Civil Services: Constitutional position; Structure, recruitment, training and capacity-building; Good governance initiatives; Code of conduct and discipline; Staff associations; Political rights; Grievance redressal mechanism; Civil service neutrality; Civil service activism.

The evolution and Indianisation of Civil Services has been discussed already in a previous article of this blog,please refer - http://publicadministrationtheone.blogspot.in/2012/09/evolution-of-indian-administration.html


Today we will discuss the Civil Services since Independence and its current status.

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CIVIL SERVICES - CONSTITUTIONAL POSITION :
The term 'Civil Services' covers the large number of permanent officials required to run the Government machinery. The Parliamentary governing system of India entrusts the ultimate responsibility for running the administration with the elected representatives of the people,who are the 'Ministers'. These Ministers are accountable to the Legislature who are also elected by the people on the basis of universal adult franchise. Thus, this whole system ensures that these elected representatives are indirectly responsible to the people at the end.
However the handful of Ministers representing the government of India and states cannot be expected to deal personally with the manifold problems of modern administration. So, the Ministers keeping in mind the people's needs for which they have been elected to fulfill,lay down the policies(assisted by the civil servants) and it is for the civil servants to carry out these policies effectively and efficiently putting their specialist,practical and technical administrative experiences to use.

The Constitution through Article 312 adopts specifically the IAS and IPS cadres which had already been created earlier.
It empowers the Union Parliament to create more of such All India Services whenever deemed necessary or expedient in National Interest,provided the Rajya Sabha passes a resolution to the effect supported by not less than two thirds of the members present and voting. The Rajya Sabha has been given this privilege because it is composed of the representatives of different states,so its support will ensure the consent of the states to the creation of the new Services. The Indian Forest Services and the Indian Foreign Services are the two All India Services set up under and after this Constitutional provision.
The Constitution also authorises the Parliament to regulate by law,the recruitment and the conditions of services of persons appointed to these services.
For details of this Act - http://en.wikisource.org/wiki/Constitution_of_India/Part_XIV#Article_308_.7BInterpretation.7D

The first Public Service Commission was setup in 1926. Courtesy Sardar Vallabh Bhai Patel's efforts,  the All India Services was approved and formed with the services of IAS and IPS right at the beginning.  Later on,in 1961 a new All India Services were formed through the Rajya Sabha ,namely,the Indian Forest service.

The All India Services are a creation of certain services common to both - Centre & states. The officers are not exclusive to the Centre or states and may at any time be at the disposal of either.






CIVIL SERVICE VALUES:
A member of the civil service in discharge of his/her functions is to be guided by maintaining absolute integrity, allegiance to the constitution and the law of the nation, patriotism, national pride, devotion to duty, honesty, impartiality and transparency.







CIVIL SERVICES CODE OF CONDUCT AND DISCIPLINE:
The Government of India promotes values and a certain standard of ethics of requiring and facilitating every civil servant:

• To discharge official duty with responsibility, honesty, accountability and without discrimination.
• To ensure effective management, leadership development and personal growth.
• To avoid misuse of official position or information.
• To serve as instruments of good governance and foster social economic development.

Refer for in detail analysis to - http://publicadministrationtheone.blogspot.in/2012/08/personnel-administration-importance-of.html under the topic named - Code of Conduct .

Disciplinary action viz. Civil Services has been discussed already on a previous article of this blog under the topic Discipline, please refer to -  http://publicadministrationtheone.blogspot.in/2012/08/personnel-administration-importance-of.html .



Refer here for the above topics in IGNOU notes as well - http://www.scribd.com/doc/86650961/Www-Prep4civils-Com-Pub-Ad-04-Personnel-Admin-Sit-Ration



STRUCTURE OF THE CIVIL SERVICES:
There are two classes/classifications of services in the country as provided by the Constitution of India:

i) All India Services (IAS,IFS(Forest),IPS) -Appointments to these positions are done by the President Of India. These officials serve both the states and Centres. However their career and graph,service matters and conditions as well as grievances are handled by the Union Govt.

ii) Central Civil Services - Concerned only with the administration of Union Government's Ministries and departments(apart from Union Cabinet Ministries/Departments as that is handled by Cabinet Secretary and his/her office). Group A services are made by the President Of India and Group B officers are appointments are made by the authorities specified by a general or special order of the President.

iii) State Civil Services - For all the respective State ministries and departments.

 For more details on the specific posts of the above mentioned classifications, refer - http://en.wikipedia.org/wiki/Central_Civil_Services_(India)#Central_Civil_Services_.28CCS.29








RECRUITMENT TO THE CIVIL SERVICES:
Under Article 320 of the Constitution of India, the Union Public Service Commission is among other things required to be consulted on all matters relating to recruitment to civil services and posts.
Recruitment is made by one of the following methods:

i) Direct Recruitment - Conducted broadly under the following two methods:
a) Recruitment by competitive examination followed by 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.
b) Recruitment by selection through interview only.

ii) Promotion - From Group B to Group A,from one grade to another,etc.

iii) Transfer - Transfer on deputation(for a short period) or permanently between centre and centre officials or Central and state officials.


The UPSC conducts recruitment to the All India Services as well as the Central Civil Services, and the State Public Service Commissions conduct the recruitment to the State Civil Services.

Please refer to topic 'Recruitment' in - http://publicadministrationtheone.blogspot.in/2012/08/personnel-administration-importance-of.html







TRAINING AND CAPACITY BUILDING OF CIVIL SERVICES:
Young recruits to the Indian Civil,Police & Foreign services are given a five months foundational course at the National Academy at Mussourie(LBSNAA) and then special training in the training institutions which is service oriented for their respective services. The IAS stay behind in the academy to undergo further institutional training,and the IPS and IFS leave for their respective training institutions.The idea behind the five month foundational course is to instill in the officers of the higher services an understanding of the constitutional,economic and social framework within which they have to function as these largely determine the policies and programmes towards the framing and execution of which they will have to make their contribution,besides acquainting them with the machinery of the Government and the broad principles of Public Administration,aims and obligations of the Civil services and ethics of the profession.  The IAS service matters and conditions of service are managed by the Ministry of Personnel and Training.

After the IAS officers complete their training,they are sent to the state(allotted through cadre) for practical training. At the end of this training,he has to come back to the Academy for a second spell of training where emphasis is placed on the discussion of administrative problems encountered or observed by the probationer during his state tenure(which is one year). At the end of this second spell,the probationer has to sit for another UPSC exam before being given charge of a district sub-division.

The same follows for the IPS(under Union Home Ministry) and IFS(under Ministry of External affairs),after they finish their institutional training for their respective services which is for about one year,they again have to go through a UPSC exam before they are posted to their respective offices that are allotted to them.

For top Government and Business executives,the Administrative Staff College,Hyderabad provides a 4 month course for development of executive and managerial practices of administrators that helps effectively carry out administration of various national as well as international development programmes in this LPG era.
Many training schools have been set up in several States to train recruits to the higher levels of
the state services.
Refresher trainings are also provided from time to time (15 years in service officers) through the Indian Institute of Public Administration for capacity building of the civil servants and also a number of measures have to be taken ,and ,are in fact being taken for simplification of rules and procedures, delegation of enhanced powers,better enforcement and accountability and speedy redress of public grievances.
This as well as Promotion,Performance Appraisal and pay and service conditions of civil servants has been discussed in detail in previous posts of this blog,refer - http://publicadministrationtheone.blogspot.in/2012/08/accountability-and-control-concepts-of.html
http://publicadministrationtheone.blogspot.in/2012/08/techniques-of-administrative.html
http://publicadministrationtheone.blogspot.in/2012/08/development-dynamics-concept-of.html
http://publicadministrationtheone.blogspot.in/2012/08/personnel-administration-importance-of.html


The lack of a sound and integrated training policy for employees is a major flaw and there is no direct connection between training and promotion therefore administrators are not encouraged to go in for trainings. Also the training modules and content need to be according to the times as well as the changing socio-economic climate of the society and administration to be relevant.





CENTRAL CIVIL SERVICES TRAINING AND CAPACITY BUILDING:
The Central Civil Services too attend a five month foundational course at the LBSNAA and other Central Training Institutes before they are sent to trainig for their respective services,they are unifunctional in nature so their syllabus differs from that of the All India Services and is concerned more regarding their work. He is also given practical training and at the end of it he has to pass a departmental examination in the subjects directly related to his work before he is sent for his first posting in that respective department that is under his cadre. The FInance Ministry takes care of their service matters and conditions of service.

Also refer for in depth analysis - http://publicadministrationtheone.blogspot.in/2012/08/personnel-administration-importance-of.html








GOOD GOVERNANCE INITIATIVES IN CIVIL SERVICES:

 Good Governance as a concept has been discussed earlier in the posts on this blog, for that please refer - http://publicadministrationtheone.blogspot.in/2012/07/wilsons-view-of-public.html
http://publicadministrationtheone.blogspot.in/2012/08/accountability-and-control-concepts-of.html
http://publicadministrationtheone.blogspot.in/2012/08/development-dynamics-concept-of.html
http://publicadministrationtheone.blogspot.in/2012/08/techniques-of-administrative.html


There is as such no definition of good governance, however it is a type of performance calculator of a government of a country on the basis of certain parameters of a government functioning that protects and encourages human rights in a country. As specified by UNESCAP those parameters are - whether the governance of a country is participatory, consensus oriented, accountable, transparent, responsive, effective & efficient, equitable & inclusive and follows the rule of law.

The World Bank has identified three discrete aspects of governance which needs to be emphasized for reform: “i) the form of political regime; ii) the process by which authority is exercised in the management of a country’s economic and social resources for development; and iii)the capacity of government to design, formulate and implement policies and discharge functions." This again establishes the close link between democracy, economic development and good governance.

So now,as we can see from the above that civil services is a very pivotal part of good governance and so civil services reforms are a part of Good Governance. There have been many reforms as such :
i) Right to Information Act

ii) E- Governance , National Knowledge Commission

iii) Committee on civil services reforms ( P.C. Hota Committee) -  emphasized the use of information and communication technologies (ICT) to transform Government by making it more accessible, effective and accountable. It stressed on the need to recognize that e-governance is about discarding old procedures and transforming the process of decision-making and that technology is merely a tool and a catalyst for such transformations. Significantly, the concept of public-private partnerships has been recognized as a guiding principle to that end.

iv) Prime Minister's award for excellence in the field of Public Administration

v) Citizens Charter

vi) Increase in pay through sixth pay commission

vii) First Administrative Reforms Commission- Recommended especially on recruitment, recruitment agencies, training, promotion, service conditions, etc. &
Second Administrative reform Commission - Headed by Veerappa Moily has recommended that the subject of Public Administration/Governance be made mandatory for aspiring civil servants, besides setting up National Institutes of Public Administration and the Central Services Authority. The Government of India has come up with a draft Public Services Bill (2007) that aims to change the nature of the civil services as well as face the challenges to governance in the context of complex global challenges. This paper presents an overview of the changing nature of civil services in India in the post-Independence period with emphasis on the reforms and the challenges ahead.

viii) Aadhar or Unique Identification Authority of India

ix) Many Election reforms through the Election Commission

x) Expenditure Reforms Commission -  that emphasized on a drastic downsizing of the government staff strength for securing modern and professional governance and also reducing the increasing salary bill of the Government of India.

xi) The D.S. Kothari Committee Report on Recruitment Policy and Selection Methods, 1976, interalia recommended a major change in the examination system. It recommended a two-stage examination process – a preliminary examination followed by a main examination. This Committee also suggested changes in the training pattern for the civil services.


The Department of Administrative Reforms and Public Grievances has proposed a framework for good governance in the form of a Code of Governance. The main components of this Code are: (i)improving service delivery; (ii) development of programmes for weaker sections and backward areas; (iii) technology and system improvement; (iv) financial management and budget sanctity; (v)accountability and transparency; (vi) public service morale and anti-corruption; and (vii) incentivizing reforms.






STAFF ASSOCIATIONS & POLITICAL RIGHTS OF CIVIL SERVANTS:
This has been covered in the following post under the topic of Employer-Employee relations - http://publicadministrationtheone.blogspot.in/2012/08/personnel-administration-importance-of.html






 GRIEVANCE REDRESSAL MECHANISM FOR CIVIL SERVANTS:
Already discussed in http://publicadministrationtheone.blogspot.in/2012/08/administrative-law-meaning-scope-and.html under the topic of Tribunals.






CIVIL SERVICE NEUTRALITY:
One of the foundational pillars of an effective,competent and corruption free civil service is for it to be neutral & fearless in its approach & faithful to the Constitution(the people) while carrying out their duties , and not soliciting for patronage from any party for vested interests.

 The founding fathers of the Constitution wisely provided, by making provisions in Part XIV of the Constitution, for apolitical and independent civil services, with requisite
protection for service matters that pertain to both the Union and the states.
This is enhanced through the Constitution of India through the practice of Ministerial accountability to the Lok Sabha for administrative action.
The concept of neutrality has three implications: (i) public confidence in the non-political character of public service, (ii) confidence of ministers belonging to any political party in the loyalty of the permanent subordinates, and (iii) high morale of public servants based on the confidence that promoting would be made not on the basis of political considerations but on merit. This was developed in Britain Switzerland and other countries that follow British pattern of administration.

Unfortunately, political interference and administrative acquiescence has severely dented the professional fibre of the service,reason being civil servants being in fear of regular transfers if not giving into the political masters and the politicians not allowing these civil servants to do their jobs due to their vested interests and initiate unnecessary disciplinary actions and transfers and using them as a tool against honest and upright civil servants who do not bow down to their unholy demands.

Still, the solution to this rests upon the Public servant's shoulders more. Civil Servants have to bring a new orientation to rules by which the everyday conduct of public affairs has to be regulated. Civil servants have much to contribute to the shaping and not just implementation of the policy.They should remain upright with full integrity and perform their duties even if it means a transfer. And if wrongly charged,then approach the grievance redressal mechanisms(legal as well as constitutional) and courts in the proper protocol and fight against the injustice,because in the end the truth alone will triumph.

Complaints to CVC(which is only an advisory body and requires permission of the respective Ministry/department for direction to CBI to investigate),CBI,Police or Lokayuktas can be done regarding erring Bureaucrats or Ministers, however all these organisations come under the control of the Centre/Union and states and therefore this is the big lacunae causing people to fear consulting it.

These organisations need to be made independent of political functioning in order to have an effective anti-corruption machinery in India.

However, one should not lose hope and approach these as and when required,because if one is persevering then justice can be achieved.

A strong Lokpal Bill will also bring in a lot of hope,but unfortunately this too is being dilly-dallied due to vested interests.

A good Whistleblower Protection Bill  is the need of the hour to ensure civil service neutrality as well as civil service activism. The Whistleblower protection Bill has been in consideration since a long time by the Union Cabinet,however it is yet to get a face.






CIVIL SERVICE ACTIVISM:
Civil service activism includes all steps like for eg. civil servants holding public meetings, asking for feedbacks, making people aware of their rights, ensuring quality of goods and services provided by the govt is up to the mark, inspection, monitoring, reports, and taking a strict stand against policies or decisions of their ministers that are against his constitutionally specified duties,and bringing in major reforms and overhauling in the office he/she has been allotted to and its management,making it people-centric and transparent.
A very good example of this at the present moment is that of CAG of India Mr. Vinod Rai and his reports on 2G as well as the Coal allocations/licences in the Parliament.
Another good example of earlier times of such activism can be given of Mr. T.N Seshan,the former Chief Election Commissioner who was largely successful in ending electoral malpractices in India and making the Election Commission a powerful,efficient and transparent body.
Madam Kiran Bedi is another shining example of Police reforms during her stint as an IPS officer.

Do refer to this very informative press release by The Hindu Newspaper - http://www.thehindu.com/opinion/op-ed/article2532180.ece



This article ends here.





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The next chapter of the UPSC Mains syllabus i.e. - 

Financial Management:
Budget as a political instrument; Parliamentary
control of public expenditure; Role
of finance ministry in monetary and fiscal
area; Accounting techniques; Audit; Role
of Controller General of Accounts and
Comptroller and Auditor General of India.

has already been discussed in detail in a previous article of this blog,so please refer to - http://publicadministrationtheone.blogspot.in/2012/08/financial-administration-monetary-and.html (for the topics -
Budget as a political instrument; Role
of finance ministry in monetary and fiscal
area; Audit;
Comptroller and Auditor General of India) ,


For the topic - Role of Controller General of Accounts and Accounting Techniques, refer to - http://www.cga.nic.in/ , http://www.cga.nic.in/html/Vision_and_Mission.htm , http://finmin.nic.in/the_ministry/dept_expenditure/controller_general_accounts/index.asp , http://220.227.161.86/103251018-1029.pdf , http://www.siliconindia.com/shownews/India_to_change_format_of_government_accounting_-nid-56256-cid-TNI.html & http://www.indiastudychannel.com/resources/142585-Accrual-Accounting-India.aspx

&

Regarding the topic - Parliamentary/Legislative control over Public Expenditure , refer to - http://publicadministrationtheone.blogspot.in/2012/08/accountability-and-control-concepts-of.html




Note:  FINANCIAL ADMINISTRATION AND FINANCIAL MANAGEMENT:
Financial administration is the higher level or the father figure of Financial Management. It concerns itself with the overall determination of policies, setting of major objectives, the identification of general purposes and laying down of broad programmes and projects. It provides the guidance, leadership & control of the efforts of the groups towards some common goals.
It is done through elected representatives of people,that is Ministers and Parliament assisted by civil servants.

Whereas, Financial Management involves conceiving, initiating and bringing together the various elements; coordinating, actuating, integrating the diverse organizational components while sustaining the viability of the organization towards some pre-determined goals layed down by Financial Administration. In other words, it is an art of getting things done through & with the people in formally organized groups.
Financial Management (which is carried out through the Finance Ministry's Department of Expenditure) is concerned with what happens after the political and legislative processes are done with , and finance/revenue has been appropriated as per the Budget. It is concerned with the employment of management techniques of financial management in disbursing,accounting and auditing of the finance/revenue given out to the requisite departments and ministries for implementation/administration of the Budget under the aegis of the Finance Ministry.
This Financial management is carried out through the civil servants (recruited through UPSC to the Central Civil Services Group A - Indian Audits & Accounts Service who are known as the Principal Accountant General(Audit functions) and Accountant General ( Accounts) in each state. Bigger states may have an additional Accountant General -Audit as well) and their secretariat offices in the respective Ministries/Departments, and the CGA(Controller General of Accounting) of India & the CAG Of India . The civil servants,in charge of accounts compile the reports of accounts and submit to the CGA who then submits his reports to the Finance Ministry, and, the CAG for audit so that these both reports can be presented in Parliament by the President and by the Governor in the state Legislative Assembly.
The Audit officers of the states submit their report to the CAG who audits it at his level once more along with the CGA's Accounts reports and provides for it to be tabled in the Parliament by the President and in the state Legislative assembly by the Governor for review by the Parliamentary Accounts Committee and the Parliamentary proceedings thereafter.
Please refer to - http://finmin.nic.in/the_ministry/dept_expenditure/index.asp
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The next article on this blog will cover:

Administrative Reforms since Independence:
Major concerns; Important Committees and
Commissions; Reforms in financial management
and human resource development;
Problems of implementation.


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District Administration since Independence: Changing role of the Collector; Union -state local relations; Imperatives of development management and law and order administration; District administration and democratic decentralization.

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DISTRICT ADMINISTRATION - EVOLUTION:
District as a basic unit of field administration has been in existence through the ages. It is surprising to know that it has not changed substantially since the times of Manu in his description of a district in Manusmrithi where 1000 villages were grouped together to form a district and placed under the charge of an officer. However,the territorial structure of administration of India can be traced to the Mauryan era where revenue villages were called  'gramas',a group of revenue villages called 'stana'(visaya or taluk),several 'stanas' called 'aharas' or the District,a group of Districts called 'Pradesh' or the region/state and several 'pradeshas' called the 'Janapada' or a province/country.
The head of the District Administration had both revenue as well as police functions and is comparable to the present day District Collector. The District Collector's office succeeded the office of Kirori/Faujdar in the Mughal period.
Under the British rule and their experiments with the field of administration,in 1781 the district again became the unit of administration under the District Collector as the District head.
Thus,the present day District Administration has historical roots. However, this was non transparent and was laid out for loyalty to the British rule and establish its hegemony through the length and breadth of the country through a strong,disciplined and supervised office of the District Collector for regular collection of revenue.

Independence,and adoption of welfare state necessitated a complete reorientation of the concept of District Administration. The main stress has been on Development Administration and the introduction of the Panchayati Raj Institutions was a radical change in the field of district administration as it called for strengthening of the local units vs the office of District Collector and reducing the latter's role to that of a supervising and coordinating authority only in many states (Andhra Pradesh & Rajasthan)whereas in some states the Zilla Parishad or District level bodies still retain a stronghold (Maharashtra and Gujarat).

Let's discuss this in detail below .








DISTRICT ADMINISTRATION SINCE INDEPENDENCE:
The District in India is the cutting edge of administration. The District administration is headed by the District Collector/Deputy Commissioner,drawn from IAS and he is responsible among others for the general control and direction of the police which is headed by the Superintendent of Police.
The District is split up into a number of sub divisions called 'Talukas' for the purpose of Administrative convenience. And to have a better supervision of the many Taluks,there has been a grouping of the taluks,each group of taluks under a Division which is headed by an official called 'Tehsildar'. These Tehsildars are state level officers and are called subdivisional or revenue divisional officers. Right at the bottom of Dsitrict>Divisions>Taluks there are the basic units which are the villages. in some states the Blocks and Taluks are coterminous in District Administration. The District Collector through the ZIila Parishads,Blocks(Panchayat Samithis)/Taluks and Gram Panchayat administer development programmes and supervises them. However,massive non-transparency due to illiteracy among people these officials are often found involved in wrong doings and erratic behaviour as well as functioning as agents of the ruling state party or Union/centre's  leading to revolts and outbursts from time to time. This hinders growth and development majorly.







CHANGING ROLE OF THE DISTRICT COLLECTOR:
We have already discussed the evolution and role of the District Collector before Independence,now we shall look into its growth and status post independence.
District Collector(DC) is also known as the Deputy Commissioner in states like Karnataka and Punjab.
Ever since the creation of this office in 1772,the District Collector's office continues to be the administrative head of District Administration. Basically,the DC has three major functions namely revenue,magisterial and developmental. Apart from these major functions,a large number of miscellaneous functions are also entrusted to him by state and Central governments like conduct of elections,dealing with calamities,supervising local govt. institutions,etc..
Collector was mainly entrusted with revenue administration,however, since Independence with the considerable change in the nature of the state from police rule to development and welfare his role to has shown a shift in the direction of development as he implements all the development programmes. The collector has overall control of the police administration of a state and this he is assisted by the Superintendent of the Police who is in charge of the whole district police force. The Collector advises the government on various aspects of law and order.
Since he is a Generalist,he coordinates the activities of overall departments under Specialists like Engineers,doctors,etc. by holding meetings among them at periodic intervals.
He is also to be the Friend,Philosopher and Guide of the Panchayati Raj Institutions.






FUNCTIONS OF THE DISTRICT COLLECTOR:
i)Maintenance of Land records,collection of Land revenue and allied matters.
ii) Land acquisition.
iii) Control over extraction of Minor Minerals and collection of royalty for minor minerals.
iv) Local Self Govt.
v) Resettlement of Project Affected Persons during Disaster management and during riots/external aggression.
vi) Town Planning
vii) Elections
viii) Entertainment
ix) Civil Supplies
x) Land reforms
xi) Poverty alleviation
xii) Law and Order,supervision of police and jails,supervision of subordinate executive magistracy,hearing cases under the preventive section of the Criminal Procedure Code,certification to execute capital punishments.


This is the changing role of the Collector from the ancient times and British times to the contemporary times since Independence.

Even though the District Collector's office has undergone many changes since its inception,he still holds major importance in Centre-State relations and development at the local levels.






UNION-STATE LOCAL RELATIONS:
The Union and Centre relations have been discussed in detail in the previous article of this blog.
Today we will be discussing their relations in regard to local govt.
When the British left India, Sardar Patel pressed for, and got the approval for retaining the ongoing civil services machinery, however, with a more welfare and people oriented approach in order to maintain the highest possible standard of efficiency & giving the civil service an experience at the Centre; leading to efficiency and administrative experience of the District, and of it serving as a liasion between the states and the Union/Central govt,and of introducing both in the states and at the Centre a progressive and wide outlook and freshness and vigour of administration. Thus,was born the All India Administrative Services.
Though the local govt. comes under the subjects of the state list,still,the overall policy framework,funding and Planning in India is centrally controlled. So,since functioning and day to day affairs of the state local government offices and officials come under the state list therefore,the Centre provides for policy making and Planning functions as well as funding and the implementation part is passed on to the states for efficiency and successful implementation of the schemes purposes. And this is reviewed by the Union/Centre from time to time as discussed in the Planning Commission article earlier in this blog.
Therefore,welfare policies/schemes and programmes are of three types:
i) Centrally sponsored - Where the Centre takes responsibility of the all or 2/3rd of funding.
ii) Centre-State sponsored - Where the funding is shared equally between the two governments.
iii) State sponsored schemes - Where funding is totally from the state side.

One must take note that the District Collector is a Union/Central officer as he is appointed by the state government from the Indian Administrative Services . All his career progression and service related issues and grievances are handled by the Central govt.
It has been systemised in such a manner so that the DC functions in a neutral and unbiased manner,without any fear,  regarding his/her duties and responsibilities ,and implementation of welfare/development activities of both the Centre and the state in the respective district he/she has been assigned to.
Even though the DC's career and service matters are dealt with the Centre and he will eventually proceed from the states to the centre in his career graph,he has to first prove his mettle at the state level, and at this level he works under the supervision of the state government and reports to them regarding discharge of his functions.


Secondly, coordination between centre-states is important for proper supervision of implementation of these schemes and programmes to achieve the welfare policies.

However, issues plaguing this system are there and to study it in detail,refer to - http://planningcommission.nic.in/reports/articles/ncsxna/ncsax2a.htm








IMPERATIVES OF DEVELOPMENT MANAGEMENT AND LAW AND ORDER  ADMINISTRATION:
Development management deals with the coordination and management processes of international development programs and projects. The dominant paradigm in development management is the intervention in the form of a transfer of aid by an external agency/donor and the oversight of the related project cycle, i.e. project identification, planning (formulation and appraisal), implementation and monitoring, and evaluation.
The term development management is used in the sense of achievement and objectives with optimum use of limited resources in manpower, finance, material, time and also active contribution to the clarification and reformation of policies and objectives.
The urgency/imperativeness of this is seen in light of the LPG era and immense pressure being put on developing nations to achieve goals and policies being set by the International organisations and the obligation to fulfill these to remain updated and in the race. However,one must note that not every country can compete as the other,however,India specifically needs to shift its focus from development administration to a more efficient development management perspective and practice in order to remain in the league. For this many courses as well as programmes are being rolled out bu the country's education system as well as sponsored by the international organisations. Also, there should be a lot more emphasis on re-training of administrators in service to develop these management skills and become more efficient to achieve these goals and objectives.

 Law and order(judiciary,Police,etc) administration is one of the most important function performed by the Government. Infact,the survival of administration depends upon maintenance of law and order in a country. The functioning of law and order administration comes under the state list with the Union/Central government having advisory and coordinating role(discussed in last post on this blog). Unfortunately,in view of the prevailing atmosphere of violence in the country,attention to law and order is called for,but,the sad part is that this is being neglected in favour of development administration.
Therefore,it is imperative that law and order is given adequate attention and it is built up both on the infrastructural as well as intelligence and implementation level and its grievances and issues sorted out if we want a sound welfare state where development and law and order go hand in hand otherwise development will be stalled.







DISTRICT ADMINISTRATION AND DEMOCRATIC DECENTRALISATION:
Democratic decentralisation here is used in reference to the 73rd and 74th amendment acts of 1992 that set up rural and urban local government bodies,viz. Panchayati raj institutions(PRIs) and Municipalities respectively.
The PRIs were set up to move decision making centres closer to the people by transferring the powers of decision making from higher authorities to them,all development schemes and its funds to be channelised through them,inculcating leadership qualities among the rural masses,encouraging people's participation in planning and policy making,etc.

However the ground relaities are:
i) Bureaucratic resistance to delegation of power to PRIs
ii) Vested interests of higher officials and middlemen take over in between.
iii) Elitist behaviour and biasedness among the bureaucrats and government officials.
iv) No incentive to the DC in development activities.

However,there has been constant debate as to whether the District Collector who represents the Centre and states be a part of this or he should simply supervise as the minds of the rural people are constantly suspicious towards them. This causes a lot of problems in effective administration and implementation of programmes.
Another aspect to this debate is that with so much of responsibility,the DC will be distracted from his other major functions like law and order,etc.


Solutions to the above mentioned issues:
i) Changing the mindsets of both the DC and the PRIs through attitudinal training
ii) Role and Goal clarity specifically put in front of both so no confusions and encroachment is done later.
iii) A good complaint and redressal system/mechanism for both through a neutral administrative or judicial body.

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Also refer to topic ' Government Reforms' here -  http://planningcommission.nic.in/reports/articles/ncsxna/ncsax2b.htm#2d


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The next article on this blog will cover:

Civil Services:
Constitutional position; Structure, recruitment,
training and capacity-building; Good
governance initiatives; Code of conduct and
discipline; Staff associations; Political rights;
Grievance redressal mechanism; Civil service
neutrality; Civil service activism.

State Government and Administration: Union-State administrative, legislative and financial relations; Role of the Finance Commission; Governor; Chief Minister; Council of Ministers; Chief Secretary; State Secretariat; Directorates

The relationship between the Union and states regarding governance and administration has already been discussed quite in detail in a previous post of this blog - http://publicadministrationtheone.blogspot.in/2012/09/union-government-and-administration.html

However,it was in light of the Union and its powers.

Therefore, today we will discuss the functions assigned to the state governments in the Constitution and the way in which the state administration is organised to perform these functions.

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STATE GOVERNMENT AND ADMINISTRATION:

 The Constitution provides for the powers of the Union and state governments and we have already discussed the Union list in the previous article of this blog.

So,today we will elucidate on the state list.

The state list comprises 61 items over which the state has exclusive jurisdiction like public order and police,agriculture,forests,fisheries,public health,local government,etc. 

UNION - STATE  ADMINISTRATIVE & LEGISLATIVE RELATIONS:

Though the subjects in the state list above are under the exclusive jurisdiction of the states,but,under the following circumstances the Union Parliament can legislate on these matters:

i) In national interest,the Council Of states ( Rajya Sabha) by a resolution of 2/3 of its members present and voting may authorise 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,Union 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.

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.

There are three types of bills in the state legislature which are - Ordinary bills,Money bills & Constitutional amendment bills and the bill passing procedure is the same as the union parliament if there are two houses in the state. If there is only one house then it is to be passed by that house and presented to the governor for giving it his assent for it to become an Act. The governor can send the bill back for a reconsideration or reserve it for the assent of the President.

Now,there is a third list too, known as the Concurrent list on which both the Union as well as states have concurrent jurisdiction. Lets take a look at that.

In this context do refer to the Punchchi Commission's recommendations on Centre-State relations in - http://www.preservearticles.com/2011092814259/what-were-the-main-recommendations-of-punchhi-commission.html

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Key recommendations of the Sarkaria Commision's report on Centre - State relations as well - http://www.outlookindia.com/article.aspx?209702

CONCURRENT LIST:

The Concurrent List comprises of 52 items on which both the Union as well as states have concurrent jurisdiction. The important subjects are - Criminal Law and Procedure,Marriage,Trusts,Civil Procedure,Insurance,Social and Economic Planning,etc.

However, pre dominance in this list is given to the Union when there is a repugnancy between Union and the state law relating to the same subject. If,the state law was reserved for a Presidential assent and subsequently receives it then 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 regarding the interpretation of the entries in the three lists is to be decided by the Courts. And even in the interpretations the Union is given more priority and prevalence.

Though the executive powers lie with the state legislatures in regards to the Concurrent List,however, :

i) Where there is a law of Parliament relating to such subjects vests some executive function in the Union,e.g. Industrial Disputes Act,1947, then the Union will take over.

ii) Where provisions of Constitution itself vest some executive functions upon the Union,e.g. implementation of treaty or international obligation.

Apart from an Emergency,the Union has the power in normal times as well to give directions to the state governments in the exercise of their executive powers in the following cases:

i) To ensure compliance with Union laws.

ii) To ensure that exercise of executive power of the state does not interfere with the exercise of the executive power of Union.

iii) To ensure construction and maintenance of the means of communication of national or military importance by the state.

iv) To ensure protection of railways in the state.

v) To ensure implementation of schemes for the welfare of SC & ST.

vi) To ensure that the administration of a state is carried on in accordance with the provisions of the Constitution.

The All India Services which are IAS and IPS form an integrated well knit service pool to cooperatively manage important and crucial sectors of administration in the country between both the centre and states. THe recruitment,training,promotion,disciplinary matters are determined by the state government and on entry of an official,he is allocated to a state of his cadre to serve under the state government. After acquainting himself,the officer moves on to the centre to occupy positions of responsibility in the Central Secretariat or other important central govt. organisations. Thus,the official is appointed by the centre but serves the states and takes his experience to the centre and thus represents the state needs at all necessary times.

Constitution of Joint PSCs for two or more states is an arrangement when two or more states agree to have one PSC and for it to come into effect,the Parliament passes a law.

There is a High Court of every state and at times for proper administration purposes there is one court for two or more states. The judges of High Court are appointed by the President on consultation with the CJI of the Supreme Court and the governor of the respective state.

Inter State Council enquires into and advises upon disputes which may have arisen between states and in addition it may also investigate and discuss subjects of common interest between the union and states or between two or more states in order to facilitate coordination of policy and action. They are setup by the President and its examples are - Central Council of Health,Central Council of Local Self Government,Council of sales tax,etc.

Inter state water disputes act,1956 was enacted by the Parliament setting up tribunals for adjudication of water disputes between union and a state or two or more states and between one state and another or two others,etc.

Other devices in practice to secure union-state cooperation and conflict resolution also exist which are extra constitutional devices like Governors Conference headed by the President ,Chief Ministers conference,Conference of IGPs of states,Planning Commission and NDC discussions on five year plans,etc where representatives of all states get together and discuss various issues within themselves and the Union for a consensus.

Other techniques of executive control over the states by the Union and Parliament are the power to appoint and dismiss Governors,High court judges,state public service commissions rests with the President.

Emergency as well as legislative techniques have already been discussed above,however,one must note that if the the President through the governor of a state is convinced that there is a situation in that state where the administration cannot be carried on in accordance with the provisions of the Constitution then the President declares a state emergency under article 356 of the Indian Constitution and President's rule(Parliament takes over all functions of state govt.) prevails over it until the situation is restored to normal. This decision of the President must be approved by the Parliament within 2 months of the President's declaration and can be imposed for 6 months lasting for a period of maximum three years and ratified for extension by the Parliament every six months.

The Union has the constitutional duty to intervene and protect every state against external as well as internal aggression by releasing the armed forces under it which are, the CRPF,BSF,etc. At times the Union does not require the consent of the state and can take action at its discretion regarding the same.

Parliament is authorised to make grants to any state which is need of assistance in order to correct inter-state disparities in financial resources and to exercise control and coordination over welfare schemes of the states on national basis.

Grants are also provided by the Parliament for development of tribal areas in Assam and schemes for STs and raising the level of administration of scheduled areas . Detailed Financial relations of Union-state comes under the ambit of Finance Commission and will be discussed under that later in this article.

ROLE OF FINANCE COMMISSION:

The Constitution authorises the President of India to constitute a Finance Commission(Constitutional body) once in every five years. It is expected to make recommendations relating to allocation of revenues to the Central and state governments,grants-in-aid by the Union to the states and other financial matters like working with the State Finance Commissions and suggest measures to augment the Consolidated fund of states so as to provide additional resources to Panchayats and Municipalities in state.

The Commission came into effect in 1951,under article 280 of the Indian Constitution. It consists of a chairman and four other members. For details - http://en.wikipedia.org/wiki/Finance_Commission_of_India

However,transfers through the Finance Commission contribute to only about 1/3rd of the total transfers from Union to states. The rest are channeled through the Planning Commission and discretionary grants from Centre to states. This has led to a friction between the two and reduces the role of the Finance Commission to a mere recommending body in matters of non-plan resources requirements and its powers being usurped by an extra constitutional body which is the Planning Commission and this adversely affects the plan expenditure as some states end up with non-plan surplus and use it in the Plan expenditure and other states are left high and dry because the Finance Commission has its own formula of calculating resources to be divided and the Planning Commission has its own. Therefore various Finance Commissions recommendations like the ninth finance commission's recommendations should be considered with all seriousness and implemented to solve this problem. Please refer to the Ninth Finance Commission's recommendations here - http://en.wikipedia.org/wiki/Finance_Commission_of_India

ROLE OF GOVERNOR:

The Indian Constitution provides for a Parliamentary form of govt. at the centre as well as state levels. The Governor is the Constitutional head of the state govt. and acts on the advice of the Council of Ministers headed by the Chief Minister.

The Governor is appointed by the President for a term of five years and holds office during his pleasure and can be reappointed after his tenure of the same state or of another state.

The Constitution provides the governor with many executive,legislative,judicial and emergency powers. Governor appoints the Chief Minister and on his advice,the Council Of Ministers. He also appoints many other members of state PSC,Advocate General,Senior Civil Servants,etc. The entire executive work of the state is carried on in his name.

The Governor is a part of the state legislature and possesses the same administrative,legislative emergency and judicial powers with respect to the state the same way as the President has towards the Union Parliament and govt.

However, he has the power to reserve any Bill passed by the state legislature for the assent of the President. He also lays before the state legislature the audit reports of the CAG.

Discretionary powers given to the Governor even though he is supposed to act in accordance with the advice tendered by the Council of Ministers has stirred up a lot of controversy in the recent times. The major cases of this are:

i) Appointment of Chief Ministers - When there is a majority party in the legislature recommending their leader's name to the Governor,then he has no choice but to accept the same. However,when there is no absolute majority then the Governor's discretion comes into play. Here different criteria has been seen being followed by different governors in similar circumstances. And, this has eroded the neutral office and status of the governor as many term it as a tilt towards the ruling central/union party who appoints the governor in order to prove his loyalty and fulfill his vested interests.

ii) Dismissal of a Ministry - The Chief Minister and its Ministry hold office during the pleasure of the Governor,and this pleasure is not subject to any scrutiny. However,this discretion of the Governor has to be exercised judiciously. But, unfortunately there have been many instances where the Governor without asking the ruling part of state to prove its majority has dismissed it and called for fresh elections. This was interpreted by the opposition as a deliberate attempt on the part of Governor of pleasing the ruling party at the Centre.

iii) Dissolution Of the Assembly - For dissolving a state assembly the Governor is to be aided and advised by the state council of ministers. However,this has not been followed and the Governor has time and again ignored this advice stating that as long as there is a possibility of forming a govt. nothing should be done. Here also the Governor's have been termed as central agents by the opposition.

iv) Use of Emergency powers - Many a times there have been repeated attempts of the Governor trying to usurp the power of the state govt. by improperly and unnecessarily advising the President to declare a state emergency for the smallest of issues.

Thus, this shows the Governor's office in a bad light,however,this institution cannot be done away with and helps the coordination between centre and states. But still major reforms and revamping is needed for this office to be kept neutral.

One must pay close attention to the recommendations of the Sarkaria Commission in respect to Centre-State relations and in respect to the Governor's role it suggested that:

i) The appointment of the Governor should be made from a panel to be prepared by the State Legislature.

ii) From a panel prepared by the state government or invariably by the Chief Minister or

iii) Invariably in consultation with the state chief minister. The reason for this being that for smooth functioning of the Parliamentary system there has to be a personal rapport between the Chief Minister and the Governor but this has not been implemented in the recent years.  It also recommended a person to be appointed as governor who is an imminent personality and has kept away from politics for many years so that he is neutral and unbiased. It also recommended for the appointment to come under Parliament scrutiny and be reviewed by the Parliamentary Commitee befor being appointed. These recommendations though appreciated and debated still remain on paper due to various reasons and vested interests.

ROLE OF CHIEF MINISTER:

The Chief Minister performs the same function in respect of the state government as the Prime Minister does in respect of the Union Govt. However,as the Prime Minister is termed as the 'first among equals' in his rank as he heads the Union Council Of Ministers,the Chief Minister does not have this privilege as the real power vests with his state's council of ministers,but he/she has nonetheless acquired a very special role in the exercise of his/her executive power and is considered the prime mover of the state's executive government.

The Chief Minister is appointed by the Governor and holds office during the Governor's pleasure. However,when there is an absolute majority in the legislative assembly of the state by a single largest party then the governor only plays a ceremonial role. He invites the leader of the majority party to form a government and cannot dismiss him as long as he enjoys the legislative assembly's confidence.

He assigns portfolios to his Council of Ministers and appoints them through the Governor and can change them whenever he likes or feels fit and therefore the ministers remain in awe of him. He coordinates between the state Council of Ministers and oversees the decisions of the various state departments are coherent. The Council of Ministers are collectively responsible to the state legislative assembly. He sets his state Cabinet's agenda and greatly influences its decisions and takes many important decisions in coordination even though those ministries have been allotted to individual ministers.

However, the Chief Minister commands such power and obedience among his Council of Ministers only when he has an absolute majority in the assembly and gets strengthened if his party is in majority across the state as then he would not have to listen to his party's national leaders/high command. The Chief Ministers stands weakened when heading a coalition govt. or a faction ridden party as then he is caught up in striking balances and compromises only between the various coalition partners.

The Governor's public speeches as well as appearances have to be in accordance with the policy laid down by the state's council of ministers headed by the Chief Minister and is to be approved by the state Cabinet.

In relation to the state legislature,the Chief Minister is the leader of the House(state legislative assembly) . Vidhan Sabha - Lower house/house of people of the state, Vidhan Parishad - upper house/council of states of a state legislature. However,it is upto the state govt. whether it wants a upper house or not,it is not compulsory,but the Vidhan Sabha is.

He sets the legislative agenda in the House as he is the one who introduces various policy bills decided and approved by the state Cabinet ministers in the state assembly and he is also the responsibility of updating the assembly regarding the various activities of the state govt. by answering questions,making statements,intervening in debates,etc.

The Chief Minister being the leader of the political executive controls the entire state bureaucracy and in doing so is assisted by the state Secretariat headed by the Chief Secretary. He approves all senior appointments like secretaries,additional/joint/deputy secretaries,Heads of Departments,Chairmen and Managing Directors of PSUs,etc. and through his cabinet,he controls that service conditions and disciplinary matters. He provides them leadership in order to extract good performance and morale. He keeps a check on them through administrative channels as well as through his own mechanisms like party workers,complaints from aggrieved persons and actual observations during tours,etc.

　

ROLE OF STATE COUNCIL OF MINISTERS:

The real executive power vests with the state Council Of Ministers,as has been stated above. On the pattern of the union govt, the Ministers of state governments are also of the following categories:

i) State Cabinet Ministers

ii) Ministers Of state

iii) Deputy Ministers

iv) Parliamentary secretaries

In the Union govt. only Union Cabinet Ministers can attend the Union Cabinet meetings, but in the state govt. system all ministers can attend the state cabinet meeting making discussions on serious matters rather difficult. To help address this various state governments have adopted the device of forming Cabinet Committees (standing as well as ad-hoc) for studying the issues in detail and then presenting their recommendations based on facts and estimates which is found to be much more acceptable to the various ministers of the state for arriving on a consensus.

The state Council of ministers are the highest policy-making body of the state government and lays down all legislative and administrative policies within its competence. It also reviews the implementation of those policies and reviews them based on feed backs received.

The state Council of Ministers has unfettered powers regarding state administration but if there is a limit imposed on it by the Indian Constitution and laws passed by the union and state legislature then those will have to be followed. There are ministries as well as departments in the state administration akin to the Union govt.

　

ROLE OF STATE CHIEF SECRETARY:

The three components of a state government are : the Minister,the Secretary and the Executive head( most cases called the director of directorate office).

The chief secretary of a state is the kingpin of his state's secretariat including all secretarial departments of state. Chief Secretary is the chief advisor to the Chief Minister of the state and secretary to the state's cabinet. He is also the head of the state civil services and directs the state's administrative system as he heads the state's General Administration Dept. which is directly under the Chief Minister. He is the main channel of communication between his state's govt. and the Union govt. and other state govts as well as the chief spokesman and public relations officer of the state govt. He/she holds the rank of the Secretary to the Govt. of India and receives emoluments admissible to the above mentioned rank.

He obtains coordination between various state departments and ministry secretariats and heads the various committees set up to ensure smooth transaction of administration business and also coordinates between the state and Union govt as well govts of other states and his/her state for smooth governance.

The functions of the state Chief Secretary are so wide in its ambit that at the central/union level if this work is to be compared , this work is shared between the Union Cabinet secretary,Home secretary and the Finance secretary.

Another important factor of this position is that the Chief secretary need not be the senior most civil servant of the state (as in the Union govt. where the Union Cabinet Secretary is the senior most civil servant) and is neither under a tenure system and he can either retire from the state level or move on to the central govt. to take up a more important position.

Thus,one can understand Chief Secretary's  role and its indispensability to state government's functioning.

ROLE OF STATE SECRETARIAT:

Out of the three components of a state govt listed just above this topic,the Minister and the Secretary together constitute the state Secretariat(meaning Office of the secretary and at times also referred to as the office of the Minister). To define it according to renowned Public Administration guru S.R Maheshwari - The expression Secretariat is used to refer to the complex of departments whose heads politically are ministers and administratively are the Secretaries.

The main functions of the state Secretariat as per the Administrative Reform Commission's Report on state administration is as follows:

i) Assisting the ministers in policy making,in modifying the policies from time to time and in the discharge of their legislative responsibilities.

ii) Framing draft legislation and rules and regulations.

iii) Coordination of policies and programmes,supervision and control over their execution,and review of results.

iv) Budgeting and control of expenditure.

v) Maintaining contact with the GOI and other state governments.

vi) Overseeing the smooth 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 so that policy formulators should not be burdened with administrative functioning and negotiations and the administrative experts should not be saddled with policy making and only employ their expertise in a free and best possible manner.

Apart from general secretarial administration to the ministers and coordinating and directing the various state ministry secretaries and departments (also refer to the state secretary topic discussed above for detailed functions) the state secretariat also has financial functions.

In matters of finance, the state secretariat sees to the following aspects - scrutiny and approval of departmental budget estimates,major appropriation of accounts,surrender of funds and supplementary grants,all proposals involving new items of expenditure,financial sanctions not within the competence of the head of the department, sanction of expenditure from the contingency fund,write off cases beyond the powers of heads of departments and audit objections regarding the offices of the heads of departments.

　

　

ROLE OF STATE DIRECTORATES:

Directorates are seen as the chief executive organs of the government. In the Secretariat policy formulation functions are generally headed by Generalists. While in the Directorates policy implementation functions are headed by specialists. Directorates are arranged on the principle of Division of Labour and to have subject-wise focus Directorates are established. These are responsible for the detailed implementation of plans/programmes at the level of Directorate who direct the scheme of implementation as well as assign the Field establishments their respective roles. Resource management of effective implementation of plans is carried out at this level. Directorates ensure the will of the Secretariat find its physical execution. They also help the Secretariat in the assessment of implementation of various plans and programmes. They act as a vital links between the Field establishments and the Secretariat. Secretariat acts as the head and the Directorates act as the head and hands both at the implementation level.

　

　

ROLE OF STATE REVENUE BOARDS:

Revenue Board is seen as the apex arrangement in a state in relation to revenue matters. Its role is majorly advisory and analyses the Revenue requirements of the state and the revenue resources available in the respective state. Revenue Boards is created by an act of the state legislature and is sufficiently autonomous in regards to revenue framework. It acts as overall supervisory body at the state level in regards to revenue assessment and collection functioning. It may be headed by a single member or many members. It analysis the rate of development in the state and the overall economic scenario existing in relation to the state revenues and on its analysis the principles of revenue allocation and assessment of the state may be carried out. It is seen as the apex appellate authority in regards to matters of Land Revenue Assessment. And, in many states the Revenue Board is seen as writing the Annual Confidential Reports of the Divisional Commissioner and District Collectors(senior to Dist. Collector handling many districts,this would be discussed in detail in the next post of this blog).

　

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The next post on this blog will cover:

District Administration since Independence: Changing role of the Collector;

Union -state local relations;

Imperatives of development management and law and order administration;

District administration and democratic decentralization.

Plans and Priorities: Machinery of planning; Role, composition and functions of the Planning Commission and the National Development Council; ‘Indicative’ planning; Process of plan formulation at Union and State levels; Constitutional Amendments (1992) and decentralized planning for economic development and social justice.

Before proceeding directly to the Planning Machinery and processes of India, it is necessary to understand and get a clear idea of the concept of Planning in India and also the role of Priorities in those Plans. So, let's begin.

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PLANS AND PRIORITIES:
Planning was a topic of interest and debate pre dating Independence. In 1940,the Indian National Congress advocated and set up the National Planning Committee in order to prepare comprehensive plans of reconstruction of undivided India. Independent India adopted planning in the 1950's as its development vehicle.

 Planning is a preparation for action and conscious effort to achieve desired ends.A Plan is a long term goal & plans precede as well as succeed policy. To explain this in detail,lets take the example of the Directive Principles Of State Policy(DPSP) (which are enshrined in Part IV,article 36 to 50 of the Indian Constitution)and its relation with Planning and Policy making in India.

DPSP as stated by the Indian Constitution is fundamental in the governance of the country and it shall be the duty of the State ( for the original as well as contemporary definition of State under Article 12 of the Indian Constitution,please refer http://www.legalserviceindia.com/article/l271-Article-12.html) to apply these principles while making laws. Article 38 and 39 (a),(b) & (c) of the DPSP's in the Indian Constitution are cited in the resolution of 15th March 1950 by which the Planning Commission was setup. It is worth noting that it has been stated by distinguished jurists,economists as well as theorists that the DPSPs can never go out of relevance as it is relevant to all times and is an everlasting set of guidelines for formulating State policies. To go through the DPSPs , please refer - http://en.wikisource.org/wiki/Constitution_of_India/Part_IV

So,coming back to the relationship between a Plan and a Policy,one should note that the DPSP is the generalised plan of the Constitution founders that details the vision of future India. And, policies(definitive framework given to the generalised plan) are to be made by the State on the lines of this Plan/Principles with help of the Planning Commission. And the Planning Commission also makes a final Plan of implementation of that Policy which is then executed by the executive wing of the Govt. Of India (Centre and states).

Lets understand the definition of Policy - Public  Policy can be described as the overall framework within which the actions of the government are undertaken to achieve its goals. It is a purposive and consistent course of action devised in response to a perceived problem of a constituency, formulated by a specific political process, and adopted, implemented, and enforced by a public agency. For more details on Public Policy,refer -http://publicadministrationtheone.blogspot.in/2012/08/public-policy-models-of-policy-making_27.html

Now,since we have understood the Plan(generalised)- Policy(establishment of overall definite framework to achieve the generalised plan)- Plan(Implementation) relationship and working,let us move on to understood the term Priority in the working of Plans.

Within a Plan(after a Policy is formulated) that is devised with objectives to be achieved and the actions/initiatives/means to be used for achieving the same through Programmes and schemes of the govt.,there is always a conflict between one objective and the other,therefore it is necessary to proceed in terms of priorities between these objectives, as first things must come first. Programmes based on well reasoned priorities are invaluable in developing countries as they cannot afford to waste time,people or material. Stages of a implementation plan, on the basis of priority are decided to propose the allocation of resources for the due completion of each stage.Planning Commission concerns itself with the building of a long-term strategic vision of the future and decide on priorities of nation.

Examples of priorities in Plans - The reason for giving priority to agriculture and increased wheat production in the first & third five year plan was for a larger goal,and that was of Industrial development which was very important for a modern world development and large scale employment opportunities. But, in order to provide raw materials for Industrial development,it was first necessary to make the people of the country sufficient in field of food production and also produce surplus which could then be provided for Industrial development. One can see that Industrial development then began and rose in later plans after these efforts.
The Third Five Year Plan of India stressed on agriculture and improvement in production of wheat,however, the Sino-Indian war of 1962 exposed the weak economy and thus focus shifted on priority basis to the Defence sector to meet with this exigency. Then again,the Indo-Pak war in 1965-66 caused severe drought situation and also inflation,thus shifting the priority of the Plan to price stabilisation.

These are just a few,there are many more examples like these in every Five Year Plan of India. FOr gist of all Five Year Plans refer http://en.wikipedia.org/wiki/Five-Year_plans_of_India  &  for the recent one,that is the 12th Five Year Plan, refer http://12thplan.gov.in/ .

Thus,the overall underlying goal of every Plan is to mobilise resources of a country for increasing capital formation for increased public expenditure in order to fund rapid development. However, certain objectives in the implementation plan are given priority keeping in mind the immediate situation as well as the resources and funds available at that point in time.







PLANNING - IMPORTANCE:
Planning as an activity is based upon the application of various mathematical forecasting tools using which projections of future with some certainty may be possible. Planning helps in providing/identifying various stages of development which may essentially evolve in the attainment of some development goal.

Planning as an activity in regard to nations is seen of utmost significance as through it only nations plan for socio economic reconstruction and for strategic employment of resources for better attainment of objectives in the future.

Planning helps nations to recover from the acute problem of underdevelopment and also helps them to institute such structures and processes through which goals of future may become more achievable. Planning on one count has to address the short term goals and on the other has to prepare the foundation and mechanism for the reasons/factors for retarded/slow/lop-sided growth of the nation.
Planning helps nations identify disablements emerging in various sectors and helps in establishing the strategic means through which these disablements could be addressed.

Three dominant traits of Indian planning may be noted her:
i) It is highly centralised,
ii) It is bureaucratic,
iii) It builds upon its preceding plans.








MACHINERY OF PLANNING:
The National Planning Commission at the National level is the main planning agency.
Below the national level are a number of state planning board/planning departments.
Below the state level are the District planning committees have come up in a number of states formulating district level plans.

All are integrated. Though the state and District level planning machineries are not that strong but nevertheless have helped in spreading the consciousness of planning at the grass root levels.
Besides the above,some other agencies are also involved in the planning process. A few to mention are the IIFT(Indian Instt of Foreign Trade) for studying problems in increasing exports and reducing imports,DRDA(District Rural Development Agency) to look after the development activities at district level,etc.







PLANNING COMMISSION - ROLE, COMPOSITION AND FUNCTIONS:
The Planning Commission was set up through a resolution of the government of India in 1950 in consequence to the Economic Programme Committee ,1948 recommended it in its report.
Post Independence it was realised that the provisions of the preamble,fundamental rights and DPSP could only be achieved through a planned effort.

The planning commission plays a Integrative role as it integrates and directs the govt. of India to move in Plan direction. It also plays a co-ordinating role between the Centre and the State. It also plays a Mediating and Facilitating role as it divides and allocates resources to State and Centre for Plan implementation. It plays a pivotal role in change and updating of Systems to be efficient in carrying out Planning. And last but not the least, it Plays the role of an Information disseminator as it regularly provides best practices in the field to the central and state governments in carrying out Plan Implementation.

The Planning Commission is a permanent,autonomous,advisory and expert body. The Prime Minister is its Chairman and the Finance Minister,Minister of Agriculture,Minister Of Energy,Minister Of Industry,Minister of HRD,Minister of Law and Justice and Water resources,Minister of Environment and forests,Minister of State of Planning are its Minister members. The other six full-time members are experts of various fields like Economics, Industry, Science and General Administration.

The Deputy Chairman of the Planning Commission who is generally a distinguished academician/economist/civil servant or a politician is given equal status and rank of a Cabinet Minister. The Planning Commission is also called the super cabinet at times due to this very same reason.

The main objective of the Planning Commission is not executive responsibility but to assess the resources and need of the economy and then to formulate the developmental plans in consultation with ministries of govt. of India and the state govts. It also has the responsibility of suggesting priorities of development plans. In recent times it has also gathered itself to certain administrative matters and functions of a purely executive nature as well.

The National Development gives the final approval to the plans and execution of the plan lies with the Union and state governments.

The functions of the Planning Commission are:

1. To make an assessment of the material, capital and human resources of the country, including technical personnel, and investigate the possibilities of augmenting those resources which are found to be deficient in relation to the nation's requirement.
2. To formulate a plan for the most effective and balanced utilisation of country's resources.
3. To define the stages, on the basis of priority, in which the plan should be carried out and propose the allocation of resources for the due completion of each stage.
4. To indicate the factors that tend to retard economic development.
5. To determine the conditions which need to be established for the successful execution of the plan within the incumbent socio-political situation of the country.
6. To determine the nature of the machinery required for securing the successful implementation of each stage of the plan in all its aspects.
7. To appraise from time to time the progress achieved in the execution of each stage of the plan and also recommend the adjustments of policy and measures which are deemed important vis-a-vis a successful implementation of the plan.
8. To make necessary recommendations from time to time regarding those things which are deemed necessary for facilitating the execution of these functions. Such recommendations can be related to the prevailing economic conditions, current policies, measures or development programmes. They can even be given out in response to some specific problems referred to the commission by the central or the state governments.

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 Secy or Joint Advisor. The full time members assume day to day responsibility of these divisions and sections and tenders advice jointly on all important matters.

The Internal Structure of the Planning Commission consists of :
i) General Administrative branches -  Responsible for house keeping functions.
ii) General Divisions - Responsible for providing an integrated approach paper in regards to certain areas of economy.
iii) Specialised Subject Division - Responsible for preparing a detailed analysis in regards to the specific area for which they exist.

Programme advisors(senior cadres of IAS) assuming the status of Addtl Secy or Spl secy of GOI in the Planning Commission help in establishing a link between the Planning Commission and the state governments.

The Programme Evaluation Organisation keeps close touch with agencies involved in the process of implementation at the central and state level to see if the objectives of the Plan are being achieved as specified or not and aiding and advising them on technicalities as well as imparting training to the personnel.








 NATIONAL DEVELOPMENT COUNCIL - ROLE, COMPOSITION AND FUNCTIONS:
 The National Development Council was established in 1952 through a resolution of the Cabinet/Govt. Of India on the recommendations of the Planning Commission in its first five year plan.  The NDC is seen as the prime body for approving plans formulated by the Planning Commission. It was established with the objective of attaining cooperation as well as avoiding conflicts from the side of the state govt as well as incorporating their views and needs in order to gain equality.

NDC comprises of all Chief Ministers as its members with the Prime Minister as the head of the NDC. It also consists of all Union Cabinet Ministers and administrators/Chief Ministers of union Territories.

Secy to the Planning Commission acts as a Member Secy to the NDC. 

 Objectives of NDC:
 1.to strengthen and mobilize the effort and resources of the nation in support of the Plan
 2.to promote common economic policies in all vital spheres and
 3.to ensure the balanced and rapid development of all parts of the country.

Functions of NDC:
 1.to prescribe guidelines for the formulation of the National Plan, including the assessment of resources for the Plan;
 2.to consider the National Plan as formulated by the Planning Commission;
 3.to consider important questions of social and economic policy affecting national development; and
 4.to review the working of the Plan from time to time and to recommend such measures as are necessary for achieving the aims and targets set out in the National Plan.
5. To make an assessment of resources required for implementing the plan and to suggest measures to augment them.
6. To ensure balanced and rapid development in all parts of the country.

Issues with the NDC are that there are irregular meetings held. And the meeting are mostly taken up in discussing and avenging political grievances. Central govt. not accepting of any change/modification by state govt.s to the national plans. The State govts have only one representative that is the Chief Minister and the Planning Commission is represented by the Pm as well as quite a handful of Ministers along with technical experts that the states do not have there at that time. Therefore,there is a need for revitalising the NDCC process.









DISADVANTAGES AND ISSUES WITH CENTRALISED PLANNING:
It is non flexible at most times. Non participatory. Non articulation of felt needs and real demands/ Feeling of being imposed upon by the states. Top down approach. Assumes a role of a parallel government.

In order to address these issues the Indian economy is gradually moving from a highly centralised planning system towards the process of Indicative Planning in the light of the 1991 economic reforms,which will be discussed below.








INDICATIVE PLANNING:
Indicative Planning is a process where where the Planning Commission concerns itself with the building of a long term strategic vision of the future and decides on priorities of the nation. It is an arrangement where central planning institutions are seen providing an indicative framework to carry out programmes/activities at the regional levels where sufficient  discretion is possible at the regional levels.  This process of Planning is a great advocate of decentralisation.

Thus, the central govt provides the overall framework of the Plan and the direction to move for development to the states and districts, and the respective State and District Planning Boards carry out at their levels as per their needs. This process also gives a free play to PSUs and pvt players to carry out their activities regarding the same.





SIGNIFICANCE OF PLANNING IN THE LPG ERA:
Yes, Planning is very much important in the current era. As LPG(Liberalisation,Privatisation & Globalisation) ensures freedom of market forces which can only take care of demand and supply,it is through planning that the socio-economic objectives can be obtained by taking care of need and supply. State intervention is still very much required to be a neutral referee,as one can gauge from the reasons of the recent recession in 2008. It has shifted its role from a active player to that of a facilitator,regulator,guide and protector of development processes and citizens' rights in the country.





PROCESS OF PLAN FORMULATION AT UNION & STATE LEVELS:
i) At the Union level - Planning Commission receives inputs from Central/Union Council Of Ministers on one side and from Programme advisors(detailed above) who bring in views of the States as well as of Civil Society Institutions. All of these are then taken into account and processed to develop a Plan Approach Paper and that is then discussed upon and improved and eventually this paper is passed by the Planning Commission's members and presented to the NDC for its review,recommendations and approval so that this paper can be further presented to both houses of Parliament for the final stamp of approval and legally turn into a Five year Plan blueprint.  The Estimates Committee estimates the resources needed for these plans. The states are asked to declare their resources and then the financial resources steering committee of Planning Commission recommend fund allocation. The funds are then given out from the Finance Ministry once approved by the Parliament. Once this is accomplished then this is passed on to the State and District level Planning Boards to implement at their level the guidelines of this plan along with the mandate of the NDC.



ii) At the states level - The Planning dept. of the states receive inputs from various state plan committees,Civil society institutions,Directorates and departments of the respective state which are mostly technical in nature,and from all district level agencies. These inputs are then processed at the Planning dept. which are then sent to the Planning Commission for its review and incorporation into the Central 5 year plan. Then the whole above mentioned process takes place as stated in the " Plan formulation process at Union level". After that, once the Central 5 year plan guidelines as well as the NDC mandate is passed on to them along with the resources allocated to them,then the plan approach paper at the state level is finalised again at the State Planning dept in definite terms of objectives and how to achieve them at their state/regional level keeping in mind the needs of the state as reported by the inputs provided to them originally. This Plan Approach paper is then passed by the state planning dept., in order to move to the next step which is to send it for the review,recommendation and approval of the Chief Minister and the state planning Board that consists of many of that respective state's cabinet ministers. Once that is achieved,it is then presented to the respective state legislature for the final approval after which it is legally implementable as a 5 year plan at the state level.



CONSTITUTIONAL AMENDMENTS IN 1990 FOR SETTING UP OF "INTER - STATE COUNCIL" BASED ON SARKARIA COMMISSION RECOMMENDATIONS FOR BETTER CENTRE STATE CONFLICT RESOLUTION:
In light of the scathing remarks labeled upon the Planning Commision by various Committees like the Santhanam Committee,etc which accused the Planning Commission of arm twisting the State Governments in Plan meetings in the NDC since majority of the members there comprise of the Centre and its allies, and most importantly the extra - constitutional identity of the Planning Commission, the Sarkaria Commission was set upto review the working of the existing arrangements between the Union and the States in the changed socio-economic scenario.

The Government constituted a Commission under the chairmanship of Justice Rajinder Singh Sarkaria with Shri B. Sivaraman and Dr. S.R. Sen as its members to examine and review the working of the existing arrangements between the Union and States in regard to powers, functions and responsibilities in all spheres and recommend such changes or other measures as may be appropriate.
One of the important recommendations of Sarkaria Commission was for establishing a permanent Inter-State Council as an independent national forum for consultation with a mandate well defined in accordance with Article 263 of the Constitution of India. Pursuant to the recommendation, The Inter-State-Council was set up under Article 263 of the Constitution of India vide Presidential Order dated 28.5.1990 as a Constitutional Body ( refer - en.wikipedia.org/wiki/Inter_State_Council ).
The Commission also recommended making the NDC a Constitutional Body so that it functions more autonomously without fear or favour.

Inter State Council enquires into and advises upon disputes which may have arisen between states and in addition it may also investigate and discuss subjects of common interest between the union and states or between two or more states in order to facilitate coordination of policy and action. They are setup by the President and its examples are - Central Council of Health,Central Council of Local Self Government,Council of sales tax,etc.

Inter state water disputes act,1956 was enacted by the Parliament setting up tribunals for adjudication of water disputes between union and a state or two or more states and between one state and another or two others,etc.

Other devices in practice to secure union-state cooperation and conflict resolution also exist which are extra constitutional devices like Governors Conference headed by the President ,Chief Ministers conference,Conference of IGPs of states,Planning Commission and NDC discussions on five year plans,etc where representatives of all states get together and discuss various issues within themselves and the Union for a consensus.

However, it is sad to note that in the last 22 years, only 10 meetings have been held of the ISC,which speaks volumes on the lack of will of the Centre and political vested interests to fully implement and utilise this valuable Constitutional body/forum and instead keep relying and depending on extra Constitutional structures to ensure cooperative federalism. To read more of the sad state of affairs of the abovementioned - http://www.thehindubusinessline.com/opinion/columns/cracks-in-our-federal-setup/article4273184.ece





CONSTITUTIONAL AMENDMENTS (1992) AND DECENTRALIZED PLANNING FOR ECONOMIC DEVELOPMENT AND SOCIAL JUSTICE:
The 73rd and 74th Constitutional Amendment Acts,1992 provides for democratic decentralisation and is hailed as a revolutionary step and one of the most important political innovations in Independent India. It gave a face to Gandhian Directive principles of State policy's Article 40 that looks to promote a system of decentralized planning for local socio-economic development that would be relevant,thus, leading to the achievement of the larger goal,which is, Social justice.
The Panchayati Raj Act and the Municipalities Act respectively are the 73rd and 74th Constitutional amendment act of 1992. They provide for a system of local self govt. wherein the people take upon themselves the responsibility of Planning,provisions of community and welfare services,etc. and socio-economic and cultural Development through rural development plans and programmes.
The Panchayati Raj institutions involves a three tier structure of democratic instruction at district,block and village levels,viz. zilla parishad(District level), panchayat samithi(block level), and village panchayat(basic level) respectively.
This Act provides for article 234 in the Constitution and a District Planning Committee under 234 G as well as 29 subjects for jurisdiction placed under the 11th schedule of the Indian Constitution. The 74th Amendment act for Municipalities has article 243 and its sub parts for providing Panchayat as well as Municipal Planning Committees and 18 items under the 12th schedule of the Indian Constitution for their jurisdiction.
These institutions are to enjoy fiscal autonomy and directions to the State Finance Commissions to provide funds to them. It also provides for the sources of revenues through taxes,etc.
Their rural plans are to be submitted to the District Planning Committee(in case of rural) & Metropolitan Planning Committee ( in case of urban area) which in turn submit it to the Planning Commission

However,one must also note that though this has been put on paper officially and also implemented in the right manner in many states,still there is a huge disparity and violation of the above provisions in many areas and continues to be heavily centralised.

This is so because as you have understood above regarding the plan formulation process in the states as well as centres, it is a top down approach where the plan is decided by the centre and passed on to the state and district planning committees for implementation following their guidelines. Apart from that,there are many subjects between the rural and urban bodies and the state regarding jurisdiction that are concurrent and overlapping thus leaving very few of them to the exclusive jurisdiction of the local bodies.

Finance provided by the centre as well as state to these bodies for plan implementation is also a total contradiction of financial autonomy granted to them as these funds come through the various offices of the state and district level officials and so there is undue delay at many a times for reasons unknown of funds transfers.

Also, training and skill upliftment of local bodies' representatives should be undertaken by the centre and states so that they gain the requisite expertise in effectively implementing plans.
Therefore,all these issues should be taken care of in order to make them truly local govt. democratic and decentralised institutions. Else, they will only be petrified prints on paper.



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State Government and Administration:
Union-State administrative, legislative and
financial relations; Role of the Finance
Commission; Governor; Chief Minister;
Council of Ministers; Chief Secretary; State
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