UNIT-1 PUBLIC ADMINISTRATION - MEANING,

NATURE, SCOPE AND IMPORTANCE

Structure

1.0 Learning Outcome

1.1 Introduction
1.2 What is Administration?
1.3 Administration, Organisation and Management
1.4 Defining Public Administration
1.5 Nature of Public Administration
1.6 Scope of Public Administration
1.6.1 Scope of Public Administration as an Activity
1.6.2 Scope of Public Administration as a Discipline
1.7 Public and Private Administration
1.7.1 Distinction between Public and Private Administration
1.7.2 Similarities between Public and Private Administration
1.8 Importance of Public Administration
1.8.1 Importance of Public Administration as Specialised
Subject of Study
1.8.2 Importance of Public Administration as an Activity
1.9 Role of Public Administration under Liberalisation, Privatisation
and Globalisation (LPG)
1.10 Conclusion
1.11 Key Concepts
1.12 References and Further Reading
1.13 Activities

1.0 LEARNING OUTCOMES

After going through this Unit, you should be able to:

• define Administration and Public Administration
• describe the nature of Public Administration
• explain the scope of Public Administration
• distinguish between Private and Public Administration
• analyse the Role of Public Administration vis-à-vis
Liberalisation, Privatisation and Globalisation (LPG)

1.1 INTRODUCTION

Administration as an activity is as old as society itself. But as an area of

study it originated, with the publication of Wilson’s essay on study of
Administration in 1887. As a process, administration occurs in both
public and private organisations. It occurs in such diverse institution as
settings as a business firm, labour unions, religious or charitable
organisations, educational institutions, etc. Its nature is affected by the

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sphere with which it is concerned. Administration is commonly divided
into two types, Public and Private Administration. As an aspect of
government activity it has existed since the emergence of political
system(s). While public administration relates to the activities carried
out by government, private administration refers to the management of
private business enterprises.

It is important to understand the functioning of administration for on

this lies the understanding of the government. In this Unit an effort has
been made to bring the concept of administration, public administration
in particular, closer to you. This understanding will take you through the
entire course of Public Administration. In what follows, we will
examine the meaning, nature and scope of public administration.

1.2 WHAT IS ADMINISTRATION?

The word ‘administer’ is derived from the Latin word administere,

which means to care for or to look after people, to manage affairs.
Administration may be defined as “group activity which involves
cooperation and coordination for the purpose of achieving desired goals
or objectives”.

Broadly speaking, the term administration appears to bear at least four

different meanings or different senses depending upon the context in
which it is used:

(1) As a Discipline: The name of a branch of learning or intellectual

discipline as taught and studied in colleges and universities.

(2) As a Vocation: Type of work/trade or profession/occupation,

especially one that involves knowledge and training in a branch
of advance learning.

(3) As a Process: The sum total of activities undertaken to

implement Public Policy or policies to produce some services or
goods.

(4) As a Synonym for 'word' Executive or Government: Such other

body of persons in supreme charge of affairs, for example,
Manmohan Singh Administration, Bush Administration, etc.

Noted below are definitions by a few famous writers.

E.N. Gladden

“Administration is a long and slightly pompous word, but it has a

humble meaning, for it means to care for or look after people, to

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manage affairs…. is determined action taken in pursuit of conscious
purpose”.

Brooks Adams

“Administration is the capacity of coordinating many, and often

conflicting, social energies in a single organism, so adroitly that they
shall operate as a unity.

Felix A. Nigro

“Administration is the organisation and use of men and materials to

accomplish a purpose”.

J.M. Pfiffner and R. Presthus

“Administration is the organisation and direction of human and material

resources to achieve desired ends”.

L.D. White

“The art of administration is the direction, co-ordination and control of

many persons to achieve some purpose or objective”.

Luther Gullick

“Administration has to do with getting things done, with the

accomplishment of defined objectives”.

F.M. Marx

“Administration is determined action taken in pursuit of a conscious

purpose. It is the systematic ordering of affairs and the calculated use
of resources, aimed at making those things happen which one wants to
happen and foretelling everything to the country”.

Herbert Simon, D.W. Smithburg and V.A. Thompson

“In its broadest sense, the administration can be defined as the activities
of group cooperating to accomplish common goals.”

A brief analysis of the definitions listed above reveals that

administration comprises two essentials, namely (1) cooperative effort,
and (2) pursuit of common objectives. One does not find any
administration if there is only a common purpose without a collective
effort or vice-versa. Administration is also called a ‘technology of
social relationships’. Thus, administration is a process common to all

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group effort, public or private, civil or military, large scale or small
scale. It is process at work in a department store, a bank, a university, a
high school, a railroad, a hospital, a hotel or a local government.

1.3 ADMINISTRATION, ORGANISATION AND

MANAGEMENT

Before we discuss about the meaning, definition, nature, scope and

importance of public administration we will try to know what is
administration, organisation and management. As these terms are often
used interchangeably and synonymously, it is pertinent to know the
differences and distinctions between these three terms.

According to William Schulze Administration is the force, which lays

down the object for which an organisation and its management are to
strive and the broad policies under which they are to operate.

An Organisation is a combination of the necessary human beings,

materials, tools, equipment and working space, appurtenances brought
together in systematic and effective co-relation to accomplish some
desired object.

Management is that which leads guides and directs an organisation for

the accomplishment of pre-determined object.

To put the above in simple terms, administration sets the goal,

management strives to attain it and organisation is the machine of the
management for the attainment of the ends determined by the
administration.

Some scholars have a different view about the administration and

management. According to Peter Drucker management is associated
with the business activity, which has to show economic performance,
whereas administration is associated with the non business activities
like activities of the Government.

The other view is that administration is associated with performing

routine things in known settings in accordance with certain procedures,
rules, and regulations. The Management is associated with performing
functions like risk taking, dynamic, creative and innovative functions.

Some scholars of Public Administration are closely associated with the

first view that is, administration is a determinative function.
Management, on other hand is an executive function that is primarily
concerned with carrying out the broad policies laid down by the
administration. Organisation is the machinery through which
coordination is established between administration and management.

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1.4 DEFINING PUBLIC ADMINISTRATION

L.D. White observes that although public administration varies in form

and objects, and although the administration of public and private
affairs differs at many points, there is an underlying similarity, if not
identity. As an integral aspect of such generic concept, public
administration could be related to that type of administration, which
operates within a specific ecological setting. It is a means to carry out
the policy decisions made by political executive.

To be seen along with it is the ‘Public’ aspect of Public administration,

which attributes a special character and focus to it. ‘Public’ can be
looked at formally to mean ‘government’. So, public administration is
government administration, government in action, or a socio-economic
and politico-administrative confluence, the focus being especially on
public bureaucracy. Encyclopaedia Britannica defines public
administration as ‘the application of a policy of a state through its
government.’

Public Administration, therefore, refers to that part of administration,

which pertains to the administrative activities of the government.

Now we will try to look into the definitions of Public Administration

provided by various scholars.

Woodrow Wilson

Public administration is the detailed and systematic application of law.

Every particular application of law is an act of administration.

L.D. White

“Public administration consists of all those operations having for their

purpose the fulfilment or enforcement of public policy”. As per White,
this definition covers a multitude of particular operations in many fields
the delivery of a letter, the sale of public land, the negotiation of a
treaty, the award of compensation to an injured workman, the
quarantine of a sick child, the removal of litter from a park,
manufacturing uranium 235, and licensing the use of atomic energy. It
includes military as well as civil affairs, much of the work of courts, and
all the special fields of government activity-police, education, health,
construction of public works, conservation, social security, and many
others. The conduct of public affairs in advanced civilisations requires
the employment of almost every profession and skill-engineering, law,
medicine, and teaching; the crafts, the technical specialties, the office
skills, and many others.

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Percy Mc Queen

Public administration is related to the operations of government whether

local or central.

Luther Gulick

Public administration is that part of the science of administration, which

has to do with the government; it concerns itself primarily with the
executive branch where the work of the government is done; though
there are obviously problems also in connection with the legislative and
judicial branches.

J.M Pfiffner

“Administration consists of getting the work of government done by

coordinating the efforts of people so that they can work together to
accomplish their set tasks”.

M. Ruthanaswami

“When administration has to do with the affairs of a state or minor

political institutions like the municipal or country council (district
board), it is called public administration. All the acts of the officials of
a government, from the peon in a remote office to the head of a state in
the capital, constitute public administration.”

H.A. Simon, D.W. Smithburg and V.A. Thompson

“By Public Administration is meant, in common usage, the activities of

the executive branches of national, state and local governments,
government corporations and certain other agencies of a specialised
character. Specifically excluded are judicial and legislative agencies
within the government and non-governmental administration.”

Corson and Harris

“Public administration … is the action part of government, the means

by which the purposes and goals of government are realised.”

Dwight Waldo

“Public administration is the art and science of management as applied

to the affairs of State.”

M.E. Dimock

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“Public Administration is concerned with ‘what’ and ‘how’ of the
government. The ‘what’ is the subject matter, the technical knowledge
of a field, which enables the administrator to perform his tasks. The
‘how’ is the technique of management, the principles according to
which co-operative programmes are carried through to success. Each is
indispensable, together they form the synthesis called administration”.

Nicholas Henry

“Public Administration is a broad-ranging and amorphous combination

of theory and practice; its purpose is to promote a superior
understanding of government and its relationship with the society, it
governs, as well as to encourage public policies more responsive to
social needs and to institute managerial practices attuned to
effectiveness, efficiency and the deeper human requisites of the
citizenry”.

The traditional definitions of Public Administration, which are given

above reflect the view that the Public Administration is only involved in
carrying out the policies and programmes of the government. It reflect
that it has no role in policy making and also locates the administration
in the executive branch but today the term public administration is used
in a broader sense that it is not only involved in carrying out the
programmes of the government, but it also plays an important role in
policy formulation and covers the three branches of the government. In
this context, we may reflected on the definition offered by F.A. Nigro
and L.G. Nigro. According to them Public Administration:

In this context we can reflect the definition offered by F.A. Nigro and
L.G. Nigro. According to them Public Administration:

• is co-operative group effort in a public setting;

• covers all three branches-executive, legislative, and judicial, and
their inter-relationships;
• has an important role in the formulation of public policy and is
thus a part of the political process;
• is different in significant ways from private administration; and
• is closely associated with numerous private groups and
individuals in providing services to the community”.

In sum, public administration:

• is the non-political public bureaucracy operating in a political

system;
• deals with the ends of the State, the sovereign will, the public
interests and laws;

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 • is the business side of government and as such concerned with
policy execution, but it is also concerned with policy-making;
• covers all three branches of government, although it tends to be
concentrated in the executive branch;
• provides regulatory and service functions to the people in order
to attain good life;
• differs significantly from private administration, especially in its
emphasis on the public; and
• is interdisciplinary in nature as it draws upon other social
sciences like political science, economics and sociology.

1.5 NATURE OF PUBLIC ADMINISTRATION

There are two views regarding the Nature of Public Administration, that
is, Integral and Managerial.

According to the integral view, ‘administration’ is the sum total of all

the activities – manual, clerical, managerial, etc., which are undertaken
to realise the objectives of the organisation. In this view all the acts of
officials of the government from the Attendant to the Secretaries to the
government and Head of the State constitute Public Administration.
Henri Fayol and L.D. White are the supporters of this view.

According to the managerial view of administration, the managerial

activities of people who are involved in planning, organising,
commanding, coordinating and controlling constitute Public
Administration. This view regards administration as getting things done
and not doing things. Luther Gullick, Herbert Simon, Smithburg and
Thompson are the supporters of this view. The managerial view
excludes Public Administration from non-managerial activities such as
manual, clerical and technical activities.

The two views differs from each other in many ways. According to
Prof. M.P. Sharma the difference between the two views is
fundamental. The integral view includes the activities of all the persons
engaged in administration whereas the managerial view restricts itself
only to the activities of the few persons at the top. The integral view
depicts all types of activities from manual to managerial, from non-
technical to technical whereas the managerial view takes into account
only the managerial activities in an organisation. Furthermore,
administration, according to the integral view would differ from one
sphere to another depending upon the subject matter, but whereas that
will not be the case according to the managerial point of view because
the managerial view is identified with the managerial techniques
common to all the fields of administration.

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The difference between the two views relates to the difference between
management and operation or we may say between getting things done
and doing things. The correct meaning of the term administration
would however, depend upon the context in which it is used. Dimock,
Dimock and Koening sum up in the following words:

“As a study public administration examines every aspect of

government’s efforts to discharge the laws and to give effect to public
policy; as a process, it is all the steps taken between the time an
enforcement agency assumes jurisdiction and the last break is placed
(but includes also that agency’s participation, if any, in the formulation
of the programme in the first place); and as a vocation, it is organising
and directing the activities of others in a public agency.”

1.6 SCOPE OF PUBLIC ADMINISTRATION

By the scope of Public Administration, we mean the major concerns of

Public Administration as an activity and as a discipline.

1.6.1 Scope of Public Administration as an activity

Broadly speaking, Public Administration embraces all the activities of

the government. Hence as an activity the scope of public administration
is no less than the scope of state activity. In the modern welfare state
people expect many things – a wide variety of services and protection
from the government. In this context public administration provides a
number of welfare and social security services to the people. Besides, it
has to manage government owned industries and regulate private
industries. Public administration covers every area and activity within
the ambit public policy. Thus, the scope of public administration is
very wide in modern state.

1.6.2 Scope of Public Administration as a Discipline

The scope of public administration as a discipline, that is subject of

studies, comprises of the following:

The POSDCoRB view

Several writers have defined the scope of public administration in

varying terms. Gullick sums up the scope of the subject by the letters of
the word POSDCoRB which denote: Planning, Organisation, Staffing,
Directing, Co-ordinating reporting the Budgeting. Planning means the
working out in broad outline the things to be done, the methods to be
adopted to accomplish the purpose.

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Organisation means the establishment of the formal structure of
authority through which the work is sub-divided, arranged, defined and
coordinated.

Staffing means the recruitment and training of the personnel and their
conditions of work.

Directing means making decisions and issuing orders and instructions.

Coordinating means inter-relating the work of various divisions,

sections and other parts of the organisation.

Reporting means informing the superiors within the agency to whom

the executive is responsible about what is going on.

Budgeting means fiscal planning, control and accounting.

According to Gullick the POSDCoRB activities are common to all

organisations. They are the common problems of management which
are found in different agencies regardless of the nature of the work they
do.

POSDCoRB gives unity, certainty, and definiteness and makes the

study more systematic. The critics pointed out that the POSDCoRB
activities were neither the whole of administration, nor even the most
important part of it. The POSDCoRB view over looks the fact that
deferent agencies are faced with different administrative problems,
which are peculiar to the nature of the services, they render and the
functions they performed. The POSDCoRB view takes into
consideration only the common techniques of the administration and
ignores the study of the ‘subject matter’ with which the agency is
concerned. A major defect is that the POSDCoRB view does not
contain any reference to the formulation and implementation of the
policy. Therefore, the scope of administration is defined very narrowly,
being too inward looking and too conscious of the top management.

The Subject Matter View

We all know that public administration deals not only with the
processes but also with the substantive matters of administration, such
as Defence, Law and Order, Education, Public Health, Agriculture,
Public Works, Social Security, Justice, Welfare, etc. These services
require not only POSDCoRB techniques but also have important
specialised techniques of their own which are not covered by
POSDCoRB techniques. For example, if you take Police
Administration it has its own techniques in crime detection,
maintenance of Law and Order, etc., which are much and more vital to

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efficient police work, than the formal principles of organisation,
personnel management, coordination or finance and it is the same with
other services too. Therefore, the study of public administration should
deal with both the processes (that is POSDCoRB techniques and the
substantive concerns). We conclude the scope of public administration
with the statement of Lewis Meriam: “Public administration is an
instrument with two blades like a pair of scissors. One blade may be
knowledge of the field covered by POSDCoRB, the other blade is
knowledge of the subject matter in which these techniques are applied.
Both blades must be good to make an effective tool”.

We may conclude the discussion with the observation of Herbert Simon

who says that Public administration has two important aspects, namely
deciding and doing things. The first provides the basis for the second.
One cannot conceive of any discipline without thinking or deciding.
Thus Public administration is a broad-ranging and an amorphous
combination of theory and practice.

1.7 PUBLIC AND PRIVATE ADMINISTRATION

The major concern of administration is to properly organise men and

material for achieving desired ends. As a co-operative group activity,
administration is truly universal and operates in all types of public and
private organisations. In other words, administration occurs in both
public and private institutional settings. Its nature depends upon the
nature of the setting and goals with which it is concerned. On the basis
of the nature of the institutional setting, public administration can be
roughly distinguished from private administration. Public
administration is governmental administration concerned with achieving
state purposes, determined by the state. Private administration, on the
other hand is, concerned with administration of private business
organisation and is distinct from public administration. Let us elaborate
this

1.7.1 Distinction between public and private administration

John Gaus, Ludivig Von Mises, Paul H. Appleby, Sir Josia Stamp,
Herbert A. Simon, Peter Drucker, etc., in their writings, have made
distinction between public and private administration.

According to Simon, the distinction between public and private

administration relates mainly to three points:

• Public administration is bureaucratic whereas private

administration is business like;

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• Public administration is political where as private administration
is non-political; and

• Public administration is characterised by red-tape where as

private administration is free from it.

Felix A. Nigro has pointed out that government is also different from
private organisation, as no private company can equal to it in size and
diversity of activities.

According to Sir Josiah Stamp, the four principles, which differentiate

public from private administration, are:

• Principle of Uniformity: Common and uniform laws and

regulations mostly regulate public Administration.

• Principle of External Financial Control: the representatives of the

people through a legislative body control Government revenues and
heads of expenditure.

• Principle of Ministerial Responsibility: Public administration is

accountable to its political masters and through them to the people.

• Principle of marginal Return: The main objective of a business

venture is profit, however small it may be. However, most of the
objectives of public administration can neither be measured in
money terms nor checked by accountancy methods.

According to Paul H. Appleby public administration is different from

private administration. He remark, “In broad terms the governmental
function and attitude have at least three complementary aspects that go
to differentiate government from all other institutions and activities:
breadth of scope, impact and consideration; public accountability;
political character. No non-governmental institution has the breadth
of government.

Appleby notes that the political character of Public Administration

differentiates it from private administration. Public Administration is
subject to political direction and control. This is the primary distinction
between the two. He further argues, “Administration is politics since it
must be responsive to the public interest. It is necessary to emphasise
the fact that popular political processes, which are the essence of
democracy, can only work through governmental organisation, and that
all governmental organisations are not merely administrative entities,
they are and must be political organisms.”

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Appleby reflects further on the distinction between public and private
administration in the context of public accountability “Government
administration differs from all other administrative work to a degree not
even faintly realised outside, by virtue of its public nature, the way in
which it is subject to public scrutiny and outcry. This interest often runs
to details of administrative action that in private business would never
be of concern other then inside the organisation.

According to Appleby private administration cannot claim the breadth

of scope, impact and consideration of the public administration. He
observes, “The organised government impinges upon and is affected by
practically everything that exists or moves in our society. It involves
policies and actions of immense complexity. Its fullest possible
understanding requires the wisdom of many specialists as will as the
key participants in public and private life.

The more important distinguishing features of Public administration

may be described under the following sub-heads:

Political Direction: Public administration is political, while private

administration is non-political, public administration takes place in a
political context.

Absence of profit motive: The absence of profit motive from the

Public administration is another feature, which distinguishes it from the
private administration. The primary purpose of governmental
organisation is to provide services to the people and promote social
good.

Prestige: Public administrators who serve in the Government enjoy

high status and prestige in comparison to their counterparts in private
enterprises especially developing countries.

Public Gaze: All the actions of public administration are exposed to

wide public gaze because the public closely watches it. This does not
happen in private administration.

Service and Cost: Most governments spend more money than their
income or revenues. That is the reason for finding generally a deficit
budget that is, expenditure exceeding income. Conversely, private
administration income often exceeds expenditure without which they
cannot survive.

Legal framework: Public administration operates within a legal

framework. It is rule oriented. The responsibilities of public
administrators are fixed by a set of constitutional practices, laws and

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regulations. Government officials are obliged to act within their legal
powers and not outside the law.

Consistency of treatment: A government official is required by law to

maintain a high degree of consistency in his dealings with the public.
He has to observe the principle of equality of treatment in serving the
people. It is a legal obligation to not to discriminate against any person.

Public accountability: Public accountability is the hallmark of

Public administration in a democracy. Public administration is
responsible to the public, though not directly but indirectly through
political executive, legislature, judiciary, etc.

Large-scale administration: Public administration is large-scale

administration. It is said that almost anything under the sun is directly
or indirectly under the domain of public administration. It is by all
means larger than any big private concern in terms of size., complexity
and diversity of activities.

Monopolistic and Essential Services: In the field of public

administration, there is generally a monopoly of the government and it
does not generally allow private parties to compete with it. For
example, no person or bodies of persons are allowed to establish or
perform functions related to public services like national security,
foreign relations, law and order, mint and currency, as these are the
exclusive fields of the government and thoroughly important for the
community and polity to prosper.

Officials remain Anonymous: In public administration, even the most

senior officials remain anonymous and their identity is not disclosed.
This is so because whatever they do, they do in the name of the
government and not in their own name.

Financial meticulousness: Public administration has to be very careful

in financial matters because it is working as custodian of people’s
money.

Lower level of Efficiency: Efficiency is said to be the cornerstone of

any organisation. However, due to varied responsibilities, lack of
effective control, less accountability, involvement of a large number of
levels and job security of employees, efficiency has not been there in
public organisations to the effect desired. When compared to private
administration, one finds that the degree of efficiency in public
organisations is at a lower level. With profit as the major motive
coupled with excessive control and flexibility in personnel
administration the level of efficiency in private organisations is much
higher.

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1.7.2 Similarities between Public and Private Administration

Scholars like Henry Fayol, Mary P. Follet and L. Urwick do not make
a distinction between public and private administration. The classical
writers held the view that public and private administrations are the
undifferentiated members of the genus administration. Henri Foyal, for
example, says that there is only one administrative science, which can
be applied equally well to public and private sectors. In his address in
the Second International Congress of Administrative Science, Fayol
remarked, “The meaning which I have given to the word administration
and which has been generally adopted, broadens considerably the field
of administrative sciences. It embraces not only the public service but
also enterprises of every size and description, of every form and every
purpose. All undertakings require planning, organisation, command, co-
ordination and control and in order to function properly, all must
observe the same general principles. We are no longer confronted with
several administrative sciences but with one which can be applied
equally well to public and to private affairs”.

The following similarities between the two types of administration may

be noted:

1. Both public and business administration rely on common skills,

techniques and procedures.

2. In modern times the principle of profit motive is not peculiar to

private administration, because it is now accepted as a laudable
objective for public sector enterprises also.

3. In personnel management, the private organisations have been

influenced greatly by the practices of public organisations.

4. The private concerns are also subjected to many legal

constraints. Government is exercising much control over
business firms through regulatory legislation such as taxation,
monetary and licensing policies, etc. Consequently, they are not
as free as they once used to be.

5. There is a similar type of hierarchy and management systems,

both in public and private sectors. Both have same kind of
organisation structure, superior – subordinate relationships, etc.

6. Both Pubic and private administration carries on continuous

efforts to improve their internal working and also for efficient
delivery of services to people or customers.

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7. Public and private administration serves the people, whether
being called clients or customers. Both have to maintain close
contact with people to inform about their services and also to get
feedback about services and product. In both the cases, public
relations help them to inform and improve their services to the
people.

The preceding discussion shows that the distinction between public and
private administration is not absolute. In fact, they are becoming more
and more alike in many respects. However, it does not mean that there
are no significant differences between these two types of administration.
Waldo observes that Public administration is distinct because it reflects
the peculiar characteristics of government activity and the public setting
in which it functions.

Given the wide acceptance of the ideas of liberalisation, privatisation

and globalisation, both public and private administrations have to
compete in the same area to provide services to people. Here both are
dealing with customers, who pay for their services, in such a situation it
narrows down the differences between the public and private
administration. New Public Management, which has come into
prominence, recently, puts emphasis on managerial techniques, which
are to be adopted by public administration for the efficient delivery of
public services. But in providing pubic services in the field of social and
welfare areas their exists a difference between public and private
administration

With this brief characterisation, it could be stated that both public and
private administration are placed in different environments. But this
difference is more apparent than real. According to Waldo, The
generalisation which distinguish public administration from private
administration by special care for equality of treatment, legal
authorisation of, and responsibility of action, public justification of
decisions, financial probity and meticulousness, etc. are of very limited
applicability,” In fact public and private administrations are the “two
species of the same genus, but they have special values and techniques
of their own which give to each its distinctive character.

1.8 IMPORTANCE OF PUBLIC ADMINISTRATION

We will be discussing the importance of public administration as a

specialised subject of study and later the role and importance of public
administration in the modern society.

1.8.1 Importance of Public Administration as Specialised Subject

of Study

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The study of administration assumed significance, according to
Woodrow Wilson, as a consequence to the increasing complexities of
society, growing functions of state and growth of governments on
democratic lines. This exhaustive list of functions made to think as to
‘how’ and in what ‘directions’ these functions should be effectively
performed. To this Wilson suggested that there was a need to reform
the government in the administrative field. As per Wilson, the object of
administrative study is to discover what government can properly and
successfully does and how it can do these things with utmost efficiency
and the least possible cost either of money or of energy.

The importance of public administration as a specialised subject can be

attributed to the following reasons:

• One of the important reasons is the practical concern that the

government today has to work towards the public interest. The
first and foremost objective of public administration is to
efficiently deliver public services. In this context, Wilsonian
definition of the subject as efficiency promoting and pragmatic
field was the first explicitly articulated statement on the
importance of a separate discipline of public administration.
During the first half of the preceding century, a numbers of
countries have appointed committees to look into the problems
of administration and recommended suitable administrative
machinery to respond to diverse public needs. The Haldane
Committee Report (1919) in Britain; the President’s Committee
on Administrative Management (1937) in the United States;
A.D. Gorwala Committee’s and Paul H. Appleby’s Reports in
India are some of the examples of the efforts by various
countries to make changes in public administration. During the
last four decades also, a number of reports, produced by
committees/commissions appointed by governments in various
countries or multilateral agencies, and books published by
scholars have enriched the discipline and provided new
perspectives to public administration to tune it to the changing
needs of the times. They include: Report of the Committee on
the Civil Services (Fulton Committee Report, U.K., 1968);
various reports of the Administrative Reforms Commission
(India, 1967-72); Reinventing Government (U.S.A., look by
David Orborne and Ted Gabler, 1992), Governance and
sustainable Development (UNDP, 1997) and World
Development Report: Building Institutions for Markets (The
World Bank, 2002).

• Administration is looked at, in the social science perspective, as

a cooperative and social activity. Hence the concern of
academic inquiry would be to understand the impact of

17
 government policies and operations on society. What kind of
society do the policies envisage?; To what extent administrative
action is non-discriminatory?; How is public administration
functioning and what are the immediate and long term effects of
governmental action on the social structure, the economy and
polity?; etc. are questions requiring careful analysis. From the
social science perspective, public administration, as a discipline,
has to draw on a variety of sister disciplines such as History,
Sociology, Economics, Geography, Philosophy, Psychology,
etc., with the objective to explain and not just to prescribe.

• Public administration has a special status in the developing

countries. Many of these countries, after independence from the
colonial rule have stressed upon speedy socio – economic
development. Obviously, these countries have to relay on
government for speedy development. The latter requires a
public administration to be organised and effectively operated
for increasing productivity quickly. Likewise, social welfare
activities have to be effectively executed. These aspects have
given birth to the new sub-discipline of development
administration. The emergence of development administration
is indicative of a felt need for a body of knowledge about how to
study the third world administration and at the same time to
bring about speedy socio-economic development with
government’s intervention. Development administration has
therefore, emerged as a sub-discipline to serve the cause of
development.

• Public administration, as witnessed holds a place of significance

in the lives of people. It touches them at every step. For most of
their needs, the citizens depend upon public administration. In
view of the important role of public administration in the lives of
people, the citizens of a country cannot ignore. Therefore, its
teaching should become a part of the curriculum of educational
institutions. People must get to know about the structure of
government, the activities it undertakes and the manner in which
these are actually performed. The study of public administration
will contribute to the realisation of the values of citizenship.

1.8.2 Importance of Public Administration as an Activity

The contemporary age, which has witnessed the emergence of

‘Administrative State’, public administration has become an essential
part of society and a dominant factor. The functions it is called upon to
perform, have expanded in scope and nature, and what is more, are
continually increasing. Many of them are more positive in nature
because they care for the essential requirements of human life, be it

18
health, education, recreation, sanitation, social security or others. It is,
therefore, a creative factor, with its motto being ‘human welfare’.
These functions are over and above its regulatory functions. The view
points of eminent scholars, as referred to below, amply reflect the
significance of public administration.

Woodrow Wilson: “Administration is the most obvious part of

government; it is government in action, it is the executive, the operative
and the most visible side of the government.

Brooke Adams: “Administration is an important human faculty

because its chief function is to facilitate social change and to cushion
the stock of social revolution”.

W.B. Donham, ‘If our civilization fails, it will be mainly because of

breakdown of administration’.

Paul H. Appleby: ‘Administration is the basis of government. No

government can exist without administration. Without administration
government would be a discussion club, if indeed, it could exist at all’.

The role of public administration in various facets is noted below:

• Basis of the Government: A Government can exist without a

legislature or an independent judiciary. But no Government can
exist without administration.

• An instrument for providing services: Public administration is

mainly concerned with the performance of various activities
performed by government in the public interest. Felix A. Nigro
aptly remarks, “The real core of administration is the basic
service which is performed for the public”.

• An instrument for implementing policies: Modern

governments go a long way in formulating and adopting sound
policies laws and regulations. It should not be forgotten that
such policies, laws, etc. are not merely printed papers. Such
paper declarations of intent are translated into reality by public
administration thus converting words into action and form into
substance.

• A stabilising force in society: Public administration is a major

force for bringing stability in society. It has been observed that
though government often changes, but violent change is seldom
experienced by administration. An element of continuity
between the old and the new orders is provided by public
administration. It does not hold true only of constitutional

19
 changes of government in democratic countries, but is also
reflected when there are revolutionary changes in the form and
character of government.

• An instrument of social change and economic development:

Public administration’s role as a change agent is particularly
crucial in developing nations. It is expected of the state at
present to work for accelerating socio-economic change and not
to be a passive agency to maintain the status quo.

• Technical Character: The present day government is expected

to provide various services to its population. The increase in the
number of functions undertaken by the government require
highly specialised, professional and technical, services. Modern
public administration usually represents a galaxy of all of a
nation’s occupations.

According Gerald Caiden public administration has assumed the

following crucial roles in contemporary modern society:

• Preservation of polity;
• Maintenance of stability and order;
• Institutionalisation of Socio-Economic changes;
• Management of large scale commercial services;
• Ensuring growth and economic development;
• Protection of the weaker sections of society;
• Formation of public opinion; and
• Influencing Public policies.

The points mentioned below summarise the reasons for the growing
importance of public administration:

• Emergence of Welfare and Democratic state

Emergence of welfare and democratic state has led to an
increase in the activities of public administration compared to
that of the laissez-faire state. The state has to now serve all
sections of people in the society. This amount to enhanced
responsibilities of public administration. Public administration
is also to regulate and control private economic enterprises to
meet the objectives of the state.

• Industrial Revolution
The industrial revolution gave rise to socio-economic problems
making the government to assume new roles and responsibilities
such as protection and promotion of the rights of workers in
industrial establishments, etc. Consequently, the state has

20
 enacted a number of Industrial and Labour laws and it is
imperative for public administration to implement such laws in
order to meet the requirements of labour welfare.

• Scientific and Technological Development

Scientific and technological developments have brought about
welcome additions in infrastructure such as power, transport and
communication system. The invention of telephone, telegraph
and other mechanical devices such as typewriter, tele-printer,
and calculators, photocopying machines, computers, fax and the
electronic mail has brought revolutionary changes in office
administration. All these have made possible ‘big government’
and ‘large scale administration’. Besides changing the ethos and
character of public administration, the revolution in information
and communication technologies have contributed to improved
delivery of services to people.

• Economic Planning
Centralised economic planning has been pursued in many
developing countries as a method for socio-economic
development. It requires a large number of experts and
elaborate administrative machinery for plan formulation,
implementation, monitoring, and evaluation.

Apart from the reasons cited the rapid growth of population, modern
warfare, increase in natural and manmade disasters, decline in social
harmony, increase in violence due to conflicts, communal riots, ethnic
wars, terrorism, etc. have increased the importance of public
administration.

It goes without saying that public administration is not only the

operative but also the most obvious part of the government. It is
government in action and occupies a significant place not merely as an
instrument of governance but also as an important mechanism for
preserving and promoting the welfare of community. It has substantive
impact upon the life of the people. It is a vital process charged with
implementation of pre-determined, welfare oriented, and developmental
objectives.

1.9 ROLE OF PUBLIC ADMINISTRATION UNDER

LIBERALISATION, PRIVATISATION AND
GLOBALISATION (LPG)

Since the 1980s a number of countries, have been influenced by the

concept of liberalisation, privatisation and globalisation. In the 1980s
India has also started the process of liberalisation, privatisation and
globalisation (LPG). One form of LPG has entrusted the management

21
of public sector enterprises partially or fully to private companies.
Another form of LPG is disinvestment in public sector enterprises,
which is followed in India. As a result of this the public sector
enterprises find themselves in a competitive and challenging
environment. However, the role of public administration under LPG
continues to quite significant. It requires dismantling of a regime of
regulations, controls, restrictions, licences, secrecy and delay. The
bureaucracy has to play an investor friendly, responsive, transparent,
open and competitive role. So, this requires necessary administrative
reform, which should aim at elimination of redundant practices,
procedures, administrative laws and corruption. Thus, the policy of
LPG affects the role, values and skills of public bureaucracy. It also
decreases the scope of the functions of the state, resulting in minimum
of state interference in the lives of the individuals. The state is called
upon to oversee the operational side of the enterprises. This gives the
state a new role as regulator.

Today, the role of public administration is towards more of governance,

then of direct involvement. The public administration has to play
enabling, collaborative, cooperative, partnership and regulatory roles.
Coming to the core areas such as defence, atomic energy, law and order,
foreign policy it has a direct role to play. In certain other areas such as
telecommunications, airlines, insurance, etc., it has to compete with the
private sector, for which there should be regulatory commissions to
provide for equal level playing fields for both the sectors. There are
other areas which it can have partnership with the citizens for efficient
delivery of services, for example, maintenance of schools, hospitals,
irrigation water and civic amenities. An example we can give is the
‘Bhagidari Scheme’ adopted by the Delhi Government. In certain areas
like electricity, water and transport it can have partnership with the
private sector. A number of states have partnership with the private
sector in providing these services. Other such areas are protection of
forests, empowerment of women, micro credit, health schemes, and
awareness programmes, it can have partnership with the Non
Governmental (NGO) and Voluntary Organisations.

In analysing the emerging role of public administration in the new

millennium, we are dealing with governance. And governance implies
that public administration ahs to operate in a wider context and
coordinate ebborts and activities of the governmental agencies at
various levels with that of the market/the private sector, civil society
groups, NGOs and contextual participant or elected local government
bodies, self-help groups, etc. The role and character of public
administration had seen a major transformation. Although it appears
that its directly handled operations have declined in some of the non-
traditional areas, public administration has to provide synergy and
direction for many collaborative, cooperative and regulatory activities

22
Bureaucracy

A Bureaucracy is a way of administratively organizing large numbers of people who need to work together.
Organizations in the public and private sector, including universities and governments, rely
on bureaucracies to function. The term bureaucracy literally means “rule by desks or offices,” a
definition that highlights the often impersonal character of bureaucracies. Even though bureaucracies
sometimes seem inefficient or wasteful, setting up a bureaucracy helps ensure that thousands of people
work together in compatible ways by defining everyone’s roles within a hierarchy.

What Bureaucrats Do
Government bureaucrats perform a wide variety of tasks. We often think of bureaucrats as paper pushing
desk clerks, but bureaucrats fight fires, teach, and monitor how federal candidates raise money, among
other activities.

The job of a bureaucrat is to Implement government policy, to take the laws and decisions made
by elected officials and put them into practice. Some bureaucrats implement policy by writing rules
and regulations, whereas others administer policies directly to people (such as distributing small
business loans or treating patients at a veterans’ hospital). The task of running the government, and
providing services through policy implementation, is called Public Administration.

Bureaucratic Functions
One useful approach to understanding what bureaucrats do is to examine the actions of
different governmental agencies. The following table summarizes the government’s major functions and
provides examples of agencies that perform those tasks.

FUNCTIONS OF BUREAUCRACIES
Function

Bureaucratic Agencies

Promote the public good National Institutes of Health, Environmental Protection Agency, Federal Bureau
of Investigation
Protect the nation Armed forces, Coast Guard, Central Intelligence Agency Sustain a strong economy
Federal Reserve Bank, Export-Import Bank, Securities and Exchange Commission
Definition:
The word bureaucracy is derived from the French word bureaucratic which is again derived from
bureau. The dictionary meaning of bureaucracy is a system of government in which most decisions are
taken by state officials rather than by elected representatives. This definition of bureaucracy is
somewhat exaggerated because in most of the modern states the representatives take majority decisions
and top government officials act as advisers to the representatives.

The definition given by Hague, Harrop and Breslin appears to be more relevant. “The bureaucracy is
the institution that carries out the functions and responsibilities of the state”.

In another definition the bureaucracy has been termed as a government run or managed by
permanent officers, In other words, it can be said that bureaucracy is that type of government or
administration which is primarily manned by some permanent officers recruited by a body which acts
independently. Though this definition does not embrace all aspects, it conveys the real situation.
We can further say that bureaucracy is a government of permanent officers. They act as the advisers to the
ministers but bear the burden of policy-making and policy implementation and they are responsible to
their immediate boss. The boss may be a bureaucrat or a minister or any other person appointed by the
government.

Weber’s Theory of Bureaucracy:

Origin and Definition:
Marx said that the modern state was the outcome of capitalist development. But Weber does not agree with
this view of Marx. The State existed and even developed before the development of modern capitalism.
But there is an important contribution of capitalism. It created a huge machinery for the management of
public and private administration. Before the advent of capitalism this gargantuan administrative structure
did not have any existence. It is the considered opinion of Weber and today many share this view of
Weber.

Marx said that bureaucratic organisation was parasite in the state. He did not regard it as an integral part
of society. But Weber here again differed. He said that centralised bureaucratic administration was an
integral part of modern state structure and it is inevitable. Weber has clearly stated in his Economy and
Society: Vol. II that “The growing complexity of the administrative task and the sheer expansion of the
scope increasingly result in the technical superiority of those who have had training and experience and
will thus inevitably favour the continuity of at least some of the functionaries.

Hence, there always exists the probability of the rise of a special, perennial structure for
administrative purposes, which of course means for the exercise of rule” (emphasis added). Weber has
clearly stated the origin and inevitability of bureaucratic organisation and rule. The increasing
complexities of modern admi-nistration only could be tackled by bureaucracy.

Characteristics of Bureaucracy:
In Economy and Society Max Weber has pointed out some features of bureaucracy: 1. In bureaucracy
office is arranged or ordered hierarchically like a pyramid. That is, officers hold office according to their
rank. All the officers are subject to the higher authority.

2. Bureaucratic system is characterised by impersonal and written rules. The entire administration is run by
impersonal authority and the authority is vested in rules. In other words, in bureaucratic system, human
appeal has no importance. Laws and rules conduct the administration. All the decisions are taken on the
basis of rules and their methodical application.
3. All the officials are recruited strictly on the basis of proven efficiency and potential
competence. Officials are given specialist training. For the purpose of recruitment, qualifications are
fixed; of course there may be provision for relaxation.

4. Each official, in bureaucracy, has special or demarcated task. That is, there is clear division of
work and each official will have to strictly observe it. The tasks are -so demarcated that it involves fall
time employment.
5. The separation of officials from ownership of the means of administration. It means that the
officials will simply conduct the administration and they cannot claim the ownership of the means
of administration.
6. The officials who perform their duties competently will have security in services salaries and promotion.
In other words, in bureaucracy efficiency, merit and honesty are duly rewarded. There is also the scope of
recognition of seniority.

In every modern state and administration bureaucracy is practically indispensable. Without

bureaucracy no administration can be run properly and efficiently. Even the ordinary management of
administration is not possible. Why is bureaucracy completely indispensable? Weber has stated the reason
in the following words: “The decisive reason for the advance of bureaucratic organisation has always been
its purely technical superiority over any other form of organisation. The fully developed
bureaucratic apparatus compares with the non- mechanical modes of production.

Precision, speed, unambiguity, knowledge of the files, continuity, discretion, unity, strict
subordination, reduction of friction and of material and personal costs—these are raised to the maximum
point in the strictly bureaucratic organisation”. Modern economic organi-sation and the administrative
structure have reached such a stage that bureaucracy has established its indispensability. Without
bureaucracy the administration will suffer and also will suffer general public.

Complexities in modern administration and economic organisation have no doubt made the bureaucracy
indispensable. But Weber has attributed another reason to its growth and it is the largeness of modern
state. The ancient Greek city-states were small in size and the administration and economic systems
were very simple.

Naturally the citizen of ancient Greek city-states did not feel the need of bureaucracy Weber writes: “It is
obvious that technically the large state is absolutely dependent on a bureaucratic basis. The larger the state
and more it is a great power, the more unconditionally is this the case, the greater the zones of friction
with the outside the more urgent the needs for administrative unity at home become the more this character
is inevitably and gradually giving way formally to the bureaucratic structure”.
Karl Marx’s theory of Bureaucracy

Karl Marx’s views on Bureaucracy: Karl Marx

is one of the greatest thinker of the
modern social sciences, who is responsible
for the development of Marxian philosophy.
His ideas on bureaucracy have special
relevance to the ruling elite. Marxist like
Lenin and Stalin are also explained here.
Karl Marx Ideas:
Marx expressed his views on bureaucracy in
his several writings like, Critique of
Hegel’s Philosophy of Right, the German
Ideology, Civil War in France, etc. He explained
bureaucracy and its role in the capitalist
system. He considered bureaucracy is a part of
state mechanism. He attacked the
characteristics of bureaucracy such as superior
knowledge, merit principles, rule mindedness,
impartiality, etc.
He says that the buíeaucíacy is
the imaginaíy state of the íeal state. It is
the spiíitualism of the state. ľhe
buíeaucíacy has the spiíitual being of the
society, in its possession it is its píivate
píopeíty. It functions like a píivate píopeíty
of the state authoíity.

Accoíding to Maíx, “the geneíal spiíit

of buíeaucíacy is secíecy, mysteíy,
píeseíved inwaídly by means of hieíaíchy
and exteínally as a close coípoíation.
Again Maíx says the hieíaíchy of the
buíeaucíacy is hieíaíchy of knowledge.
Accoíding to Maíx, the buíeaucíacy is the
state foímation of the civil society. It is
state’s consciousness, the state’s will, the
state’s poweí as coípoíation.
ľhe mind of buíeaucíacy is the foímal
mind of the state. ľheíefoíe, it makes the
foímal
mind of the state. ľhe buíeaucíacy
asseíts itself to be the final end of the
state. ľhe above obseívations of Maíx
views on buíeaucíacy that the
buíeaucíacy píotects the inteíest of the
state and the class inteíest of the state.

Buíeaucíacy is consideíed as a
negative instíument in the píocess of
social tíansfoímation. Foí Maíx abolition
of state will be achieved institutionally by
the destíuction of buíeaucíatic appaíatus.
Bureaucratic Theory by Max Weber

What Do You Mean By

Bureaucracy? “Bureaucracy is an
organizational structure characterized by
many laws, standardized procedures,
procedures and requirements, number of
desks, meticulous division of labor and
responsibility, clear hierarchies
and professional interactions between
employees that are almost impersonal.”-
Max Weber

Max Weber Bureaucracy Theory

A German scientist, Max Weber,
describes bureaucracy as an institution
that is highly
organized, formalized, and also impersonal.
He also developed the belief that there must
be a fixed hierarchical structure for an
organization
and clear rules, regulations, and lines
of authority that regulate it. The
bureaucracy of Max Weber has the
following attributes:

1. Specialization of labor

2. A formal set of rules and regulations

3. Well-defined hierarchy within

the organization

4. Impersonality in the application of rules

Weberian Bureaucracy
Bureaucratic organizations evolved
from traditional structures due to the
following changes:

In traditional structures, the leader

delegates duties and can change them at any
time. However, over time, this changed and
there was a clear specification of jurisdiction
areas along with a distribution of activities as
official duties.

In a bureaucratic organization, the

subordinates follow the order of superiors
but can appeal if they feel the need.
The rules are detailed, stable, and can be
easily understood by employees. Additionally,
the company registers them in permanent
archives.
Personal property is distinct from property
in the workplace. The means of production
or administration therefore belong to the
bureau.

The selection of officials shall be based

on professional qualification and appointment
and shall not be based on an election. In
addition, for their service, officials receive a
salary as compensation.

Max Weber’s Bureaucratic Form – 6

Major Principles
Max Weber identified the following six
core principles of the bureaucratic form:

A structured hierarchical structure: Each

level governs the level below it in a
bureaucratic organization. The level above it
too, governs it. The foundation of central
planning and centralized decision making is a
formal hierarchy.

Rules-based management-To exercise

control, the company uses rules. Therefore at
higher levels, the lower levels effortlessly
execute the decisions made.

Organization of Functional Specialties –

Specialists do the job. The company
often breaks workers into groups depending
on the
type of work they do or the abilities
they possess.

If the organization’s purpose is to represent

the stockholders, board, or some other
institution that motivated it then it is up-
focused Up focused or In-focused mission. On
the other hand, it is in-focused if the goal is to
serve the company itself and others inside it
(like producing income, etc.).

Impersonal – all workers are handled fairly

by hierarchical organizations. They also fairly
treat all clients and do not allow
individual differences to affect them.

Employment-oriented Professional
Qualifications – Selection is based on technical
qualifications and skills as well as
employee promotion.

Though criticism has come from several

corners of these laws, the organization’s
hierarchical structure tends to live on.
73rd CONSTITUTIONAL AMENDMENT The
Constitution (73rd Amendment) Act
was passed in 1992 and it came into effect
on 24 April 1993. The Act empowered
state governments to take the necessary
steps that would lead to the formalisation
of the gram panchayats and help them
operate as units of self-governance.
What was the 73rd
Constitutional Amendment
Act?
Village panchayats existed in India
long before the act was passed in 1992,
but the system had inherent weaknesses
like the inability to be a people’s
government responsive to their needs.
This was due to a variety of factors like a
lack of financial resources, no regular
The chief features of the act are
mentioned below:
This Act made the Panchayati
Raj institutions in the country
constitutional bodies.
Under Article 243-B, it has
become compulsory for every state to
establish panchayats in their
territories.
Article 243-G makes it mandatory for
the state governments to devolve
powers, responsibilities and authority to
the panchayats.
The gram panchayats have a fixed tenure
of 5 years.
State election commissions have
been provided with the mechanism to
conduct independent elections to the
village panchayats.
Parishad/Panchayat Samiti/Block Samiti
(at the Block level), and the Zila Parishad
(at the district level).
URBAN LOCAL GOVERNMENT

The term 'Urban Local Government' in India signifies the governance of an urban
area by the people through their elected representatives. The jurisdiction of an urban
local government is limited to a specific urban area which is demarcated for this
purpose by the state government
There are eight types of urban local governments in India— municipal corporation,
municipality, notified area committee, town area committee, cantonment board,
township, port trust and special purpose agency.
The system of urban government was constitutionalised through the 74th
Constitutional Amendment Act of 1992. At the Central level, the subject of 'urban
local government' is dealt with by the following three ministries:

(i) Ministry of Urban Development, created as a separate ministry in

1985

(ii) Ministry of Defence in the case of cantonment boards

(iii) Ministry of Home Affairs in the case of Union Territories

RECOMMENDATIONS

In August 1989, the Rajiv Gandhi government introduced the 65th Constitutional
Amendment Bill (i.e., Nagarpalika Bill) in the Lok Sabha.

Although the bill was passed in the Lok Sabha, it was defeated in the Rajya Sabha
in October 1989 and hence, lapsed.

PV Narasimha Rao's Government also introduced the modified Municipalities Bill

in the Lok Sabha in September 1991. It finally emerged as the 74th Constitutional
Amendment Act of 1992 and came into force on 1 June 1993
74TH AMENDMENT ACT OF 1992

• This Act has added a new Part IX-A to the Constitution of India. This part is entitled
as 'The Municipalities' and consists of provisions from Articles 243- P to 243-ZG.
In addition, the act has also added a new Twelfth Schedule to the Constitution.

• This schedule contains eighteen functional items of municipalities. It deals with

Article 243- W. The act gave constitutional status to the municipalities.
• SALIENT FEATURES

Three Types of Municipalities The act provides for the constitution of the following
three types of municipalities in every state.

1. A nagar panchayat (by whatever name called) for a transitional area, that is, an
area in transition from a rural area to an urban

area.

2. A municipal council for a smaller urban area. 3. A municipal corporation for a

larger urban

area.
FEATURES

Composition All the members of a municipality shall be elected directly by the

people of the municipal area. For this purpose, each municipal area shall be divided
into territorial constituencies to be known as wards. The state legislature may
provide the manner of election of the chairperson of a municipality. It may also
provide for the representation of the following persons in a municipality.
1. Persons having special knowledge or experience in municipal administration
without the right to vote in the meetings of municipality.
2. The members of the Lok Sabha and the state legislative assembly representing
constituencies that comprise wholly or partly the municipal area.
3. The members of the Rajya Sabha and the state legislative council
registered as electors within the municipal area.
4. The chairpersons of committees (other than wards committees).
FEATURES

Wards Committees There shall be constituted a wards committee, consisting of one

or more wards, within the territorial area of a municipality having population of three
lakh or more.
Reservation of Seats The act provides for the reservation of seats for the scheduled
castes and the scheduled tribes in every municipality in proportion of their
population to the total population in the municipal area. Further, it provides for the
reservation of not less than one-third of the total number ofseats for women

Duration of Municipalities The act provides for a five-year term of office for every
municipality. However, it can be dissolved before the completion of its term.

State Election Commission The superintendence, direction and control of the

preparation of electoral rolls and the conduct of all elections to the municipalities
shall be vested in the state election commission. Powers and Functions Such a
scheme may contain provisions for the devolution of powers and responsibilities
upon municipalities at the appropriate level with respect to (a) the preparation of
plans for economic development and social justice; (b) the implementation of
schemes for economic development and social justice as may be entrusted to them,
including those in relation to the eighteen matters listed in the Twelfth Schedule.
FEATURES

Finances The state legislature may (a) authorise a municipality to levy, collect and
appropriate taxes, duties, tolls and fees; (b) assign to a municipality taxes, duties,
tolls and fees levied and collected by state government; (c) provide for making
grants-in-aid to the municipalities from the consolidated fund of the state; and (d)
provide for constitution of funds for crediting all moneys of the municipalities.
Exempted Areas The act does not apply to the scheduled areas and tribal areas in
the states. It shall also not affect the functions and powers of the Darjeeling Gorkha
Hill Council of the West Bengal.
District Planning Committee Every state shall constitute at the district level, a
district planning committee to consolidate the plans prepared by panchayats and
municipalities in the district, and to prepare a draft
development plan The state legislature may make provisions with respect to the
following:
1. The composition of such committees;
2. The manner of election of members of such committees;
3. The functions of such committees in relation to district planning; and
4. The manner of the election of the chairpersons of such committees.
Twelfth Schedule
·
TYPES OF URBAN GOVERNMENTS

The following eight types of urban local bodies are created in India for theN
administration of

urban areas:

• Municipal Corporation

• Municipality

• Notified Area Committee

• Town Area Committee

• Cantonment Board
• Township

• Port Trust

• Special Purpose Agency

1. Municipal Corporation

Municipal corporations are created for the administration of big cities like Delhi,
Mumbai, Kolkata, Hyderabad, Bangalore and others. They are established in the
states by the acts of the concerned state legislatures, and in the union territories by
the acts of the Parliament of India There may be one common act for all the
municipal corporations in a state or a separate act for each municipal corporation.
A municipal corporation has three authorities, namely, the council, the standing
committees and the commissioner. The Council is the deliberative and legislative
wing of the corporation. It consists of the Councillors directly elected by the people,
as well as a few nominated persons. The Council is headed by a Mayor. He is assisted
by a Deputy Mayor. He is elected in a majority of the states for a one-year renewable
term. He is basically an ornamental figure and a formal head of the corporation.
The standing committees are created to facilitate the working of the council, which
is too large in size. They deal with public works, education, health, taxation, finance
and so on. They take decisions in their fields.
The municipal commissioner is responsible for the implementationfor the
implementation of the decisions taken by the council and its standing committees.
O
2. Municipality

The municipalities are established for the administration of towns and smalle cities.
Like the corporations, they are also set up in the states by the acts of the concerned
state legislatures and in the union territory by the acts of the Parliament of India.
Like a municipal corporation, a municipality also has three authorities, namely, the
council, the standing committees and the chief executive officer. The council is the
deliberative and legislative wing of the municipality. It consists of the councillors
directly elected by the people.
The council is headed by a president/chairman. He is assisted by a vicepresident/
vice-chairman. He presides over the meetings of the council.

Apart from presiding over the meetings of the Council, he enjoys executive powers.
The standing committees are created to facil-itate the working of the council. They
deal with public works, taxation, health, finance and so on.
The chief executive officer/chief municipal officer is responsible for dayto- day
general administration of the municipality. He is appointed by the state government.
•
3. Notified Area Committee
A notified area committee is created for the administration of two types of areas-a
fast developing town due to industrialisation, and a town which does not yet fulfil
all the conditions necessary for the constitution of a municipality, but which
otherwise is considered important by the state government.

Since it is established by a notification in the government gazette, it is called as

notified area committee.

Its powers are almost equivalent to those of a municipality. But unlike the
municipality, it is an entirely nominated body.

•
3. Notified Area Committee
A notified area committee is created for the administration of two types of areas-a
fast developing town due to industrialisation, and a town which does not yet fulfil
all the conditions necessary for the constitution of a municipality, but which
otherwise is considered important by the state government.

Since it is established by a notification in the government gazette, it is called as

notified area committee.

Its powers are almost equivalent to those of a municipality. But unlike the
municipality, it is an entirely nominated body.
4. Town Area Committee

A town area committee is set up for the administration of a small town. It is a semi-
municipal authority and is entrusted with a limited number of civic functions like
drainage, roads, street lighting, and conservancy. It is created by a separate act of a
state legislature.
5. Cantonment Board

• A cantonment board is established for municipal administration for civilian

population in the cantonment area. It is set up under the provisions of the
Cantonments Act of 2006-a legislation enacted by the Central government.

• It works under the administrative control of the defence ministry of the Central
government. Thus, unlike the above four types of urban local bodies, which are
created and administered by the state government, a cantonment board is created as
well as administered by the Central government.
TOWNSHIP
6. Township: This type of urban government is established by the large public
enterprises to provide civic amenities to its staff and workers who live in the housing
colonies built near the plant. The enterprise appoints a town administrator to look
after the administration of the township. He is assisted by some Thus, the township
form of urban government has no elected members. In fact, it is an extension Nof
the bureaucratic structure of the enterprises.

7. Port Trust :The port trusts are established in the port areas like Mumbai, Kolkata,
Chennai and so on for two purposes: (a) to manage and protect the ports; and (b) to
provide civic amenities. A port trust is created by an Act of Parliament. It consists
of both elected and nominated members. Its chairman is an official. Its civic
functions are more or less similar to those of a municipality.
8. Special Purpose Agency

In addition to these seven area-based urban bodies (or multipurpose agencies), the
states have set up certain agencies to undertake designated activities or specific
functions that 'legitimately' belong to the domain of municipal corporations or
municipalities or other local urban governments. In other words, these are function-
based and not area-based. They are known as single purpose', 'uni-purpose' or
'special purpose' agencies or 'functional local bodies'. Some such bodies are:

1. Town improvement trusts.

2. Urban development authorities.
3. Water supply and sewerage boards. 4. Housing boards.
5. Pollution control boards. 6. Electricity supply boards. 7. City transport boards.
BUDGET
The budgetary procedure in India involves four
different operations that are

1. Preparation of the budget

2. Enactment of the budget
3. Execution of the budget
4. Parliamentary control over finance

Preparation of budget-
The exercise of the preparation of the budget
by the ministry of finance starts sometimes
around in the month of September every year.
There is a budget Division of the Department of
Economic affair of the ministry of finance for
this purpose.
The ministry of finance compiles and
coordinates the estimates of the expenditure of
different ministers and departments and
prepare an estimate or a plan outlay.
Estimates of plan outlay are scrutinized by the
Planning Commission. The budget proposals of
finance ministers are examined by the finance
ministry who has the power of making changes
in them with the consultation of the prime
minister.

Enactment of the budget

Once the budget is prepared, it goes to the
parliament for enactment and legislation. The
budget has to pass through the following
stages:

1. The finance minister presents the

budget in the Lok Sabha. He makes his
 budget in the Lok Sabha. Simultaneously,
the copy of the budget is laid on the table
of the Rajya Sabha. Printed copies of the
budget are distributed among the members
of the parliament to go through the details
of the budgetary provisions.
2. The finance bill is presented to the
parliament immediately after the
presentation of the budget. Finance Bill
relates to the proposals regarding the
imposition of new taxes, modification on
the existing taxes or the abolition of the old
taxes.
3. The proposals on revenue and
expenditure are discussed in the
Parliament. Members of the Parliament
actively take part in the discussion.
4. Demands for grants are presented to
the Parliament along with the budget These
demands for grants show that the estimates
 of the expenditure for various departments
and they need to be voted by the
Parliament.
5. After the demands for grants are voted
by the parliament, the Appropriation Bill is
introduced, considered and passed by the
appropriation of the Parliament. It provides
the legal authority for withdrawal of funds
of what is known as the Consolidated Fund
of India.
6. After the passing of the appropriation
bill, finance bill is discussed and passed. At
this stage, the members of the parliament
can suggest and make some amendments
which the finance minister can approve or
reject.
7. Appropriation bill and Finance bill are
sent to Rajya Sabha. The Rajya Sabha is
required to send back these bills to the Lok
Sabha within fourteen days with or without
 amendments. However, Lok Sabha may or
may not accept the bill.
8. Finance Bill is sent to the President for
his assent. The bill becomes the statue after
presidents’ sign. The president does not
have the power to reject the bill.
Execution of the budget
Once the finance and appropriation bill is
passed, execution of the budget starts. The
executive department gets a green signal to
collect the revenue and start spending money
on approved schemes.
Revenue Department of the ministry of finance
is entrusted with the responsibility of collection
of revenue. Various ministries are authorized to
draw the necessary amounts and spend them.
For this purpose, the Secretary of minister’s
acts as the chief accounting authority.
The accounts of the various ministers are
prepared as per the laid down procedures in
this regard. These accounts are audited by the
Comptroller and Auditor General of India.
Parliament Control over Finance
There is a prescribed procedure by which the
Finance Bill and the Appropriation Bill are
presented, debated and passed.
The Parliament being sovereign gives grants to
the executive, which makes demands. These
demands can be of varieties like the demands
for grants, supplementary grants, additional
grants, etc.
The estimates of expenditure, other than those
specified for the Consolidated Fund of India,
are presented to the Lok Sabha in the form of
demands for grants.
The Lok Sabha has the power to assent to or to
reject, any demand, or to assent to any
demand, subject to a reduction of the amount
specified. After the conclusion of the general
debate on the budget, the demands for grants
of various ministries are presented to the Lok
Sabha.
Formerly, all demands were introduced by the
finance minister; but, now, they are formally
introduced by the ministers of the concerned
departments. These demands are not
presented to the Rajya Sabha, though a general
debate on the budget takes place there too.
The Constitution provides that the Parliament
may make a grant for meeting an unexpected
demand upon the nation’s resources, when, on
account of the magnitude or the indefinite
character of the service, the demand cannot be
stated with the details ordinarily given in the
annual financial statement.
An Appropriation Act is again essential for
passing such a grant. It is intended to meet
specific purposes, such as for meeting war
needs.
 Public Policy: Models
UNIT 3 PUBLIC POLICY PROCESS IN
INDIA: FORMULATION AND
IMPLEMENTATION*
3.0 OBJECTIVES
After reading this Unit, you should be able to:
Understand the policy process as a system;
Describe the policy-making process in India;
Discuss the problems of implementation of public policy; and
Highlight issues related to policy formulation.

3.1 INTRODUCTION
Policy-making is a continuing process. It does not come to an end once a policy
is approved or adopted. As Anderson observes: “Policy is being made as it is
being administered and administered as it is being made” (Anderson, 1975). Yet,
41
Public Policy each stage or phase of the policy process -formulation, implementation,
evaluation-differs from the other.

The policy process consists of stages of policy activity such as formulation,

implementation and evaluation. Birkland observes that ‘policy process’ is a
“system that translates policy ideas into formulation, implementation, evaluation
actual policies that are implemented and have positive effects” (Birkland, 2011).
For example, the main characteristics of the Eastonian (systems) model is that of
viewing policy process in terms of received inputs (demand, support), in the
form of flows from the environment, mediated through input channels (interest
groups, media); demands within the political system (with inputs) and their
conversion into policy outputs.

3.2 STAGES IN THE POLICY PROCESS

Thomas Dye (2004) sets out the following stages in his analysis of the policy
process:

1) Problem Identification: The identification of policy problems through

demands for government action.
2) Agenda Setting: Focusing the attention of the mass media and public officials
on specific public problems as a prelude to decision making.
3) Policy Formulation: The development of policy proposals by interest groups,
officers of the chief executive’s office, committees of the legislature, think
tanks, etc.
4) Policy Legitimation: The selection and enactment of policies through political
actions by the executive, the legislature, and the courts.
5) Policy Implementation: The implementation of policies through organised
bureaucracies, public expenditures, and the activities of executive agencies.
6) Policy Evaluation: The evaluation of policies by government agencies
themselves, outside consultants, the press, and the public.

Hogwood and Gunn (Policy Analysis for the Real World, 1984) have identified
nine important stages in the policy process: deciding to decide (agenda setting),
deciding how to decide (issue filtration), issue definition, forecasting, setting
objectives and priorities, options analysis, policy implementation, monitoring
and control, evaluation and review and policy maintenance, succession and
termination.

The policy cycle of May and Wildavsky (1978) includes agenda-setting, issue
analysis, implementation, evaluation and termination. Similarly, James Anderson
has also dealt with description of the policy process. His model of the policy
process has five stages: (i) problem identification, and agenda formulation (ii)
formulation, (iii) adoption, (iv) implementation, and (v) evaluation (Anderson,
1984).

There are basic linkages in a policy framework for the systematic analysis of
information and its use in a policy-related context. The basis to the framework is
information for policy analysis, which is derived from system or programme
performance in terms of interaction among:
42
 Public Policy Process in
inputs, which indicate needs and demands India: Formulation and
Implementation
processes concerning the provision of services for long-term care
outputs in terms of the use of services and cost of care
outcomes, which identify the end results of certain courses of action.
For example, in the context of the National Health Policy (2017), the inputs (in
terms of need and demands) comprise health, illness, and the quality of life,
expressed in physical, psychological, social, and environmental terms. Needs
are the conditions that call for action. They are among the most important
predictors of utilisation, and are mostly described in terms of diagnosis, functional
limitation, perceived illness, symptoms, or poor health status. On the other hand,
demands are expressed as desires in relation to the services sought, whether they
are needed or not. Other inputs include resources, such as manpower (doctors,
nurses, and para-medical staff) hospitals, primary health centres, medical
equipment and facilities, medicine, and performance standards.

On the process linkage, it is concerned with the delivery of services to meet the
needs and demands of clients and professionals. Services are described in such
terms as their types, delivery, management and controls of cost and quality. Other
services include supports such as legal aid, income support, consumer education,
and professional development. The outputs of service related programmes are
described in terms of the use of those services, the costs and the quality of care.
Finally, the outcomes are the responses to the services expressed in terms of the
levels of well-being and health, and client and professional satisfaction that are
attained as a result. The foregoing analytical framework facilitates programme
evaluation, which is expected to lead to rational policies and decisions about
health services. In the next section, we will describe the various stages in policy
process.

3.2.1 Identifying Underlying Problem

For an analytic approach, the first step is to identify whether and why there is a
problem at all. Defining the problem involves moving from mundane descriptions
to a more abstract, conceptual plane. Here, an attempt is be made to diagnose the
form of market failure that is confronted. For example, an environmentalist who
is investigating alternative pollution control measures for the Ganges will find
that the water is being polluted by the dumping of industrial wastes and untreated
sewage into the river. Having identified the context of the problem, the next step
is to determine what objectives are to be achieved in tackling the issue. Too
often, we lose sight of the basic objectives. Paying careful attention to the
objectives is, therefore, important. For example, the provision of the services of
doctors is merely a means to the end of improving people’s health.

3.2.2 Determining Policy Alternatives

The next step is to determine alternative courses of action. Government
intervention can take any form. It is important to determine which kind of
intervention is most positive in a given situation.
In the case of pollution of the Ganges, consider the following possibilities:
i) Abutters in some catchments or adjoining areas of the river might be put under
an obligation by the government to clean water. The government wouldthen
have the right to sue a polluter. 43
Public Policy ii) The government may require the industrialists concerned, and urban dwellers
concerned to stop dumping waste and untreated sewage into the river. It may
otherwise impose restrictions on them on the quantity of dumping. The
government may permit polluters to purchase rights to discharge a certain
amount of pollutants. Polluters may be required to pay effluent charges and
to install pollution control devices.

iii) The state government or the local authority itself can directly undertake the
work of cleaning and removing the pollutants that others dump.

These are some of the alternatives for pollution control. As difficulties are
identified and additional information becomes available, refinement of alternative
courses of action will continue throughout the analysis. Determining alternatives
for policy choice generally requires expertise or special knowledge in the relevant
areas.

3.2.3 Forecasting and Evaluating Alternatives

Having identified the underlying problem and having determined the alternatives
for policy choice, the policy analyst evaluates the consequences of each of the
alternatives. For this, he will turn to a relevant model for forecasting consequences.
In the case of the pollution control problem, the models needed would be far
more complex. It is necessary here to predict all the effects of the proposed
policies, not just the economic effects desired by the decision-maker.

If the consequences of an alternative course of action are uncertain, and especially

if the possible outcomes differ widely from one another, the analyst may wish to
develop a decision tree and evaluate the probability of each outcome. Very often
it is difficult to have a rational policy choice unless the relative merits of alternative
options are analysed systematically. The costs involved in regulation and
administration needs to be evaluated. Evaluation of the outcomes is of great
importance as it reminds us to look carefully at the cost-benefit analysis of a
particular policy choice.

3.2.4 Policy Selection

The next step in policy analysis relates to making the preferred choice (course of
action). The situation may be so simple for the policy-maker that he can simply
look at the consequences predicted for each alternative and select the one that is
best. In contrast, it may be so complex that the policy analyst will have to set out
the order of preferences among the various possible outcomes, that is, in terms
of how different sets of stakeholders might respond to the possible choices and
their outcomes.

The policy process may be represented in a diagrammatic form, as shown in

figure 3.1.It has been observed that countless policy studies have led nowhere.
Sometimes the fault is attributed to the public decision-makers who do not take
advantage of readily accessible data. Too often, it is the analysts themselves who
have to share a major portion of the blame when things go wrong. But, by
enhancing the capability of the analyst to forecast the consequences of the
alternative courses of actions, and providing a framework for evaluating those
consequences, the techniques of policy analysis lead to better decisions and
policies.
44
 Public Policy Process in
3.2.5 Policy Implementation (Policy Action) India: Formulation and
Implementation
In the final analysis, the success of public administration can be measured only
in relation to the implementation of policies. Policy implementation is of critical
importance to the success of government. However good the political system,
however noble the goals, however sound the organisational system, no policies
can succeed if the implementation is poor.

In its most general form, implementation is a phase between a policy statement

and operation. It seeks to determine whether an organisation is able to carry out
and achieve the stated objectives of its policies. The exercise involves developing
and pursuing a strategy of organisation and management to ensure that the policy
process is completed with the minimum of delays, cost overruns and problems.
More specifically, the task of implementation is to form a bridge that allows the
objectives of public policies to be achieved as outcomes of governmental activity.
It involves the creation of a policy delivery system in which specific mechanisms
are designed and pursued in the hope of reaching particular ends.
Constraints in Policy Implementation
Policies can become very difficult to implement if the implementers are not given
sufficient autonomy and flexibility in carrying out their tasks. Political pressures
in a democratic context constitute a major constraint. A third constraint is that
the bureaucracy does not have the necessary professional skills needed for the
implementation of the policies. Lack of resources, such as personnel, financial
and technical, also becomes a hindrance in the implementation of public policy.
Another problem in policy implementation might arise due to lack of response
from the target groups. Sometimes, people do not evince adequate interest in the
implementation of a programme; because they may not be aware of the objectives
and goals of a programme. Lack of people’s participation often upsets
implementation.

3.2.6 Policy Monitoring

Monitoring is essentially a subset of the implementation process. It is an activity
which occurs in the course of implementing a policy or programme. It is in the
process of monitoring that the implementer actually gets to begin seeing the
results of policy. The objective of policy monitoring is to ensure through the
policy implementation process that resource inputs are used as efficiently as
possible to yield intended results. The standards which are used for both efficiency
of resource utilisation and effectiveness of policy implementation are inherent
in the policy-making process. The monitor has to be able to appraise resource
use, technical activities and policy implementation results with an amount of
detail which permits him to make changes or corrections when necessary.

An effective monitoring of public policies aids in cost reduction, time saving

and effective resource utilisation. The key issue in monitoring is to create an
information system that enables policy makers and policy implementers to make
timely decisions and policies. Therefore, it is important that monitoring and control
processes should be given due importance and be designed properly.

One of the serious problems in monitoring relates to poor design of the

implementing system. Second, time is a constraint for policy monitoring. Too
45
Public Policy often, the implementing staff feels so pressed to achieve results that they take
shortcuts and avoid monitoring and control. Third, a common constraint for the
policy implementation manager is the shortage of corrective actions, which would
be applied when the programme is found to be deviating in some respect from
projected performance. Fourth, a pervasive obstacle to policy monitoring is
ignorance about its role and methods. This is often due to lack of requisite skills
on the part of the key functionaries.

3.2.7 Policy Outcomes

The next stage in the policy cycle is the policy outcomes. They are different
from outputs. Policy outputs are the actual decisions of the implementers. The
concept of outcomes lays stress on what actually happens to the target groups
intended to be affected by the policy. If the intended changes on target groups do
not occur, something is wrong. State housing schemes for the poor may be used
to illustrate this point. Although one can find the fulfilment of targets, including
the physical presence of houses, it was observed that in a majority of the instances
the beneficiaries choice not to occupy them because they were not to their liking
in terms of the size, ambience or quality of construction or some other deficiencies.
The policy outputs were achieved, but not the outcomes.

3.2.8 Policy Evaluation

The final stage of the policy process, in the sequential pattern of activities, is the
evaluation of policy. Evaluation is concerned with what happens, once a policy
has been put into effect. It is an assessment of the overall effectiveness of a
programme in meeting its objectives, or assessment of the relative effectiveness
of programmes in meeting the expected objectives.

Evaluation performs several functions in policy analysis. In the first place, it

provides reliable information about policy performance. It measures the impact
of policies on society. It reveals the extent to which particular goals have been
achieved (for example, increase in the life expectancy at birth). It also helps us
to understand the degree to which policy issues have been resolved. Secondly,
evaluation helps clarify the values that underline the selection of goals and
objectives. Thirdly, evaluation may result in efforts to restructure policy problems.
It may also contribute to the emergence of new goals and potential solutions.
Evaluation during the implementation process of a policy might suggest its
termination of the political together. In short, evaluation is primarily an effort to
analyse policy outcomes in terms of the set objectives. It is, therefore, helpful in
bringing out the utility of the policies under consideration.

3.2.9 Design of Evaluation

Evaluating a public programme involves the listing of the goals of the programme,
measuring the degree to which these goals have been achieved, and finally,
suggesting changes that might bring the performance of the organisation more in
line with the intended purposes of the programme. Evaluation has a sensitive
side of it. It may sometimes become a point of conflict or reinforce pre-existing
conflicts. Negative evaluation of the performance of a public programme may
result in its termination. The content of an evaluation, the goals that are contained
in it, and even the organisation performing the functions, all of them will affect
the final assessment. Therefore, there is a need for a careful design of evaluation
46
 Public Policy Process in
work by competent persons. This requires adequate information feedback, India: Formulation and
resources and political will. Implementation

3.3 FORMULATION OF PUBLIC POLICY

3.3.1 Constitutional Framework for Policy-Making
Policy-making in India is shaped within the framework of the constitutional
system, of which four features stand out most prominently: democratic and
sovereign republic, parliamentarysystem, the federal character of the Constitution
and a broad socio-economic philosophy - reflected especially in the preamble,
the chapters on Fundamental Rights and the Directive Principles of the state
policy.

3.3.2 Institutional Factors

In addition to these four constitutional factors there are other factors that govern
policy-making in India.
Legislature
Parliament in India is the supreme public policy-making body. It reigns supreme
because the council of ministers headed by the Prime Minister is dependent upon
the support of a parliamentary majority to remain in force. It enacts laws which
will bring the policies into effect. It also legitimises the policy decisions of the
government.

In reality, however, it does not reign supreme. It does not determine policies
except in a formal sense. It influences public policies through general discussions
and debates. Most of the legislation in India is prepared within the executive and
introduced in the legislature by the minister concerned. The executive is assured
of a legislative majority for the policy proposals it presents.
Executive
It is the constitutional task of the executive to decide the policies which are to be
submitted to Parliament. The executive at the Union level in India consists of the
President of India, the Council of Ministers and the machinery of government.
The main bodies engaged in policy formulation in the executive are:

i) Cabinet: The real executive is the Council of Ministers consisting of the

Prime Minister, cabinet ministers, ministers of state and the deputy ministers.
It is well-known that the Council itself hardly meets, and all the policy
functions are performed by the Cabinet.

ii) The Prime Minister: Within the Council of Ministers in general and the
cabinet in particular, the Prime Minister enjoys a special position in the realm
of policy-making. The Prime Minister is expected to exercise control over
the cabinet decision-making process.

iii) Secretariat-Department and Ministry: The secretariat is an administrative

organisation to assist the government in the discharge of its executive and
legislative responsibilities. It is a complex of departments and ministries
whose administrative heads are known as secretaries and whose political
47
Public Policy heads are the ministers. The secretary acts as the chief adviser to the minister.
He assists the minister(s) in the formulation of public policies. As policies
can be framed only on the basis of availability and adequacy of data, the
secretariat makes relevant information available to the minister, thus helping
him to formulate policies.

Judiciary

The judiciary in India also plays a constructive role in shaping and influencing
public policies in two ways: a) by its power of judicial review, and b) judicial
decisions.

The Constitution empowers the Supreme Court, and High Courts at the state
levels to exercise a judicial review of legislation. Judicial review is the power of
the courts to determine the constitutionality of actions of the legislature and the
executive. They are not only specifying the government’s limits with regard to
certain actions, but also stating what it must do to promote public interest. Besides,
the higher judiciary is also exercising its influence through its decisions in Public
Interest Litigation cases.

3.3.3 Non-Governmental Institutions

Some non-governmental organisations such as political parties, pressure groups,
media and citizenry are also informal participants in the policy process. Their
views and influence are of critical value to the policy-making process.
Political Parties and Pressure Groups
The pressure exerted by pressure groups and political parties is an important
factor in the making of policies. The political parties provide impetus to policies
through their election manifestoes, and by enlisting support at the time of elections.
Pressure groups strive to influence the decisions of the government in manifold
ways. Often, these groups are found to have conflicting values on a particular
policy issue. Obviously, well-organised and active pressure groups have more
influence than groups whose members are poorly organised and inarticulate.
The Individual Citizen and the Media
The people initiate the process of legislation and policy-making by voting for
candidates with specific policy preferences. A democratic government is supposed
to reflect the wishes of the people. Yet, in reality citizen’s participation in policy-
making is very negligible. Acting alone, the individual citizen is rarely a significant
political force. The media can also influence public opinion in a situation. Media
influence, however, depends upon the level of responsiveness from the
government.
External Agencies Influencing Policy
External agencies and non-state actors are a an important source in the initiation
of new public policies or modification of pre-existing policies, especially in Third
World countries like India. They include agencies such as the United Nations
and its allied agencies (WHO, ILO, UNEP, UNDP, etc.) the World Bank, the
International Monetary Fund, the Organisation for Economic Cooperation and
Development (OECD) and other multilateral agencies is of critical importance
in shaping policy outcomes.
48
 Public Policy Process in
India: Formulation and
Implementation

3.4 POLICY IMPLEMENTATION

3.4.1 Importance and Meaning
In the final analysis, the success of public administration for development can be
measured only in relation to the implementation of policies. Implementation
determines the extent to which an organisation is able to carry out and achieve
the stated objectives. It involves developing and pursuing a strategy to ensure
that the policy process is completed with the minimum of delays, costs and
problems. Implementation involves the “creation of a policy delivery system in
which specific mechanisms are designed and pursued in the hope of reaching
particular ends”. Thus, public policies in the form of statement of goals and
objectives are put into action-programmes that aim to realise the ends stated in
the policy.

Putting policy into effect involves not the end of policy-making, but a continuation
of policy-making by other means. At the minimum, implementation requires:
1) adequate personnel and the financial resources to implement the policy;
2) the administrative capability to achieve the desired policy goals; and
3) support from the legislative, executive and judicial wings of the government
for the successful implementation of policy.

3.4.2 Implementers
Public policies in India, as in other countries, are implemented by a complex
system of administrative organisations and agencies. The main agency which
implements government activities and public policies is the bureaucracy. This is

49
Public Policy an important institution which performs most of the day-to-day work of
government. It is the bureaucracy which controls the personnel, money and other
resources of the government, and has legal authority for their deployment. Since
so much power and control over implementation is held by the bureaucracy the
legislature, the chief executive and judiciary set limits to its discretion and
indirectly control its excesses, if any. Though discretion and delegation are
inevitable in a complex policy apparatus specific strategies exist to exercise
control over bureaucracy’s operations if things go wrong. In the process the
legislature and the judiciary tend to participate in policy implementation.

3.4.3 Conditions for Successful Implementation

Implementation is seen varying along a continuum ranging from most successful
to failure. Successful implementation involves many operations and procedures
as well as time and resources. Sabatier and Mazmanian (1979) identify five
conditions for effective policy implementation. These are:

1) The programme is based on sound assumptions relating changes in target

group behaviour in consonance with the programme objectives.

2) Unambiguous policy directives and structures of the implementation process

to enable target groups to maximise their performance.

3) The leaders of the implementation agencies possess substantial managerial

and political skill and are committed to statutory goals.

4) The programme is actively supported by organised groups and by a few key

legislators (or the chief executive) throughout the implementation process,
with the judiciary being neutral or supportive.

5) The relative priority of statutory objectives is not significantly undermined

over time by the emergence of conflicting public policies or by change in
relevant socio-economic conditions.

Policy-making does not end once a decision is reached. The implementation

of a decision is just as important as the policy itself. No policy formulator
can assume that decisions will automatically be implemented as envisioned.
Policy implementation requires a wide variety of actions, including,
a) issuing policy directives that are clear and consistent;
b) creating organisational units and assigning personnel with the information
and authority necessary to administer the policies;
c) coordinating personnel resources and expenditures to ensure benefit to
target groups; and
d) evaluating implemental actions of the personnel.
None of these steps is easy. The implementation of policy thus involves not the
end of policy-making, but a continuation of policy-making by other means.

3.5 POLICY-MAKING PROCESS N INDIA

Policy-making is a vital function at all levels of government in India. For the
50 conduct of government business, certain rules have been framed under Article
 Public Policy Process in
77(3) of the Constitution. The Rules of Business govern the procedure for India: Formulation and
decision-making and within the ambit of these rules, policy decisions are taken Implementation
by the Council of Ministers, particularly by the cabinet. But nowhere in the rules
does there seem to be any distinction drawn between those decisions which are
concerned with policy and those that are not. Policy and administration are
intimately related and are an integral part of executive government. Indeed, it
may be said that some important decisions on policy are often taken informally.
The Prime Minister or a particular colleague, if he is confident of being able to
carry a particular policy through, may announce a decision, either in parliament
or in public. However, this is not frequent, especially in a coalition government.

The cabinet makes use of the committee system to facilitate decision making in
specific areas. Depending upon the membership of any cabinet committee, its
decision is either final on behalf of the government, or its decision may be placed
before the full cabinet committee for ratification. A vast number of decisions are,
of course, taken by individual ministers within the ambit of the rules for the
business of the government and these are considered as authoritative decisions
of the government. It often depends upon the personality and political image of
a minister as to what matters he will decide, and what he will refer to the Prime
Minister or to the cabinet. But the cabinet as a whole has to be persuaded of the
rightness of such decisions. It is, therefore, observed that cabinet decisions are
taken by the Prime Minister together with the minister concerned.

Technically speaking, most of the decisions on various matters involving policy

issues of less importance are taken by the administrative secretaries or committee
of secretaries some of which service a cabinet committee. The secretary to
government in the particular ministry, senior civil servants of the ministry, heads
of government departments and other officials at levels below the departmental
heads are vested, in specific matters, with delegated authority. For the conduct
of government business, there are large volumes of departmental rules of
procedure and of guidance in the making of decisions in each particular agency.
Where a matter is seen to be of concern or interest to a ministry or department
other than the one in which it is being considered, it is incumbent upon the former
to consult the affected ministry or department at the appropriate levels.

This is a somewhat sketchy account of the policy making process and decision-
making procedures. In a complex system such as the Union government or that
of a State government in India, a vast number of social, political, economic and
administrative factors influence the choice of a policy. The election manifesto of
the political party in power, interest groups, political parties, the administrative
and judicial courts, the NITIAayog, the Goods and Service Tax Council, a system
of centre-state consultations, international agencies or other non-state actors and
many other institutions have functions with a direct or indirect bearing on policy-
making. Thus, within the constitutional ambit, these institutions or their decisions
may exercise influence on government policy. The extent of influence may vary,
depending upon a wide range of contextual factors. The policy-making process
has, to a large extent, been regarded, by David Easton, as a ‘black box’ which
converts demands into policies but whose structure is seen to be unknown and
inaccessible to observation.

Policy-making is “an extremely complex analytical and political process to which

there is no beginning or end and the boundaries of which are most uncertain”
(Lindblom, 1968). Somehow, a complex set of forces engage in ‘policy-making’, 51
Public Policy and taken as a whole, produce effects, called policies. The Parliament is
empowered by the Indian Constitution with the function of representing the people
in making policy through the passing of laws. The legislative process is, therefore,
a fundamental mechanism for expressing public policy. At the same time,
legislation permits more specific policy-making by the executive branch of the
government within the legislative and constitutional framework, and the review
functions of the judiciary.

3.6 CONCLUSION
The use of the policy process can bring benefits to the analysis of public policy.
Perhaps more attention could have been paid to implementation and policy
evaluation. As with any set of headings, it can guide or suggest things to be
looked at, in an orderly manner, when someone in government is faced with a
particular policy problem. It is even possible that the results of the analysis,
based on a policy cycle, may be better than without one. In methods according to
the steps in analysis is more than a method or techniques. It is a way of thinking
about problems, of organising data, and of presenting findings. Policy analysis
develops their own styles and their personalised ways of orchestrating information.
However, we believe beginning analysts can develop a set of basic skills and a
general approach that will provide a foundation for analytical development”.

Policy-making in a federal system like ours often tends to be complex. The

constitutional order sets the parameters of the policy-making process. The
Constitution asserts that policy-making should be deliberative. Federalism makes
sweeping national changes in policy decisions more arduous lengthy constitution
and the maze of laws are mainly responsible for litigation as well as slowness
with regard to policy making and implementation.
52
 Public Policy Process in
3.7 GLOSSARY India: Formulation and
Implementation

Problem: The term usually refers to an undesirable situation that according to

people or interest groups can be alleviated by government action.

Policy analysis: Policy analysis as a data-based technique, which is put to use in

estimating and measuring the consequences of public policies. Its purpose is two
fold: it provides maximum information with minimal cost about it) the likely
consequences of proposed policies; and ii) the actual consequences of the policies
already adopted, The dictionary of Public Administration defines policy analysis
as a systematic and data-based alternative to intuitive judgements about the effects
of policy or policy options. It is also used for problem assessment and monitoring,
as a ‘before the fact’ decision tool, and for evaluation.

Policy Implementation: Implementation is a process of interaction between the

setting of goals and actions geared to achieve them. In simple words, it is putting
policy into effect.

Public Interest: Broadly it refers to broader desires and needs of the public in
whose name a policy is made.

53