in India does not indicate anything beyond hisher position in
the hierarchy of officials from top management to the lowest rung of the ladder. For
example, the Class I services in India have thc lollowing hierarchy-Secretary, Special or
Additional Secretary, Joint Secretary (the top executives, correspsilding lo the
Administrative class of the British Civil Services). The middle management (corresponding
to the Executive class in the British Civil Service) consists of the two levels viz. Deputy
Secretary and Under Secretary. Corresponding to the "Clerical Officers" class of the British
Civil Service, there is in India, the position of "Section Officer" or a "Superintendent",
which is a class II post with "Gazetted" status. Below this level, the posts of Assistant
belong to Class I1 without the "Gazetted" status. The upper division clerks, lower division
clerks, typists and the like positions are grouped in Class ILI. Both these groups correspond
roughly to the Clerical Assistant Class of the British Civil Service. The Class IV staff
comprises "peons" and "messengers" and other employees performing "house-keeping
functions". Designations in Class I category do not indicate the nature of work done by the
incumbent. The title of section officer in Class 11 only shows that the incumbent is a first
line supekisor, while generally, the titles below these levels do indicate the nature of work
of an incumbent.
This is precisely because of the fact that the civil services in India are organised on the
Downloaded from:- "generalist" principle rather than on the "specialist"
https://t.me/Pdf4Exams principle. But, at present the services,
particularly at the higher levels, are categorised into generalist, functional and technical CIassification of Services (Cadres)
services. The IAS, the LPS, the IFS, and the Central Secretariat Service may fall into the first
category. The functional services include the Indian Revenue Service, the Indian Customs
Service, the Defence Accounts Service and the like. The technical services include Central
Engineering Service, Telegraph Engineering Service, etc. Unlike the practice in the US,
there are no specific qualifications needed for entry to the first two categories e.g., I -
generalist and functional. In India, training in functional subjects in the second category of
posts is given only after the initial recruitment, and there is no rigid professionalisation, as in
the US.
The other differences between the Class I and other services are: (a) while all the first
appointments to Class I posts are made by the President, the lower authorities have been
delegated powers to make such appointments in other cases: (b) all posts in Class I, and the
bulk of the posts in Class 11, are "gazetted" but others are not; (c) The President is the
disciplinary authority for the Class I, and the appellate authority for Class 11; the disciplinary
and appellate authorities for Class 111 and IV are mostly heads of depamnents or officers
working under them; and (d) while direct recruib-nenr to all Class I and Class I1 services1
posts is made in consultation with the UPSC, there is no such general rule in regard to Class
111 and Class IV services.
The Indian Classification System has been criticised on many grounds. In 1959, the
employees' organisations represented to the Second Pay Commission that the existing
system of classification should be abolished on the grounds that it promoted "class
consciousness" and constituted a sort of caste system "which may statisfy some vanities, but
serves no public purpose". The Pay Commission, while agreeing with this view, noted:
Other countries, including those with a large and complex civil service organisation,
have apparently, not found it necessary to superimpose upon their civil service grades
and occupational groups a broad horizontal classification like ours, and we do not
think that any serious inconvenience will be caused to the administration in India if
the classification under consideration is given up. We, therefore, recommend the
abolition of the present classification.
In spite of this specific recommendation, however, the classification of services in India

continues to be on the same pattern. Recently, another suggestion about the regrouping of
Central Services into a "unified" civil service was made on the grounds that it will eliminate
narrow departmental prejudices, and will providethe central administration with a body of
people trained in the work actually handled in the concerned departments and agencies.
However, as a senior civil servant in India has pointed out that in view of the fact that the
Central, State, and All-India Services more or less reflect the constitutional pattern of union,
state and concurrent spheres of administrative power, it is not, therefore, possible to have a
unified civil service co-terminus with the dimensions of the entire country.
Within the union and the state fields, separately the possibility of a unified service could,
perhaps, be considered, particularly in respect of non-technical services as distinguished
from scientific and technical services. Moreover, because of the need of growing
professionalisation in the services, it will not be in the interest of efficient administration to
constitute a "unified" civil service for the Union Government. This is quite a controversial
issue and in view of the repeated advice by the Administrative Reforms Commission for .
such a reform, the issue was examined at length at a later stage, but nd decision was taken
officially.
The classification system in India suffers from some other defects. Firstly, the numerical ..
calling in the classification i.e. Class I, 11,111 IV is only a matter of convenience: as there
&I
is a constant overlapping of pay criteria in services and posts between two different classes.
Secondly, the system has never been designed nor intended either for orderly grouping of
the services or as a tool of managing the personnel. And thirdly, the different provisions of
pay and other benefits of service necessitate the maintaining of a large staff to check and
calculate those benefits. Thus there is ample justification for the system to be revised under
a plan of classification for the entire personnel of the government.

Civil Services in India
REFORMS COMMISSION (ARC)

The issue of evolving a rational classification system of services has been examined by the
Administrative Reforms Commission, and the third and fourth Central Pay Commissions
about which we will read in the next section.
The extent of variations in some of the pay scales for jobs of similar and'comparable duties
and responsibilities both at the centre and in the states, and of the disparities in the pay
scales obtaining between one state and another state for the same or similar positions has
been a serious disturbing factor in administration. As the Administrative Reforms
Commission observed, "this is one of the major factor for strikes, agitations, inter-service
tensions and rivalries, indifferent attitude to work, poor performance; frustration and low
morale of the employees. Jobs similar in nature and with comparable difficulties, duties and
responsibilities should, therefore, carry the same scales not only in the central government
but also between the Centre and the States....".
There are many examples where certain jobs have been overvalued and certain others
carrying heavier responsibilities have been undervalued e.g. qualified engineers in the
Government of India doing only file work, of medical personnel joining lower positions at
the headquarters, qualified educationists occupying a position in a Ministry requiring just an
average competence, of agricultural scientists being attracted to headquarters organisations
6
f r doing routine paper work, leaving important field positions. Similarly, the private
s cretaries of ministers are in the grade of Deputy Secretaries and occasionally even Joint
Secretaries. There are similar anonialieb even in the lower posts. The existing pay structure
introduces differences based np the Service origin of the person holding the post. Secretariat
posts generally carry a higher pay in comparison with field posts. The pattern which prevails
today does not take into account the rapid changes which have taken place in the nature of
work that is done by the civil services.
The ARC pointed out some of the defects in the classificatory grading structure, which are
as follows:
i) In the absence of a careful evaluation of the work-content of j<?bsat certain levels and
the matching of scales of pay thereto, the healthy principle of equal pay for equal work
cannot be implemented. Failure to adopt this principle has an adverse effect on the
morale of the personnel, and also adds to the cost of administration.
ii) The absence of a rational pay structure which could take into account distinct levels of
work and responsibility makes it difficult to put through a programme of career
development based on the discovery and development of talent and a planned
deployment thereof.
iii) The existence of a multiplicity of scales of pay for different groups neither makes for a
rational system of remuneration related to work content nor does it facilitate the
selection of personnel from different Services for higher positions.
The posts in the civil service should be grouped into categories so that all those which call
for similar qualifications and involve similar difficulties and responsibilities fall in the same
category. The same pay scale should be applied to all posts in the same category.
The task of grading is burdensome, but should not be an impossible one. All these posts
could be evaluated and assigned to common pay scales, each representing a grade. These
grades may be divided into three levels, namely, junior, middle and the senior. The progress
of an officer of an established service among the grades within each level should, of course,
be on the basis of proved performance.
ARC recommended that
1) The posts in the civil service should be grouped into grades so that all those which call
for similar qualifications and similar difficulties and responsibilities are grouped in the
same grade. The number of such grades may be between 20 and 25.
2) All the Class I posts may be evaluated and assigned to, say, nine common pay scales.
These nine grades or pay scales may be divided into three levels, namely, junior, middle
and senior. The progress of an officer of an established Class I Service among the
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from the junior to the middle level and from the middle to the senior level should be by Classincation of S e d (Cndm)
selection.
3) The Department of Personnel should undertake, urgently, a detailed study for the
purpose of determining the grades as well as the posts to which they should be attached.
The Commission was of the view that after all the Class I posts under the centre and those to
be manned by the All-India Services in the states have been evaluated and allotted to the
various grades, other posts at the centre as well as in the states be taken up for examination
and the entire civil service be brought into a framework of 20 to 25 grades.
The advantages of such a unified grading structure are:
a) an automatic upward movement in a time scale will be checked;
b) each officer will have to display positive merit to deserve promotion from one grade to
the next;
c) a more conscious assessment of each officer's work will become a practical necessity
with concommitant benefits;
d) it will provide sufficient scope for genuine merit to earn accelerated promotion and it
will enable government to stop comparatively mediocre officers at a stage where their
unmerited progress should be arrested;
e) the existence of identical grade in the different services will facilitate mobility;
f) the replacement of distinctive pay scales which now apply to different services by a
unified system will help in curing the psychological complexes which such pay scales
are, at present, bringing in their wake; and
g) it will make it unnecessary to provide, save in rare cases, special pays to Secretariat
posts.
With the pace at which the number as well as the variety of jobs in the civil service are
increasing. the task of getting the best person for each job will be greatly facilitated by a
unified grading structure.
8.10 RECOMMENDATIONS OF THE I11 & IV CENTRAL

PAY COMMISSIONS
In the civil service under the central government, the pay range within which the scale of
pay of a post falls normally determines its classification. Several exceptions have been made
to these general criteria and certain categories, which on the basis of their pay range, though
they qualify for the lower class, have been placed in the next higher class.
The division of the civil service into four classes was adopted on the recommendations of
the First Pay Commission. As said earlier, a number of employee associations had urged
before the Second Pay Commission, that this scheme of classification promoted "class
consciousness" within the service and should therefore, be done away with. The
Commission came to the conclusion that the existing classification served no practical
purpose and, on the other hand, it had an unhealthy psychological effect. The Commission
recommended that the classification should be given up and the amendments that would be
necessary in respect of the Central Civil Service (Classification, Control and Appeal) Rules
of 1957 and of certain other rules and orders should be carried out.
The government, however, could not accept this recommendation since it was found that the
existing classification was convenient for personnel management purposes. A proposal to
replace the existing nomenclature of Class I, Class 11, Class 111 and Class IV by Group A,
Group B, Group C and Group D also seems to have been considered since the word 'Class'
might hurt the susceptibilitiesof some sections of the employees. This proposal was also not
accepted since it was felt that a mere change in the name was of no practical value.
The Third Pay Commission, however, felt that, some kind of a classification for purpose of
personnel administration was necessary. This classification should take into account
equivalence of the work content at the different levels of various occupational groups to
rationalise pay ranges. The present system of classification is fairly well known, and the
employees have become accustomed to it. It has the advantage that orders can be issued, or
the existing orders amended, by referring to the particular classes covered. The Pay
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suggested https://t.me/Upsc_Zone_Official
that the term 'Class' be avoided, so as to create a healthy
. * . --. - . --- .-- - .- . . . - -
Civll Wlees in India the government itself seems to have contemplated at one time. In other words, it may be
feasible to redesignate the existing Classes I, 11, I1 and IV as Groups A, B, C and D. In
conformity with the revised pay structure, the pay ranges applicable to each of these groups
should, according to the Third Pay Commission, be the following:
Pay or maximum of the scale of the post Grouping

Not less than Rs. 1300 (950)
Not less than Rs. 900 (575) but less than Rs. 1300 (950)
Over Rs. 280 (1 10) but less than Rs. 900 (575)
Rs. 280 (1 10) or less
(Note:The figures in brackets are those of the Second Pay Commission's monetary minimum and maximum for
the purpose of classification of services posts into classes I, 11,111 & IV.The terminology, Group, in place of
Class, came with the Third Pay Commission.)
Like the Third Pay Commission, the Fourth Pay Commission also had an occasion to go into
the question of classification of services and posts. While noting that the staff side of the
National Council (JCM) had suggested discontinuance of classification of employees under
different groups, the Commission was of the opinion that classification made it possible for
government to examine and decide matters of common interest to the group or groups
concerned. It played vital role in disciplinary matters also, besides being by now a well
understood system. The'Fourth Pay Commission recommended groupwise classification as
follows:
Pay or maximum of the scale of the post Grouping

Not less, than Rs. 40001- Group A
Not less than Rs. 29001- but less than Rs. 40001- Group I3
Over Rs. 15001- but less than Rs. 29001- Group C
Rs. 1150 or less Group D
This scheme of classification has been accepted by the Government.

2) Chmk Your answers with those given at the end of the unit.
1) Discuss in brief the pattern of classification of services during the British period.
2) Critically evaluate the present system of classification.
3) Discuss the recommendations of the 111 and IV Central Pay Commissions on the
classification of services.
8.11 -LET US SUM UP

characteristics. In personnel administration, classification of services means grouping of Clnsaillatlon of Services (Cadres)
various positions on the basis of duties and responsibilities. We have discussed in this unit
the meaning, importance, bases and advantages of classification af services. There are two
major types of classification i.e. Position and Rank Classification, the former prevailing in
the the USA and the latter in the UK and India. The classification of civil services in India
has been influenced very much by the British pattern. The unit has discussed the
classification of services during the pre-Indepe~isnceperiod. In the initial stages they were
classified into Covenanted and Non-covenanted Services. Later changes were brought about
on the basis of Aitchison Commission's recommendations, by the Government of India Act,
1919. We have discussed the classification of services after Independence, and also critically
evaluated the existing system. The unit highlighted the views of the Administrative Reforms
Commission and the changes brought about in the systeml&fclassification of services on the
basis of the recommendations of the Third and Fourth Central Pay Commissions.
8.12 KEY WORDS

First Pay Commission: This Commission was appointed in 1946, under the chairmanship
of ~ rSrinivasa
i Varadachariar to enquire into and report on the conditions of service of the
Classes I, I1 and Subordinate Central Services. The terms of reference of the Commission
included consideration of the structure of pay scales and standards of remuneration, the
leave rules and retirement benefits.
Fourth Pay Commission: This was set up by the Government of India in July 1983 under
the chairmanship of Justice P.N. Singhal. It was constitpted with the objective of examining
the then existing structure of emoluments and conditions of service as well as other benefits
available to all central government employees, personnel belonging to All-India Services,
emfloyees of union territories and armed forces. It was assigned the task of suggesting
changes that may be desirable and feasible.
Gazetted Status :A gove-ent employee having gan$ted status is one whose
appointment, transfer, promotion, retirement etc., are announced in the official gazette in a
bfi
notification issued order of the Governor. A gazette@officer holds charge of an office
and hisher duties are of a supervisory nature.
Manpower Planning: It is the process of developing and determining objectives, policies
and programmes that will develop, utilise and distribute personnel or human resources in an
organisation so as to achieve economic and other goals.
Second Pay Commission: The Commission of Enquiry on emoluments andconditions of
service of central government employees (1957-59) also known as the Second Pay
Commission was appointed by the central government on 21 August, 1957. It was set up to
examine the principles which should govern the structure of emoluments and conditions of
service of central government employees.
Third Pay Commission: It was set up by the Government of India in 1970 under the
chairmanship of Shri Raghubir Dayal. It was to give consideration to the principles which
should govern the structure of emoluments and conditions of service of central government
employees and to formulate measures which should be taken to change the structure of
emoluments and service conditions.
Unified Grading Structure: This is a system where all posts in the civil service would be
grouped into categories so that all those which require similar qualifications and involve
similar difficulties and responsibilities fall in the same category. All the civil service posts
after evaluation are assigned to certain common pay scales, each representing a grade. These
grades may be divided into levels like junior, middle and senior. The progress of an officer
of an established service among the grades, within each level is to be on the basis of proved
performance.
8.13 SOME USEFUL BOOKS - - -
Goel S.L. 1984. Public Personnel Administration, Sterling Publishers: New Delhi.
Downloaded
.. . . . from:-
Jain, R.B. (Ed), 1983.
.. - ...
Public
- 7
Services in a Democratic Context, Indian https://t.me/Upsc_Zone_Official
Institute of Public
Jain, R.B. (Ed), 1976. ContemporaryIssues in Indian Administration, Vishal Publications:

New Delhi.
M s m , B.B. 1970. The Administrative History of India, Oxford University Press: London.
Panandikar Pai, V.A. 1966. Personnel System for Development Administration,Popular
' Prakashan: Bombay.
Sinha, V.M. 1986. Personnel Administratior+Concepts and Comparative Perspective,

R.B.S.A. Publishers: Jaipur.
Stahl, 0. Glenn, 1976, Public Personnel Administration (7th edition),Harper and Row: New
Yo*.

EXERCISES
Classification is the grouping of various positions having similar duties and
responsibilities in one class. Classification of services is important because it
brings some orderliness into the system and ensures uniform treatment to those
who are grouped together on certain criteria;
determines the duties, responsibilities, qualification requirements, salary structure,
authority to be vested etc.
determines the operational jurisdiction of the services; and the nature of the
responsibility to be discharged.
2) Your answer should include any four of the following points:
Facilitates proper division of work
Removes arbitrary standards
Promotes employee motivation
Ensures effective manpower planning and utilisation
Lays down uniform work standards
Speeds up the recruitment process and indicates training needs
Helps in maintaining uptodate personnel records.
Two types of classification of services
a) Position Classification
b) Rank Classification
Position classification is prevalent in the USA. In this system, positions which
are comparable in respect of their functions, duties and responsibilities are
brought together into a class. Hence class'consists of those positions which are
similar in relation to the subject matter of work, level of difficulty and
responsibility and qualification requirements.
The rank classification system prevails in the Britain and India. Here the
employees are classified in a hierarchical order and the salary and status of a
person is determined with reference to the service one is assigned after
recruitment.
Classification of services into covenanted and non-covenanted services.
Threefold classification of services into Imperial, Provincial and Subordinate
Services.
Changes brought about in the classification of services under the Government of
India Act, 1919.
The designation of the officers in India based on rank classification system does not
indicate anything about the functions, duties'and responsibilities. All it indicates is
hisher position in the hierarchy of officials.
. .* The numerical calling in the classification is only a matter of convenience, as there
The system has not been designed either to bring about orderly grouping of services C~~ (M)
ofS m k a ~
or as a tool of managing the personnel.
The Third Central Pay Commission felt that a scheme of classification based on the
work content at different levels of the various occupational groups, and hence of
pay ranges, is necessary.
The term 'class' also has to be avoided so as to create a healthy psychological
climate.
The existing classes of I, 11, I11 and IV are to be redesignated as A, B, C and D
based on certain pay ranges.
The Fourth Pay Commission endorsed the group-wise classification of services and
brought about certain changes in the scale of the posts falling in these grpups.

UNIT 9 GENERALISTS AND SPECIALISTS
Structure
Objectives
Introduction
Generalists-Meaning
Role of Generalists
Specialists-Meaning
Role of Specialists
Controversy between the Generalists and Specialists in India
Evolving a Suitable Way Out
Conclusion
Let Us Sum Up
Key Words
Some Useful Books
9.0 OBJECTIVES
explain the beaning of generalists
discuss the' role of generalists in administration
comment'on their role in administration
highlight the controversy between the generalists and specialists; and
suggest suitable ways of resolving the controversy.
9.1 INTRODUCTION
The generalists and specialists are two broad functional categories in the government. They
play a very important role in rendering advice to the political executives, policy making-and
in implementation of policies. The present day administration has become more specialised
in nature and hence requires different types of personnel with necessary skills, knowledge
and qualities to discharge its functions. The controversy between these two groups of
functionaries, both of whom are necessary in modem organisations, is however age old, and
still one of the fiercely fought-out issues of Public Administration. As early as in 1958,
James Fesler recorded the revival of the controversy in England. After a decade, in 1968, the
Fulton Report on Civil Services opened the issue afresh and provoked debate. In India,
following the tradition of the of Indian Civil Service (ICS) from the days of British, the
supremacy of the generalists was more or less accepted initially and not very seriously
challenged. The Indian Administrative Service (IAS), the successor of the ICS, gained in
importance with iis personnel generally occupying the top posts both in the central as well
as the state governments besides the positions of heads of various departments. But this
predominance of the generalists in administration led to discontent which has gained
momentum in recezt years.
In this unit, we will discuss the meaning, functions and the role of generalists and specialists
in admipistration so that their claims and counter claims, leading to the controversy could be
undmfood in a proper perspective.
Before we discuss the role of generalists in administration, let us first know the meaning
of the term 'generalist'. According to Leonard White "general administration is understood
to mean those duties which are concerned with the formulation of policy; with the
coordination and improvement of government machinery and with general management and
control of the departments". Thus a generalist administrator is concerned with all types of
administrative process indicated by the word POSDCORB i.e. planning, organising,
staffing, directing, coordinating, reporting and budgeting
The generalists secure their entry in administration on the basis of their having obtained a
university degree, irrespective of the subjects in it. Their having attained a certain level of
education indicates the essential minimum extent of intellectual and mental development.
Also the posting of a generalist civil servant in any department of the government has
nothing to do with hisher education or any administrative experience. For example, a
generalist entrant with commerce background can be posted in irrigation department.
In a purely negative sense, a generalist is a person who is not an expert or a scientist. But in
a positive sense, the notion of a generalist is applicable to a person who is called a
professional administrator, if administration is to be regarded as a field and a profession, as
that of law, engineering or medicine. In hisher professional capacity a generalist possesses
the skills and techniques of a manager and a kind of politician. As a manager, generalist is
entrusted with the responsibility of getting things done; and as a "politician", helshe is
responsible for interpreting the public opinion in the context of the complex social,
economic and even political problems of the state.
There are various meanings attached to the term 'generalist'. In one strand of thought,
particularly the British, generalist means an amateur administrator who has had education in
linguistics or classics with a "liberal education augmented by certain personal qualities of
character, poise and leadership, good intuitive judgment, right feelings, and a broad
background rather than narrowly specialised knowledge and skills".
The second usage, very close to what the Second Hoover Commission of USA meant by a
Senior Civil Service, identifies generalist as a "rank-in-man corps" (about which we will
discuss in detail in Unit 13 of Block 3 of this Course) of highly experienced administrative
specialists or career executives who are available for flexible assignments and capable of
furnishing essential administrative advice and necessary policy support.
There is yet another school of thought which considers a person as a generalist who is
known by the proportion of administrative work actually performed compared with hisher
specialist duties. According to this school, a specialist can turn out to be a generalist, when
helshe performs managerial or administrative duties, either in the higher hierarchies of his/
her own functional field or outside hisher specific discipline.
A related and fourth usage refers to a person as a generalist who combines both high
competence in professional or administrative skills with training in the area heishe
administers. These are considered to be 'super bureaucrats' who can take a large and long-
range view and are not limited by a narrow picture of their substantive specialisation.
A generalist, has, however, been traditionally defined as one who possesses no specialist or
technical qhali~atiohin the sense of having earlier gone through a specific vocational or
professional course. But lately,even persons belonging to techno-professional disciplines
such as engineering, rnedi~ine,~a~ricultur~tc., are gaining entry to the generalist fold, the
assumption being that there need be no correlation between the susbstance of their specific
knowledge and the dischatge of their generalist duties, howsoever specialised some of these
assignments may be. In a ?orggd~sation,
~ be i t a govemment department or a public
enterprise or any other administrative institution, as one moves up in the hierarchy, the
functions becomcfnore and more generalist in nature. The generalist functions of policy
making and direction assume importance. These functions more or less remain the same
even in technical departments like imgation, health, agriculture etc. Hence what seems
significantly impmtant to be a generalist, is a mind, a mental discipline, a way of thought
and an angle of vision, which helshe acquires apart from the liberal education, and through
, movement from post to post with wide-ranging, diversified experiences. This helps the
generalist in adopting a comprehensive yet integrative approach to a variety of problems,
uncontaminated by too much knowledgeabout any one of them. Having known who a
generalist is, now let us discuss hisher role in administration.
9.3 ROLE OF GENERALISTS -
The ancestry of the generalist dominating the administrative machinery at the top can be https://t.me/Upsc_Zone_Official
b - I
Civil Senices in India traced to the administrative philosophy of England in nineteenth century where generalism
was made an absolute principle of administration. The two authorities that helped in the
build-up of a generalist image by lending their solid support towards the recognition of
generalist supremacy were the Northcote Treveleyan Report on the Organisation of
Permanent Civil Service (1854) and the Macaulay Report on the Indian Civil Service (1854)
about which we have read in Unit 7 of this Block. The emphasis was on young graduates,
who with no specific education or technical background, should form the elitist part of the
administration. In India also, as in England, this administrative arrangement came as the
logical extension of the same philosophy. The Indian Civil Service during the British period
dominated the administrative scene with its members deployed on various positions in
government. The experts and specialists during those days were fewer in number and the
Indian Civil Service was groomed into an elite service.
If it is assumed that generalists are equipped with a vibrant mind and a perceptive
understanding of the entire field of administration, it is but natural that they would~begiverl
the role of overseeing the top rung of the administrative management. Thus generalists have
a supreme role in the formulation of policy i.e. in assisting the political executives to evolve
it-with all the requisite data and advice as to the strong and weak points of a projected
policy. It is the generalist, who functioning generally as Secretary or Head of Department,
does the coordinating job and takes the necessary measures, even in specialised matters,
before they are put up to the ministers who often are not specialists in those fields. The role
of generalists in such cases is one of the conveyor belt which funnels right kind of data and
advice in such a manner that it can be used by top policy makers for action. The 'balancing'
role i.e. performing reconciliatory function between conflicting viewpoints, is also played by
the generalists. This is possible because of their capacity to view things in an overall
perspective, generated on account of their non-specialist background and exposure to wider
fields of experience and administrative reality.
The generalists also play a dominant role in problem-solving spheres. Since most important
techno-professional work in the governmental organisations has become inter-disciplinary,
one arbiter in the form of a generalist administrator is needed to articulate a rational, cost-
effective, most beneficial alternative solution. Moreover, in the implementation of decisions,
apart from policy formulation, the generalists role is well accepted and recognised.
The generalist has to function as a synthesiser, integrator and cooidinator of knowledge as

well as of action. Helshe is a person who is supposed to be competent enough to handle any
situation or job pertaining to law and order, emergency, public relations, planning, social
change etc. The field experience the generalist has is assumed to generate in himher certain
qualities like prompt and sound decision making, tact, imagination, objectivity,
organisational leadership etc. A special position is assigned to the generalists in
administration, as the political executives, who are usually lay people with exposure to only
peoples' problems and not to technical expertise depend on the 'administrator' i.e.
generalist, with whom they have identity of approach, ideas and ideals.
A specialist is one who has special knowledge in some particular field. Specialists in
government, are therefore, those who are recruited to posts for which professional,
scientific, technical or other specialist qualifications are essential and includes engineers,
scientists, doctors, lawyers, statisticians, economists and other technical people. To qualify
as a specialist, the basic requirement should be an 'institutional' speciality, that is to say, onc
must have a pre-employment spell of either techno-professional academic education and/or
preentry vocational or occupational training. The hallmark of a specialist is, tlius, said to be
devotion to the discipline, continued commitment to his~herprofessional cause and practice
and pursuit of a speciality. Ro-generalists generally view specialists as narrow, uni-
disciplinary professionals who treat all issues from a very limited angle or vision. Also they
are incapable of comprehending in a holistic manner the complexities of live administrative
and management problems and hence are unfit to hold top policy posts.

ROLE OF SPECIALISTS
There 'is no doubt that present day administration has become technical. professional and
specialised. The concept of 'development' viewed as a dynamic process, directed towards
transformation of the entire society including socio-political and economic aspects, has a
major impart on the functions of bureau-,;-acy. If the state has to be accepted, in the process
of modernisation, as regulator, mediator, provider of services, economic and social
diagnostician, the bureaucracy has to offer the basic support to the states playing such a role.
For doing so, the bureaucracy must be professionally equipped.-Whether it is an
administration dominated by generalists or specialists the fact remains that every one must
be professional in the role, as without professionalism the chances of success are limited.
The assumption that the technical element in the administration is a minor factor or experts
do not have holistic, comprehensive approach cannot be totally correct. One of the important
factors responsible for the narrow outlook of the specialists is the system of their education
I
and training. It may not similarly be correct that generalist has all the necessary specialised
elements or can fully comprehend and judge between conflicting expert advice. Hence, the
! services of both are required in administration.
The specialist inputs are required in tackling the complex and technical problems of modem
administration which have become quite technical. Also the various areas in the
administration call for varied skills, expertise and experience. In programme planning in the
scientific and technical fields, and in execution of such projects, the specialists' inputs are
vitally necessary. All the policy making and decision making functions in the specialist
I jurisdiction of the government must be the responsibility of the specialists.
1 Administration is taking charge of managing vast changes following the assumption of all
developmental functions by the government in the social and economic life of the people.
Administration in future is going to be characterised by new developments in the fields of
science and technology, social and behavioural sciences, decision making, human relations
in management etc. Each of these areas require professionalistic intehention. For example,
the introduction of the computer has made a significant impact on the nature of
administration. It helps not only in information storage, retrieval and communication, but
also in decision makina.
Apart from these, even in the traditional areas of administration there is increasing
recognition of the role of specialists. For instance, a District Collector, as head of the
administration at district level, in the discharge of regular functions, requires the expert
advice of other specialists working in the district like the engineers, District Health Officers
etc.
9
1) Discuss the role of generalists in administration.
...........................................................................................................................................
2) Who are the specialists? Comment on their role in administration.

-
Civll Services in India
9.6 CONTROVERSY BETWEEN THE GENERALISTS
AND SPECIALISTS IN INDIA
The genesis of the 'generalist and specialist' controversy in India can largely be traced to the
concept of 'nearness' or 'remoteness' from the area of top policy making. It is more post-
centred rather than person-oriented, and the tussle between the two is in reality for holding
certain positions. The real debate should be around formulating a satisfactory and adequate
staffing policy or better still, evolving a progressive, constructive and objective-oriented,
egalitarian personnel philosophy. Let us now discuss the reasons responsible for the
controversy between the generalists and specialists.
Certain historical reasons are responsible for establishing the supremacy of the generalist in
Indian administration, which also accentuated the dichotomy between these two categories
of personnel. As we have read in Unit 7 of this Block the public service in India during the
British period was more or less a closed system with no lateral entry. It comprised young
persons who on the basis of a competitive examination gained entry to it. It was a
hierarchical career pattern from the district to the central level with majority of the posts
reserved for members of the Indian Civil Service. The 'intelligent amateur theory' reigned
supreme in the constitution of the generalist services. As you all are aware, this continued
even after Independence as it was felt that the old frame of public services was quite useful
to provide stability to the government, in tackling the problems of law and order, integration
of princely states etc. Hence the concept of All-India Services was evolved with the Indian
Administrative Service replacing the earlier Indian Civil Service. Hence, the supremacy of
the generalist civil service established in India, was the result of certain historical
circumstances. This led to resentment in the technical and functional services which also
wanted to be entrusted with policy making functions.
The suitability of the generalist for all policy making positions is questioned by specialists
on the ground that the change in the functions of government in present times calls for
certain professionalism which is not possessed to such an extent by the generalists. Also by
reserving all senior managerial positions to the generalists especially to the IAS, th
a;
government is deprived of the expert advice and specialised knowledge of the specialists.
However it is generally argued by the pro-generalists that the field experience gained by
them at the district and state levels in the initial years of their career helps them in the task
of decision making. But the specialists feel that this field experience is not sufficient to
discharge the multi-varied tasks of the government which requires special or expert
knowledge. And also, this sort of field experience is not just the prerogative of the
generalists as it can be secured by the specialists. For example, a doctor working in a
Primary Health Cenm is exposed to all sorts of field problems as can be experienced by a
District Collector. This makes himher acquire certain administrative skills in addition to
hisher technical competence.
Another point of contention between the generalists and specialists comes from their being
organised into separate hierarchies. This leads to situagons where the expert advice rendered
by the specialist is submitted to the generalist for hisher approval. This is justified on the
ground that since specialists tend to have a biased outlook tilted towards their speciality and
since poIicy making needs to consider matters in totality, the generalist is best suited to take
the final decision. This is due to specialists being denied access to senior administrative
positions.
Yet another aspect of the controversy relates to the privileged position enjoyed by the Indian
Administrative Service due to high salary, better career prospects and also its monopoly of
top administrativepositions as posts of secretaries in the government departments; in fact
even the positions of heads of most executive departments are reserved for the generalists.
Career wise too, a member of the Indian Administrative Service after serving for a b y t ten
years or so in a state administration, moves to the Central Secretariat and at times becomes
even the Secretary of a department or ministry. The specialists feel that their position and
status in the administrative hierarchy is not commensurate with the contribution they make
to the technological advancement of the country. Their being denied access to the policy
making powers is attributed to their being overshadowed by the generalists.
The generalists often move from one department to the other and at times to a public
enterprise or even a semi-goveminent institution. But the mobility of the specialists is ~ c a c r a l i s t sand Spialists
restricted in the sense that they are transferred or promoted in the same department. The
specialists view the frequent movement of the generalists as a hindrance in the way of
acquiring adequate and indepth knowledge in any one aspect of the department's work.
This, the specialists feel may have a negative impact on proper policy making.
The superficiality of this much spoken polrrisation between a generalist bureaucrat and a
specialist technocrat is k i n g gradually realised and accepted in many quarters. It is being
felt that the 'intelligent amateur' theory prevalent in Britain during the nineteenth century
does not hold good now. With the growth of science and technology the administration has
become very complex in nature. Hence the present day administration requires the services
of both generalists and specialists and there is need for encouraging cooperation between the
two.
India's Second Five Year Plan mentions that 'distinction between administrators and
technical personnel exercisingadministrative functions, and/or between officials in different
grades and cadres which are sometimes drawn, are already out of place'. The Fourth Five
Year Plan is even more forthright in making a commitment for altering the structure of
administration so that specialists, technicians and experts may be enabled to make their
contribution in a reasonable manner at all levels of administration.
It is important for us to discuss the recommendations of the Administrative Reforms

Commission (1969) on this issue. The Commission took note of the fact that the nature of
the functions of the government has undergone a significant change. With emergence of new
areas of administration it needs a diversity of skills to administer various programmes of
development. It felt that still a great relevance is placed on the 'generalist'. Due to growing
technological sophistication, the Commission observed that many of the posts in the
specialised and technical areas can be filled adequately by experts who have the knowledge
of the relevant discipline. It is only due to their lack of opportunity and proper career
development that the specialists have not acquired necessary skills for holding the higher
administrative positions in the Secretariat. The Commission recommended (a) a rational
system of filling policy advisory positions with men possessing the required qualifications
and competence, (b) senior management posts to be filled by both generaIlsts and
specialists, (c) adoption of a rational pay structure so as to reflect the actual responsibilities
of each job, (d) to enable talent in the lower ranks to move up to higher positions in the civil
service on the basis of competence and performance.
The Fulton Committee (1968) in its report on the re-organisation of the British Civil Service
also commented that "our aim is not to replace specialists by administrators, or vice-versa.
They should be complementary to one another. It is rather, that the administrator, trained
and experienced in his subject matter, should enjoy a more fruitful relationship with the
specialist than in the past, and the service should harness the best contribution from each.
There is no denying the fact that in their own functional situations both generalists and
specialists have important contributions to make. It is neither feasible nor desirable to
replace one category by the other. Indeed it is not as though something tremendous is going
to be achieved if all generalists were to be replaced by specialists. Similarly, jobs of pure
specialists cannot also be taken over by generalists, as for example, the functions of the
Chief of Army Staff cannot be taken over by a Secretary to a Government department. Thus,
while, co-existence among the specialists and generalists has to be accepted as a
fundamental fact of administrative life, the real issue is in what fashion or in what structure
or role the relationship should exist.
9.7 EVOLVING A SUITABLE WAY OUT

One way to tackle this problem is to experiment with integrated hierarchy in place of present
'separate' and 'parallel' hierarchies. In separate hierarchies, policy is determined by the
generalists and the function of the specialists is to execute it. Whereas in parallel hierarchy,
each class has its own parallel sub-hierarchy and work between the two is coordinated by
frequent liaison. The organisation of generalists and specialists in separate hierarchies, with
the policy and financial aspects of the work reserved exclusively for generalist https://t.me/Upsc_Zone_Official
administrators, has certain disadvantages such as slowinn down the process of decision
CMI Services in India making and management, generating inefficiency and preventing the specialists from
exercising the full range of responsibilities normally associated with their professions.
To overcome these and also to remove the barriers that at present debar the specialists from
reaching the top levels of management, wider outlets need to be provided by suitably
modifying the prevailing concept of 'monopoly of generalism' i.e. by encouraging liberal
entry of specialists as administrative and policy functionaries at key levels. More
importantly the specialists should be integrated into the main hierarchy, and along with other
generalist administrators, sharing equal responsibilities in policy formulation and
management. They should enjoy identical status, executive responsibility and authority
which would help in preservation of their morale and confidence. Such an integration
scheme enables technical experts to be in the 'central pipeline' so that technical advice and
policy structures are not separated into water-tight compartments. A total distinction
between policy making and executive functioning is neither possible nor desirable because
policy has often to flow out of executive experience. Integrated hierarchy could be brought
about by constituting a unified civil service consisting of both generalists and specialists
with uniform emoluments and other conditions of service. In India, while no steps were
taken in this direction, Pakistan went ahead in creating a unified civil service in 1973
wherein all the services and cadres in their civil service were merged in one service.
Of late, certain measures have been taken in our country to induct specialists into higher
administrative positions at the Centre as well as in States. The Department of Atomic
Energy has all along been headed by a nuclear scientist. Similarly, the Department of Space
and Electronics also had technical persons as Secretaries and so is the case with the
Department of Science and Technology which has a scientist as a Secretary. Scientific
research organisations and departments are also dominated by scientists.
Another experiment which has been tried to give specialists due place in arcas of policy
making and administration is conferring on them the ex-officio status ol JointIAdditional
Secretary to the Government. For example, members of the Railway Board, who are heads
of operating departments, are ex-officio secretaries in the Ministry of Railways.
The present need obviously is for more purposive development of professionalism in

administration. The base of such professionalism is not necessarily provided by a single
speciality but a variety of backgrounds and disciplines. For example, the administrators of
price-policy must know in sufficient depth and detail all the economic implications of that
particular measure. Hence it becomes essential for the government to organise at the top an
expert layer of personnel, who though initially coming from either the generalist or
specialist background, would need to be developed into a professionally competent group in
order not merely to effectively execute programmes but also to aid and advise the top
political executives in matters of important policies.
The ARC was also of the opinion that there is a need for more purposive development of
professionalism in public services. This could be brought about through innovative training
programmes and career planning and development. It is desirable to inculcate the desired
functional specialism required for the generalists and also 'generalist' qualifications for the
specialists. Though proper career planning is not being seriously thought of in public
services, the Department of Personnel, Training, has to think seriously in this direction. The
Central Training Division in the Department of Personnel, through training programmes like
the Executive Development Programmes for senior officials, annual training conferences on
specific themes etc. is trying to make both the generalists and specialists aware of the
developments in the subject matter, and also about various aspects of management,
programme planning etc.
One of the major causes of discontent among the specialists, as discussed earlier, is the
demand for higher salary and emoluments on par with the generalists. It appears that the
imbalances still persist. Even the recommendations of the Fourth Pay Commission about
which we will discuss in Unit 19 of Block 5 could not achieve much breakthrough in this
matter. But the government has to see to it that some kind of parity is established in the pay
scales of generalists and specialists. The talent and skill of specialists needs to be suitably
rewarded.

9.1 CONCLUSION
The conventional 'specialist vs. generalist' formulation is not merely fallacious, it is also
thoroughly inadequate to meet the problems of present day Public Administration. It is
fallacious because the assumption of exclusive direct relationship between study of
'generalist' subjects such as humanities, social sciences and attributes like open-mindedness,
broad vision and comprehension, sound intuitive judgment, coordinative skills etc., can
neither be established nor sustained in reality. There is also the further untenable assumption
that those who pursue technical disciplines, become by the mere fact of studying them,
incapable of possessing these attributes.
The increasing need for both scientific concepts and theories as well as experiential
knowledge, high quality judgment, and decision making capacity have made such
dichotomy as 'generalist vs. specialist' meaningless. The important qualities which policy
makers at the top must possess now, be they generalists or specialists, are high level
intellectual ability, dedicated commitment to a cause, awareness of significant aspects of
areas of development, a willingness to take risks and a strong determination to accomplish
the desired results. Thus, the word 'versus' between the two important occupational groups
needs to be replaced by the phrase 'and' so that both might team together to fulfil the
determined goals.
The partnership responsibility of the two groups in facing the new challenges under
conditions of quickening socio-economic change is a necessary ingredient of national goal
fulfilment. The necessity for collaborative role of generalists and specialists is now
recognised and accepted almost everywhere. The real question to be posed and faced
1 therefore is not 'generalist vs. specialist' but how to develop this new brand of public
administration professionals who blend expertise with the nature of work.
I Check Your Progress 2
1) Discuss the reasons for the controversy between the generalists and specialists in
administration.
2) Comment on the suitable ways that can be evolved to minimise the tussle between the
two.
3) What are the recommendations of Administrative Reforms Commission on the issue of

generalists and specialists?

9.9 LET US SUM UP

Generalists and Specialists are the two broad functional categories in admin?strationwho
provide necessary inputs in policy formulation and implementation. We have discussed the
meaning and different connotations attached to the term, 'generalist'. The unit highlighted
the role of the generalist in administration in various capacities as a synthesiser, integrator,
arbiter and coordinator. We have also explained the meaning of specialists and hisher
significant contribution to administration in present times. Various reasons for the
controversy which arose between the generalists and specialists have been discussed in
detail. Gradually it is being realised that both generalists and specialists constitute important
components of administration and there is no question of one replacing the other. Certain
ways are evolved to minimise the tensions between the two and efforts have been made to
induct specialists into policy making administrativepositions. Career planning and
development of both generalists and specialists has been emphasised. The unit has dealt in
detail with suitable ways of resolving the controversy.
9.10 KEY WORDS

Career Planning and Development :Career refers to an individual's entire worklife.
Career planning and development refers to all those steps taken, which affect a person's
progress or promotional opportunities in the organisation, hisher changing employment
possibilities leading to higher status, pay raise and better conditions of service.
Egalitarian Personnel Philosophy :A personnel policy which seeks to provide equal rights
and opportunities to all the people.
Executive Development Programme :This is a training programme meant for Group A
officers of All-India/Central Services which aims at enhancing their awareness towards the
socio-economic environment, imparting knowledge of modem management concepts,
techniques, tools etc.
Fallacious :A fonnal word used to express that an idea, argument or reason is wrong
because it is based on incorrect information or faulty reasoning.
Fulton Committee :The Committee appointed in the UK in 1966 to study the organisation,
recruitment, management and training arrangements for the civil service and to recommend .
changes in the context of changed responsibilities of the civil services and the new
educational system.
Parallel Hierarchy :In this type of work arrangement system a specialist, like for example
a Director General will be working along with a generalist like Deputy Secretary.
Rofessionalism :Specialised competence or knowledge in a field.
Rank in Corps :It is career pattern where the focus is on the person and the corps or any
particular unit fo which helshe belongs and keeping this in view, all matters relating to
assignment, training etc., are considered.
Second Hoover Commission :The expansion of activities of the government in the United
States during the post-Second World War period necessitated the appointment of a
Commission on Organisation of the Executive Branch of the Government (1953-55)
popularly known as Second Hoover Commission. (The first Hoover Commission was
constituted in 1949.) E was set up to look into the operations of the government and offer
recommendations for improvement.
Separate Hierarchy :In this system where the generalists and specialists are organised in
separate hierarchies, the policy is determined by the generalists and the specialists are
responsible for its execution.
--
Avasthi & Maheshwari, 1987. Public Administration, Lakshmi Narain Aggarwal : Agra.
Commission on Personnel Administration, 1%9. Report (fthe Administrative Reforms,
Government of India, Manager of Publications:https://t.me/Upsc_Zone_Official
Delhi.
Jain, R.B., 1976. Contemporary Issues in Indian Administration, Vishal Publications :

New Delhi.
Singh Mohinder & Hoshiar Singh, 1989. Public Administration in India :Theory and
Practice, Sterling Publishers :New Delhi.
Subramanian, Malathi, 1987, Management of Public Administration (Patterns in the
Generalist Vs. Specialist),Deputy Publications : Delhi.

EXERCISES
1) Your answer should include the following poinp :
The role of generalists in :
Policy formulation.
Policy implementation.
Integrating various viewpoints.
Rendering advice to the political executives.
' '
Problem solving process.
Specialists are those who have knowledge in some particular field and are recruited
to posts for which professional, scientific, technical or other specialist
I qualifications are required.

Specialist inputs are required in tackling complex and technical problems of
modem administration.
In programme planning in scientific and technical fields and in execution of such
projects services of specialists are required.
They have an important role to play in policy formulation and decision making in
the specialised areas.
Their expertise is required in traditional areas of administration as well as new
spheres of activity.
The supremacy of generalists in administration which was established during the
colonial period resulted in dichotomy between the generalists and specialists.
The suitability of the generalists for all policy making positions is questioned by
the specialists as the functions of government in present times calls for
professionalism.
Organisation of the generalists and specialists into separate hierarchies.
Privileged position enjoyed by the Indian Administrative Service due to high
salary, better career prospects and its monopoly of top administrative positions
which is being denied to specialists.
Restricted mobility among the specialists.
The recommendations of the Administrative Reforms Commission included :
a rational system of filling policy advisory positions with men possessing the
required qualifications and experience;
senior management posts to be filled by both generalists and specialists;
adoption of a rational pay smcture which would reflect the actual responsibilities
of each job;
to enable talent in the lower ranks to move up to higher positions in the civil
service on the basis of competence and performance.
Constitution of integrated hierarchy in place of 'separate' and 'parallel hierarchy'.
Providing for entry of swcialists as administrative and policy formulating
functionaries at key levels.
Development of professionalism in administration through training, career planning
and development of both generalists and specialists.
UNIT 10 ROLE AND FUNCTIONS OF
DEPARTMENT OF PERSONNEL1
Structure
10.0 Objectives
10.1 Introduction
10.2 Need for Central Personnel Agency
10.3 Evolution of Department of Personnel
10.4 Structure of the Ministry of Personnel, Training, Administrative
'
Reforms,
Public Grievances, Pensions and Pensioners' Welfare
10.5 Role and Functions of the Ministry of Personnel, Training, Administrative
Reforms, Public Grievances, Pensions and Pensioners' Welfare
10.6 Evolution of Union Public Service Commission
10.7 Constitution of the Union and State Public Service Commissions
10.8 Functions of the Public Service Commission
10.9 Advisory Role of the Public Service Commission
10.10 Staff Selection Commission - Genesis
10.11 Role and Functions of Staff Selection Commission
10.12 Structure of the Commission
10.14 Key Words
10.16 Answers T o Check Your Progress Exercises
10.0 OBJECTIVES -

highlight the need for Central Personnel Agency,
discuss the evolution, structure, role and functions of Ministry of Personnel,
Training, Administrative Reforms. Public Grievances, Pcnsions and Pensioners'
Welfare,
trace the evolution of Public Service ('ommissions and comment upon their
advisory role,
discuss the functions of Public Service Commissions, and
explain the structure and functions of Staff Selection Commission.
The role of 'personnel' in 'administration' is crucial to its effective functioning and

that is why 'personnel administration' is at the heart of Public Administration. If
administration is the instrument at the'hands of political executives who are
responsible for the governance of the country in a democratic set up, the personnel
constitute the pivot around which administration revolves. The broad goals of Public
Administration, its functions and basis, policies and programmes, measures and
methodologies, behaviour and action, its mission and vision and delivery system
depend upon the personnel in administration. The total tone and quality of Public
Administration is in fact dependent upon the personnel working in public offices and
institutions.
It is therefore, of utmost importance that attention is focuseBon this vital 'input' i.e.
personnel a.dministration. While dealing with many of its integral aspects, the
inevitable question that comes up for srudy is the organisation needed for it - that is
Agencies to say, who would plan for it, who recruits, selects and retains personnel who
undertakes their deployment and development, who compensates, promotes and
motivates, and other related aspects. All this has t o be done not on an ad-hoc basis,
but as part of an institutional arrangement, as a system and as a continuous
management task.
In Government of India, all these activities in relation to personnel are attended to by

the Department of Personnel which is the Central Personnel Agency. Then there is
the Union Public Service Commission, (UPSC) an advisory body which is assigned
the task of recruitment and selection of personnel to civil servites. Similarly
recruitment to lower level grades in administration is done through Staff Selection
Commission (SSC). In this unit, you will study about the role, evolution and
functions of the Department of Personnel, UPSC/SPSC and the Staff Selection
Commission.
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10.2 NEED FOR CENTRAL PERSONNEL AGENCY
The State'today is no longer performing only thc peripheral and regulatory functions.
but in the perspective of the people's revolution of rising expectations, has become a
change agent, accelerator of economic development, prime mover of social
advancement and upgrader of individual fulfilment and cultural enrichment. In the
-
process, it permeates into various facets of the citizcn's life. With the change in the
purpose and philosophy of the state; the functions of the government have also
correspondingly changed in terms of variety, complexity and universality. Due to the
expansion of the governmental tasks, methodology of operation of the administration
would have to acquire a new direction and orientation. T o meet the legitimate urges
and demands of the people, the government must necessarily undertake massive
modemisation progranimes and transformatory tasks, converting the old traditional
administration to a development administration defined by Weidner as an
action-oriented, change-oriented and goal-oriented administrative system concerned
with the achievement of definite programmatic objectives.
In such an administrative arrangement, "personnel" is the most significant of the

three inputs, the other two being "machinery" and "methods". Organisational
refinement and procedural sophistication cannot carry the administrative "delivery
system" beyond a poirt, unless the personnel working on the machine and
manipulating the methods can be made professional masters of their work. Total
administrative system vitally depends for its effectiveness and ultimate success on its
personnel sub-systems.
For grooming such personnel, professionally, motivationally and culturally a sound

organisational support system is necessary. Creation of such an institutional structure
can be found in what has come to be called Central Personnel Agency (CPA). The
C P A constitutes the nodal agency for authority which is the clearing house for all
significant personnel activitics. which could give unified central direction in
formulating futuristic policies and also in planning othcr developmental and
promotional programmes. In other words. this institution, the Central Personnel
Agency or Ijepartment, has to play tile leadership role in respect of a dynamic and
forward looking personilel policy-making and application of modern personnel
practices. 'Thc value and validity of such an institution lies in its professior~al
approach, multidisciplinary orientation and expert staffing. apart from bold
experimentation in structural patterns.
10.3 EVOLUTION OF DEPLIRTMENT OF

----
PERSONNEL., -
In a ldrpr: and complcx.organisation lihe !he Ciovernrnent of India, the personnel

fur.ction\ )f tbc C'I-ntral I;overnmcnl ubed tu br: pertcvmed by the Ministrl; of Home
Affair\ throuch it\ Servlcc.; and Establ~shrnrntOfficer's Wings. In the disct arge of
these responsri.~i;t~e\:ha. T-l@n~eMinistry worked In c l r ~ \ c Iiaisorl
~ w ~ t hthe
Establishment Division of the Ministry of Finance which,was almost a Rule and Functiur~sof
Department of
joint-management exercise. The Union Public Service Commission, a constitutional Personnel/UPSC/SPSC/SSC
authority set up under Article 315 of the Constitution of India, played a vital
advisory role in this framework of Central Personnel Administration, besides making
recruitment and selection' through examination and interviews for the higher civil
services and posts under the Union Government. There were also some other
organisations and agencies, consultation with which was required for a
comprehensive and effective management of personnel in government. This
arrangement which continued till August 1970, made for division of responsibility
and amounted to a lack of unified central direction in the matter of personnel. This
emphasised the necessity of personnel functions being handled from a central
direction, by a Ministry or Department which should be a focal point of direction and
formulation, guidance and superintendence, evaluation and control. There was a
need for making this Ministry or Department fully responsible for not only the
current day t p day tasks but also prospective, developmental programmes in the
context of a changing environment of national goals and democratic socialist
ideologies of a welfare state.
It was the Estimates Committee of the 'Third Lok Sabha (1966) which for the first
time advocated the creation of a single agency under the Cabinet Secretariat,
responsible for regulation ~f the terms and conditions of civil services. It observed
that "the ever expanding role of the government in a welfare state with its national
concomitant of a large civil service, calls for effective personnel control through a
single agency. This unified agency should be under the control of the Cabinet
Secretariat and made responsible for regulating the terms and conditions in respect of
services as a whole, replacing the earlier dual control of the Home Ministry and the
Finance Ministry".
In Britain also, at about the same time, the "Committee on Civil Service" under the
chairmanship of Lord Fulton, after diagnosing the ills of multiple control and
management system in the civil services in Britain suggested two major institutional
changes :
i) the responsibility for recruitment and selection carried out by the Civil Service
Commission should be brought together with other functions of central
management within a single organisation.
(ii) The expanded and unified central management of the setvice should be made the
responsibility of a new Civil Service Department created specifically for that
purpod.
These recommendations were accepted by the British Government and accordingly

the Civil Service Department was set up.
In India the Administrative Reforms Commission (ARC) enquired into the various
facets of public personnel administration in depth. The Deshmukh Study Team of the
Commission which studied the machinery of the Government of India and its
procedures of work has pointed out that "the fashioning of an effective central
personnel aqencv and the allocation to i t of all functions of an overall character in the
field of pelbur. ..-.duc:r*':.tration is one of the most important reforms required in ihe
machinery ot thi: Government of India". It visualised that the Central Personnel
Agency should come into being in the form of a Department of Personnel with a
full-time and wholly independent secretary as its head.
Visuvlised Personnel Functions 'of Central Personnel .Agency ( C P A )
Some of the principal functions of the C'cntral Personnel Agency of the Government
of India, as visualised by the Study Team. relateti to:
a formulating overall personnel policies, in areas like recruitment, promotion,
morale, vigilance and discipline, career development, training and maintaining
liaison with the UPSC and othcr concerned organisations;
providing guidance and leadership to the departmental personnel agencies in
personnel management, both generally and through advice on individual cases;
hunting for talent and regulating appointment to key posts, keeping in touch with
.the processfrom:-
Downloaded of the Bureau elf Public Enterprises;
Pemnnel Agencies undertaking and promoting research in personnel administration, serving as a
clearing house of ~nformationon modern aspects of personnel management, and
manpower planning for government requirements;
overseeing generbl!y the implementation of policies and regulations formulated by
the department through a system of inspections and reporting.
Structural Blueprint for Central Personnel Agency
To effectivcly undertake the above charter of tasks, the following structural

blue-print for the CPA had been suggested:
i) A policy wing consisting of
(D a policy formulation division; and
a policy implementation division.

ir) A career systems wing consisting of
an appoinlmknts division dealing with key appointments, talent hunting, etc.,
and
o a cadre management division dealing with management problems of the IAS
and centralised aspects of Central Secretariat Service.
iii) A development division for formulating development and training programmes.
iv) An inspection and house-keeping wing consisting of
0 an inspection division to oversee implementation, and
e a house-keeping division serving as the internal personnel office of the
department.
ARC's Recon~merrdatio~~s
on Department of Personnel
The Administrative Reforms Commission (ARC) had generally agreed with the
recommendations of the Deshmukh Study Team. The ARC's own recommendations
in so far as Department of Personnel was concerned were as follows:
a) A separate Departinent of Personnel should be set up, with a full Secretary in
charge who should work under the general guidance of the Cabinet Secretary.
b) 'This Department should have the following functions and responsibilities:
0 formulation of personnel policies on all matters common to the Central and
All-India Servic~s,and inspection and review of their implementation;
e talent hunting, development of personnel for "senior management" and
processing of appointment to senior posts;
a manpower planning, training and career development;
0 foreign assistance programme in personnel administration;
s research in personnel administration;
a discipline and welfare of staff and machinery for redress of their grievances;
e liaison with the Union Public Service Commission. State Governments,
professional institutions, etc., and
a staffing of the middle-level positions of the (lentre (of Under-Secretaries and
Deputy Secretaria) with the assistance of and on the advice of the
Establishment Board.
c) Thc Departmei~tof Personnel should not itself administer any senlce cadre. The
administrative control of different service cadres should vest with individual
Ministries and Departments concerned.
d) The administration of the IAS, IPS and the cerrtralised aspects of the Central
Fecretariat Service should he thc responsibility of the Ministry of Home Affairs.
e) The management of thc India11 Economic Scrvice and of the Indian Statistical
Service should be transtcrrcd to [he Department of Ecc,nomic Affairs.
f) The Cabinet Se::rctary sllould by convention be regarded as Secretary-General of
the new Department of Perronnel. without being form:illy so designated. He
\hould be actively inkolved in the development of and selection for "senior
rnaliagement" but not in appointments below that level,
g) The new Depsrtane~lrof Pcrsonncl should be placcd directly under the Prime
Minister.
h) An Advisory Council on Personnel Administration may be set up to act as a Role and Functions of
feederline of new ideas and thinking on personnel administration It should be Department of
Personnel/UPSC/SPSC/SSC
composed of official and non-official experts in different aspects of personnel
management drawn from all over the country.
i) The Establishment Board should be located in the new Department of Personnel
and the Secretary of this Department should be its Chairman. The Board should
deal with appointments only upto and including Deputy Secretary.
On the acceptance of the recommendations of the ARC, the Department of

Personnel was set up in 1970. !:-.vas then located in Cabinet Secretariat and
functioned under Prime Minister of India, assisted by a Minister of Stare in the
Department of Personnel.
The question of location of Department was itself a thorny, somewhat politicised

issue, debated differently in different ,quarters. While the Study Team of the A R C
(headed by Deshmukh) suggested its being placed under the Ministry of Home
~ f f a i r s the
, A R C recommended its placement under the Prime Minister directly, to
enable it to function under the general guidance of the Cabinet Secretary who should
be regarded by convention as Secretary General of the Department of Personnel.
The Government of India agreed with the ARC and lodged the Department in the
Cabinet Secretariat where it remained till 1977, when, with the change of regime in
the Central Government (from Congress Party to Janata Party) the Department was
merged with the Ministry of Home Affairs as one of its Departments "within the
Ministry". It again changed - from "within" to "under" the Ministry of Home
Affairs as a separate Department in January, 1985. Finally, in March, 1985, the
erstwhile Department of Personnel became a fulfledged Ministry of Personnel,
Training, Administrative Reforms, Public Grieyances, Pensions and Pensioners'
Welfare under the overall charge of the Prime Minister assisted by a Minister of State
for Personnel.
10.4 STRUCTURE OF THE NIlNISTRYl OF

PERSONNEL, TRAINING, ADMINISTRATIVE
REFORMS, PUBLIC GRIEVANCES, PENSIONS
AND PENSIONERS' WELFARE -
The Ministry comprises three separate Departments viz.,

Department of Personnel & Training;
Department of Administrative Reforms and Public Grievances; and
Department of Pensions and Pensioners' Welfare
All the three departments are functioning under the charge of Secretary (Personnel)
who is assisted by three Additional Secretaries, six Joint Secretaries and other
supporting staff including Directors, Deputy Secretaries, Under Secretaries, etc. The
Department of Personnel and Training has six wings which are mentioned below
along with a brief outline of their functions:
i) Policy & Planning Wing:
Research in Personnel Administration; Liaison with expert institutions,
Universities, Industries and Civil Services Department of Foreign
Governments; Advice on Personnel Admin~strationetc.
ii) Training Wing:
Formulation and Cooldination of training policies for All India and Central
Services; all ehdblishment and training matters relating to the National
Academy of Administration, Mussoorie, including Refresher Courses for IAS
and other officers; training programmes sponsored at Indian Institute of Public
Administration; liaison with training institutions within the country and
abr(,d; National Training Policy; organisation of research/evaluation of
training programmes, etc.
iii) All India Services Wing:
All matters relating to recruitment and post recruitment conditions of Service;
framing and application of rules and regulations for the All India Services etc.
Personnel Agencies iv) Fstablishment Wing:
a All Establishment matters; Union Public Service Commission, Staff Selection
Commission, State Public Service Commission ; Recruitment Rules;
interpretation relating to Civil Service Rules and Regulations; determination
of conditions of service for Civil Services etc.
v) Vigilance Wing:
a Vigilance cases relating to officers of IAS, Indian Forest Service and some
other Group 'A' services; disciplinary proceedings; Centrql Vigilance
Commission (CVC) and State Vigdance Commission; establishment matters
of Central Bureau of Investigation (CBI) and CVC; complaints of corruption
relating to Central Ministries, State Governments, Union Temtories,
commercial firms etc.
vi) Executive Officer's (E.O.'s) Wing:
Processing of cases with the Appointments Committee of the Cabinet; all
appointments of the Board of Management of the Public Sector Undertakings;
Maintenance of Executive Record forms of IAS and Central Secretariat
Service (CSS) officers; training of Central Secretariat Service Officers in
State/Central Field Organisation; Training and Fellowship in Institutes in
India and abroad; requests from Foreign Governments and International
Organisations for Indian Personnel for service under them; Maintenance and
proper custody of confidential reports of IAS and CSS (Gr.1 and Selection
Grade) Officers; Middle Management; Senior Management; Career
Management, etc.
10.5 ROLE AND FUNCTIONS OF THE MINISTRY OF

PERSONNEL, TRAINING, ADMINISTRATIVE
REFORMS, PCTBLIC GRIEVANCES, PENSIONS
AND PENSIONERS' WELFARE
The Department of Personnel and Training within the Ministry of Personnel,
Training, Administrative Reforms, Public Grievances, Pensions and Pensioners'
Welfare is the central agency responsible for policy formulation and coordination of
all activities in the sphere of public personnel management, including administrative
vigdance, training, staff welfare, machinery for joint consultation and compulsory
arbitration, reservation of scheduled castes and tribes and other categories in the civil
services, administrative reforms, public grievances, and pensions. The Department
does the rule-making job for the various all-India and central services, which include
final interpretation of regulations in cases of doubt and also the overview of
implementation and cadre management. It also concerns itself with developmental
aspects of the civil servants through training (inside and outside the country), career
management through experience-cum-productivity oriented deployment, deputation
and assignments, applied and futuristic research on personnel policy and planning
besides performing promotional functions by instituting objective rewards a d
punishment systems, conflict-management mechanisms and need-based
employee-welfare schemes. The Department of Personnel controls IAS and Central
Secretariat Services and looks after all administrative matters relating to Central
Vigilance Commission (CVC) Central Bureau of Investigation (CBI), Administrative
Tribunal, Union Public Service Commission, Staff Selection Commission and Indian
Institute of Public Administration (IIPA). It also oversees the functioning of La1
Bahadur Shastri National Academy of Administration, Mussoorie and Institute of
Secretariat Training and Management, New Delhi.
The Ministry during its two decades of existence, has undertaken some important
measurks like:
a Option of voluntary retirement to government employees after 20 years of service
with 5 years additional service benefit.
National Management Programme for Officers of Central/AU India Ser.<_ces,of
Public and Plrvate sector executives in cooperative endeavour with four Indian
Institutes of Management (Ahmedabad, Bangalore, Calcutta & Lucknow) and
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Xavier Labour Relations Institute, Jamshedpur
which is a good effort to orient our
administrators towards concents of Management.
Complete restructuring of the Pension scheme of Central Government which Role and Fmactbne of
enables payment of pension and other benefits/dues by the date of retirement. Department of
Personnel/UPSC/SPSC/SSC
The experiments of holding Pension Adalats and Shikayat Adalats for on-the-spot
settlement of grievances of retired staff and others aggrieved.
Special Recnritment drive for Scheduled Castes and Scheduled Tribes so as to
wipe out the backlog of vacancies reserved for them but not filled by them.
The role of the Ministry, in the emerging context of modern day requirements of a
democratic state should not lie just in the maintenance of status quo but in the
building of a planned system w h e r ~the best in the society gets attracted towards Civil
Services. The field for a modem Ministry of Personnel is vast impinging on ever);
aspect of bureaucrat's life like career development, cadre management & review,
staff welfare, public grievances, research in personnel policies etc. It is also true that it
is not possible to bring about significant changes in all these areas at once in the
system. Resource constraint, paucity of adequate and trained manpower, structural
support and many other factors tend to come in the way of reforms.

Note: i) Use the space given below for your answers
ii) Check your answers with those given at the end of the unit
1) Comment upon the need for having a Central Personnel Agency.
.............................................................................................................................................
2) What were the recommendations of the ARC on tha.Department of Personnel?
3) Discuss the functions of Ministry of Personnel, Training, Administrative

Reforms, Public Grievances, Pensions and Pensioners' Welfare.
10.6 EVOLUTION OF PUBLIC SERVICE

COMMISSION
It was the Government of India Act, 1919, which for the first time recognised the
need for the setting up of a Public Service Commission in India. It was of the view
that an expert body, free from political interference should be set up. entrusted with
the task of recruitment of civil servants and regulation of their service matters. The
objective of the Public Service Commission as indicated in the Act (vide section 96c)
was to "discharge in regard to recruitment and control of the public services in Igdia,
suit: functions as may be zs:ip=d thereto by rules made by the Secretary of State in
Councily'.
In 1924, the ~ee'commissionagain recommended that the Statutory Public Service

Commission contemplated by Ehe Government of India Act 1919, should be set up
without delay with the following functions:
r Downloaded from:- https://t.me/Pdf4Exams
Personnel Agencies
-
i)
the services.
Recruitment of personnel for the public services and the establishment of proper
standards of qualification for admission to these services.
ii) quasi-judicial functions connected with the disciplinary control and protection of
It was not until 1926 that the Public Service Commission was set up for the first time,
consisting of four members in addition to the Chairman. The functions of the
Commission were advisory in nature. The Public Service Commission (Function)
Rules of 1926 provided that the Commission be consulted on matters connected with
recruitment to All-India and Central Services, Class-1 and Class-I1 '
determining qualifications for recruitment by selection and syllabi for examination
promotion and disciplinary matters of these services
pay and allowances, pensions, provident or family pensic?r, ftullds, leave rules and
conditions of service of these services. The Lee Commission did not suggest for the
establishment of similar Commission in the provinces.
Later, the first Round Table Conference held in London in 1930, the British
Government in its,Constitutional proposals of 1933 and the Joint Committee on
Indian Constitutional Reforms (1933-34) emphasised the establishment cf Public
Service Commission in provinces in addition to the Federal Public Service
Commission. These suggestions found a concrete shape in the Government of India
Act 1935 which envisaged a Public Service Commission for the Federation and a
Provincial Public Service Commission for each province or group of provinces. They
were entrusted with the functions af conducting examinations for appointment to the
public services and the government was under an obligation to consult the
commission on major matters concerning their conditions of service.
With effect from 1st April, 1937, the then Public Service Commission at the Centre
became the Federal Public Service Commission (FPSC).
With the promulgation of the Constitution of India on January 26, 1950, the Federal
Public Service Commission came to be known as the Union Public Service
Commission (UPSC). The objectives of the UPSC, in broad terms are:
to conduct written examination and interview for the purpose of appointment to a
specified group of civil services and posts of the Government of India
to advise the Government in matters of framing rules in regard to methods of
recruitment, principles of promotion, disciplinary aspects, certain conditions of
services such as disability pension etc.
--
10.7 CONSTITUTION OF THE UNION AND STATE

PUBLIC SERVICE COMMISSIONS
In Part XIV- Chapter 11 of the Constitution of India, vide Article 315, it has been
provided that :
i) Subject to the provisions of this article, there shall be a Public Service
Commission for the Union and a Public Service Commission for each State;
ii) Parliament may by law provide for the appointment of Joint Public Service
Commission if two or more states agree that there be one Public Servlce
Commission for that group of States, and if a resolution to that effect is passed
by the House or where there are two Houses, by each House of the Legislature
of each of those States.
iii) The Union Public Service Commission, if requested to do so by the Governor of
a State, may with the approval of the Presidenr, agree to serve all or any of the
needs of the State.
Membership
The Chairman and other members of the Public Service Commission are -
appointed, in the'case of Union Public Service Commission or a Joint
Downloaded from:- Commission by the President of India and in
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rnmmiccinn hv the cnvernnr nf the Qate I t hnc nlcn hppn nrnviderl thnt / ~ r
nearly as may be) one-half of the members of every Public Sewice Commission Rob and Fandons ot
Department of
should be persons who have held office for-at least ten years either under the , Persomel/UPSC/SPSC/SSC
Government of India or under the Government of State.
Tenure
A member of a Public Service Commission holds office for a term of six years
from the date on which he enters upon his office or until he attains, in the case of
Union Public Service Commission, the age of 65 years and in the case of a State
Public Service Commission or a Joint Commission, the age of 60 years,
whichever is earlier.
On the expiry of the term of office, a person who held office as a member of the
Public Service Commission is ineligible for re-appointment to that office. The
Chairman of the UPSC shall be ineligible for further employment under the
Government of India or Government of any State. However, on ceasing to hold
office, the Chairman of a State Public Service Commission would be eligible for
appointment as Chairman or as any other member of the Union Public Service
Commission but not for any other employment. Similarly, a member other than
the Chairman of the UPSC shall be eligible for appointment as the Chairman of
the UPSC or the Chairman of a State Public Service commission but not for any
other employment.
The President, or the Governor as the case may be, may determine, by
regulations, the number of members of the Commission and their conditions of
service, and also make provision as regards the number of members or the staff
of the Commission and their conditions of services. Conditions of service of a
member of the Public Service Commission cannot be varied to his disadvantage
after his appointment.
Removal
The Chairman or any other member of the Public Service Commission can be
removed from their office by the order of the President on ground of proved
misbehaviour, after Supreme Court's enquiry and c o n h a t i o n of guilt in
accordance with the procedure prescribed under Article 145. The President in
the case of UPSC or Joint Commission, and the Governor in the case of State
Commission, may suspend from office the Chairman or any other member of the
Commission in respect of whom a reference has been made to the Supreme
Court, until the President has passed appropriate orders on the Supreme Court's
report. The President, has the authority to remove by order the Chairman or any
other member of a Public Service Commission, if:
i) he is adjudged an insolvent, or
ii) engages himself in any paid employment outside the duties of his office, or
iii) he is unfit to continue in office by reason of infirmity of mind or body.
10.8 FUNCTIONS OF THE PUBLIC SERVICE

COMMISSION
As stipulated in Article 320, the functions of the Public Service Commission are as
foll~ws:
It shall be the duty of the Union and the State Public Service Commissions to
conduct examination for appointments to the services of the Union and the
services of the State respectively.
It shall also be the duty of the Union Public Service Commissions, if requested by
any two more States to assist those States in framing and operating schemes of
recruitment for any services for which candidates possessing special qualifications
are required.
e It shall be the duty of the Union Public Service Commission or the State Public
, Service commission, as the case may be, to advise on the following matters (on
which a Public Service Commission shall have to be consulted),---namely,https://t.me/Upsc_Zone_Official
Pmmaael Agencies a) on all matters relating to methods of recniitment to civil services and fot civ$
posts;
b) on the principles to be followed in making appointment to civil services and
posts and in making promotions and transfers from one service to another and
on the suitability of candidates for such appointments, promotions or transfers;
c) on all disciplinary matters affecting a person serving under the Government of
India or the Government of a State in a c i d capacity, including memorials or
petitions relating to such matters;
d) on any claim by or in respect of a person who is serving or has served under the
Government of India or the Government of a State, in a civil capacity, that any
costs incurred by him in defending legal proceedings instituted against him in
respect of acts done or purporting to be done in the execution of his duty should
be paid out of the Consolidated Fund of the State;
e) on any claim for the award of a pension in respect of injuries sustained by a
person while in service under the Government of India or the Government of a
State or under the Crown in India or under the Government of an Indian State,
in a civil capacity, and on any question as to the amount of any such award.
A Public Service Commission shall also advise on any other matter which the
President, or as the case may be, the Governor of the State, may refer to them.
It has further been provided that the President, in respect of the all-India services and
also in respect to other services and posts in c o ~ e c t i o nwith the affairs of the Union
(and the Governor in respect to other services and posts in c o ~ e c t i o nwith affairs of
a State) may make regulations specifying the matters in which it shall not be
necessary for a Public Service Commission to be consulted.
It is pertinent to note that a Public Service Commission need not be consulted in

respect of appointment or posts in the services in favour of any backward class
citizens or the manner in which claims of the members of the scheduled castes or
tribes will be taken into consideration for appointment under Union or a State (in
terms of Art. 335).
Through an Act of the Parliament (or Legislature of a State), additional functions

may also be extended to a Public Service Commission.
The Public Service Commissions will be required to present annually to the President
(or Governor as the case may be) a report as to the work done by the Commission
and such a report shall be caused to be laid before each House of Parliament (or the
Legislature of the State), together with a memorandum explaining the cases of
non-acceptance by the Government of the advice of the commission and the reasons
therefor.
10.9 ADVISORY ROLE OF THE PUBLIC SERVICE

COMMISSION
The Public Service Commissions are entrusted with important constitutional duties
and obligations and yet are assigned only an advisory role. The nature of the Federal
Service Commission under the Government of India Act, 1935, was also advisory.
The Public Service Commission renders advice to the government and the latter is
under no legal obligation to act according to its advice. The constitution makers
intended to give the Commission only an advisory role as they did not want the
Cabinet or the Executive to be bound by the advice of any other agency.
But a question arises whether the.Commission with its advisory status can effectively
exercise its functions. Though the, government is not bound by the advice of the
Commission, necessary safeguards have been provided in the Constitution against the
possible disregard of the advice of the Commission by the government. As said
earlier, every year, along with the submission of the Commission's annual report
before the House of Parliament in case of UPSC and the State Legislature in case of
State Public Service Commission, a memorandum also needs to be presented,
Downloaded from:- explaining the cases of non-acceptance of the advice
https://t.me/Pdf4Exams of the government alongwith the
reasons. Further, any advice tendered by the Commission cannot be rejected without Role and Functions of
Department of
the approval of the Appointments Committee of the Cabinet. Due to these checks, PersounelIUPSC1SPSCISSC
the number of such cases had remained low.
The Public Service Commissions in their forty years of functioning has substantially
realised the Constitutional objectives of equality of opportunity and
non-discrimination amongst all citizens of India for public employment. Indeed, the
Commissions have ensured that not only no preferential treatment is accorded to the
"elites" of the society but also that candidates from backward classes and other strata
of society, with intrinsic merit are also selected to the civil services to make it really
"representative". The Commissions have also shown, in good measure, their firmness
to stand up to "executive" pressure and stick to their stand and advice, without fear
or favour.
Check your progress 2

,ii) Check your answers with those given at the end of the unit.
1) Trace the evolution of Public Service Commission in India.
2) Discuss the functions of the Public Semce Commission.

.............................................................................................................................................
.............................................................................................................................................
.............................................................................................................................................
lo.10 STAFF SELECTION 'COMMISSION-GENESIS -

'.
It may be seen from the functions of the Union and State Public Semce
Commissions that they recruit only a small percentage of the total number of
positions in the Government of India or the States. The objective of setting up of
Staff Selection Commission is to rationalise theprrangement of making lower level
appointments to the non-technical grades of the'~overnmentof India.
The genesis of the Staff Selection Commission could be traced to the

recommendations of the Estimates Committee of the Parliament. In its 47th Report
(1967-68), it recommended the setting up of a Staff Selection Commission, taking
the responsibility for conduct of examinations for recruitment to lower categories of
posts from the Union Public Semce Commission. The UPSC was overlonded with
the task of holding examinations for recruitment leading to delays in the c m d u a of
examinations, announcement of results leading to problems in filling up vacancies in
the Government of India particularly at the junior levels. Hence there arose a need
for constituting a separate body entrusted with the task of recruitment to the junior
levels. As an interim measure, an examination wing was added to. the Secretariat
Training School which was re-named later as the Institute of Secretariat Training and
Management.
The Administrative Reforms Commission (ARC) in their Report on Personnel

Administration drew attention to the fact that the bulk of the staff of the government
at the centre and in the states belonged to the class 111 and IV categories. Keeping in
view the identical nature of qualifications required for entry into these posts in
various offices, the Commission recommended pooling of the recruitments of the
Downloaded posts by different
non-technical from:- departments and selection of personnel either
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Personnel Agencies joint recruitment or through a Recruitment Board. After a careful consideration of
this recommendation, the Government of India decided to constitute the Subordinate
Selection Commission in 1975. It was renamed as Staff Selection Commission which
came into existence in July 1976. The Commission is required to conduct
examinations and make recommendations for recruitment to Lower Division Clerk's
Grade+Stenographer's Grade and several other categories of Class 111 (C3r.C)
appointments under the various departments and subordinate offices of the
government.
10.11 ROLE AND FUNCTIONS OF STAFF

SELECTION COMMISSION
The Staff Selection Commission in the first instance, took over all the ongoing
functions relating to the conduct of examination previously performed by the
Examination Wing of the Institute of Secretariat Training and Management. Slowly,
the Commission has taken over by and large, all the middle and subordinate level
non-technical recruitment of the entire central government establishments in and
outside Delhi, which constitute numerically about 550h of the entire work force of
the government.
The Commission is responsible for conduct of Clerks Grade examination,

examinations for recruitment of Auditors, Junior Accoutants, Income Tax and
Central Excise Inspectors, Sub Inspectors of Delhi Police/CBI/Narcotics, Junior
Technical Assistants etc. It also holds limited departmental competitive examinations
for Upper Division Clerk Grade, Grade 'C' Stenographers, Grade 'D' Stenographers.
The Commission follows three distinct procedures of recruitment:

1) Recruitment through written examination where personality traits are not
considered important at the time of initial entry (eg. Lower Division Clerks,
UDCs, Auditors, Stenographers etc.)
2) Recruitment through written examination and interviews where personality traits
- are important even at the initial entry stage (eg. Inspectors of Income Tax and
Central Excise, Sub-Inspectors of Delhi Police, CBI etc.)
3) Selection through interviews where an All-India examination is not warranted
but a proficiency or trade test is administered if necessary.
10.12 STRUCTURE OF THE COMMISSION

The Staff Selection Commission comprises a Chairman, Secretary and two members.
It has a secretariat of 300 staff of which 47 are gazetted officers. The Commission
has a network of six Regional Offices headed by Regional Director functioning at
Allahabad, Bombay, Calcutta, Delhi, Guwahati and Madras. These assist the
commission in the implementation of its policies and programmes, supervision and
overseeing of field operations, maintaining liaison with the state governments and
making arrangements for smooth and impartial conduct of examinations and
interviews at centres within their jurisdiction.
The Staff Selection Commission has lately assumed a new role of advising the
Ministries/Departments/Organisationsto review and recast essential and desirable
qualifications for specific categories or groups of posts, having regard to the
requirements of the job and availability of candidates. Also due to rigorous efforts
made by the Commission in making its examinations popular in the areas where
there is sizeable number of scheduled castes and scheduled tribes, there has been an
enormous increase in the response of those categories in taking the examination.
It has emerged as a catalytic agent and motivator in organising pre-recruitment

training programme for scheduled castes and scheduled tribes applicants through
provision of centrally prepared coaching material, coaching-cum-guidance centres
etc. It also undertakes special recruitment drive (special examination) for filling up
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Role and Functions of
The procedures and practices adopted by the Staff Selection Commission as an
Department of
examining and recruiting agency are largely based on the system adopted over the Personnel/UPSC/SPSC/SSC
decades by the UPSC. But it has also made some innovations of its own to suit the .
requirements of mammoth recruitment at the base level of the government which
contributes significantly t o the stability of the administrative hierarchy.
I
Check your progress 3

1) m a t are the ieasons for the settiqg upof Staff Selection Commission.
2) Discuss the functions of the Staff Selcaion Commission.
10.13 LET US SUM UP

In this unit, we discussed the evolution and importance of Central Personnel Agency,
which is responsible for all personnel activities right from policy formulation to other
promotional and developmental programmes. The unit highlighted the functions of
the Department of Personnel which was created in 1970 as Central Personnel
Agency, and later in 1977 became a fullfledged Ministry of Personnel, Training,
Administrative Reforms, Public Grievances, Pensions and Pensioners' Welfare. This
unit dealt extensively with the evolution and functions of Public Service Commissions
in India which is responsible for recruitment and other service matters of civil
servants. We have also discussed the advisory role of the Public Service Commission,
and the necessary safeguards which have been provided in the Constitution against
any possible disregard of the advice of the Commission by the government. Apan
from the Union and State Public Service Commissions, there is a Staff Selection
Commission created in 1976 with the responsibility of recruiting personnel to middle
and subordinate level non-technical categories of posts in the government. The unit
also explained the role and functions of the Staff Selection Commission.
-
10.14 KEY WORDS
Career Management: It is the task of ensuring orderly, systematised progression of
people in organisation tkough a series of jobs or posit~ons,each offering increased
challenge, autonomy and responsibility. Its objective is to attain a better performance
from its personnel in realising the goals of the organisation with the fulfilment of
developmental needs of people working in it.
FeederliPe d mew idem: A channel through which ideas can be transmitted

successively to the main system.
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inamed bv him / ha.
Lee Commission: The Commission under the https://t.me/Upsc_Zone_Official
Chairmanship of Lord Lee set up in
1923 which was also known as Royal Commission on the superior civil services in
In&.
Manpower Planning: It is the process of developing and determining objectives,
policies, programmes that will develop, utilise and distribute manpower so as to
achieve economic and other goals.
Cadre Management: It is the task of periodic review of cadres of various services to

bring about rationaktiolb of the cadre structure, with a view to enhance, the
efficiency h d morale of officers. It alsp includes making projections of requirements
of p e r s o ~ efor
l future.
10.15 SOME USEBUT, BOOKS

Dey, Bata K.1978. Bureieumcy Development and Public Management in India,
Uppal Publishing House; New Delhi.
Felix, A Nigro 1963. Public Pemmei A ~ ~ t i oHolt:
n , New York.
Government of India, Admhismtiw Reforms Commission, 1967. Pemnnel
Admhktration - Report of the study Tesm,Manager of P'ublications: Selhi.
Government of India, Admhistrative Refonns Commission, 1968. Report on
Mac6ioery of the Government of India and its I?mcdures of Work, Manager of
: Delhi.
Publidatio~
Goel, S.L. 1984. Public Pemnnel Administration, Sterling Publishers: New Delhi.
Hazarika, Niru, 1979. Public Senice C o ~ ' s s i o na: Study, Leela Devi Publications:
&Iki.
India, Lok Sabha (Thlrd), 1966. Estimates Committee,' 93rd Report -Public
SemM Lok
~ Sabha Secretariat: New Delhi.
Sabharwal N.K., 1980. Structum and Functions of Central Personnel Agencies io
India in Asliro CZ'viiSemNIces T&d Papers Vo1.5 edit& by Amara
~ a l r & t a ~ a& Henrich Siedentopf, Asian & Pacific Development Centre:
Kualalumpur.
Stahl, 0.Glenn, 1983. Public Personnel Admhistration (8th edition), Harper and
Row Publishers; New York.
Verma, S.P. and S.K. Sharma, 1985. Managing Public Pemnntl S'ems, Indian
Institute of Public Administration: New Delhi.
I
10.16 ANSWERS TO CHECK YOUR.PROGRESS

EXERCISES
a e c l r Y w r ~ 1
1) Your answer should include the.following points:
a Expansion in the tasks of government, which now has to uddertake
modernisation,
.. development programmes, converting the traditional
admmstration into development admhktmtion.
a Need to make the p e r s o ~ eworking
l in organisations professional masters of
the work as the aqbnhisuative system depends on their effectiveness.
a fhation of &I institutional structure like Central P e r s o ~ eAgency
l for
groomidg such pemonnel in a professional mannet.
a It shall be a nodal agency for giving W e d central direction to personnel
activities.
Important role assigned to the agency in formulatiag forward looking,
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2) Your answer should include the following points: Role and F m W h i ~of
. Setting up of Department of Personnel with a Secretary in charge under the Deparhnat of
Persomel/~/SPSC/SSC
~ a b i n e Secretary.
f
Functions of the Department relating to formulation of personnel policies,
development of personnel, research in personnel administration etc.
The Department to be divested of the function of administering any service
cadre.
The Cabinet Secretary to be the Secretary General of the Department by
conventioo.
The Department to be,phced directly under the Prime Minister.
The ministry is responsible for policy formulation and coordination of
activities in the sphere of personnel administration including administrative
vigilance, training, staff welfare, administrative reforms, public grievances and
pensions.
Exercise of control over Indian Administrative ServiCe and Ceptral Secretariat
Services.
It looks after administrative matters relating to Ce~tralVigilance bmrnission,
Central Bureau of Investigation, Tribunal etc.

1) Your answer should4nclude the following points:
Recommendation of Government of India Act 1919 which for the first time
recogtllsed the need for setting up of- Public Semi& Commission.
Recommendation c' the Lee Commission regarding the setting up of PuMic
Service Commission.
Creation of Public Service Commission in 1926.

Conduct of examination for appointments to the servicqs of the M n and
States.
To render advise on matters relating to methods of recruitment to civil
services and civil posts.
On principles to be followed in making appoiqtment to civil servhmmd posts
and also in making promotions m d transfers. I
On disciplinary matters.
On claims by persons serving under the Government of India or state, for
reimbursement of costs incurred in deknding legad proceedings instituted
against himher or for award of pension in respect of injuries sustained by a
person while in service under the government.

Increase in the workload of UPSC in holding examinations for recruitment.
Delay in conduct of examinations, announcement of results leading to
problems in +g up vacancies at the junior levels in the government.
Recommendation of the Estimates Committee of the Parliament which
stressed the need for setting up ofstaff Selection Commission.
Commission entrusted with the task of recruitment to lower categories of posts
in the Government of India.
Conduct of examinations for reaui'tment of Clerks, Auditors, Junior
Accountants, Iscome-Tax, Central Excise Inspectors, Sub-Inspectors of Delhi
Police/CBI/Narcotics etc.
Holds limited departmental Competitive examinations for UDC, Grade 'C' &
'D' Stenographers.
Kenkrs advise to the Mhhtries/Departments/Otganisations in reviewing,
recasting certain essential and desirable qualifi'dations for sp&c categories of
posts.
Organises pre-recruitment training programmes for scheduled castes and
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UNIT 11 CENTRAL AND STATE.
TRAINING INSTI'IWTES
9
Structure ,
11.0 Objectives
1 1 Introduction
11.2 Roles of Training
11.3 Types of Training
1 1.3.1 Foundational Tra~nlng
11.3.2 On-Entry Tralning
1 1.3.3 In-Serv~ceTra~ning
11.4 Central Training institutes
11.5 State Training Institutes
1 1.6 Functions of State Training Institutes
11.7 Making State Training Institute a Nodal Agency for Training in the State
11.8 Conclusion
.11.9 Let Us Sum Up ,
11.10 Key Words
11.12 Answers To Check Your Progress Exercises
11.0 OBJECTIVES
discuss the different rolesof training,
describe the types of training imparted by the Central Training Institutes,
explain the functions of State Training Institutes, and
discuss the various measures that can be taken f o making
~ the State Training
Institute a nodal agency for training in the State.
Training is an important input for human resource development. It can be viewed as

a reciprocal plucess of teaching and learning, a way of acquiring knowledge and
related methods of work. It lays emphasis on the critical significance and value of
I human asset, which, given the required orientation and knowledge can be more
lasting than the other assets like physical, fiscal etc., which depreciate over a period
of time. The inadequacy in personnel is directly related to the insufficiency of their
training which,in a comprehensive sense, is the real remedy for augmenting
manpower resources in Public Administration. The most practical and effective way '
to overcome this shortage is not by increasing the number of people in the

organisation, but by instituting programmes of training to make available, as quickly
a s e b l e , the skilled and knowiedgeable personnel (administrative, managerial,
professional and technical). The objective is to make the available personnel
bctionally more useful, professioaally more purposeful, better equipped and more
relevant by creating newer capabilities. Training has indecd everything to do with
-
@ese people in tfie organisation their weaknesses, inadequacies, the changing of
their attitude, or to say briefly, tbeir entire Life in the world of work; making them
effective employees, perhaps better persons, aiming at the same time a brighter future
for the organisation. " .
It was to keep in view thk importance of training, and to make it ah or-,
systematic, c o m p t e b d v e activity that, many training institutions were set up in
India after f&pendence, both at the national and state levels. These institutes
impart-a variety of training programmes like foundational, on-the-job, in-service etc. Central and State Training
Institute'\
In this unit, you wili study about different roles of training, the importance of Central,
and State training institutes and the nature of various training programmes,
conducted by the institutes. It also highlights the role of State Training Institute as a
nodal agency for training in the State.
11.2 ROkES OF TRAINING

Training is the process of inculcating in the employees appropriate habits of thought
and action and development of necessary skills, knowledge and attitudes. The .
ultimate objective of training is to enable employees to become effective in their
present and future tasks. Let us now discuss the different roles of training.
Training as a Basic Input for Performance

It is not enough to merely recruit qualified persons in government service. It is
essential to train them towards the various goals and objectives of the organisation to
which they belong and to provide them technical, conceptual and human skills for
performance of different activities. If training is not imparted, perhaps such skills
would be acquired partially by trial and error or by the application of the rule of
thumb and in some cases after committing, several mistakes which might prove to be
detrimental to the organisation as well as the public interest.
Training as an Aid to Attitudinal Change

Training enables entrants in the government service to become familiar with the
specific objectives of their work in the organisation. It also makes them feel that they
have a certain contribution to make towards the society through their work.
Therefort, training generates in them an awareness of the role and importance of
their work. Training also enables a person to develop the right attitude towards time
and cost and thereby a sense of urgency in the disposal of work. It is again very
helpful in developing the right work ethic and concern for the citizens and enables a
person to appreciate a systems approach towards the work and thereby motivates
him/her to cooperate with others in the performance of work.
Training as an Aid to Increased Productivity

Training develops proficiency in the specifics of work, this builds up confidence in
the personnel and thereby increases their interest and capability in performance/of
tasks. In dher words, training develops the personality of the-employees and attunes
to the requirements of work and thus, increases productivity, organisational
effectiveness and efficiency.
Training as an Important Tool in the Context of Implementation of Development

'Plans
The need for training is all the more important in the present context of complex
nature of work, larger in magnitude and multi-disciplinary in character. The
implementation of plans and programmes for socio-economic development of the
nation, alleviation of poverty in the rurd and urban areas, and generation of
employment to meet the demands of rising population requires considerable amount
of involvement of personnel working in government departments in terms of time
and attention and appropriate skills. In meeting the goals of development
administration, training has a very important role of not only providing knowledge
for personnel development and work skills, but also changirlg their attitudes and
values.
Training as a learning process has to be continuous because the needs of

development and modernisation cannot be met by the training of personnel at a
single point of time. Training to be effective, should not be treated as an ad hoc
exercise but as an on-going activity.
11.3 TYPES OF TRAINING

priorities of an area or field. Also it h a its own clientele or target group that has to
be trained and this determines the scope of operations of .the institutions. Now let us
isc cuss broadly, about the various types of training programmes conducted by the
different training iustitutiom,
11.3.1 Fo~dationalTraining
The fresb recruits to the civil qxvices, who after sucaesfuIly competing in the civil
services examiuation join the services, need to be imparted some similar and common
training. The basic objective of this type of training is that, irrespective of the
educational disciplines from which the civil servants come, they should be exposed to
the basics of adminkation, fundamentals of the ~ountry'ssocio-economic realities,
political environment, government's ideology, the overall system of
inter-relationships, inter-dependencies between the different organs, agencies of the
government, between citizens and administration, etc. The idea is also that they
should develop 'camaraderie' and civil service comradeship, which will prove helpful
in their later careers when they work together in the various departments of the
Government of India. This sdrt of training, is considered 'on campus training' where
it is organised h one campus, under the same atmosphere, in the same surroundings, '
to give them an idea of common living, understanding and functioning together.
Keeping these objectives in view the foundational training programme for civil
servants was evolved in 1959. Under this programme the recruits for IAS and other
non-technical services coming through combined competitive/civil services
examination are sent to the La1 Bahadur Shastri National Academy of
Adminimation, Mussoorie.
This trai_ningnow is extended to incrude recruits of higher technical services like

Indian Railway Service of Engineers, Central Engineering Service (Roads) etc.
This sort of foundationaltraining is also concerned with professional aspect of

p e m ~ edevelopment,
l it is concerned with the generation of skill, promotion of
specific competence and improvement of parricu!ar job-centred efficiency. This type
of training is conducted in professional training institutes, staff colleges etc. and also
imparted on the job, or at the workplace through learning by objectives. This training
is also essentially of an 'on-entry' type, Weient from 'in-service' or 'refresher'
training the objectme of which is to update the old skills or to impart new s W s
relevant to the functions performed. Foundational training relating to professional
tasks for the first inductees emphasises, besides showing improved ways of doing
things and new technical know~howof work, the socio-cultural dynamics of the
particular s e ~ c e .
11.3.2 On-&try Training

TliiStraining, which can a h be termed 'post-entry training' may take various forms,
orientation, induction, on the job etc. This on-entry training is to be distinguished
from later career programmes or in-service training which is given to the employees
during their mid-career or 'maturation stage' i.e. at the higher/senior career stage.
This in-service training about which, you will study later may take various forms like
refresher training, retraining, managerial training (management development
progmumes), executive developmerit programmes etc. On-entry training, at the
entry point in service becomes v e j important, as it prepares fresh recruits to the new
job. It is the training which is imparted after recruitment and before assignment to a
job. The 'on-entry' training can be divided into the following phases:
Olientatiolr
It provides a general introduction to public employment usually during the first few
days or weeks of service. It is a sort of familiarisation exercise, which focuses on the
work mvironment i.e. organisationd set up, its aims and objectives, rights and duties
of employees etc.
Induction
Induction training which is also a sort of post-entry training goes beyond orientation
aqd involves instruction (at the outset of public employment) regarding the <,
performance of tasks related to parti- positions, of duties of a certain grade in a

cadre or service. Induction traininn has a s d c iob-centred focus and includes
usually weeks or months of formal instruction soon after the initial appointment. The Central and State Training
Institute*
prjmary object of this is to accelerate the learning process of the individuals about the
basic. of work, its content, procedures, rules and regulations etc.
Induction training is imparted to recruits of All-India Services, Central and Technical

Services in their own departments during the remaining period of probation, before
being given independent charge. For instance, the Institute of Secretariat
Management and Training at Delhi which is also a Central Training Institute
conducts induction training for Section Offieers of Central Secretariat Service and
Indian Foreign Service (B) and orients them towards government procedures, noting,
drafting etc. Also, it holds induction training programmes for directly recruited
members of Indian Economic Service and Indian Statistical Service towards
organisational set up of Central Secretariat and Parliament. Such courses are held
regularly at various Central Training Institutes.
On-the Job-Training
This type of train4lg is based on the premise that a person's best learning takes place
on the job. This rqlates to 'learning while working' through "trail and error" method
or informal practikd introduction to the job or under the guidance of the first-line
supervisor or othdr senior experienced persons in the organisation. This is purely
job-centred i.e. training related to the nature of work and the place of work.
The rapid advance in the socio-economic, technological, educational fields makes it

imperative, orr the part of personnel, to update their knowledge and acquire
specialisation. Hence the initial training and on-the-job training needs to be
supplemented by in-service training which has to be imparted to the employee at the
various stages of hidher career. This enables one to update necessary skills and
knowledge and face the increasing job responsibilities. Now we will discuss the
significance of in-service training and its various types.
11.3.3 In-service Training

In-service training is the training imparted to the employees in their mid-career or at
a later stage in their service. Hence it is also known as mid (later) career training.
Staff development is a continuous process and it is an important factor contributing
to organisational effectiveness. The fundamental assumption behind in-service
training is that since the basic orinitial training imparted to the employees at the time
of joining is not sufficient for their whole career, there is a need for inducting in them
new knowledge, and skills, better attitudinal and behavioural patterns, which would
enable them to face the rapidly changing technological and administrative
environment. It stresses on the development of coherent thinking and problem
solving ability, which enhances their performance levels.
A conference on issues in in-service Training organised by the Training Division of

the Department of Personnel, Government of India in 1981 observed that in many
organisations, the in-service training is sought to achieve the following objectives:
to maintain the present standard of performance;
to improve the present standard of performance;
to give to the employees new skills necessary to meet changing job requirement;
to enable the employees to perform jobs at higher levels as they rise in the
hierarchy.
As we discussed earlier in the unit, in-service training take. the form of either
refresher courses, retraining, or management training etc.
Refresher Courses
Often employees are imparted training time and again in their own occupational
jurisdictions or functional areas or professional specialities. The basic objective of
such courses is to enable them to refresh their knowledge and sLil)s which they had
learnt in their early careers, or to renew/sharpen their skills or to know certain new
thinp, with whicb the employees, being i m m d in the daily routine, have not been
able to keep in touch. This is particularly so in technical occupations like, medicine,
agriculture,cngbeehg, sciena or other related professional fields. Refresher
programmes are conceived as 'consolidation of knowledge, skill and experience'.
In 1985, the Ministry of Personnel, Training Administrative Reforms, Public

Grievances, Pensions and Pensioners' Welfare made it mandatory for a l l IAS officers
of junior, middle and senior levels to attepd the one week refresher course. This sort
of vertical participation from junior to senior levels was necessary to facilitate
interaction between those who formulate policies and those who implement them and
provide for sharing of experiences in policy planning and programme implementation
among participants.
Re-training
A somewhat different, though to an extent allied, concept of training is available in
're-training', which would include instruction in a new field of specialisation or at
least an extensive training in the old field of specialisation. Ordinarily, re-training is
imparted when an employee or a group of employees is to be assigned new tasks or
expanded duties of such magnitude as to constitute almost a new work-assignment.
This is necessary to offer the employee broader skills to tackle tl%ejob-challenges of a
new area.
Management Training
Management Training is a relatively new and interesting development in the area of
personnel management in general, and in the field of training, in particular. Though,
genericalty it may cover all training above the supervisory level, the s p d c typology
of this training is found in Executive Development Programmes (EDPs) and
Management Development Programmes (MDPs). These programmes are meant for
Group A officers of All India/Central Services. These are aimed at enhancing the
awareness of middle levd officers, towards the socio-economic environment,
imparting knowledge of modem concepts and practices of management, providing an
understanding of some of the modem management techniques and tools, and
building up an appreciation of human factors in administration. The Executive
Development Programme is of 6 weeks duration and intended for officers with 6-10
years service in Group A, while the Management Development Programme is of 4
weeks duration and is meant for All India/Central Services Group A with 11-15
years of service.
An assumption which is widely prevalent in the senior circles of bureaucracy is that

the highest level of management does not need any kind of training and that there is
very little for them to learn. Such assumptions are not only inaccurate, but also
damaging to the public interest. It is true that their job does not basically involve the
practice of any particular specialisation, it mainly involves policy-formulation, and
rendering of advice, but to make their outlook and approach integrative and global,
they also need to be exposed at times, towards specific studies of a set of policy
problems or a detailed study of the whole policy making process in some area of
administrative activity. In addition, this training has to be imparted in different ways
of problem solving, leadership patterns, attitudinal changes, motivational techniques
etc. This could be done by sending senior management to professional institutions for
pursuing programmes of advanced training.

S S b
Note: i) Use the space given helo* for your answers.

13- Comment upon the different roles of training.
..."........................................................................................................................................
2) Discuss the sigmficance of foundational training.

Central aud State Training
Institutes
3) Explain the objectives of in-service training.

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11.4 CENTRAL TRAINING INSTITUTES
In India, training for public services has been a long established practice with some
training institutes, which had been in existence, during pre-independence days, at the
time of East India Company. Though there were institutions like College at Fort
Williams in Calcutta (1800- 1806), East India College (1809- 1857) popularly known
as Haileybury College, which were providing some sort of post-entry training to their
higher civil servants, it was only after independence that training became a focal
point of concern of the government. The need for training was felt to improve the
quality of civil servants, and therefore it become an integral-part of the personal
policies of the,government. Almost all the reports on administrative reforms from
Gorwala report on Public Administration (195 1) to reports of Administrative
Reforms Commission (ARC) (1966-72) and those in the post ARC period have
emphasised'the need for a systematic and coherent training and career development
of public services.
The Administrative Reforms Commission was of the view that training is an

investment in human resources, it is an important means of improving the human
potential and increasing the efficiency of personnel.Training, the Commission felt was
necessary immediately on induction to the service and after some years of experience
a person must receive training to suit the specific needs of one's particular field. It
laid considerable stress on mid-career management training and also recommended
training for middle as well as senior management.
As a result of these attempts a number of training institutions have been set up at

the Central and State levels to impart training in administration and management
techniques with a view to cater to the generalised and specific needs of personnel of
public services.
The I 21 Rahadur Shastri National Academy of Administration, the premier Central

Trainirrl; II.,.. -kc, I:~:?s IAS personnel after entry as we! as, later, in their
mid-career, through refresher courses, besides conducting on-entry foundational
training for probationers of different non-technical group A Services. With the
explosion in the number of trainees,.Academy cannot cater to the total training needs
of all, hence various training programmes have now been assigned to different
Institutes, where not only IAS officers, but even others are sent. These are referred to
as Central Training Institutions and National Training Institutions. These include
institutions set up by the government to cater to the training needs of All India and
Central Services Like:
i)Sardar Patel National Police Academy, Hyderabad
ii)
Forest Research Institute, Dehradun
Academy of Direct Taxes, Nagpur
iii)
iv)
Radway Staff College, Vadodara
v)Postal Staff College, New Delhi
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In addition to these, the banking institutions and public sector undertakings also have
their own training centres. Training institutions in the area of rural development have
been set up too like for instance, the National Institute of Rural Development at
Hyderabad, the Institute of Rural Management, Anand. These institutions are doing
pioneering work in training for management of rural development. A number of state
governments have also established their own State Training Institutes (STI's) which
provide post entry and in-service training to members belonging to state civil services
and other employees of government departments, about which you will study later.
The training institutions, besides conducting their, own technical and professional
programmes, organise short-duration, mid-career courses like Management
Development Progratnmes (MDP), Executive Development Programmes (EDP),
Management in Government Programmes (MIGP), depending on the seniority
groupings of the trainees. The content of the training programines cover areas like
Personnel Management, Human Resources Development, Behavioural Sciences,
Financial Administration, Rural Development, Municipal Administration,
Organisation and Methods, Industrial Relations etc. The training institutes manage
these programmes partly through their own faculty and partly through guest faculty
invited from outside for their specialisation, expertise and experience in the specific
areas of work.
11.5 STATE TRAINING INSTITLTTES

The state civil services functioning at the intermediate levels constitute an important
component to the civil services in India. In recent years, with the significant change in
the nature and functions of the state government which includes maintenance of law
and order, civic services, revenue collection, development activities, there has been
considerable increase in the number of entrants to these services and other staff. The
new tasks of government, calls for increasing degree of specialisation, modem
management skills and techniques and also understanding and commitment on the
part of personnel, to perform the tasks.
Training effort, by and large, in most states, has for long been a neglected aspect. The
need for imparting institutional and on the job training to civil servants at various
levels in the states has been emphasised by different Administrative Reforms
Committees. These include Maharashtra Administrative Reorganisation Committee
(1962-68), Andhra Pradesh Administrative Reforms Committee (1964-65), Mysore
Pay Commission (1966-68). The need for formal and institutional training for civil
servants was also clearly recognised by the Administrative Reforms Commission and
its study team on State Level Administration (1967-69). Both recommended that
each state should have a training college/institution. The study team felt that
"training is a continuous process and should be imparted not only to new recruits but
also to those who are already in service...... In a few states the institution of the
officers training school is not in vogue. It is desirable that each state should have an
officersTraining School of its own". All these led to increasing awareness of training
.amongst the states and paved the way for setting up of State Training Institutes
(STIs) in their respective states for providing post entry and in-service training to
their employees.
There are about twenty one STIs. Some of the important ones are:
i) Institute of Administration, Hyderabad.
ii) Sardar Pate1 Institute of Public Administration, Ahmedabad
iii) Haryana Institute of Public Administration, Chandigarh.
iv) Himachal Radesh Institute of Public Administration, Shimla
v) Institute of Management in Government, Trivandrurn.
vi) Punjab State Institute of Public Administration, Chandigarh.
vii) HCM Rajasthan State Institute of Public Administration, Jaipur.
viii) Administrative Training Institute, Calcutta.
ix) Administrative Training Institute, Nainital
x) State Planning Institute, Lucknow.
C e n h l and State T
-
11.6 FUNCTIONS OF STATE TRAINING INSTITUllCS Iatitates
The STI normally performs the following specific functions;

a) Provides training to officers of the All India Services allotted to the state with a
view to acquainting them with the socio-economic, cultural and historical
background of the state and the administrative system of the state government
relevant to their functions and to sensitise them to problems peculiar to the state.
b) Conducts courses for o'fficers of the All India Semces and the state services
which are sponsored by the various concerned ministries of the Government of
India.
c) Organises foundation courses for officers of the state civil services with a view to
foster a spirit of camaraderie in them and to orient them to common basic values
of the administrative system of the state.
d) Organises induction courses for directly recruited officers of the State
Administrative Services and such other services which d o not have induction
training facilities in their concerned departments. Training is imparted, at times,
in specific areas like general management, financial management, office
management, computer application etc., in cases where the departments
concerned do not have adequate infrastructure to impart training in the above
areas.
e) Conducts refresher and in-service training.courses for officers of the state
government in specific areas of interest.
f) Organises programmes for training of trainers of the departments and other
training institutions in the state.
g) Ensures that appropriate and adequate training is imparted to officials of all the
departments at all stages and at suitable intervals at departmental and other
ining institutions and coordinate all such activities in the state.
As discussed earlier there are about twenty one State Training Institutes in our
country and it is necessary to bring about some degree of uniformity in their structure
and activities. This can be done, by identifying the ST1 as the professional training
institution for the State Administrative Service, adopting the pattern of training as
imparted by National Academy of Administration (for IAS), for the State
Administrative Service and also making the ST1 responsible for conducting a
common foundational course for direct entrants to class I1 civil services to be
followed by an inductional trabing programme.
11.7 MAKING STATE TRAINING INSTITUTION A

NODAL AGENCY FOR TRAINING IN THE
STATE
The State Trading Institution as the Apex or nodal state level institution has a very
important role to play in the training of personnel in the State. The main role of this
institution is to not only organise induction, refresher, in-service training programme
for the main services of the state, but also to assess the training needs of officers at
different levels of all the departments/organisationsat the state, and provide
necessary training programmes. It has to draw.up master plans for training of all the
civil servants in the state. If the ST1 has to discharge its nodal role effectively, it has
to assume the responsibility of evaluating training activities from time to time with a
view to upgrading the standards of training.
The state training institute if it has to develop as a centre of excellence in training has
to develop and linkages with relevant national level institutions in the country,
horizontal linkag vertical with other STI's functioning at the same level in other states
so as to strengthen each other and provide a Co operation effect in the field of
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recruited at the district levels. For instance, the Himachal Pradesh lnstitute of Public
Administration has ten branches at its districts. Similarly the Institute of Management
in Government, (Kerala) has two centres at Cochin and Calicut.
Another important aspect is the training of trainers of the Institute, as the quality of
trainers determines the impact of the training programmes. The trainers need to be
exposed to field research work where they are confronted with real life problems
faced by the traihees encouraged to develop case studies for discussion during
training programmes. They are also made aware of developments in training
technologies on a continuous basis. Replacing the lecture system by more
sophisticated systems like syndicates, role play, case study methods etc. becomes an
absolute necessity. Also if the ST1 has to discharge its nodal role effectivily, it has to
assume the responsibility evaluating the training activities from time to time with a
view to upgrading the standards of training.
The general approach to training and crucial role that the ST1 has to play in the
overall context of training in the state, should be unexceptionable with necessary
modifications to take irlto account the special circumstances and conditions in a
particular state.
11.8 CONCLUSION
The number of pining institutes, both at the centre and the states, is indeed very
large. There has been a phenomenal growth in the types of training programmes as
well as the categories of participants. A noteworthy feature of this is that the
significance of training in generating new knowledge, skills and attitudinal changes is
being realised. But one is tempted to infer, judging from the explosion of training
programmes that, there has been significant changes in the efficiency and
effectiveness of the governmental machinery, in achieving its goals, but unfortunately
such a correlation cannot be positively established. The mushrooming of central and
state training institutes is not commensurate with the output in tetms of performance.
There is always a long gestation period for judging the efficacy of training. It is a slow
but steady process. Fot this the faculty, material, infrastructural facilities and latest
techniques have to be harnessed and their quality improved. The objectives of
training have to be defined, training needs have to be assessed, the existing
infrastructure has to be utilised and further strengthened to meet future needs and
the roles and functions of different training institutions have to be coordinated. A
system needs to be evolved to absorb new training techniques and innovations and to
share variety of experiences in training with other national and international
institutions.

1) Discuss the functions of State Training Institutes.
2) What measures can be taken to enhance the role of State Training Institute as a
nodal agency for training in the state.

Training has a very significant role to play as a basic input for performance. It acts as
an aid to attitudinal changes and increases productivity. It is an important tool in the
implementation of development plans. This unit has discussed the evolution of
Central and State Training Institutes in our country. After independence, training
became a focal point of concern of govtrnment and a part of p e r s o ~ epolicies
l of
the government. We also have read about the different types of training imparted to
the personnel which includes foundational training, on-entry and in-service training.
This unit has highlighted the functions of the State Training Institutes and has also
discussed the steps to be taken to enhance the role of State Training Institute as a
nodal agency for training in the state.
11.10 KEY WORDS

Camaraderie: Friendly fellowship
Comradeship: Companionship
Case Study Method: It is a technique of training which utilises actual or created
problems as cases for trainees, who are expected to discuss, analyse the case and
arrive at a course of action.
Gestation Period: The effect of training can be judged over a long period of time as
it involves measuring the effect on various counts such as the adoption of tools and
techniques whether quantitative or behavioural; all this'can be seen only over a long
period of time.
Learning by Objectives: Training imparted to the employees in the organkition,
keeping in view the objectives of the organisation, its system and clikate. It gives
validity to whatever is learnt by the employees and also reinforces the application of
new learning on the job.
Management Developmenti It refers to all learning experiences provided by an
organisation to its employees for the purpose of providing and upgrading skills and
knowledge required in current and future managerial positions.
Management in Government Programme: It is a training programme meant for
officers of both central and state governments with 5-10 years of service in Group A
or at least 8 years of service in Group B. This programme is aimed at acquainting
them with theories and practices of management, its tools and techques and
upgrade their management skills. It orients them in general management, oKce
management, financial management, project planning etc.
Organisational Development: It is a planned effort which involves systematic
diagnosis of the'organisation, the development of a strategic plan for its improvement
and mobilisation efforts to carry out the programme'or the plan.
OrganisQtional Effectiveness: It refers to achievement of organisational goals, which
contribute to overall objectives of the organisation through optimum utilisation of
resources.
Role Play: It is a technique of training in which some problem, real or imaginary
wliich involves human interaction is presented and then roles are assigned to the
trainees which are enacted in the classroom. The central idea of role play is that the
trainee understands the situation from a perspective different'from his dYn like for
example a manager attending a training programme and enacting the role of a trade
union leader.
Rule of Thumb: A rule suggested on the basis of rough calculation by practical
rather than scientific knowledge.
Systems approach to work: Developing in the employees a perspective of how the
organisation has to be seen as one total system. Though organisation may consist of
several parts, each part is dependent upon the other. Whatever decisions,
problem-solving methods are to be adopted, the organisation as a whole has to be
kept in view.
I
rmoael A s e h Syndicate Method: This method basically consists of dividing the trainees into a
4 ,
, number of groups or syndicates to work on different subjects. These syndicates
discuss the issues involved in the assigned subject and present a paper. This is
learning through participation.
Trail and Error Method: It is that form of experimentation or problem solving in
which a variety of methods or theories are tried and discarded before arriving at one
which produces the desired result or correct answer to the problems.

Chaturvedi, T.N. (Ed) 1989. Training in Public Admhistnrtion: m e changiag
Perspective, IIPA: New Delhi.
Maheshwari, S.R. 1989. Lo& Admhsmtion (4th edition), Orient Longman: New
Delhi.
Mathur, Hari Mohan (Ed) 1982. Issues in In-Service Tmiuhg, IIPA: New Delhi.
Mathur, Hari Mohan. 1980. Traning o f Civil Servants in India in Training in avil
Services-India, Malaysia, Pakistan and P q p p i n e s Ed. by Am-taya
and Henrich Siedentopf; Asian and Pacific Development Administration Centre:
Kualalumpur.
Saxena, A.P. (Ed) 1985. Ttaining in Government-objectives and opportunities,
IIPA: New Delhi.

EXERCISES
Role of training as
a basic input for performance
an aid to attitudinal change
an aid to increased productivity
an important tool in the implementation of development plans.
The foundational training is significant in that it provides exposure to the
recruits regarding fundamentals of the country's socio-economic realities,
political environment, ideology of the government and system of
interrelationships between different organs, agencies of the government,
between citizens and administration etc.
It helps in developing 'Camaraderie' and civil service comradeship.
It is considered on campus training where the civil servants undergo training
under the same atmosphere, which gives them an idea of common living,
understanding and functioning together.
It helps in generation of skill, promotion of competence and improvement of
efficiency of job performance.
In-service training contribbutestowards inducting in the employees fresh
knowledge, newer skills, better attitudinal and behavioural patterns.
Develops coherent thinking, problem solving ability which enhances their
performance levels.
Observations of the Conference on issues in in-service training organised in
1981, by the Training Division of Department of Personnel.
CbecLYoarProgress2
1) Seesection 11-6
2) Your answe~should include the following points:
Developing appropriate linkages with
Downloaded from:- https://t.me/Pdf4Exams relevant national level training
institutions and also with'other state level institutions.
Training activities of the State Training Institutes to be decentralised with Central and Sate Training
Iytihtce
setting up of regional and district training centres,
\
Training of trainers.
Incorporating new techniques of training like case study method, syndicates,
role play etc.
Evaluation of its training activities from time to time to. upgrade its standards
of training.

Structure
12.0 Objectives
12.1 Introduction
12.2 Administrative Tribunals - Evolution
12.3 Structure of the Tribunals
12.4 Composition of the Tribunals
12.5 Jurisdiction, Powers and Authority
- 12.6 Procedure for Ablication to the Tribunals
12.7 Advantages and Limitations of the Tribunals
12.8 Conclusion
12.9 Let Us Sum Up
12.10 Key Words
12.12 Answers To Check Your Progress Exercises

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UNIT 1 ADMINISTRATIVE SYSTEM AT

1.2 MAURYAN AND GUPTA ADMINISTRATION

1.3 MAJOR CHARACTERISTICS OP MOGHUL

2) Enumerate the special fc.,tures of Moghul administration.

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2) Make a list of important officials at the p o v i s h l and district leueb.

1.S REVENaE ADMINISTRATION

3) Mention three important revenue officials.

1.6 ADMINISTRATION OF JUSTICE

Note: i) Use the space given below for your answers.

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Historical Context 2) Explain the distinguishing features of the Moghul judiciary. I

1.7 LET US SUM UP

1.8 KEY WORDS

1.9 REFERENCES AND FLJFiTHER READINGS

1.10 ANSWERS TO CHECK YOUR PROGRESS

Check Your Progress 2 Administrative System at

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UNIT 2 BRITISH ADMINISTRATION:

After studying this Unit, you should be able to:

business. So the British were in competition with other European pbwers to

2.2 THE NATURE OF ADMINISTRATION

Effects of the Regulating Act British Administration:

Discuss the major defects of the Regulating Act of 1773.

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2.3 CONSTITUTIONALCHANGES FROM 1784-1834

2.3.1 Pitt's India Act 1784

2.4 THE CENTRAL SECRETARIAT

Note: i) : Use the space given below for your answers.

2) Between 1793 and-1834, the Central Secretariat worked through the

3) Enumerate the five stages in the setting up of the Revenue Department.

4) ......................... reorganised the Secretariat and appointed a Secretary-

2.5 DEPARTMENTS UNDER THE

The office of the Governor-General consisted of the official establishment of his

2.7 BOARD OF REVENUE

-2 3 ROLE OF DIVISIONAL COMMISSIONERS

2) What were the functions of the Board of Revenue?

3) Examine the role of Divisional Commissioners.

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2.10 THE CIVIL SERVICE

Note: i) Use the space given below for your answers. 13

2) Critically evaluate Cornwallis' darogas of police.

3) . What was the contribution of Wellesley to improving the civil service in

1) Your answer must include the following points:

2) 1,2,5,6. British Administration*

Strengthening of the Magistracy.

UNIT 3 REFORMS IN BRITISH

3.2 THE WAR OF INDEPENDENCE AND AFTER

3.3 THE INDIAN COUNCILS ACTS

2) Explain the features of Indian Councils Act of 1861

3.4 THE NATIONAL MOVEMENT AND

3.5 THE MORLEY MINT0 REFORMS 1909

3.5.2 Examination of the Reforms , , Reforms in British

3.7 THE MONTAGUE-CHELMSFORD REFORMS 1919

2) Explain thk important features of Montague Chelmsford reforms.

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3.9 KEY WORDS

3.10 REFERENCES AND FURTHER READINGS