2022

PUBLIC POLICY
SEMESTER 4

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Contents
Introduction: .................................................................................................................................... 1

Definitions of Public Policy: ........................................................................................................... 1

Concept of Public and Policy:......................................................................................................... 2

The Notion of Public:.................................................................................................................. 2

The Notion of Policy:.................................................................................................................. 2

Meaning of Policy: .......................................................................................................................... 3

Policy and Goals ......................................................................................................................... 4

Policies and Decisions ................................................................................................................ 5

Features Of Public Policy Making .................................................................................................. 7

Types Of Public Policy ................................................................................................................. 10

Substantive ................................................................................................................................ 10

Regulatory ................................................................................................................................. 10

Distributive ............................................................................................................................... 11

Redistributive ............................................................................................................................ 11

Capitalization ............................................................................................................................ 11

\Nature of Public Policy ................................................................................................................ 11

Scope of the Public Policy: ........................................................................................................... 13

The Rising Importance Of Public Policy ...................................................................................... 14

Stages In Public Policy Process .................................................................................................... 14

MODELS OF POLICY MAKING ............................................................................................... 15

Group Theoretic Model............................................................................................................. 15

Elite Theoretic Model ............................................................................................................... 17

Incremental Model .................................................................................................................... 19

Institutional Model .................................................................................................................... 20

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 Rational Model.......................................................................................................................... 22

Game Theoretic Model ............................................................................................................. 25

\Systems Theoretic Mode ......................................................................................................... 26

All models – short summary : ................................................................................................... 28

Critique of the above-mentioned models of public policy: ...................................................... 31

EMERGING DISCIPLINE OF POLICY SCIENCES ................................................................. 32

Meaning And Importance of Policy Sciences ........................................................................... 32

Policy Analysis ............................................................................................................................. 33

Approaches To Policy Sciences .................................................................................................... 35

The Behavioral Approach ......................................................................................................... 35

The Systems Approach ............................................................................................................. 35

Role of Governmental and Non-Governmental Agencies ............................................................ 35

Governmental Agencies ............................................................................................................ 36

Non-Governmental Agencies.................................................................................................... 37

Policy process Making Stages ...................................................................................................... 39

A. Agenda Setting: .................................................................................................................... 40

B. Policy Formulation: .............................................................................................................. 41

C. Adoption or Legitimation:.................................................................................................... 41

D. Implementation: ................................................................................................................... 41

E. Evaluation: ............................................................................................................................ 43

F. Policy Maintenance, Succession or Termination: ................................................................ 43

Public policy evaluation ................................................................................................................ 46

Public Policy Evaluation Meaning: .......................................................................................... 46

Role and Purpose of Evaluation:............................................................................................... 47

Procedure of Policy Evaluation: ............................................................................................... 47

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 Criteria for Evaluation : ............................................................................................................ 48

Kinds of Evaluation: ................................................................................................................. 49

Performance Appraisal: ............................................................................................................ 49

Audit: ........................................................................................................................................ 50

Result Evaluation: ..................................................................................................................... 50

Cost-Benefit Assessment: ......................................................................................................... 50

Impact Assessment: .................................................................................................................. 50

Evaluating Institutions: ............................................................................................................. 50

What is a Government? ................................................................................................................. 51

Governance: Meaning, Definition, 4 Dimensions, And Types ..................................................... 52

Main Differences Between Government and Governance ....................................................... 57

7 Major Steps of Economic Reforms Taken by Government of India ......................................... 58

Reinventing Governance ............................................................................................................... 63

Definition of e-Governance ...................................................................................................... 63

What is SMART Governance? ................................................................................................. 63

Interactions in e-Governance .................................................................................................... 64

Advantages of e-Governance .................................................................................................... 65

e-Governance Initiatives ........................................................................................................... 65

E-Governance Models .............................................................................................................. 69

Broadcasting model/ Wider Dissemination Model in detail ..................................................... 72

What is public domain ? ............................................................................................................... 74

State – Meaning and Definition .................................................................................................... 74

Meaning of state ........................................................................................................................ 74

Definition of State ..................................................................................................................... 74

Difference between state and government ................................................................................ 75

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Theories on the Origin of State ..................................................................................................... 77

Essay # 1. Divine Origin Theory: ................................................................................................. 77

Causes of the Decline of the Divine Theory: ............................................................................ 78

Criticism of the Divine Theory: ................................................................................................ 79

Value of the Divine Theory: ..................................................................................................... 80

Decline of the Divine Right Theory: ........................................................................................ 80

Essay # 2. The Patriarchal Theory as the Origin of the State: ...................................................... 80

Criticism of the Theory: ............................................................................................................ 81

Essay # 3. The Matriarchal Theory as the Origin of the State: ..................................................... 82

Criticism of the Theory: ............................................................................................................ 82

Essay # 4. Force Theory of Origin of the State: ........................................................................... 83

Criticisms of the Theory: .......................................................................................................... 84

Merits of the Theory: ................................................................................................................ 85

Essay # 5. The Social Contract Theory:........................................................................................ 86

Criticism of Theory: .................................................................................................................. 88

Essay # 6. Marxician Theory of Origin of the State: .................................................................... 90

Criticism of Marxist Theory of Origin of State: ....................................................................... 91

Types of States .............................................................................................................................. 92

Authoritarian Governments ...................................................................................................... 93

Oligarchic Governments ........................................................................................................... 93

Democratic Governments ......................................................................................................... 94

Monarchy .................................................................................................................................. 94

Oligarchy................................................................................................................................... 96

Dictatorship and Totalitarianism............................................................................................... 97

Democracy ................................................................................................................................ 97

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Democracy .................................................................................................................................... 98

List of Advantages of Democracy ............................................................................................ 99

List of Disadvantages of Democracy ...................................................................................... 100

Democratic Administration in India ........................................................................................... 101

Good Governance Definition ...................................................................................................... 105

What are Human Rights and what are their types? ..................................................................... 109

What are Human Rights? ........................................................................................................ 109

Characteristics of Human Rights ............................................................................................ 109

Types of Human Rights .......................................................................................................... 109

Human Rights in India ............................................................................................................ 111

Rule of Law – Meaning & Scope ............................................................................................... 112

Rule of Law and Indian Constitution ...................................................................................... 113

Exceptions to Rule of Law ...................................................................................................... 114

Accountability in Governance .................................................................................................... 114

Advantages of Accountability in Governance ........................................................................ 115

Stakeholders ............................................................................................................................ 115

Accountability as an ongoing process..................................................................................... 116

Accountability and the Right to Information Act ................................................................... 116

Accountability and the Citizen's Charter ................................................................................ 116

Role of Vigilance in Accountability ....................................................................................... 117

Financial Accountability ......................................................................................................... 117

The Role of CAG .................................................................................................................... 118

Way Forward .......................................................................................................................... 118

Participation as a principle of good governance ......................................................................... 119

Representation............................................................................................................................. 120

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Transparency in Governance: ..................................................................................................... 121

Citizen Charter ........................................................................................................................... 122

Definition of Citizen Charter .................................................................................................. 122

Objective of the Citizen Charter ............................................................................................. 122

Citizen’s Charter in India ........................................................................................................ 124

Citizen’s Charter Components ................................................................................................ 125

Objectives of Citizen’s Charters ............................................................................................. 125

Features of Citizen’s Charters ................................................................................................. 126

Significance of Citizen’s Charters .......................................................................................... 126

Challenges faced in implementing Citizen’s Charters in India .............................................. 126

2nd ARC Recommendations................................................................................................... 127

Reforms for Citizen Charter to make them Effective ............................................................. 128

Way Forward .......................................................................................................................... 129

Social Audit ................................................................................................................................ 129

Types of Social Audit ............................................................................................................. 129

Objectives of Social Audit ...................................................................................................... 129

Benefits of Social Audit .......................................................................................................... 130

Social Audit in India ............................................................................................................... 130

Definition, Nature and Scope of Administrative Law ................................................................ 131

Introduction ............................................................................................................................. 131

Definitions of Administrative law .......................................................................................... 132

Nature of Administrative law.................................................................................................. 134

Scope of Administrative law ................................................................................................... 135

Sources of Administrative Law: ................................................................................................. 136

Principles of Administrative Law: .......................................................................................... 136

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 Conclusion .............................................................................................................................. 139

Relationship Between Constitutional Law and Administrative Law .......................................... 140

Rule of law and Administrative Law .......................................................................................... 143

Redress of grievances ................................................................................................................. 148

Rule of law .................................................................................................................................. 153

The Doctrine of Separation of Power ......................................................................................... 158

Judicial Opinion On The Doctrine Of Separation Of Powers................................................. 169

Evaluation Of The Doctrine .................................................................................................... 171

Checks and Balances - Concept .............................................................................................. 172

The Doctrine of Separation of Powers .................................................................................... 172

Ultra vires doctrine ..................................................................................................................... 174

Delegated Legislation ................................................................................................................. 175

What is Delegated Legislation ? ............................................................................................. 175

Two Types of Delegated Legislation ...................................................................................... 176

Advantages of Delegated Legislation ..................................................................................... 176

Disadvantages of Delegated Legislation ................................................................................. 176

Important Maxim related to Delegated Legislation ................................................................ 177

Natural justice ............................................................................................................................. 179

Basis of the application of the principle of natural justice: .................................................... 179

Essay on Administrative Adjudication | Public Administration ................................................. 180

Essay # 1. Meaning of Administrative Adjudication: ............................................................. 180

Essay # 2. Kinds of Administrative Adjudication: ................................................................. 181

Essay # 3. Causes of the Growth of Administrative Adjudication: ........................................ 181

Essay # 4. Advantages of Administrative Adjudication: ........................................................ 184

Essay # 5. Disadvantages of Administrative Adjudication:.................................................... 186

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 Essay # 6. Safeguards in Administrative Adjudication: ......................................................... 188

Essay # 7. Administrative Tribunals (Court) in Various Countries: ....................................... 190

Vigilance and control .................................................................................................................. 194

Role of Quasi-Judicial Bodies .................................................................................................... 198

Tribunals ..................................................................................................................................... 201

Participation: ............................................................................................................................... 209

Why Participation?.................................................................................................................. 209

Participatory Governance (PG): .............................................................................................. 209

Why Participatory Governance? ............................................................................................. 209

Where does Participatory Governance Being? ....................................................................... 210

Theories of Participatory Governance (PG): .......................................................................... 210

1. Liberal Democracy: ............................................................................................................ 210

2. Neoliberalism: ..................................................................................................................... 210

3. New Institutionalist Communitarianism: ............................................................................ 211

Importance of people’s participation in a democracy: ............................................................ 211

Ways to enhance people’s participation: ................................................................................ 212

Political Regimes: ....................................................................................................................... 213

What is a Regime? .................................................................................................................. 213

Regime vs. Government.......................................................................................................... 213

Types of Regimes ................................................................................................................... 214

Democracy and Development ..................................................................................................... 216

Tracing the journey of Democracy and Development in India............................................... 216

Development vs. Democracy .................................................................................................. 218

Political Participation .................................................................................................................. 219

What Is Political Participation? .............................................................................................. 219

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 Types of Political Participation ............................................................................................... 220

Why is political participation important? ............................................................................... 221

4 benefits of youth political participation ............................................................................... 222

Social inclusion ....................................................................................................................... 223

Panchayati Raj Institutions and Participative Democracy .......................................................... 223

Participatory Budgeting in Brazil ............................................................................................... 227

The Process of Participatory Budgeting ................................................................................. 227

Key Factors for Success .......................................................................................................... 228

Examples of social issues : ......................................................................................................... 230

Concepts not covered .................................................................................................................. 230

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 Module - 1
Introduction:
The lives of the citizens everywhere are formed by public policies, whether we are aware of them
or not. The dream for improved life while its achievement rest on our own efforts, will probable
to contain public policies to aid the result of it. Public policy is a subject or field of inquiry has a
long past, though the current public policy analysis have a specific American and 20th century
fragrance. The public policy seeds were sown in 1940s and made a significant influence on the
government and academic organizations over these years. In the early1950s public policy has
developed as academic search and from then it has been securing new measurements and is
stressed tough to attain the position of a discipline in the area of Social science. As a study of
„products‟ of government, policy forms a significant component in many a course and academic
programme in various disciplines like political science, public administration, economics and
business management.

Definitions of Public Policy:

Dye, says that,…institutional studies usually described specific government institutions…without
systematically inquiring about the impact of institutional characteristics on policy
outputs…However, the linkage between institutional arrangements and content of policy remained
largely unexamined. The definitions of public policy are as follows:
According to Thomas Dye, defines public policy as “whatever governments choose to do or not to
do”.
Dimock, stated public policy as “deciding at any time or place what objectives and substantive
measures should be chosen in order to deal with a particular problem”.
According to Chandler and Plano, who define public policy as “the strategic use of resources to
alleviate national problems or governmental concerns”.
Freeman and Sherwoods, stated that it is the public answer to the interest in refining the human
circumstances. In these definitions there is deviation between what governments agree to do and
what they essentially do. Public policy is a controller which government has planned for direction
and practice in certain problem areas.

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In the current times, the study of public policy has evolved into what is virtually a fresh branch of
social sciences called as, „policy sciences‟. In 1951, Harold Lasswell, for the first time, the concept
of policy science was framed. Presently, the policy sciences have departed far away from immature
ambitions for societally applicable information.

Concept of Public and Policy:

In the literature of academics, the term „public policy is regularly utilized in our present day life
and we regularly refer to the policies which are implanted like, national, education policy,
agriculture policy, health policy, wage policy so on. In fact this is the area where public are
involved. The concept of public policy is assumes, that there is domain of life which has totally
individual and is not private, which is believed in collective.

The Notion of Public:

It is very significant to recognize the notion of „public‟ for a discussion of „public policy‟. We
regularly use the words such as „public interest‟, „public sector‟, „public opinion‟, „public
health‟, and so on. The public policy, has to do with which are labelled as the public, as contrasting
to scopes concerning „private‟. The measurements of public is usually mentioned as, „public
ownership‟ or governor for „public purpose‟. The term public contains all the measurements of
human action observed as needing governmental involvement or social directive. Though, there
has been battle between what is „public‟ and what is „private‟.

The Notion of Policy:

The notion of „public‟, the idea of „policy‟ is also not exactly defined. Policy signifies, between
other things, „guidance for action‟. It might take the procedure of:
1. Commanding conclusion,
2. Principle or value
3. Purposive course of action,
4. Method of governance
5. Manifestation of considered judgment
6. Look of political rationality and
7. Declaration of common goals.

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In a Machiavellian sense, policy is the base of power. While bureaucracy derived it legitimacy
from its claim to “State”, the politician claimed that their authority rested on the approval of their
policies by the electorates. Hogwood and Gunn specified ten usages of the word policy as:
1. A label for the field of activity
2. An expression of desired state of affairs
3. Specific proposals
4. The decision of governments
5. Formal authorization
6. A programmes
7. Output
8. Outcome
9. A theory or model
10. A process.

Meaning of Policy:
The meaning of the term „policy‟ is varying like other concept of social science. Unluckily, the
policy itself is somewhat which take diverse procedures. David Easton defined policy as the
„output‟ of the political system, and „public policy‟ as „the authoritative allocation of values for
the whole society‟. The measures of this alteration in the methods of the accepted from other
definitions progress by the scholars in this field.
Henry defines public policy as, “A script (cpirse pf actopm) adopted and pursued by the
government”. Anderson stated, that policy be observed as “Purposive course of action followed
by an actor or set of actors in dealing with a problem or matter of concern”. According to Sir,
Geoffrey Vickers, policies are judgments giving way, unity and steadiness to the course of act for
which the decision making body is accountable.
Friedrich look policy as, …a proposed course of action of a person, group, or government within
a given environment providing obstacles and opportunities with the policy was proposed to utilized
and overcome in an effort to reach a goal or realize an objective or purpose.
According to Parsons, who stated about it as, “A policy is an attempt to define and structure a
rational basis for action or inaction”. In present terminology a policy is broadly defined as a course
of action or plan, a set of political purposes.

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It might well be sufficiently defined “policy” as a purposive development of act taken or accepted
by those in power in chase of convinced goals or objectives. It must be added here that public
policies are the policies accepted and executed by government bodies and officials. They are
framed by what Easton appeals the „authorities‟ in a political system. Namely, “elders, paramount
chiefs, executives, legislators, judges, administrators, councilors, monarchs, and the like”. He
stated as, these are the persons who “engage in the daily affairs of a political system”, are
“recognized by most members of the system as having the responsibility for these matters” and
take action that are “accepted and binding most of the time by most of the members so long as
their act within the limit of their roles”.

Policy and Goals

To understand the meaning of policy in a better manner, it is very significant to create a
distinction flanked by policy and goals. Goals are what policies aim at or hope to achieve. A goal
is a desired state of affairs that a society or an organization attempts to realize. Goals can be
understood in a diversity of perspectives. These can be thought of as abstract values that a society
would like to acquire. There are also goals that are specific and concrete. Removal of poverty is a
goal that the government wants to pursue. Public policies are concerned with such specific goals.
They are the instruments which lead to the achievement of these goals. If the government
announces that its goal is to give housing to all the members „of the deprived sections of society
it does not become a public policy. It is a statement of intention of what the government wants to
do. Several a times the government, for political causes, announces goals that it has little desire to
achieve. In order to become a policy, the goal has to be translated into action. Programmes have
to be intended to achieve specific objectives. As an illustration, let us look at the policy of poverty
alleviation. Many programmes have been intended for this, e.g., The integrated Rural Development
Programme (IRDP), The National Rural Employment Programme (NREP) etc. Each programme
has certain goals to achieve within a specified time and each programme is provided with financial
possessions and administrative personnel. These become concrete efforts to achieve a goal. Policy
spells out the strategy of achieving a goal. Therefore policy is essentially an instrument to achieve
a goal. Statement of goal docs not creates it a policy.

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Policies and Decisions
A distinction needs to be drawn flanked by a policy and a decision also. Several a times
the conditions are used interchangeably but that is not the correct usage. Individuals, organizations
or government are constantly taking decisions. But all the decisions that are taken cannot be
described as matters of policy. The essential core of decision-making is to create a choice from the
alternatives accessible in order to take an action, if there is only one course of action accessible
then there is nothing one can choose from and so, no decision can be taken. A decision can be
taken only when there is more than one alternative accessible. Therefore a decision is the act of
making a choice. The whole science of decision-making has been developed in order to analyze
the circumstances that can improve this activity and how a decision maker can improve his choice
through expanding the number of alternatives accessible to him.
There can be two types of decisions, programmed and none programmed. Programmed
decisions are repetitive and do not require a fresh consideration every time they are taken. These
decisions are routine in nature and for these definite procedures can be worked out. Each decision
need not be dealt with separately. In programmed decisions, habits, skills, and knowledge in
relation to the problem are significant. For instance, once the decision to open the library from 10
a.m. to 5 p.m. is taken, it does not require fresh consideration to keep it open throughout those
hours. The decision is incorporated into procedures that are recognized for the purpose. Non
programmed decisions are new and unstructured. No well laid-out methods are accessible for such
decisions, each issue or question is to be dealt with separately. Such decisions are required in the
situations of unprecedented nature, for instance breakdown of an epidemic, occurrence of
earthquake, etc. Training in skills, needed for such decisions and innovative skill become relevant
in this regard. Both the programmed and non programmed decisions have to be taken in a broad
framework or course of action.
Public policy is the broad direction or perspective that the government lays down in order
to take decisions. Each organization or the individual is enjoined to take a decision within a policy
framework. Decision can be a one time action. Policy consists of many decisions that are taken to
fulfill its aims. A policy consists of a series of decisions tied jointly into a coherent whole. There
can be some parallel in the processes involved in decision making and policy making. Both are
concerned with choice in the middle of alternatives and for both similar processes can be
followedin generating alternatives. But we should always keep in mind that policy is a more

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comprehensive term as it encompasses series of decisions and have a comparatively longer time
perspective.

Policies and decisions – key notes

➢ Decision is an act of making a choice
➢ Two types – 1. Programmed 2. Non-programmed
➢ Programmed
o Repetitive
o Do not require fresh consideration every time
o Routine in nature
o Definite procedure
o Habits, skills and knowledge about the problem
o Ex. : library 10am to 5pm
➢ Non-programmed
o New and unstructured
o No well laid-out methods are available
o Training is needed to fulfil its aim.
o Unpredicted nature
o Occurrence of earthquake
o Breakdown of epidemic
➢ Results in action
o Decision making can result in action
o Action oriented
o Efficiency drives
➢ Directed at the future
o Policy making is directed at the future
o Uncertainty and doubtful prediction
o Future is uncertain
o Adjusts their policy based on unforeseen circumstances
➢ Mainly formulated by government organs 6

o Also directed in part at private persons and non-government structures

 ➢ Aims at achieving what is the public interest
➢ Use of best possible means
➢ Involvement of various bodies and agents
o Industrial workers, voters, intellectuals, legislators, bureaucrats, political
parties, political executives, judiciary

Features Of Public Policy Making

The meaning and nature of public policy will become clearer through throwing light on
dissimilar features of public policy. Some of the major features of public policy making are:
• Public Policy Making is a Very Intricate Process: Policy making involves several
components, which are interconnected through communication and feedback loops and
which interact in dissimilar methods. Some parts of the process are explicit and directly
observable, but several others proceed through hidden channels that the officials
themselves are often only partly aware of. These hidden procedures are very hard, and
often impossible to observe. Therefore, guidelines are often shaped through a series of
single decisions that result in a „policy‟ without any one of the decision makers being
aware of that process.
• It is a Dynamic Process: Policy making is a process that is a continuing activity taking
place within a structure; for sustenance, it requires a continuing input of possessions and
motivation. It is a dynamic process, which changes with time, the sequences of its sub-
processes and stages vary internally and with respect to each other.
• Policy Making Comprises Several Components: The complexity of public policy making
as we know is a significant feature of policy making. Public policy formulation often
involves a great diversity of substructures. The identity of these substructures and the
degree of their involvement in policy making, vary because of dissimilar issues,
circumstances and societal values.
• Policy Structure creates Dissimilar Contributions: This feature suggests that every
substructure creates a dissimilar, and sometimes unique, contribution to public policy.

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 What sort of contribution substructures create, depends in part on their formal and informal
features which vary from society to society.
• Decision-Making: Policy making is a species of decision-making because it lets us use
decision-making models for dealing with policy making.
• Lays down Major Guidelines: Public policy, in most cases, lays down general directives,
rather than detailed instructions, on the main lines of action to be followed. After main
lines of action have been decided on, detailed sub-policies that translate the general theory
into more concrete conditions are usually needed to execute it.
• Results in Action: Decision-making can result in action, in changes in the decision-making
itself, or both or neither. The policies of most socially important decision-making, such as
most public policy making are planned to result in action. Also policies directed at the
policy making tools itself such as efficiency drives in government are action oriented.
• Directed at the Future: Policy making is directed at the future. This is one of its most
significant features since it introduces the ever-present elements of uncertainty and
doubtful prediction that establish the basic tone of almost all policy making. Actual policy
making tends to formulate policies in vague and elastic conditions; because the future is so
uncertain. It permits policy makers to adjust their policy according to emerging facts and
enables them to guard against unforeseen circumstances.
• Mainly Formulated through Governmental Organs: Public policy is also directed, in part,
at private persons and non-governmental structures, as when it calls for a law prohibiting
a certain type of behavior or appeals to citizens to engage in private saving. But public
policy, in most cases, is primarily directed at governmental organs, and only intermediately
and secondarily at other factors.

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• Aims at Achieving what is in the Public Interest: Though hard it might be to discover out
what the '„public interest” may correctly refer to, the term never the less conveys the
thought of a “general” orientation and seems so to be significant and important.
Furthermore, there is good evidence that the image of “public interest” powers the public
policy making process and is so at least, as conceived through the several public policy

Characteristics of public policy making – key notes

1. Public policy making is a very complex process
a. It involves many components
b. Interconnected by feedback loops
c. Some parts are explicit
d. Certain procedures are hidden
e. Guidelines are formed by single decisions
2. It is a dynamic process
a. Continuing activity
b. Changes with time
c. Requires input of resources and motivation
3. Policy making process comprises various components
a. Policy formation often involves great variety of sub structure
b. Identity of these substructure and degree of their involvement vary because of
different issues, circumstances and social values
4. Policy structure makes different contributions
a. It suggests substructures that are unique and different
b. It depends on the formal and informal characters which vary from society to society.
5. Decision making
a. It uses decision making models for dealing with public policy making
6. Lays down major guidelines
a. Lays down general directives rather than detail instructions.
b. Detailed sub-policies that translate general theory into more concrete terms are needed
to execute.

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 making units, a “real” phenomenon, and a significant operational tool for the study of
policy making.
• Use of Best Possible Means: In abstract terminology, public policy making aims at
achieving the maximum net benefit. Benefits and costs take in part the form of realized
values and impaired values, respectively, and cannot in most cases be expressed in
commensurable units. Often, quantitative techniques can so not be used in this area of
public policy making but neither the qualitative significance of maximum net benefits as
an aim nor the necessity to think broadly in relation to the alternative public policies in
conditions of benefits and costs is so reduced.
• Involvement of Several Bodies/Agencies: Industrial workers, voters, intellectuals,
legislators, bureaucrats, political parties, political executives, judiciary etc. are the several
organs that participate in public policy making and can power the policy process to a great
extent.

Types Of Public Policy

Having explained the features of public policy making, we will now explain: the dissimilar types
of public policy. There are several types of public policy like substantive, regulatory, distributive,
redistributive etc.

Substantive
These policies are concerned with the general welfare and development of the society, the
programmes like provision of education and employment opportunities, economic stabilization,
law and order enforcement, antipollution legislation etc. are the result of substantive policy
formulation. These policies have vast areas of operation affecting the general welfare and
development of the society as a whole. These do not relate to any scrupulous or privileged
segments of the society. Such policies have to be formulated keeping in view the prime character
of the constitution socio-economic troubles and the stage of moral claims of the society.

Regulatory
Regulatory policies are concerned with regulation of trade, business, safety events, public utilities,
etc. This type of regulation is done through independent organizations that work oh behalf of the

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government. In India, we have Life Insurance Corporation, Reserve Bank of India, Hindustan
Steel, State Electricity Boards, State Transport Corporations, State Financial Corporations, etc.,
which are occupied in regulatory activities. The policies made through the government, pertaining
to these services and organizations rendering these services are recognized as regulatory policies.

Distributive
Distributive policies are meant for specific segments of society. It can be in the area of grant of
goods, public welfare or health services, etc. These mainly contain all public assistance and welfare
programmes. Some more examples of distributive policies are adult education programme, food
relief, social insurance, vaccination camps etc.

Redistributive
Redistributive policies are concerned with the rearrangement of policies which are concerned with
bringing in relation to the basic social and economic changes. Certain public goods and welfare
services are disproportionately divided in the middle of certain segments of the society, these
goods and services are streamlined through redistributive policies.

Capitalization
Under the capitalization policies financial subsidies are given through the Union government to
the state and local governments, such subsidies are also granted to the central and state business
undertakings or some other significant sphere if necessary. Capitalization policies are dissimilar
in nature than the substantive, regulatory, distributive, and redistributive policies as no provision
for public welfare services is made through these.

\Nature of Public Policy:

It is very much evident that policy might take different procedures like legislation, executive orders
or the official acts. They actually comprise of a set of intentions or objectives a combination of
devices or means for attainment of intensions, a description of governmental or non-governmental
units indicted with the accountability of transporting out the intensions, and distribution of
resources for the necessary tasks. To recognize public policy, it is very much needed to examine
the nature. A policy may contain with specific or general, broad or narrow, simple or complex,
public or private written or unwritten explicit or implicit, discretionary or detailed and quantitative
or qualitative.

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Public policy is in fact a skill because these tasks regularly some information about the social
sciences and in this case the stress is on the „public policy‟ which is known as „government
policy‟, selected by a government as a „direction for action‟. From the perspective of public
policies, actions of government could be put broadly into two groups and they are:
1. Definite or Specific policies and
2. General, vague and inconsistent policies.
In reality a government rarely will have a fixed of supervisory values for all its actions and in fact
the significant public policies are frequently made more clear specifically where the issue of law,
regulation or strategy is involved. The Supreme Court can give its decisions, by new interpretations
to some of the articles of the Constitution which can be develop into new policy.
These policies may be too unclear or too broad and may not be reliable to each other, in turbulent
atmospheres like the current ones government has to make regular actions without reference to
any particular policy, sometimes government announces some sort of policy for political
convenience or for some reasons, in such cases, government will not have any intention to carry it
successfully. Hence, it is likely to have a policy without action or it can have action without policy.
Public policies alive only in set of practices and precedents. The public policies are embodied only
in an unwritten Constitution of United Kingdom is the best instance of this form of a public policy.
Public policy contains major segment of actions, like, development policy, economic growth,
socio-economic growth, equality, social justice, or any other such policy may be accepted by
national policy. Hence, it can be observed a single policy in various written documents, it may be
narrow, covering a particular action, like family planning which is reserved to certain division of
the people or it can be for extensive range of the people in the country, for instance, government
can accept that, no child is adult unless he attains the age of 16 years (recent amendment). Public
policy is an area commonly defined by policy areas like health, education, housing, economic,
environment, transport and social and it is mostly set that interdisciplinary and intergovernmental
relations taking place. These policies can be developed either by the central government or state
government, or sometimes „mega policies‟ act as a kind of master policy. This word mega policy
is coined by Yehezkel Dror. The broad policies which are an expression of national aims are the
instances for the mega policies, eg. Economic growth, social justice etc.
It is very much important to understand the nature of the policy means, it must contain an objective,
an aim or a goal, or a purpose because a policy is a guidance for action. In fact all the mega policies

12
are purposive and are object oriented but it is conceivable that a government can have policy
without any recognizable objectives or purpose. It can accept any policy without any particular
goals. The significant regarding the goals and objectives is that, while studying the policies of
government collective as a total, the multidimensional nature of goals and objectives, as well as
the presence of several irregularities and even ambiguities becomes observable. Government can
accept vague, inconsistent or even contradictory policies so that to gratify all the pressure groups
and political parties.
The public policy can be a positive or negative one, in its positive form, it can contain some system
of evident government activity to treat a specific problem. Whereas, in the negative form, it might
contain a decision by a public servant not to take action on some sort of matter on which the
government action is required. These policies sometimes will have legally coercive so that people
can adopt it legally for instance all the people will pay the taxes in order to stay away from the
fines. These public policies makes public organizations different from private organizations.

Scope of the Public Policy:

It is a noteworthy discipline examination and practice, meanwhile, the appearance of public policy
as a field of investigation, it has extended in theoretical scope and application. A noteworthy
amount of the study of public policy contains of the growth of situations of current styles. In several
developing countries, there is excessive burden on the governments to speed up the growth of the
nation, make usage of modern and applicable technological inventions, accept and enable essential
institutional alterations, upsurge the production of the nation, make total usage of human and other
sources, and advance the level of living standards. These tendencies and growths have hence,
improved both the magnitude and possibility of the public policy. Michael Teitz, pronounces the
outreach of public policy in term of the citizen‟s life cycle as follows:
“Modern urban man is born in a publicly financed hospital, receives his education in a publically
supported school and university, spends a good part of his time travelling on publically built
transport facilities, communicate by the post offices or quasi-public telephone system, drinks his
public drinking water, disposes of his garbage through a public removal system, reads his library
books, picnics in his public parks, is protected by public police, fire, and health systems.
Ideological conservatives not withstanding his daily life is inextricably bounds up with
government decisions on these various public services”.

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Public policy stress on the problems of the public, according to Heidenheimer, the public policy is
the study of “how, why and what effect governments pursue particular courses of action and
inaction”. Dye, stated about it as, “what government do, why they do it, and what difference it
makes”.
According to Lasswell, policy orientation is multi method, multi-disciplinary, problem which
emphasizes worried to plan the context of the policy procedure.

The Rising Importance Of Public Policy

It is clear from the above sections of the Unit that policy is a purposive course of action in dealing
with a problem or a matter of concern within a specific time frame. Before going into the question
of importance which is attached to policy formulation, implementation and monitoring, it would
be better to recapitulate the components of public policy. Policy is purposive and deliberately
formulated. Policy necessity has a purpose or a goal. It does not emerge at random or through
chance. Once a goal is decided the policy is devised in such a method that it determines the course
of action needed to achieve that goal. A policy is well thought out and is not a series of discrete
decisions. A policy is what is actually done and not what is planned or desired, a statement of goals
does not constitute a policy. Policy also delineates a time frame in which its goals have to be
achieved. Policy follows a defined course of action viz. formulation, implementation, monitoring,
and evaluation.

Stages In Public Policy Process

A brief highlight on the several stages of public policy will clarify the actual process of public
policy in India. Policy formulation is the first stage in public policy process. Through this process
the demands of the system are converted into policies. But before this it has to be clearly
recognized as to which demands require to be converted into policies. At the policy interpretation
stage, the formulated public policy is further clarified and interpreted in order to create it fully
understandable. The after that stage in public policy process is policy education. The government
through several channels of mass-media attempts to create the masses aware of the formulated
policies. After this comes the stage of policy implementation, when the policies are systematically
executed through the dissimilar administrative agencies at the central, state and local stages. To
ascertain the impact of policies, it is very essential to keep an eye on the implementation process,

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to see that expenditure does not exceed the possessions accessible and to see that policies are
positively affecting those for whom they are being made. For this proper monitoring of policy
implementation has to be done, and policy evaluation stage is the final stage in policy process.
Proper and appropriate administrative and adjudicative functions are needed for keeping a
complete control in excess of the public policies

MODELS OF POLICY MAKING

Policy analysis encourages practitioners and scholars to critical policy issues with the tools of
systematic inquiry. There is an implied assumption in policy analysis that developing scientific
knowledge about the forces shaping public policy and the consequences of the policy are socially
relevant activities, and such analysis is a prerequisite to prescription, advocacy, and activism.
Thomas Dye in his book, Understanding Public Policy, has stated that precisely policy analysis
involves:
a) A primary concern with explanation rather than prescription;
b) A rigorous search for the causes and consequences or public policies; and
c) An effort to develop and test general propositions about the causes and consequences of public
policy and to accumulate reliable research findings of general relevance.
The policy scientists have created theories and models to help them understand and explain the
policy making process. Although most of these models have been developed for the purpose of
policy making, yet they can easily be depended upon for the purpose of policy analysis. Following
the widely accepted conceptual scheme of Thomas Dye, 'Policy Models can be conveniently
classified into the following seven types:

Group Theoretic Model

• According to group theory, interaction and struggle among different societal groups is the
central facet of political life.
• Group is a collectivity of individuals distinguished by some common attribute or shared
relationship. Groups are categorized in many different ways. A formal or organised group,
such as political party or interest group, has recognised goals and structures, affecting
group interaction. Conversely, a group which is informal lacks such explicit goals and
organisational structure.

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• Group theory is an approach which seeks to explain political behaviour primarily through
the study of the nature and interaction of social as well as political groups.
• It is often associated with process and equilibrium analysis that offer systemic approaches
to the study of group objectives, the balancing of group interests, and the process of
adjustment.
• As per this theory, public policy is the product of group struggle.
• Individuals having common interests and demands join hands with each other as a formal
or informal group to get the policies made by the governments as suitable to their ends.
• David Truman in his book, The Governmental Process, has said that "An interest group is
a shared-attitude group that makes certain claims upon other groups in the society and it
becomes political when it makes a claim through or upon the institutions of government".
• On the basis of the equilibrium reached at in the struggle of various groups prominently
engaged in the policy process, the public policies are formulated.
• From the group theory point of' view, the public policy has been termed as - what may be
called public policy is the equilibrium reached in the group struggle at any given moment,
and it represents a balance which the contending factions or groups instantly strive to tip
in their favour.
• The legislature referees the group struggle, ratifies the victories of the successful coalitions,
and records the terms of surrenders, compromises and consequents in the form of statutes.
Every statute tends to represent compromises because the process of accommodating
conflicts of group interests is one of the deliberations and consent.
• According to Lathem, "The legislative vote on any issue tends to represent the composition
of strength, that is. the balance of power among agencies of the regulatory kind and are
established to carry out the terms of treatise that the legislators have negotiated and
ratified". Group theory aims at viewing all significant political activity with regard to group
struggle.
• Policy formulators are termed as succumbing to pressures of groups through bargaining,
negotiating and compromising.
• Another important dimension of the group struggle is the maintenance of equilibrium in
the system. The competition among groups does not permit any group to become absolutely
powerful in a system for all times. They keep on checking the activities of each other. As

16
 mentioned earlier, the groups are activities of individuals on the basis of shared attitudes
and interests, who make claims on other societal groups. Public policy, in such a context,
is some sort of an equilibrium reached in the group struggle at any given moment.
• The interests of dominant groups are usually reflected in public policy at any point of time.
In the jostling for power, groups gains and lose power and influence. In this ongoing
process of' group struggle, public policy gets attention in favour of the interests of those
gaining influence against the interest of those losing influence.

Elite Theoretic Model

• Briefly stated, as per this model, public policy is the product of elites, reflecting their values
and serving their- ends. Essentially, what this model postulates is that the society is divided
into the few who have power and the many who do not have it. Policy, in this social set-
up, is not determined by the people or the masses. It is the ruling elite which decides public
policy and which is then carried out by the bureaucracy. By implication, therefore, public
policy tends to flow from the top, and generally does not move up from the bottom.
• Also, changes in public policy are often incremental rather than revolutionary. As
mentioned above, public policy, examined from the dimensions of Elite theory, can be
termed as the linking and choices of a governing elite in a given politico-administrative
system.
• Elite theory is a body of thought aimed at explaining the nature and role of those groups in
the society in which decision-making power is highly concentrated. Mosca, in his book,
The Ruling Class, has said that in all societies - from the meagerly developed having barely
attained the drawings of civilisation to the most advanced and powerful societies -- two
classes of people appear -- a class that rules and a class that is being ruled.
• The former class, always the less numerous, performs all political function, monopolises
power and enjoys the advantages that power brings, whereas the latter, the most numerous
class is directed and controlled by the former. in a manner that is more or less legal, more
or less arbitrary and violent and supplies the former, in appearance, at least, with material
means of subsistence and with the instrumentalities that are essential to the validity of
political organism.

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• Every society has elite competing with each other for power which ultimately paves its
way to formulate public policy. Finer in his hook, Theory and Practice of Modern
Government, has illustrated the elite position in a political system by the simile of an
orange:

• The explanation of the above figure is that the orange with its skin representing the elite of
society, floats in water; that portion of the skin that is above the waterline represents the
governing elite, and the segments which it covers represents those ' associations in society
which have succeeded in competition to have their leadership participate or hold office in
the government. All those segments under the water-line, however, represent those
associations which have lost this competition, and whose policies are temporarily being
subordinated to those-of the victorious ones, and the portions of peel that cover them
represent, for society as a whole, the counter-elite that seeks to displace the governing elite
at any point of time.
• Elite theory has been summarised by Thomas Dye and Harmon Zeigler in their book, 'The
Irony of Democracy', as follows:
o Society is divided into the few who have power and the many who do not. Only a
small numbe; of persons allocate values for society; the masses do not decide
policy.

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 o The few who govern are not typical of the masses who are governed. Elites are
drawn disproportionately from the upper socio-economic strata of society.
o The movement of non-elites to elite positions must be slow and continuous to
maintain stability and avoid revolution. Only non-elites who have accepted the
basic elite consensus can be admitted to governing circles.
o Elites share a consensus on the basic values.of the social system and the
preservation of the system.
o Public policy does not reflect demands of the masses but rather the prevailing
values of the elite. Changes in public policy will be incremental rather than
revolutionary. Incremental changes permit responses to events that threaten a social
system with a minimum of alteration or dislocation of the system.
o Active elites are subject to relatively little direct influence from apathetic masses.
Elites influence masses more than masses influence elites.
It becomes clear from the elite theory that it is a competition between the elites in power and the
counter-elites, attempting to come to power, and the common masses, on whose demands the
public policies are formulated, are nowhere in determining the public policies. The policies are
formulated by a ruling elite and the governmental officials and agencies carry those into effect.

Incremental Model
CHARLES LINDBLOM's DECISION MAKING APPROACH - THE IDEA OF
INCREMENTALISM:
He was critical of Herbert Simon's approach and advocated that instead of changing the whole area
of where the issue arises, small and partial adjustments should be made mutually which will then
pass on gradually and without any conflict spread to the whole little by little that is incrementally(a
series of increases). If a big decision is taken all of a sudden it might be opposed as the people
would find it hard to adjust to. He calls it as his paper titles " The Art Of Muddling Through" that
instead of rationalism, the approach of Incrementalism is the best way since a public policy is
mostly a continuation of a previous policy or a better version of it and bears a strong resemblance
to its predecessor and so little by little changes are required since the base is the same. The idea of
this approach was basically acceptance by public and legitimacy and is of short-term perspective.
And for this approach a training is not required.

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Characteristics of Incremental Model:
The following aspects are considered in the decision making process:
1. Firstly, it ensues by a succession of incremental modifications. The makers of the policy adopt
the legality of present policies due to the insecurity about the outcomes of fresh or dissimilar
policies.
2. Secondly, it contains shared modifications and negotiations the exam of a healthy decision is
treaty relatively than the object is attained. Contract is reached at very easily in policy making,
when the item in disagreement rises or declines in budgets or alterations to present programmes.
Hence, incrementalism is important in decreasing political tension and upholding stability.
3. Thirdly, it contains, trial and error method, it is superior to a “futile attempt at superhuman
comprehensiveness”. Human beings seldom performs to exploit all their values; fairly, they
perform to gratify specific demands. They rarely influence for “one best way‟, but as a substitute
search to find “a way what will work”. This search generally starts with the conversant- that is,
with policy choices close to modern policies.
4. Fourthly, policy is not formulated for one time, as Lane stated as, “Incrementalism is thus more
satisfactory from a theoretical point of view as it scores high on criteria like coherence and
simplicity”.

Institutional Model
• Public policies are formulated and executed through institutions. Institution is an
established pattern of human behaviour consisting of structured interaction within a
framework of relevant values. The institutions not only constitute a crucial and significant
juncture for policy making but also determine the formulation or adoption of policies, its
possible content and directions, and the exact as well as the probable trends and contours
that a body of similar or related policies acquire.
• In the words of Louis Koeing, in his book, An Introduction to Public Policy, "The presence
of an array of potent interacting institutions, capable of checking each other elevates the
need for compromise and test the political skills of their incumbents. Institutions with their
greater and lesser positions of authority and influence and their career ladders cause policy-
makers to emphasize considerations of advancement in both the executive and legislative
branches in disposing of policy issues". An institution like the legislature or the judiciary
can be conceptualized as a set of regularized patterns of human behavior persisting over

20
 time. Political life usually revolves round the governmental institutions such as the political
parties, the legislatures and so on.
• The institutionalist approach in political sciences lays emphasis on the formal or structural
aspects of institutions. The regularized patterns of behavior that are manifest in rules,
regulations and structures affect governmental decision-making ant public policy
formulation.
• What the institutionalist model does is that it draws our attention to the pivotal role of
institutions in the shaping and making of public policy. Such institutional structures and
procedures are found in practice to have a significant impact on public policy, these should
not be ignored in any exercise in public policy analysis.
• As mentioned above, the emphasis of the institutional model is almost exclusively on the
formal aspects of government and politics. Albert Somit and Joseph Tanenhaus in their
book, The Development of American Political Science, have described it "as a routine
description and pedestrian analysis of formal political structures and processes based on
more readily accessible official sources and records”.
• Attention ranges from constitution and other basic documents on which government is
supposed to rest through the structure of parliament, cabinet or presidency and courts, to
the rules by which political parties are run. In old times, the institutional model had the
basis of the formal and legal 'affairs of governmental bodies and concentrated on the formal
organizations, legal powers and jurisdictions, rule of law, etc., of the governmental
institutions.
• With the passage of time, the policy scientists started emphasizing on the application of
scientific methods and perspectives to the study of politics and governments. It focused on
the actual behavior of individuals and groups rather than their formal roles in the
institutions and structures within which they operate.
• In the 1960s an intellectual movement in political science was started and asserted the
obligation of political scientists to become more relevant and concerned with the values
and to use their special knowledge to improve society. The developments, from time to
time, shifted the attention from studying the formal organizational structure of the
governmental institutions to concentrate on the behavior of the actors involved in the game
and on realism rather than formalism. Institutionalism has a deep bearing on public policies

21
 because the policies are formulated and implemented through various institutions of the
government.
• Institutionalism can be usefully put to use for policy analysis. There is a feeling that when
the institutions and public policies have that great interrelationship then if the institutional
structure changes would the public policies also change. We should not forget that the
institutional structure and public policies are within a given environment having a culture,
set of traditions and values of its own, therefore, as far the environmental factors don't
change, the public policies won’t undergo any considerable change.

Rational Model
The perception of rationality stresses that the making of public policy is a selection amongst
substitutes on rational base. According to Dror, rational policy making is “to choose the one best
opinion”. According to Robert Henry Haveman, it is designed to maximize “net value
achievement”. At the same time, „rationality‟ with „efficiency‟ when he said that, “a policy is
rational when the difference between the values it achieves and the values it sacrifices is positive
and greater than any other policy alternatives”. He also stated that, notion of rationalism includes,
“the calculation of all social, political, and economic values sacrificed or achieved by a public
policy, not just those that can be measured in dollars”.
Desires for Rational Analysis:
To choose a rational policy the policy formulators must be rational but, to be rational is not easy
this was stated by Robert L. Lineberry. If want to be rational it is likely to have:
1. Recognition and determination of objects
2. Grading of objects according to significance
3. Recognition of likely policy substitutes for attaining those objectives
4. Cost-benefit analysis of policy substitutes
Dror, also stated some of the needs for the sake of policy formulators in choosing a rational policy
they should:
1. Understand all the value preferences and the comparative burdens of the society.
2. Understand all the substitutes of the policy available
3. Understand all the outcomes of every substitute of the policy
4. Calculate the ration of welfares to the cost of every policy substitute

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5. Choose the best effective substitute policy
Framework for a Rational Man:
This rational model was stated by Lindblom, as the one which is utilized by rational man who is
met with the given difficulty. A rational man first clarifies his objectives, values or goals and then
positions or otherwise arranges them in his mind. After that the person will be catalog all the
significant conceivable methods of policies for attaining his objectives and examines all the
essential outcomes that will follow from every substitute policies at such fact to equate outcomes
of every policy with objects. Hence, the rational man must select the policy with outcomes utmost
carefully equivalent to his objectives. In the procedure of rational decision making, instead of
making an “ideal” decision, as stated by the Simon, policy formulators break the complexity of
the difficulties into small and known segments, select one choice which will be the best and
gratifying, and evade needless indecision. Which means that, “Although individuals are intensely
rational, their rationality is bounded by limited cognitive and emotional capacities”.

Phages for Analysis of Rationality in Policy:

Rational Public policy formulation, hence, needs making tough options amongst policy substitutes.
It involves many phases, like the following ones.
1. The rationality undertakes that, the maker of the policy must recognizes the fundamental
difficulty. He makes and fixes the priorities of the aim. It is very much required due to, one aim
may be more significant than the other one.
2. As the second phase, the rational policy maker recognizes the kind of policy substitutes and
choices that may obtain some of the aims. After that he makes a total set of substitute polices and
resources with burdens. The procedure of recognizing policy substitutes is of crucial significance,
as it touches both the kind and quality of substitutes.
3. The third phase needs the calculation of forecasts about the cost welfares of the policy
substitutes. The ration policy formulator is need to calculate for every policy substitutes, both the
anticipation that it would attain the target and also its cost. Therefore, here there is a question of
calculation of the “cost payoff ratios of every substitute.
4. At the same time, with calculating net anticipation for every substitute, the rational policy
formulator is need to equate the substitutes with the maximum benefits, it is likely that, the relating
two substitutes, one might derive two times the benefits at lowest cost.

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5. The final phase is, choosing the utmost proficient policy substitute. If the rational policy maker
has complete his job correctly the policy option must be strait forward.

When a policy option executed, the rational policy formulator is needed to monitor this execution
methodically, to know the accuracy of the anticipated estimations. The policy formulators would
attempt to fill the excuses, in the policy or offer it up overall. This is called as, „feedback phase‟
of rational policy making. The concept of rationality is espoused to such an extent that many kinds
of rational decision models are to be found in the literature of social sciences was stated by, L.L.
Wade and R.L. Curry. The instance of rational method to a decision method that facilities
rationality in policy making has been given by Dye.
Restriction of the Rational Method:
The analysis of rationality in public policy is a problematic job. It suffers from many restrictions,
in this regard Simon states about it as, “It is impossible for the behaviour of a single, isolated
individual to reach any high degree of rationality”. The concept of rationality is mentioned about
so much and so comprehensively, that it impends to lose its meaning. It is more extensively backed
than practiced. Let us converse some of the significant restraints to rational policy making in the
following sections.
1. Achieving Objects: This rational policy making is very problematic job, the anticipation
of a rational policy to develop is all the time very bleak. It is due to the fact that, when the
policy formulator suggests a rational policy, the difficulty is the query become so
multifaceted that rational preparations becomes decisions which are made on the grounds
of social goals. As an alternative, the maker of the policy only attempts to exploit his own
rewards, like power, status, money and re-election.
2. In acquiring Optimization: The rational policy making model is anticipated to develop
optimal outcomes, but in fact, it will not do every time. The public interest is taken to be
more significant than being simply the total of personal interest in the policy. If air pollution
control is regarded as public interest and it is due to each person shares its benefits, then
the tactic needed perhaps be that each automobile sold be fitted with a costly set of anti-
pollution emission control devices by making it more costly.
3. Conflict among Rational Choice and Need for Action: There is every time a conflict
between rational hunt behaviour and the need for action. As it was mentioned, policy

24
 formulators are not inspired to make decisions on the grounds of social objectives, but an
attempt instead to exploit their own prizes, like power, status and money. Second, the time
for a comprehensive analysis of awaiting legislation perhaps be short. In an emergency
condition, action is required straightaway. Dilemma of Political Feasibility: The dilemma
of political feasibility worries itself with what is likely. A feasibility of politics, is intended
according to Ralph Heitt, “the probability that, however, rational and desirable, a policy
option would actually be adopted and implemented by the political system”. Politician to
frequently solve the dilemma of political feasibility by avoidance of conflict. Improbability
about the outcomes of the diverse policy substitutes might force politicians to stick to
earlier policies.
4. Problem of Cost Benefit Analysis: It is very problematic for the makers of the policy to
calculate the cost benefit ratios correctly when several varied social, economic, political
and cultural values are at stake. Separately from these, they also have personal
requirements, hang-ups and insufficiencies which make them in capable of rational
decisions.
5. Nature and Environment Bureaucracy: The Other significant difficulty to rational
policy making is the environment of the bureaucracies. Dye opines: “The segmentalized
nature of policy making in large bureaucracies make it difficult to coordinate decision
making so that the input of all of the various specialists is brought to where at the point of
the decision”. Segmentation of authority, gratifying aims, conflicting values, and restricted
technology, improbability on the likely policy substitutes and outcomes thereof, and other
aspects restrict the capability of the bureaucracies and other public institutions to make
rational policies.

Game Theoretic Model

• Gaming is a body of thought which deals with rational decision strategies in situations of
conflict and competition, where each participant or player seeks to maximize gains and
minimize losses.
• In it the strategy and decisions of one actor depends on the strategy or decisions of the
others in the competitive situations. This theory assumes rationality on the part of players

25
 in ranking their preferences, estimating probabilities and determining the expectations that
each has about other choices.
• In their book, Theory of Games and Economic behaviour, Von Neumann and Morgenstern
have introduced the game theory. Game situations may be described as "two persons zero
sum", in which one player's gain equals the other's loss; "two persons-non-zero sum" in
which several players are involved and the losses must equal gains; and "n-person non-
zero sum" wherein losses and gains among several players may not be equal.
• Gaming relies heavily on the use of mathematical models of decision-making. In the study
of international relations, the game theoretic model of decision-making has been quite
popular in situations of regional and international conflicts and arms race.
• As Dye has pointed out, in his book, 'Understanding Public Policy', "game theory is an
abstract and educative model of policy making. It does not describe how people actually
make decisions, but rather how they would go about making decisions in competitive
situations if they were completely rational.
• Thus, game theory is form of rationalizing but it is applied in competitive situations in
which the outcome depends on what two or more participants do".
• In a policy making situation, the applicability of this model is rather limited yet, it is helpful
in situation of competitive decision-making, as in a committee system. It is applicable to
policy making where no independently 'best' choice exists and the 'best' outcomes depend
on what others do.

\Systems Theoretic Model

• Scientific politics can develop only if the materials of politics are treated in terms of
systems of actions. According to Abraham Kaplan, from his book, American Ethics and
Public Policy, "a system of action is a set of variables so related, in contradictions to its
environment, that desirable behavioral regularities characterize the internal relationships
of the set of individual variables to combinations of external variables".
• The utility of systems theory in terms of public policy formulation and analysis cannot be
minimized because it helps us to know the process. Simultaneously, it cautions us to probe
into certain relevant points to know the manner in which, as per James Anderson, in his
book, Public Policy Making, "environmental inputs affect the content of public policy and
the nature of political system; public policy affects the environment and subsequently
26
 demands for action; forces or factors in the environment act to generate demands upon the
political system; political system is able to convert demands into public policy and preserve
itself overtime".
• Systems theory treats politics as a set of interactions occurring within, but analytically
distinct from the larger social environment. The 'Dynamic Response Model' of David
Easton, as shown in the figure makes the interaction between different variables and also
the significance of the feedback clear.

• This model is associated with the name of David Easton. In his view. public policy is
conceived as the response of a political system to demands coming out of the environment.
According to Easton, the political system represents those identifiable and interrelated
institutions and activities in a society that make decisions which are binding on society.
Demands and supports from the environment flow into the political system as inputs.
• Demands are claims of individuals and groups on the political system for public action to
satisfy their interests. Support is rendered when individuals and groups accept the decisions
and actions of the political system that are made in response to demands.
• Environment, in this Eastonian scheme, stands for all those conditions and events external
to the boundaries of the political system. In terms of this model, the administrative
allocation of values constitutes public policy.

27
 • There is a concept of feedback in this model which indicates that public policies may later
change the environment and the demands generated therein. Policy outputs are likely to
generate fresh demands which will lead to further policy outputs.
• So, there is a never-ending flow of public policy making. This is highly generalized model
of the political system which has been utilized by policy scientists for understanding the
policy making processes.
• However, it does not shed light on what goes on within the "black box” called the political
system. In other words, it tells very little about how decisions are actually taken in
government.

All models – short summary :

1. Institutional model
a. Origin in government institutions that formulate and implement
b. Govt. leads legitimacy to the policies
c. Assume universalistic character. It is applicable to everybody in the society
d. Characteristics of the public policy is provided by the institution involved
e. Limitations – 1. recognizes only formal aspects and undermine the rate of the
informal groups- GGO, civil society, etc., 2. It also excludes the role of some
formal institutions like judiciary.
2. Group theory :
a. Society is composed of a number of groups
b. Each group tries to maximize their benefits by putting pressure on the govt to
formulate policy.
c. Public policy at any time reflects the equilibrium reached in the group struggle
d. Actual policy making in the govt. tends to hit towards the groups that are
gaining influence (e.g., big industries)
e. It is particularistic and not universal.
3. Elite theory :
a. People as a whole don’t care much for govt. policies nor do they have adequate
knowledge about what goes on in the govt.
b. People are lead and manipulated by the elites

28
 c. Public policy therefore, don’t arise out of the mass. In turn reflects the
preference of the governing elites
d. These flow from top and don’t move from bottom
4. Rational model :
a. It is also known as root model
b. It is rational when it is more efficient
c. The model assumes that the govt has infinite capacity to access, collect,
commute and process information and data
d. Therefore, the govt can forecast with best solutions
e. This model is based on the principle of ‘one best way’
f. This model is based on the wisdom of the state and is not influenced by the
other autonomous agencies.
g. Maximization of net value achievement is the hallmark of rational model
h. Limitations – it is idealistic to presume that the state has infinite capacity to
access the information and data
5. Incremental model
a. Given by Charles Lindblom
b. Called branch model
c. Lindblom was critical about the concept of rational model, ‘one best way’, as it
included constraints of time, cost, intelligence, and politics.
d. So, according to him, instead of creating an all together new policy, the already
existing policy may be made with the marginal modifications.
e. This model is criticized by Dror – this can help in improvement of existing
policies but cant be implemented in already failed projects or policies.
6. Mixed scanning approach :
a. Given by Amitai Etzioni
b. Both the rational and incremental model have their limiations.
c. Rational model is idealistic and incremental is not successful for failed policies.
d. Amitai came out with this model which combines the concepts of both rational
and incremental.

29
 e. In this approach the entire subject area in question is first scanned broadly and
not in great detail.
f. Concentrates only on those aspects that call for more detailed in depth scrutiny.
7. Normative optimum model
a. Given by Yehezkel Dror
b. He combines core elements of rational model (such as measurement for
cost/benefit) with extra- rational factors
c. He puts forward an 18 step complex model divided into 3 stages.
i. Metapolicy making stage – who, how will make
ii. Policy making stage – goal, priority, order
iii. Post policy making stage - executive, implementation, feedback,
follow
8. Game theory :
a. It is used as a method for the study of decision making
b. Here, decision units or participants in a game are situated. There may be many
possible outcomes of their actions with different values to them.
c. Decision makers are therefore involved in situations of interdependence
d. Hence, all make their inter-dependent choices but the outcome would be
conditioned by the choices made by each participants.
9. System model :
a. Given by David Easton
b. Black box model
c. It converts the demands of the society into policies
10. Political public policy model :
a. Given by Lawrence Lynn & Peter Deleons
b. Public policy is not necessarily an exercise of techniques, technology and
knowledge.
c. Rather, it is a by -product of political process, which includes bargaining,
negotiations, compromises and influences from both formal & informal and
official& non-official agencies.
11. Mixed Approach:

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 a. Given by Hogwood and Gunn
b. Mixed because, it the application of both techniques and political process.
c. It is a 9-step approach to political process
i. Deciding to decide
ii. Deciding how to decide
iii. Issue definition
iv. Forecasting
v. Setting objects and priorities
vi. Option analysis
vii. Policy implementing monitoring and control
viii. Evaluation and review
ix. Policy implementation, succession or termination.

NOTE : ALL MODELS ARE TO BE EXPLAINED WITH AN EXAMPLE

OF SOCIAL ISSUES. REF LAST PAGE FOR SOCIAL ISSUES.

Critique of the above-mentioned models of public policy:

1) Institutional Model: It is possible when all institutions are studied thoroughly and the
relationships it shares with other organisations and also in a developing society where one
organisation provides overlapping services with another organisation then it becomes difficult to
segregate and duplication occurs wasting money and resources of the country people.
2) Systems Model: Though considered useful still has various limitations. Thomas Dye points out
that in the Systems Model significant characteristics of the political system, which plays a very
important role in the policy process of transforming decisions into policies has been lacking.
Furthermore, the environmental inputs that influence the political systems have also not been
clearly defined and described. It is also seen as too simple an approach to explain the complex
cycle of policies. It employs value laden techniques of welfare economics and other factors like
rationality, power, personnel and institutions, etc., have been neglected and not shown as integral
ingredients in the policy cycle.

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3) Rational Model: Problems arise when put into practice since social and environmental values
can be difficult to quantify and gather a consensus on the same . Not totally practical as it is based
on the principle that the decision maker is aware of all facts and statistics that are to be considered
in the current situation and knows the best way to deal and take a completely rational decision.
4) Incrementalism Model: It only looks at immediate problems and short-term solutions by taking
one step at a time and leaves behind the overall issue for which the root has to be pulled out
otherwise whatever little work is done will be undone very soon. And also, it gives way to steps
that enter quietly and were never thought of in the first place which may or may not be useful.
5) Game Theory Model: It justifies selfishness in the name of self-interest and values are
extremely variable so you cannot say that everyone will behave/respond in the same manner as
everybody is not completely rational as claimed by the concept of the Games Theory Model.
6) Elite Model: Here it is stated that only a few people who are referred to as elite, who are the
public administrators and politicians are the only ones who possess the knowledge to make policies
and hence no need to interact with others who are not equipped in this matter. It does not take into
account the importance of civil society organisations and other nonprofit and voluntary
associations possessing grass root knowledge of issues and solutions to the same.
7) Group Model: It states that a few groups and lobbies who have stronghold on organised agitation
and means to influence bureaucracy and legislature get their way in view of lack of other organised
opposition.

EMERGING DISCIPLINE OF POLICY SCIENCES

Meaning And Importance of Policy Sciences
A policy science is a systematic and scientific study of public policy. Policy formulation and
implementation is governed through certain inherent principles. It is these principles that govern
the policy choice and outcome. Policy sciences effort to discuss these principles in a systematic
method. It strives to establish causal relations for the success and failure of certain principles. The
main concern of policy sciences is with the understanding and improvement of public policy
making systems.
According to Yehezkel Dror, it comprises:
• Policy analysis, which gives, methods for identification of preferable policy alternatives

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 • Alternative innovation, which deals with the invention of new designs and possibilities to
be measured in policy making
• Master policies or mega policies, which give postures, assumptions, strategies, and main
guidelines to be followed through specific policies
• Evaluation and feedback, including, social indicators, social experimentation and
organizational learning; and
• Improvement of meta policy, that is, “policy on policy making ” through redesign of public
policy making system, its organizational components, selection and training of its
personnel, and reconstruction of its communication and information network.

Policy Analysis
Policy analysts play a crucial role in the improvement of policies and so shape the major
part of policy sciences. As an applied social science discipline, policy analysis employs multiple
methods of enquiry and argument to produce and transform policy relevant information. The scope
and methods of policy analysis are partly descriptive aiming at the production of information in
relation to theca uses and consequences of public policies. Yet policy analysis is also normative,
since its practitioners seek as well as produce information in relation to the value of such
consequences for past, present and future generations. Policy analysis so gives answers to
questions that are designative (what are the causes and consequences of polices?), evaluative (of
what value are policies?) and ad vocative (what policies should be adopted?).
Policy analysis, when viewed as a process of producing knowledge of/in policy processes,
is so general that it comprises the whole spectrum of efforts to develop and apply specialized
knowledge throughout history. It uses cause and evidence to clarify, appraise advocate solutions
for public troubles. It goes beyond traditional disciplinary concerns with the explanation of
empirical regularities through seeking not only to combine and transform the substance and
methods of many disciplines, but also to produce policy relevant information that may be utilized
to resolve troubles in specific political settings. Moreover, the aims of policy analysis extend
beyond the production of “facts”. Policy analysts seek also to produce information in relation to
the values and preferable courses of action. It comprises policy evaluation as well as public
advocacy. The relationship flanked by policy-informational components and policy analytic
methods gives a basis for distinguishing three major shapes of policy analysis; these are

33
prospective analysis, retrospective analysis and integrated analysis. Prospective analysis involves
the production and transformation of information before policy actions are initiated and
implemented. Retrospective analysis is confined to the production and transformation of
information after policy actions have been taken.
Integrated policy analysis is a more comprehensive form of analysis which combines the
operating styles of practitioners concerned with production and transformation of information both
before and after policy actions have been taken. The policy analyst is expected to produce
information and reasoned arguments in relation to the three types of questions:
• Values whose attainment is the main test of whether a problem has been resolved;
• Facts whose attendance may limit or enhance the attainment of values; and
• Actions whose adoption may result in the attainment of values and the resolution
of troubles.
Policy analysts use three dissimilar approaches to study policy making. This is clear from
the following chart:

This policy analysis is concerned with facts, values, and actions; it is empirical as well as
normative. As an applied discipline, policy analysis not only borrows from the social and
behavioral sciences, but also from public administration, law, philosophy, ethics and several
branches of systems analysis and applied mathematics. Policy analysis has to provide appropriate
weight to prudential and moral reasoning in relation to the policy means and ends. It has to be kept
in view that principles and methods of analysis differ greatly depending on the nature of policy
troubles and comprehensiveness of analysis. A proper and systematic policy analysis can create a
thorough dent in our policy process trouble

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Approaches To Policy Sciences
Two approaches to policy sciences have been recognized, one is the behavioral approach, and the
other is the systems approach. Both the approaches aim at improving policy process. We will now
briefly discuss them.

The Behavioral Approach

The focus of this approach is not so much on the substance of a policy as it is on the organizational
structure within which policy making takes place. It lays stress on the individuals involved in the
making and administering of the policy. In other words, if a scrupulous policy or set of policies
are adjudged less effective than it had been hoped, causes for failure will almost certainly be sought
in the relationships in the middle of the personalities involved in the policy making process. Value
orientations and socio-economic backgrounds of policy makers are regarded as relevant in this
approach.

The Systems Approach

The focus of this approach is on the nature of policy process. It deals with the dissimilar steps
involved in policy making. This approach is similar to systems analysis and resembles approaches
which are presented under the rubrics of e.g. operations research, cybernetics and planning,
programming, and budgeting system. Policy sciences, as per this approach, evaluate inputs in
conditions of their relationship to the desired outputs; subsequently, the feedback it gets from the
social system that receives these outputs is analyzed. The emphasis of this approach is on definition
of the problem (e.g., goals of the system, programme objective), selection of criteria (or indicators)
for operational sing or measuring these objectives, devising of alternative strategies for reaching
these objectives, identification of costs and benefits of each strategy and feedback, re-evaluation
and re-formulation of the implemented strategies

Role of Governmental and Non-Governmental Agencies

Based on the basic types of polity, the spirit of the Constitution, and the types of objectives, as
referred to in earlier sub-section, the policy framing agencies, which are primarily the
governmental agencies and institutions, create the public policies. India is a democratic country
having a parliamentary form of government. The three significant wings of the government are:
Executive (both political and permanent), legislature, and judiciary. Besides these, the non-

35
governmental agencies also play a role in policy making. For ascertaining the importance of
contextual setting in policy making, we would be discussing the role of governmental and non-
governmental agencies, separately.

Governmental Agencies
In a democratic system, like that of India, the real political power rests with the executive
organ of the government. It would not be wrong to say that we are residing in an executive-centered
era. Of course, to legislate on the issues for the purpose of enacting policies is the job of legislature
to who even the political executive is responsible, but in actual practice the things are altogether
dissimilar. The issues on which the policies are to be formulated are thought in excess of and
decided through the executive and submitted to the legislature for formal approval of the same. On
the basis of its strength in the legislature, the executive is able to get the policy issues submitted to
the legislatures as public policies. The executive in most of the under-developed and in some of
the developing countries, exercise more power in policy making in comparison to most of the
developed countries. The permanent executive, that is, the bureaucracy also has a significant role
to play in the overall policy making process.
In the parliamentary form of government, the position of legislature seems to be apparently
superior to that of the executive. The executive is in position to take action on an issue only once
it is decided so through the legislature. The legislature formulates and expresses the will of the
State through the policies. The executive can stay in power so long as it enjoys the confidence of
the legislature. The actual position is of course, dissimilar. The executive has the support of the
majority of the members in the legislature and so can get policies formulated on any issue. It does
not mean at all that the legislature has no fruitful and meaningful contribution in the process of
policy making. It not only brings the issues (measured for policy making ) under scrutiny and
deliberation in the House, which has the representation of the opposition parties representatives
too, but also keeps a vigil check on the functioning of the executive vis-à-vis the policies already
framed. The deliberations on the Bofors issue and resignation of the External Affairs Minister on
an aspect related to that speaks of the importance of the legislature.
Though legislation is the task of the legislatures, the courts and the judicial organs also
legislate in a dissimilar method and therefore play a role in policy making. Whenever any policy
is silent on an issue or is not in consistence with other policies, it is the judiciary which provides
its interpretation in the light of basic premises underlying the Constitution. The courts are guided

36
through the values of equity and justice. Their decisions give legitimacy to the governmental
institutions in several policies. The power of judicial review speaks of the role of the judiciary in
policy making. Indian judiciary has used the powers‟ granted to it through the Constitution as and
when the matters of Constitutional disputes have arisen. Through the tools comprising executive,
legislative, and judicial institutions, the Indian government formulates the policies. The role of the
institutions has an important place in the overall environment and contextual setting in a given
system. Adhering to the basic objectives and ideology of the party in power, especially in
democratic countries, the policies are made.

Non-Governmental Agencies
The contextual setting of policy making, besides governmental institutions, has some non-
governmental institutions like political parties, interest groups etc. The citizens are also a type of
non-governmental force that plays a crucial role in policy making. Political party is a group of
organised individuals often having some measure of ideological agreement in order to win
elections, operate government, and determine public policy. It won‟t be wrong to say that in the
functioning of modern democracies, political parties, in one form or the other, are omnipresent.
According to Burke, “It is a body of men united for promoting the national interest on some
scrupulous principles on which they are agreed”. A political party normally observes democratic
and peaceful events for gaining power and implementing its line of action through policies
formulated in order to protect and promote its specific interests in the light of its major objectives,
ideology, and overall national goals and objectives. The political process is integrated, simplified,
and recognized through the political parties. They act as a link flanked by the governmental
institutions and citizens, As said earlier, the party having majority in the legislature shapes the
government, yet the remaining parties recognized as opposition parties play a significant role in
the policy making process. Besides, they keep check on the activities of the party in power which
again reflects their crucial role in policy making. The interest groups are organised groups in which
members share common views and objectives and actively carry out programmes to power
government institutions, officials, and policies. Unlike political parties, interest groups are mainly
interested in influencing the determination of public policies that directly or indirectly affect their
members‟ interests. Groups are the first type of structure which is encountered in the analysis
political system. In the words of Blondel, “The study of groups raises very serious practical and
theoretical troubles. This is because groups are not as such part of the study of politics. We are

37
interested in groups to the extent that they enter the political process, but not in the groups
themselves. Some of them may be involved so often in politics that they cannot easily be separated
from political life; but even then these are not wholly in politics. Conversely, though, any group,
or approximately every group is involved from time to time in the political process. Therefore, we
become concerned with practically all the groups which exist in society”.
The interest groups adopt techniques like lobbying, strike, agitation, dharma, etc. for
influencing the policy making process in order to get such policies enacted which serve their
members interests.
The government is supposed to work on the lines whereby it could give maximum gains to
the citizens. Of course, the gains and the benefits could be derived depending upon the possessions
and capacities of the system. The point of concern in excess of here is not to measure the positive
or negative gains or losses the political system has given to its citizens, but to ponder in excess of
the importance and significance attached to a citizen so distant as his participation in the policy
making process is concerned. We are aware that the policies are meant for the public and are
implemented for them. In the overall environment, citizens occupy a pivotal position. All the
characteristics relating to politics and policies revolve approximately citizens. The citizens alone
put a party or executive in ruling form. When the comparison is made flanked by policy making
and legislature, interest groups, political parties and citizens, almost certainly citizen is the only
one who little control in comparison to the control has exercised through the other three for policy
making. The place and position of direct democracy has been taken through indirect democracy.
So almost certainly, it is not feasible to consult each and every citizen on each and every policy
issue or alternative. Of course, in some political systems, like Sweden, the citizens, still vote
directly on legislation. But this practice is not in operation in other countries. It does not mean that
the governments or policy framers indulge in policy making which hamper the overall interests of
the citizens. The governmental agencies do create policies on the issues which the political party
in power places before the citizens at the time of elections and which are approved through the
electorate. The amount of active participation, in casting votes, involvement in party activities, and
display of interest in politics through the citizens vary in degree. It is said that, at the time of voting,
citizens attach little importance to the policy issues raised through the political parties, and the
citizens cast votes on the basis of factors like caste, language, money, regionalism, etc. Whatever
be the thoughts, once the citizens have elected their representatives, and, on the basis of it, the

38
government has been shaped, the party in power has to create policies on the issues raised through
it, and supported through the citizens. There is no point in ruling out citizens‟ participation in
policy making. It is agreed that the participation is not direct but it is definitely there in an indirect
form. The citizens, those who have the intellectual capabilities, keep on contributing to the policy
process in the form of providing new ideas and concepts to the policy framers. Ultimately, if we
analyze the political party and interest groups functioning, we will discover that this is also on the
basis of the individuals‟ participation and interests.

Policy process Making Stages

Policy is a course of action, selected from various alternatives, that an individual or an organisation
adopts, which influences the present and future decision making. Policy cycle is the most optimal
model through which policies are made, put into action and evaluated. It is described usually in
six stages, which are: agenda setting, policy formulation, adoption, implementation, evaluation
and policy maintenance. It is understood as a cycle, as the outcome of the implementation of the
policy will help in determining any alteration in the existing policy or the creation of a new one.
The process is descriptive, that is, merely a given method to organise policy making, however it
faces trouble as it is too simple and straightforward for a complex world. It appears as an ordered
process with a beginning where the policymakers first identify an issue, and an end, where they
assess how successful the implementation and its impact have been in resolving the issue, however,
policy making can begin, be altered or be discarded at any of these stages. Further, thousands of
policy cycles interact in the policymaking system which makes it even more complex and
unpredictable.

39
The stages of a policy cycle are as follows:

A. Agenda Setting:
In this stage, the issues that are in need of government action are brought to the attention
of the policy makers, and various aspects of these issues are assessed; the most concerning areas
are prioritised. This assessment is helpful in determining the objectives of the policy. The
definition of problem setting is always contestable and depends on the ruling government’s
ideologies, their sight of benefits and prejudice. One of the main problems with policy making in
India is the fragmentation in the structure. The Planning Commission was an institution in the
Government of India, which formulated India’s Five-Year Plans and was then replaced with the
NITI Aayog. These plans were then approved by the legislature. However, with the passing of
years, more power has shifted into the hands of the executive. Other than this, India has adopted
the parliamentary form of democracy, as well as a quasi-federal structure of governance,
which means that there are various levels of hierarchy to be considered before setting objectives.
Such fragmentation fails to recognize that actions taken in one sector have serious implications on
another and may work at cross purposes with the policies of the other sector. Besides, it becomes
very difficult, even for closely related sectors, to align their policies in accordance with a common
overall agenda.

40
B. Policy Formulation:
This is the stage that gives structure to the policy. Goals are set, costs are determined,
policy instruments are chosen, possible effects are evaluated, and stakeholders are established.
Multiple solutions are put forward, with consideration of meeting objectives within established
limitations. Public policy is often prepared without sufficient input from sources external to the
government, and without adequate examination of the issues involved. Some of the best experts in
many lines of work lie outside the government, yet the policy processes and structures of
government do not have efficient methods for obtaining inputs from external sources, which can
prove to be detrimental to the groups affected by the policy as they too are often not involved
enough; at times, different solutions with different impacts are not evaluated to the best extent.
Before converting policy proposals into policies, a number of analyses like the cost-benefit
analysis, economic forecasting, operations research and systems analysis, and budgeting analysis
can be run using up-to-date data. Opinions of those affected by the policy should also be taken into
account as it can influence the success of the policy.

C. Adoption or Legitimation:
This is the stage of decision making where the best solution is chosen from amongst the different
solutions that vary based on the policy instruments used. This approval of the policy may come
from various sources- legislative, executive, in tandem with interest groups or from referendums.
Policies require approval from various levels of the government before being adopted. India’s
federal structure makes demarcations for certain legislative powers and duties, that is, the power
to make laws on certain subjects is divided across Centre, the States or both. However, some of
the autonomy provided to States is subject to financial requirements, which are often decided by
the Centre. Friction or differences in understanding between the States and the Centre can also
prove to be detrimental to the policy makers, where certain States refuse to follow the mandate of
the Centre.

D. Implementation:
This is with regard to how the policy will be put into action. This often means creating working
networks where actors, resources and knowledge are connected. This may involve clear
communication with the required agents, such as executive public bodies like the Ministry of
Human Resource Development, or creating say, an organisation, to implement policy

41
decisions. These agents will have to account for the usage of resources, whether monetary, human,
legal or the likes.
Monitoring implementation is another important part of this stage. Proper implementation is
critical to the success of any policy’s objectives. This means establishing a clear chain of command
and putting effort into its coordination and control. This can come at a great expense to the
government. The successful implementation of social sector schemes requires a high degree of
political commitment and administrative coordination.
Aadhar linkage and Kerala’s Kudumbashree scheme are cited as successes. Aadhar, India’s
biometric ID system, is used to avail multiple utilities, such as food rations, to those who are
registered with the Aadhar Ecosystem. Kudumbashree through micro-credit and empowerment
schemes like vocational training allows poor women at the grassroot levels to organise themselves.
In India’s case, while many policies of social inclusion have been put into place, the
implementation has been suspect. Illiteracy, lack of awareness and lack of empowerment means
the weaker sections of society, which any given policy is supposed to target, are often unable to
access the benefits. It is also the case that the services offered by the government are usually of
poor quality. Autonomy in implementation at various levels can help the cause. Execution of the
policy is often hindered by confusion in the government as bureaucratic ineffectiveness, ineptitude
and corruption confounds the policy implementation process.
Let us look into the example of the Right To Education Act, which made free and compulsory
primary education a basic right for children of the age group of 6 to 14 years. It sets aside a 25%
quota for children from economically and socially weaker sections in unaided, non-minority
schools. It has been contended that there has been more focus on the quota than on the quality of
education, with issues of teacher absenteeism, lack of teaching resources, lack of basic
infrastructure, etc. This has resulted into high enrollment in schools, however, it has also
responsible for high dropout rates. One could say that the policy is input oriented as opposed to
outcome oriented.
Swachh Bharat Abhiyan also faced problems in having to adjust with mindsets of people, lack of
proper waste management practices, often a lack of water, lack of sustainability of the provided
infrastructure, as well as a lack of dedicated on-ground enforcers.

42
E. Evaluation:
Government assesses the effect of the implemented policy at this stage. This is to determine how
successful the policy was, in its impact, and whether the policy has been implemented correctly.
This can be difficult to evaluate as the policies may have several objectives to meet. There may
also be multiple ways to measure the impact which can lead to different evaluations on the
effectiveness, depending on the standards of measurement used. Under the current government,
NITI Aayog actively monitors and evaluates the implementation of government programmes and
initiatives.

F. Policy Maintenance, Succession or Termination:

This stage determines whether the policy is to be maintained by improving or further developing
it. Often, if problems are identified with the current policies, they are either modified or terminated.
Using the example of the Right to Education Act, the Centre is currently considering the extension
of the Act to cover students till class 12, where currently it covers students till class 8.
Policy cycle is not only a model of policy making but is also a method of analysis of the policy
process. This model does help us in looking at policy in orderly or organised manner but as
expressed before, this can be overly simplistic for a complex and dynamic world//.

//

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44
45
Public policy evaluation
Public Policy Evaluation Meaning:
Joseph S. Wholey, stated about the meaning of public policy evaluation as, “policy evaluation is
the assessment of the overall effectiveness of a national programme in meeting its objectives, or
assessment of the relative effectiveness of two or more programmes in meeting common
objectives”.
Whereas, according to Thomas Dye, it means, “Learning about the consequences of public policy”.
It is very obvious that evaluation means, is not monitoring but, monitoring is the precondition for
evaluation. Actually monitoring is related to establish actual locations about public policies. It is
actually about control and exercise of power and replies queries like, what happened, how and
why? So on. It is in fact attempts to examine and tries to determine the influence of policy on
actual life situations.

46
Role and Purpose of Evaluation:
It is evident that the, chief goal of the policy evaluation is to decrease the difficulty in the speed of
delivery of the policy and this policy evaluation one or three purposes to evaluate, and they are as
follows:
1. Policy Efficiency
2. Policy Effectiveness
3. Policy Impact
The goal of evaluation here is to check the influence of policies on the society. It actually exposes
the extent to which specific aims have been attained (for instance, upsurge in life expectancy at
birth of child), it aids us to know the amount to which the policy matter have been fixed.

Procedure of Policy Evaluation:

It is easy to evaluate the policy programme, it requires a groundwork. It includes hypothetically
many steps and generally it needs at least five steps and which are very important in this process
and they are as follows:
1. Finding Purposes of Evaluation - The planners and organisations of the public policy who
look evaluation must articulate queries as to why they need to assess the policy. After that,
evaluators must find the apprehension of management, queries and matters on which the
assessment must be concentrated
2. Finding the area of evaluation - Once the queries of the evaluation have been developed then
only it becomes possible to recognize the areas of concentration for the evaluation, for instance, if
the query tells to unexpected environmental influence of the forest policy, then the evaluation had
healthy focus on the technical features of the policy. The management team can recognize those
areas of the evaluation which can yield the uppermost helpful information.
3. Selecting evaluation methodologies and organizing data - Selecting suitable evaluation
methodology, being the next stage a problematic work. It contains collection of data also emerging
the tools for recording facts and pilot examine them. The entire procedure of the collection of data
and tabulation has to be scheduled for timing, selection of sample, cleaning, tabulation and data
storing.
4. Evaluating the results - The data tabulation means, codifying the data into an analysable form.
After the tabulation work, the data would be equipped for report writing. In several respects, the

47
organised collection of data and facts aids to make sensible judgments about the character of policy
programme inputs and outputs (Analysing).
5. Writing a Report on evaluation - The report writing needs the total devotion, it must be written
very well and must need to contain all the chief points of the evaluation. It must contain a summary
of the suggestions of the management issues that launched in the evaluation.

Criteria for Evaluation :

The main criteria for policy evaluation are numerous, but the significant aspect would be stress on
policy goals. Frohock, has recommended four types of concepts and they are 1. Equity 2.
Efficiency 3. Pareto optimality and 4. Public interest, are very much helpful in evaluation policy.
Deliberations trails on six chief criteria for policy evaluation and they are as follows:
1. Efficiency -
• It denotes about the capability of a policy programmes to use inputs such as, time and
resources to crop outcomes with the smallest total of a wastage. By efficacy, it means the
quantity of effort need to harvest an agreed level of efficiency.
• Efficacy is associated with economic rationality. As soon as efficacy is stated in monetary
relations, it denotes to the ratio of monetary income from the output to the monitory costs
of output. This ratio worthproductivity which is commonly utilised as apointer of the policy
programme.
2. Effectiveness
• The standard of effectiveness is utmost general procedure of policy evaluation, how to
know the effectiveness of policy, whether the aims set are attained, and the policy is
believed to be a disaster if it not attained its goals.
• It is frequently measured in relations of units of products or services or their monitory
costs. If the goal of public organisational unit is to render ‘n’ unit of service a year, then
effectiveness perhaps be measured by the percentage of ‘n’ rendered in the year.
• For instance, if a car gives more mileage than a bus, the car can be said as more effective.
Likewise, an effective environmental policy is the one which gives utmost qualitative
environment to more people, supposing the qualitative of environment is a goals.
3. Adequacy - It means sufficiency of a particular need. the policy efficiency standard treats with
the connection among policy aims and what is attained, the adequacy of a policy denotes to the
association between the policy and the difficulty to which it is spoken off.

48
4. Equity
• It denotes to the delivery of belongings and struggles of a policy programme, amongst the
dissimilar sets of the society.
• criterion of equity is closely connected to fair or just delivery of effects (monetary benefits)
and efforts (monetary costs).
• The design of policy to reallocate income, employment chances, or public services are
frequently suggested on the grounds of the standard equity
5. Responsiveness - Responsiveness which means that, a policy gratifies the wants or values of a
specific set, the policies are intended to promote educational chance or health position are
suggested sometimes on the grounds of the responsiveness
6. Appropriateness - Appropriateness denotes to the means of goals of a programme. The policy
is grounded on the suitable values and ideologies. The policy hints to the disturbance and violence
or be met with agreement.

Kinds of Evaluation:
There are many kinds of evaluations are there but, only five types of evaluation procedures are
used frequently and they are as follows:
1. Performance Appraisal
2. Audit
3. Result Evaluation
4. Cost-benefit evaluation and
5. Impact assessment.

Performance Appraisal:
It is a kind of evaluation method and is used to give information linked to evaluation of policies
and of the people who are executing the policies. Generally, evaluators‟ emphasises on time,
technical and cost performance of a policy. That kind of appraisal perhaps be led by the manager
or a steering committee for the policy management. However, the sponsoring institutions for
example, WHO, ILO so on also looks for such kind of performance appraisal.

49
Audit:
This actually stresses on the performance of the finance issues of the policy it is intended to
evaluate the efficacy in the use of other resources in the management of policy. Audit is generally
steered by the office of the Comptroller and Audit General of India to safeguard the value for the
money. It can be weaken the policy manager‟s self-sufficiency and status, if management flaws
are establish in the course of auditing.

Result Evaluation:
It is usually occurs at or near the end of a policy programmes. It actually talks about query of
whether the policy outcomes match the policy aims. This kind of evaluation is tied to certain policy
performance indicators, the result evaluation examine whether those indicators have been achieved
or not.

Cost-Benefit Assessment:
This kind of assessment is widely an effort to establish the benefits accumulating from the
resources extended on the policy management. It is very easy to evaluate the cost-benefit in a
condition in which financial profits are the measure of benefit. In most of the perspective policies
one can look outcomes which are not essentially comparable to financial costs.

Impact Assessment:
This kind of evaluation is an effort to establish whether the policy programme really made an
influence the makers of the policy have anticipated on a growth need. It is very difficult to conduct
such type of studies, for instance it would take 25 years to notice in the reduction of caste politics,
during this times several things can occur. Hence, this impact assessment studies are recognized
to be fruitful and needed but apprehensive with operational problem.

Evaluating Institutions:
The worth of policy rest on to what level it has carried and services or served the aim of the policy.
This needs a correct assessment of by a proper expertized institutions. It is done on the various
manners by the evaluators. Occasionally it is extremely methodical, at other time rather causal.

50
 Module 2
What is a Government?
• According to administrative law, a government is a collection of persons who can rule over
a region.
• A country, a state or province within a country, or a region can all be considered territory.
• Governments are in charge of making laws, rules, and regulations, as well as collecting
taxes and printing money.
• Governments have legal systems that identify the acts or activities that are illegal and
outline the penalties for breaching the law.
• Governments employ a police force to ensure that citizens adhere to the law.
• Governments have a military force, such as an army, to defend the country from terrorism
and other severe threats, as well as to attack and invade other countries.
• A government's leader may have advisers and ministers in charge of several ministries.
They are collectively known as the administration.
Definitions and etymology
• A government is the system to govern a state or community.
• The word government derives, ultimately, from the Greek verb κυβερνάω [kubernáo]
(meaning to steer with gubernaculum (rudder), the metaphorical sense being attested in
Plato's Ship of State).
• The Columbia Encyclopedia defines government as "a system of social control under
which the right to make laws, and the right to enforce them, is vested in a particular group
in society".
• While all types of organizations have governance, the word government is often used more
specifically to refer to the approximately 200 independent national governments on Earth,
as well as their subsidiary organizations.
• In British English, "government" is often used to refer to what's known in American
English as an "administration", i.e., the policies implemented by, and government officials
appointed by, a particular executive or governing coalition.
• Finally, government is also sometimes used in English as a synonym for governance.
History of Government

51
 • The first minor city-states formed some 5,000 years ago. Some of the civilizations, such as
Sumer, Ancient Egypt, the Indus Valley Civilization, and the Yellow River Civilization,
had grown into larger governed territories by the third to second millennia BC.
• Agriculture and water management initiatives aided in the formation of governments. A
chief of a tribe was occasionally elected to lead his tribe by different rites or tests of
strength, often with the help of a council of senior tribesmen.
• The popularity of republican systems of governance expanded toward the end of the 17th
century.
• The English Glorious Revolution, the American Revolution, and the French Revolution all
contributed to the rise of representative government.
• The Soviet Union was the world's first big country to be governed by communists. Liberal
democracy has been an even more popular type of administration since the collapse of the
Berlin Wall.
• The size and scope of government at the national level grew dramatically throughout the
nineteenth and twentieth centuries. This encompassed corporate regulation as well as the
growth of the welfare state.

Governance: Meaning, Definition, 4 Dimensions, And Types

What does governance mean?
Governance refers to all aspects of the way the government fulfills its job for societal and economic
development. It is a process of governing by which all governmental, as well as non-governmental
organizations, civil societies, private sectors, are involved in the process of policymaking and the
process of implementation of that policies.
In simple words, The processes that lead policymaking and its implementation can be called
as governance.
Below, I have mentioned some definitions of governance that help you to understand governance
from different angles.
Definitions of Governance
Governance can be defined as “the exercise of political authority and the use of institutional
resources to manage problems and the affairs of the society”.

52
According to the World Bank “Governance is the manner in which power is exercised in the
management of a country’s economic and social resources for development.”
According to Rhodes “Governance refers to self-organizing, inter-organizational networks
characterized by interdependence, resource-exchange, rules of the game, and significant autonomy
from the state”.
To Hyden “Governance is the stewardship of the formal and informal political rules of the game.
Governance refers to those measures that involve setting the rules for the exercise of power and
settling conflict over such rules”.
From the above definitions, it can be concluded that governance is defined as the set of networks
in the pursuit of common goals. These networks of the governing processes can be
intergovernmental or inter-organizational or can be transnational. It also can be defined in terms
of the interaction between state and society.
Types of Governance
Governance depends on the type or nature of the organization’s work. Their governance is also
different because of the differences in their activities. Below are some of the types of
governance mentioned.
1. Participatory or Democratic Governance
2. Global Governance
3. Good Governance
4. Corporate Governance
5. Environmental Governance
6. E-Governance
1. Participatory or Democratic Governance
Participatory or democratic governance ensures the participation of citizens in the process of policy
making and its implementation. Participation can be through election, referendum, Landsgemeinde
or local self governance, protest, etc.
Democratic governance is not just a set of rules and institutions, it refers to the processes in which
democratic institutions are functioning according democratic processes.
The fundamental of this type of governance is to ensure the service delivery to all sectors of the
societies. And it is only possible by securing the people’s participation in the process of decision
making processes in all the democratic institutions.

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2. Global Governance
This is one of the most relevant types of governance. The term ‘Global Governance’ was first
used by Rosenau. He argues that “Global governance is conceived to include systems of rule at all
levels of the human activity-from the family to the international organization- in which the pursuit
of goals through the exercise of the control has transnational repercussions”.
The idea of global governance has its roots in the fact that today the states exist with non-state
actors. Today alongside states we have the presence of international institutions like the United
Nations (UN), International Monetary Fund (IMF), the World Bank, World Trade Organization
(WTO). We also have powerful non-state actors like multinational corporations (MNC), global
civil society, non-governmental organizations (NGO).
This shows that the idea of governance in the present time and looking at from the global
perspective it’s a very complex and contested notion. Similarly, this also has implications for the
domestic policymaking that is governance in the domestic realism also is having contestant
contours.
3. Good Governance
Good governance is the ideal concept or normative concept. This concept is born when ethics,
values are included in the discussion of governance. Now the question is when will we call any
governance as good governance?
When governance is characterized by Participation, Rule of Law, Transparency, Responsiveness,
Consensus Oriented, Equity and Inclusiveness, Effectiveness and Efficiency, Accountability then
we called it good governance.
4. Corporate Governance
Today corporate governance is a buzzword of the corporate boardroom across the world. Corporate
Governance is a set of rules or code of conduct for the corporate sector or corporate governance.
By corporate governance the government can regulate the corporate companies. Every company
has to follow those rules or code of conduct to start their business in a particular state or region.
5. Environmental Governance
It provides explanations of ways that can be implemented in the development of international
environmental regulations, development of environmental sciences and information, and
sustainable development and implementation policies in line with national policy.

54
It controls the management of environment and natural resources for proper utilization of the
resources and securing sustainable development.
According to the UNEP (United Nations Environment Programme), “Environmental governance
is a key driver for the achievement of sustainable development.” It can be achieved by fulfilling
three initiatives-
• Coherent international decision-making processes;
• Adequate capacities for agreed objectives and national environmental priorities through
adequate legal and institutional measures;
• Integration of environmental sustainability in development at regional, sub-regional and
national levels.
6. E-Governance
Application of Information and Communication Technologies in the process of governance gave
birth of the idea of E-Governance. E-Governance or Electronic governance is a modern initiative
to make the governing process more transparent and accountable. Its goal is to use technology for
the greater good of society.
This system secures service delivery to the citizens at minimal cost, effort and time using internet
services. It also ensures a strong relationship between state and civil society and The functioning
of public authorities at all levels of planning. This is also called a service oriented concept.
e-governance services are available at Four levels.
• G2C (Government to Citizens)
• G2B (Government to Business)
• G2G (Government to Government)
• G2E (Government to Employee)
Dimensions of Governance
According to the World Bank document ‘Governance and Development’ (1992), there are 4
key dimensions of governance. They are-
1. Public Sector Management
2. Accountability
3. The Legal framework for Development
4. Transparency and Information
1. Public Sector Management

55
This dimension has been emphasized on the capacity building of the public sectors for sound
economy and quality service delivery to the citizens.
Within this dimension, there are basically three key areas that have been focused:
• Public expenditure management, Civil service reform, and parastatal reform for improving
public investment programming and the budget process,
• Strengthening the personnel management and
• The effectiveness and efficiency of public services through the process of decentralization.
2. Accountability
This is one of the most important dimensions of governance. The World Bank very much
emphasizes accountability. It has been described as ‘the heart of governance’. Generally,
accountability means ‘holding public officials responsible for their action’. Political leaders have
been responsible for the citizen for the implementation of sound socio-economic policies.
It has also been referred to as the balance between public policy and its implementation and proper
allocation of public resources for social and economic development.
The public accountability depended on the three indicators:
• The interrelationship between public services and people,
• Relationship between political leaders and supervisors of public services or private
services,
• Aims and Objectives of supervisors of public services.
Accountability has been considered in terms of satisfactory service delivery to the citizens and
how much effect of the people’s participation in the policymaking process of governance.
3. The Legal framework for Development
The bank has discussed the legal framework for development on the basis of rule of law for stable
economic growth. The rule of law has been considered as the legal dimension of governance by
the state.
The bank has highlighted two ways of understanding the rule of law:
• Instrumental and
• Substantive.
Former concentrates with the ‘formal elements necessary for a system of law to exist’ and later
refers to the ‘content of the law and concepts such as justice (for example, due process), fairness
(the principles of equality), and liberty (civil and political rights)’.

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4. Transparency and Information
The last but not the least dimensions of governance is transparency and informationAccording to
the bank, ‘a competitive market economy requires that economic actors have access to relevant,
timely, and reliable information’.
To the bank, transparency and information have been beneficial in terms of three areas:
• Economic efficiency;
• Transparency as a means of preventing corruption; and
• The importance of information in the analysis, articulation, and acceptance of policy
choices.
Conclusion
From the above discussion, on meaning, definitions, dimensions, and types of governance, it
can be said that governance is the process in which policies are made and implemented. For
policymaking and its proper implementation, governance needs reformation of public sector
management, accountability, the legal framework for development, transparency, and information.
It can be discussed in a descriptive or empirical as well as normative or prescriptive way.
When we study it in an empirical way then we find the concept of participatory governance, global
governance, corporate governance, e-governance, environmental governance. In normative ways
of study, the concept of good governance arises.

Main Differences Between Government and Governance

• The government consists of elected representatives who governs or rules the state.
Governance is the way which is followed by the elected representatives for proper
functioning.
• Government denotes elected people whereas governance denotes the framework or
procedures followed by the government.
• The government is responsible for all the activities occurring in the state whereas
governance is the concept followed by the government for implementing the above-
mentioned activities.
• The main purpose of the government is to ensure the welfare and demands of the
organization/state are met. The main purpose of the governance is to assure that the best
results are obtained for the welfare of the state by following the rules in the framework
formulated by the government.

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 • The government takes care of the administration of the organization/state whereas
governance indicates us the way the government is following for proper administration.
Comparison :

Parameter of
Government Governance
Comparison

A group of representatives or A framework which consists of

Definition leaders who take charge of all rules, procedures, regulations which
activities happening in the state. are executed by the government.

Controls the state by the powers The concept followed by the

Function
assigned to them. government to achieve the goals.

People selected by predefined

The term
mechanism followed in the Policies, rules and regulation.
denotes
respective state.

Dependency
It is an Independent factor. Depends on the government.
between the two

Democratic Government, National Health Policy, Universal

Example
Autocratic government etc… Educational program etc…

7 Major Steps of Economic Reforms Taken by Government of India

(1) New Industrial Policy
• Under Industrial Policy, keeping in view the priorities of the country and its economic
development, the roles of the public and private sectors are clearly decided.
• Under the New Industrial Policy, the industries have been freed to a large extent from the
licenses and other controls. In order to encourage modernisation, stress has been laid upon

58
 the use of latest technology. A great reduction has been effected in the role of the public
sector.
• Efforts have been made to encourage foreign investment. Investment decision by
companies has been facilitated by ending restrictions imposed by the MRTP Act. Similarly,
Foreign Exchange Regulation Act (FERA) has been replaced with Foreign Exchange
Management Act (FEMA).
Some important points of the New Industrial Policy have been highlighted here
(i) Abolition of Licensing:
Before the advent of the New Industrial Policy, the Indian industries were operating under strict
licensing system. Now, most industries have been freed from licensing and other restrictions.
(ii) Freedom to Import Technology:
The use of latest technology has been given prominence in the New Industrial Policy. Therefore,
foreign technological collaboration has been allowed.
(iii) Contraction of Public Sector:
A policy of not expanding unprofitable industrial units in the public sector has been adopted. Apart
from this, the government is following the course of disinvestment in such public sector
undertaking. (Selling some shares of public sector enterprises to private sector entrepreneurs is
called disinvestment. This is a medium of privatisation.)
(iv) Free Entry of Foreign Investment:
Many steps have been taken to attract foreign investment. Some of these are as follows:
➢ In 1991, 51% of foreign investment in 34 high priority industries was allowed
without seeking government permission.
➢ Non-Resident Indians (NRIs) were allowed to invest 100% in the export houses,
hospitals, hotels, etc.
➢ Foreign Investment Promotion Board (FIPB) was established with a view to
speedily clear foreign investment proposals.
➢ Restrictions which were previously in operation to regulate dividends repatriation
by the foreign investors have been removed. They can now take dividends to their
native countries.
(v) MRTP Restrictions Removed:

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Monopolies and Restrictive Trade Practices Act has been done away with. Now the companies do
not need to seek government permission to issue shares, extend their area of operation and establish
a new unit.
(vi) FERA Restrictions Removed:
Foreign Exchange Regulation Act (FERA) has been replaced by Foreign Exchange Management
Act (FEMA). It regulates the foreign transactions. These transactions have now become simpler.
(vii) Increase in the Importance of Small Industries:
Efforts have been made to give importance to the small industries in the economic development
of the country.
(2) New Trade Policy
➢ Trade policy means the policy through which the foreign trade is controlled and regulated.
As a result of liberalisation, trade policy has undergone tremendous changes. Especially
the foreign trade has been freed from the unnecessary controls.
➢ The age-old restrictions have been eliminated at one go. Some of the chief characteristics
of the New Trade Policy are as follows:
(i) Reduction in Restrictions of Export-Import: Restrictions on the exports-imports have almost
disappeared leaving only a few items.
(ii) Reduction in Export-Import Tax: Export-import tax on some items has been completely
abolished and on some other items it has been reduced to the minimum level.
(iii) Easy Procedure of Export-Import: Import-export procedure has been simplified.
(iv) Establishment of Foreign Capital Market: Foreign capital market has been established for
sale and purchase of foreign exchange in the open market.
(v) Full Convertibility on Current Account: In 1994-95, full convertibility became applicable
on current account.
Here it is important to clarify the meaning of current account and full convertibility. Therefore,
this has been done as follows:
Current Account:
Transactions with the foreign countries are placed in two categories:
(i) transaction with current account, for example, import-export,
(ii) Capital account transactions, like investment.
Full Convertibility:

60
In short, full convertibility means unrestricted sale and purchase of foreign exchange in the foreign
exchange market for the purpose of payments and receipts on the items connected with current
account. It means that there is no government restriction on the sale and purchase of foreign
exchange connected with current account.
On the other hand, sale and purchase of foreign exchange connected with capital account can be
carried on under the rates determined by the Reserve Bank of India (RBI),
(vi) Providing Incentive for Export:
Many incentives have been allowed to Export- oriented Units (EOU) and Export Processing Zones
(EPZ) for increasing export trade.
(3) Fiscal Reforms
➢ The policy of the government connected with the income and expenditure is called fiscal
policy. The greatest problem confronting the Indian government is excessive fiscal deficit.
In 1990-91, the fiscal deficit was 8% of the GDP. (It is important to understand the meaning
of fiscal deficit and GDP.)
(i) Fiscal Deficit: A fiscal deficit means that the country is spending more than its income,
(ii) Gross Domestic Product (GDP): The GDP is the sum total of the financial value of all the
produced goods and services during a year in a country. Generally, the financial deficit is
calculated in the form of GDP’s percentage. Presently, the government of India is making efforts
to take it to 4%.
Solutions of Fiscal Deficit

In order to handle the problem of fiscal deficit, basic changes were made in the tax system. The
following are the major steps taken in this direction:
➢ The rate of the individual and corporate tax has been reduced in order to bring more people
in the tax net.
➢ Tax procedure has been simplified.
➢ Heavy reduction in the import duties has been implemented.
(4) Monetary Reforms
Monetary policy is a sort of control policy through which the central bank controls the supply of
money with a view to achieving the objectives of the general economic policy. Reforms in this

61
policy are called monetary reforms. The major points with regard to the monetary reforms are
given below:
➢ Statutory Liquidity Ratio (SLR) has been lowered. (A commercial bank has to maintain a
definite percentage of liquid funds in relation to its net demand and time liabilities. This is
called SLR. In liquid funds, cash investment in permitted securities and balance in current
account with nationalised banks are included.)
➢ The banks have been allowed freedom to decide the rate of interest on the amount
deposited.
➢ New standards have been laid down for the income recognition for the banks. (By
recognition of income, we mean what is to be considered as the income of the bank. For
example, should the interest on the bad debt be considered as the income of the bank
directions have been issued in this context.
➢ Permission to collect money by issuing shares in the capital market has been granted to
nationalised banks.
➢ Permission to open banks in the private sector has also been granted.
(5) Capital Market Reforms
The market in which securities are sold and bought is known as the capital market. The reforms
connected with it are known as capital market reforms. This market is the pivot of the economy of
a country. The government has taken the following steps for the development of this market:
➢ Under the Portfolio Investment Scheme, the limit for investment by the NRIs and foreign
companies in the shares and debentures of the Indian companies has been raised. (Portfolio
Investment Scheme means investing in securities.)
➢ In order to control the capital market, the Securities and Exchange Board of India (SEBI)
has been established.
➢ The restriction in respect of interest on debentures has been lifted. Now, it is decided on
the basis of demand and supply.
➢ The office of the Controller of Capital Issue which used to determine the price of shares to
be issued has been dispensed with. Now, the companies are free to determine the price of
the shares.
➢ Private sector has been permitted to establish Mutual Fund.
➢ The registration of the sub broker has been made mandatory.

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(6) Phasing out Subsidies
➢ Cash Compensatory Support (CCS) which was earlier given as export subsidy has been
stopped. CCS can be understood with the help of an example.
➢ If an exporter wants to import some raw material which is available abroad for 100, but the
same material is available in India for 120 and the governments wants the raw material to
be purchased by the exporter from India itself for the protection of indigenous industries,
the government is ready to pay the difference of 20 to the exporter in the form of subsidy.
➢ The payment of 20 will be considered as CCS. In addition to this, the CCS has been reduced
in case of fertilizers and petro products.
(7) Dismantling Price Control
The government has taken steps to remove price control in case of many products. (Price Control
means that the companies will sell goods at the prices determined by the government.) The efforts
to remove price control were mostly in respect of fertilizers, steel and iron and petro products.
Restrictions on the import of these products have also been removed.

Reinventing Governance
Definition of e-Governance
Electronic governance or e-governance implies government functioning with the application of
ICT (Information and Communications Technology). Hence e-Governance is basically a move
towards SMART governance implying: simple, moral, accountable, responsive and transparent
governance.

What is SMART Governance?

• Simple — implies simplification of rules and regulations of the government and avoiding
complex processes with the application of ICTs and therefore, providing a user-friendly
government.
• Moral — meaning the emergence of a new system in the administrative and political
machinery with technology interventions to improve the efficiency of various government
agencies.
• Accountable — develop effective information management systems and other performance
measurement mechanisms to ensure the accountability of public service functionaries.

63
 • Responsive — Speed up processes by streamlining them, hence making the system more
responsive.
• Transparent — providing information in the public domain like websites or various portals
hence making functions and processes of the government transparent.

Interactions in e-Governance
There are 4 kinds of interactions in e-governance, namely:
1. G2C (Government to Citizens) — Interaction between the government and the citizens.
o This enables citizens to benefit from the efficient delivery of a large range of public
services.
o Expands the accessibility and availability of government services and also
improves the quality of services
o The primary aim is to make the government citizen-friendly.
2. G2B (Government to Business):
o It enables the business community to interact with the government by using e-
governance tools.
o The objective is to cut red-tapism which will save time and reduce operational
costs. This will also create a more transparent business environment when dealing
with the government.
o The G2B initiatives help in services such as licensing, procurement, permits and
revenue collection.
3. G2G (Government to Government)
o Enables seamless interaction between various government entities.
o This kind of interaction can be between various departments and agencies within
government or between two governments like the union and state governments or
between state governments.
o The primary aim is to increase efficiency, performance and output.
4. G2E (Government to Employees)
o This kind of interaction is between the government and its employees.
o ICT tools help in making these interactions fast and efficient and thus increases the
satisfaction levels of employees.

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Advantages of e-Governance
• Improves delivery and efficiency of government services
• Improved government interactions with business and industry
• Citizen empowerment through access to information
• More efficient government management
• Less corruption in the administration
• Increased transparency in administration
• Greater convenience to citizens and businesses
• Cost reductions and revenue growth
• Increased legitimacy of government
• Flattens organisational structure (less hierarchic)
• Reduces paperwork and red-tapism in the administrative process which results in better
planning and coordination between different levels of government
• Improved relations between the public authorities and civil society
• Re-structuring of administrative processes

e-Governance Initiatives
Steps taken to promote e-governance in India are as follows:
• A National Task Force on Information Technology and Software Development was set-up
in 1998.
• The Ministry of Information Technology was created at the Centre in 1999.
• A 12-point agenda was listed for e-Governance for implementation in all the central
ministries and departments.
• The Information Technology Act (2000) was enacted. This Act was amended in 2008.
• The first National Conference of States’ IT Ministers was organised in the year 2000, for
arriving at a Common Action Plan to promote IT in India.
• Government set-up NISG (National Institute for Smart Government).
• The state governments launched e-Governance projects like e-Seva (Andhra Pradesh),
Bhoomi (Karnataka), and so on.
• The National e-Governance Plan (NeGP) was launched. It consists of 31 Mission Mode
Projects (MMPs) and 8 support components.
• The National Policy on Information Technology (NPIT) was adopted in 2012.
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The National e-Governance Plan (NeGP)
• The National e-Governance Plan (NeGP), provides a holistic view of e-Governance
initiatives across the country.
• Around this idea, a massive countrywide infrastructure reaching down to the remotest of
villages is evolving, and large-scale digitization of records is taking place to enable easy,
reliable access to the internet.
• The Government has proposed to implement “e-Kranti: National e-Governance Plan
(NeGP) 2.0” under the Digital India programme.
e-Kranti – Electronic Delivery of Services
• e-Kranti is an essential pillar of the Digital India initiative.
• Considering the critical need for e-Governance, mobile governance and good governance
in the country, the approach and key components of e-Kranti have been approved by the
government.
• The e-Kranti framework addresses the electronic delivery of services through a portfolio
of mission mode projects that cut across several government departments.
Objectives of e-Kranti
The main aims of the initiative are to:
• Redefine NeGP with transformational and outcome-oriented e-Governance initiatives
• Enhance the portfolio of citizen-centric services
• Ensure optimum usage of core Information & Communication Technology (ICT)
• Promote rapid replication and integration of e-Governance applications
• Leverage emerging technologies
• Make use of more agile implementation models
Mission Mode Project
• A mission mode project (MMP) is an individual project within the National e-Governance
Plan (NeGP) that focuses on one aspect of electronic governance, such as banking, land
records or commercial taxes, etc.
• Within NeGP, “mission mode” means that these projects have clearly defined objectives,
scopes and implementation timelines.
• NeGP comprises 31 mission mode projects (MMPs); these are classified as state, central
and integrated projects.

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National Conference on e-Governance
• The Department of Administrative Reforms and Public Grievances (DARPG) along with
the Department of Information Technology, in association with one of the state
governments, has been organising the National Conference on e-Governance every year.
• This Conference provides a platform to the senior officers of the Government including IT
Secretaries of state governments to discuss, exchange views and experiences relating to
various e-governance initiatives.
• Every year, the Department of Administrative Reforms and Public Grievances recognises
and promotes excellence in e-Governance by awarding government
organisations/institutions which have implemented e-Governance initiatives in an
exemplary manner.
Important Facts of the 23rd National Conference on e-Governance:
The theme of the 2020 National e-Governance Conference was ‘India 2020: Digital
Transformation.’ There were six sub-themes of this conference:
• Digital Platforms and Digital Economy
• Improving Service Delivery
• Building Digital Trust- Transparency, Security and Privacy
• Digital Payments and Fintech
• National e-Governance Service Delivery Assessment (NeSDA) and Digital Service
Standards (DSS)

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 • Skilling and Capacity Building
The conference adopted the 10-fold Mumbai Declaration on e-governance and during the
conference, Blockchain Sandbox and Draft Sandbox Policy for Maharashtra was launched.
Maharashtra became the first state of India to have a dedicated Fintech policy.
The list of awarded projects with NAeG 2020 are given below:
1. Ayushman Bharat Pradhan Mantri Jan Arogya Yojana won Gold Award under the category
‘Excellence in Government Process Re-engineering for Digital Transformation.’
2. Antyodaya Saral Haryana won Gold Award under the category, ‘Excellence in providing
Citizen-Centric Delivery.’
3. In the category, ‘Excellence in District level initiative in e-Governance’:
o District Adhoc Wireless Surveillance Communication System using Drone
Technology from the North Eastern+Hilly States won the Gold Award.
o SAKOON of Jammu Kashmir won the Gold Award among all the UTs.
o WeDeserve – Right assistance to the Right Person at the Right Time of Kerala won
the Gold Award among all the states.
4. Satellite-Based Agriculture Information System: An Efficient Application of ICT won the
Gold Award in the category, ‘Outstanding research on Citizen-Centric Services by
Academic/ Research Institutions.’
5. Providing farm-scale data from multi-satellite of Karnataka won the Gold Award under the
category, ‘ Innovative Use of ICT in e-Governance solutions by Startups.’
6. T-Chits from Telangana won the Gold Award under the category, ‘Excellence in Adopting
Emerging Technologies.’
E-governance is the application of Information and Communication Technology (ICT) tools in
governance functioning. This is far beyond than mere computerisation and implies fundamental
change in the way government operates. According to the World bank “E-Government is to the
use by government agencies of information technologies (such as Wide Area Networks, the
Internet, and mobile computing) that have the ability to transform relations with citizens,
businesses, and other arms of government. These technologies can serve a variety of different ends:
better delivery of government services to citizens, improved interactions with business and
industry, citizen empowerment through access to information, or more efficient

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government management.The resulting benefits can be less corruption, increased transparency,
greater convenience, revenue growth, and/or cost reductions.”
There are five models of e-governance as given by Prof Dr. Arie Halachimi which can be used as
a guide in designing e-government initiative depending on local situation and governance activities
that are expected to be delivered.

E-Governance Models
1. Broadcasting Model: In this as name implies information is broadcast to wider public domain
through use of ICT and convergent media. This models strength is its focus on spreading
information to wider mass and through this citizen will be able to judge functioning of existing
government mechanism and able to take informed decision. This empowers them and they are in
a better position to exercise their rights and responsibilities.
Applications :
• Displaying governmental laws and legislations online.
• Making available details of local/ regional/ national government officials online.
• Making available information such as governmental plans, budgets, expenditures, and
performance reports online.
• Putting key judicial decisions which are of value to general citizens and create precedence
for future actions online. viz. key environmental decisions, state vs. citizen decisions etc.
2. The Critical flow Model: In this information of critical value (which by its very nature will not
be disclosed by those involved with bad governance ) is channelized to targeted section into the
public domain through use of ICT. Targeted audience may include media, affected parties,
opposition parties, judicial bench, independent investigators or the general public. This model is
more focused in terms of its information content and intended users. Due to critical aspect of
information this model exposes weakest aspects of governance and decision making process
inform people about failure in specific cases and bad governance and build up momentum for
concerted action. At the same time it builds pressure on concerned government organizations /
institutions and individuals to take into cognizance the opinions and interest of masses in decision
making mechanism. Examples: Wikileaks, Global Transparency International, India Central
Vigilance Committee etc.
The use of Critical Flow Model requires a foresight of:
Understanding the “critical and use value” of a particular information set.

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How or from where this information could be obtained.
How could the information be used strategically.
Who are the best target group for such information- the users for whom the availability of this
information will make a huge difference.
Applications :
• Making available corruption related data about a particular Ministry / Division/ Officials
online to its electoral constituency or to the concerned regulatory body.
• To make available Research studies, Enquiry reports, Impact studies commissioned by the
Government or Independent commissions to the affected parties.
• To Make Human Rights Violations cases freely available to Judiciary, NGOs and
concerned citizens.
• Making available information that is usually suppressed, for instance, Environmental
Information on radioactivity spills, effluents discharge information on green ratings of the
company to concerned community.
3. Comparative Analysis Model: This model continuously incorporates best practices in the area
of governance and uses them as benchmark to evaluate other governance practices. It uses the
result to advocate positive changes or influence public opinion on these governance practices.
Comparison could be made over a time scale to get a snapshot of the past and present situation or
could be used to compare the effectiveness of an intervention by comparing two similar situations.
The model is based on using immense capacity of ICT and social media tools to explore given
information sets with comparable information available in the public or private domain. Example:
Human Development Indicators.
Applications:
• To learn from past policies and actions and derive lessons for future policy-making.
• To evaluate the effectiveness of the current policies and identify key learnings in terms of
strengths and weaknesses in the policies.
• To effectively establish conditions of precedence, especially in the case of Judicial or legal
decision-making (example for resolving patent-related disputes, public goods ownership
rights), and use it to influence/ advocate future decision-making.
• To enable informed decision-making at all levels by enhancing the background knowledge
and also providing a rationale for action.

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 • To evaluate the performance and track-record of a particular decision-maker/ decision-
making body.
4. E-Advocacy Model: It is based on setting up a planned, directed flow of information to build
strong virtual allies to complement action in the real situation. It builds the momentum of real
world processes by adding the opinions and concerns expressed by virtual communities. Virtual
communities come together because they share similar view points or idea or concerns or issues
and these communities in turn join together to support real life group activities for concerted action.
The strength of this is in its diversity of the virtual community, and the ideas, expertise and
resources accumulated through this virtual form of networking. The model is able to mobilize and
leverage human resources and information beyond geographical, institutional and bureaucratic
barriers, and use it for concerted action. Ex. PRS legislative, Green Peace, etc.
Applications :
• Fostering public debates on global issues, namely on the themes of upcoming conferences,
treaties etc.
• Formation of pressure groups on key issues to force decision-makers to take their concerns
into cognizance.
• Making available opinions of a suppressed groups who are not involved in the decision-
making process into wider public domain.
• Catalyzing wider participation in decision-making processes.
• Building up global expertise on a particular theme in absence of a localised information to
aid decision-making.
• Amplifying the voices of marginalized who are traditionally marginalized from decision
making processes.
5. The Interactive Service Model: This model opens government door for direct participation of
citizens in governance and thus brings greter objectivity and transparency in decision-making
processes through use of ICT tools. Government services are directly available to it’s citizen in an
interactive manner and is done by opening interactive Government to consumer to government
(G2C2G) channels in various aspect of governance. Some examples are : Grievance Redressal
Portal, online passport etc.
Applications :

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 • Establishing interactive communication channels with key policy-makers and members of
Planning Commissions.
• Conducting electronic ballots for the election of government officials and other office
bearers.
• To conduct public debates / opinion polls on issues of wider concern before formulation of
policies and legislative frameworks.
• Filing of grievances, feedback and reports by citizens with the concerned governmental
body.
• To establish decentralised forms of governance.
• Performing governance functions online such as revenue collection, procurement etc

Broadcasting model/ Wider Dissemination Model in detail

Broadcasting model is based on mass dissemination of governance-related information which is
already available in the public domain into the wider public domain using ICTs. This raises
awareness among the citizens about ongoing governance processes and government services that
are available to them and how they can benefit from them.

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It allows citizens to form an opinion of the government and its administration based on services
delivered to them – whether the government services were available to them, and the quality of
service received. This could be judged in terms of time spent, number of visits required. and level
of bureaucracy encountered to avail the services. Equipped with this information, the citizens can
feel more empowered to voice their concerns and influence governance processes to make them
more efficient.
The application of this model using appropriate technologies, could reduce the “information failure
situations” where citizens are unaware of new and existing services being provided by the
government. It can also provide as alternative channel to people to stay updated of governance
related information and to validate information received from other sources.
Applications
• Putting governmental laws and legislations online
• Making available the names, contact addresses, emails, mobile numbers of local/ regional/
national government officials online.
• Make available information such as governmental plans, budgets, expenditures, and
performance reports online.
• Putting key judicial decisions which are of value to general citizens and create a precedence
for future actions online. viz. key environmental decisions, state vs. citizen decisions etc.
The Broadcasting Model is a stepping stone to more complex Digital Governance models. It is
also the most fundamental model as it enhances ‘access’ and ‘flow’ of information to all segments
of the society, which is essential to bringing good governance.
In several developing counties, even the basic governance-related information is unavailable, for
instance, the opening and closing times of government offices, or information government
department and units which deal with specific issues such as agricultural subsidies or getting
licence for opening a business.
Central and state governments in developing countries need to aggressively adopt this model to
provide greater governance services to their constituencies, and to enhance the participation of
citizens in governance processes. Simultaneously, the civil society groups should demand for such
models to enable access to governance information which can improve the quality of lives of
people.

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The model can lose its effectiveness in societies, where the free-flow of information is not possible.
This can happen in countries where freedom of speech and expression, or political freedom is
restricted, or there are tight governmental controls to censor information. The model also loses its
effectiveness in situation of optimal ignorance. This happens when citizens are indifferent / not
motivated to act upon information available to them, or when governments and decision-makers
take wrong decisions, not because of absence of information, but complete disregard of available
information.

What is public domain ?

Definitions of the boundaries of the public domain in relation to copyright, or intellectual property
more generally, regard the public domain as a negative space; that is, it consists of works that are
no longer in copyright term or were never protected by copyright law.[18] According to James
Boyle this definition underlines common usage of the term public domain and equates the public
domain to public property and works in copyright to private property. However, the usage of the
term public domain can be more granular, including for example uses of works in copyright
permitted by copyright exceptions. Such a definition regards work in copyright as private property
subject to fair-use rights and limitation on ownership.

State – Meaning and Definition

Meaning of state
The State is the most universal and most powerful of all social institutions. The State is a
natural institution. Aristotle said ‘Man (Human) is a social animal and by nature s/he is a political
being. To him, to live in the State and to be a man were identical. The modern term ‘state’ is
derived from the word “status”. It was Niccolo Machiavelli (1469 – 1527) who first used the term
‘State’ in his writings. The state is necessary because it comes into existence out of the basic needs
of life. It continues to remain for the sake of good life. The aims, desires, and aspirations of human
beings are translated into action through the State. Though the State is a necessary institution, no
two writers agree on its definition. This disagreement makes the study of the State more creative
and interesting.

Definition of State
• To Woodrow Wilson, “State is people organized for law within a definite territory.”
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 • Aristotle defined the State as a “union of families and villages having for its end a perfect
and self – sufficing life by which it meant a happy and honorable life”.
• To Holland, the State is “a numerous assemblage of human beings generally occupying a
certain territory amongst whom the will of the majority or class is made to prevail against
any of their number who oppose it.”

Difference between state and government

1. Government is only an element of the state:
A State has four essential elements—Population, Territory, Government and Sovereignty.
Government is only one element of the State. It is just one part of the State which acts for the state.
2. Government is an Agency or Agent of the State:
Government is an agency of the State. It acts for the state. It is that agency of the State which
formulates the will of the state into laws, implements the laws of the state and ensures conformity
to the laws of the state. Government exercises power and authority on behalf of the state.
3. State is Abstract, Government is Concrete:
State is a concept, an idea or a name used to denote a community of persons living on a definite
territory and organised for the exercise of sovereignty. State cannot be seen. Government is made
by the people of the State. It is formed by the representatives of the people. It has a definite and
defined organisation and form. It can be seen as a team of people exercising the power of the State.
4. Government is organised only by a portion of the population of State:
The whole population is a part of the State. All the people are citizens of the State. However,
government is made by the representatives of the people. Only some people, who get elected act
as representatives of the people, form the government of the State. Their number is limited to few
hundred only. In India around 5500 MPs and MLAs represent the total population of around 110
crores and exercise the political power at the centre and in all states of India.
5. Membership of a State is compulsory but not of Government:
All people are citizens of the State. They together constitute the population of the State. Each one
normally gets the membership (citizenship) of a state automatically right at the time of one’s birth
and continues to live life as such. However, membership of the government is not automatic. No
one can be forced to become its part. Anyone can voluntarily seek an election, get elected as a
representative of the people and become a part of the government. Only some persons form the
government.

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6. Sovereignty belongs to State and not to Government:
Sovereignty is the hallmark of the State. It belongs to the State. The government exercises power
on behalf of the State. It acts on the basis of the sovereignty of the State. Sovereignty is
comprehensive, absolute, unlimited and all inclusive supreme power of the State. The government
exercises only well defined and limited powers.
7. Territory belongs to the State:
The State has sovereign ownership and jurisdiction over its territory. State is a territorial entity and
territory belongs to it. The government has the responsibility to preserve, protect and defend the
territory of the State. The laws made by the government are applicable to all parts of the territory
of State but territory belongs to the State and not to the government.
8. Every State has uniformly four essential elements, however the forms and features of
Government differ from State to State:
Each State has a uniform personality with its four essential elements Population, Territory,
Government and Sovereignty. However, governments can be of different forms— Parliamentary
or Presidential, Unitary or Federal or a mixture of these. A government can be monarchical or
aristocratic or democratic or a dictatorship. The people can by choice change the form of their
government. But the State exists independently and has a uniform character.
9. State is Permanent, Government is Temporary:
Governments come and go regularly. After every general election the government changes. It can
also undergo a total change through an election or even through a revolution. State is permanent.
It continuously lives so long as it continues to enjoy sovereignty. Independent India continues to
live as a sovereign independent state since 1947. However, she has witnessed the rise and fall of
several governments at the national and state levels.
Thus, there are several well-defined and well-recognised differences between the State and
Government. In common usage no distinction is made between the two. A government department
is often referred to as state department.
Like-wise State Transport, State College of Sports is really government transport and Government
College of sports. It is indeed a loose and inexact use of the name State. A student of Political
Science fully realises and accepts the difference between State and Government.

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Theories on the Origin of State

Essay # 1. Divine Origin Theory:

The Genesis of Divine Origin Theory:
The oldest theory about the origin of the state is the divine origin theory. It is also known as the
theory of divine right of Kings.
The exponents of this theory believe that the state did not come into being by any effort of man. It
is created by God.
The King who rules over the state is an agent of God on earth.
The King derives his authority from God and for all his actions he is responsible to God alone.
Obedience to the King is ordained to God and violation of it will be a sin. The King is above law
and no subject has any right to question his authority or his action. The King is responsible of God
alone.
History of Divine Theory:
The conception of the divine creation of the state may be traced back to remote antiquity. It was
universal belief with the ancient people that the King is the representative of God on earth and the
state is a bliss of God. Thus the King had both political and religious entity. In the religious books
also the state is said to be created by God. In some religions this conception is explicit, but in
others it is implicit.
The divine origin of the state is gleaned first the Old Testament of the Bible. There we find St.
Paul saying- “Let every soul be subject unto the higher powers; for there is no power but of
God; the powers that be, are ordained by God. Whosoever resist the power, resisted the
ordinance of God and they that resist shall receive to themselves damnation.”
In 1680 Sir Robert Filmer wrote a book entitled The Law of the Free Monarchies, where it is stated
the Adam was the First King on earth and the Kings subsequent to him are the descendants of
Adam. In the Manusmriti it is said that when the world was thick in anarchy, the people prayed to
God to remedy the condition. God was pleased to appoint Manu to rule over the earth.
This theory prevailed in the old age when religion and politics were combined in the person of the
King. In ancient India the Kings ruled over the people according to the injunction of the Dharma,
which stood for both religion and politics. Laws fay deep in the profusion of the Sastras.

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In the medieval period the Christians held the Pope in semi-God status. In the Muslim world the
Caliph was the Priest-King. The Dalai Lama was the head of the Theocratic state of Tibet. He was
considered there as the incarnation of the Buddhist god Avalokitesvara.
Both the church and the state in their mutual rivalry used the theory of the divine origin in the
medieval age. The church asserted the supremacy of the church over the state. On the other hand,
the state because of its divine nature emphasised on its supremacy over the church.
The Stuart King James I claimed that he derived his authority directly from God. According to
him, the King is wise and intelligent, but his subjects are wicked.
Even if the King is bad, the people have no right to rebel against him. Even in the nineteenth
century the Kings of Austria, Prussia and Russia formed the Holy Alliance under the notion that
they were appointed by God to rule over their people. Anyway, the European Kings took shelter
under the divine origin theory in order to justify their dictatorships.
Be that as it may, during a large part of human history the state was viewed as direct divine creation
and theocratic in nature. The theory was in currency so long as religion was considered to be the
chief motive force of all human activities.
In the twentieth century this, theory came under criticism being an incorrect explanation of the
origin of the state. With the growth of scientific outlook this theory faded into oblivion. Today’s
trend is that the state is a historical growth. We shall now discuss the causes of the decline of the
theory.

Causes of the Decline of the Divine Theory:

In the first place, when a more acceptable theory like the social contract theory came out, the divine
theory was dashed to the ground. The new theory suggested that the state is a handiwork of men,
not a grace of God.
In the second place, the Reformation that separated the church from the state debased the coin of
the divine theory. The post-Reformation period is a period of non-religious politics. Thus the
secular outlook made the divine theory totally unacceptable.
In the third place, the emergence of democracy was a big blow for the autocratic dogma of mixing
religion with politics and thereby it blunted the edge of identifying God with the King. Democracy
not only glorified the individual but shattered the divine halo around the origin of the slate.

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Last but not the least was the growth of scientific enquiry and materialistic view of the political
mechanism. The result was that the erstwhile blind faith and superstition was no longer acceptable.
The people began to accept only those things that stood the test of logic and reasoning.

Criticism of the Divine Theory:

There are seven lines of argument in the hands of R. N. Gilchrist levelled against the divine
theory:
The first line of argument of Gilchrist is that the state is a human institution organised in an
association through human agency. Modern political thinkers cannot accept the view that God has
anything to do with the creation of the state. It does not stand the commonsense of the moderns
that God selects anybody to rule over the state.
The second line of argument is that the divine theory is fraught with dangerous consequences,
because a semi-divine King is bound to rule arbitrarily as he is responsible only to God and not
bound to heed public opinion. Such a theory will make the ruler despotic and autocratic.
The third line of argument is that the divine theory is unrealistic because a bad ruler will continue
to rule under the divine shield. There were some bad rulers like James II of England and Louis
XVI of France, who were replaced by the people. This could not happen if the divine theory was
to be accepted.
The fourth line of argument is that the New Testament of the Bible reversed the divine conception
of the state as ingrained in the Old Testament. It is emphatically stated in the New
Testament- “Render unto Caesar the things that are Caesar’s and unto God the things that
are God’s”, which gives the state a human character as against the divine coating.
The fifth line of argument is that the divine theory is unscientific. The anthropologists and
sociologists after careful scientific analysis have discarded the theory as totally untenable as an
explanation of the origin of the slate.
The sixth line of argument is that the divine theory runs counter to the universally accepted
conception that the state is the result of a historical evolution. The generally accepted theory of the
origin of the state is that various factors like religion, family, force and political consciousness
were behind the growth of the state.
The seventh line of argument is that the divine theory is undemocratic. The inevitable implication
of the theory in content and tone will make the King absolute and his government never
democratic. So the theme of the theory is against the spirit of democracy.

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Value of the Divine Theory:
Although the divine theory is totally discredited as an origin of the state, there are some good
things in it. The summum bonum of the theory is that it stimulated discipline and law-abidingness
among the subjects at a time when these were the needs of the hour in those anarchical conditions.
This theory also created the moral responsibility of the rulers, because they were cast with a divine
injunction to rule to the perfect satisfaction of the heaven.

Decline of the Divine Right Theory:

As an origin of the state, the divine right theory is no longer alive. It is a defunct dogma. The
emergence of the social contract theory which held the wishes of the people in high halo dwarfed
the godly wishes in the creation of the state. When human activities were considered the motive
force of the state, the divine one receded to the background and finally vanished away.
The important role assigned to the man in the creation of the state by the social contract theory
shattered all hopes for the divine right theory. The second factor in the decline of the divine right
theory was the Reformation Movement in the sixteenth century Europe, which curbed the authority
of the Pope and the Church and at the same time brought the monarch and the people in the
limelight.
The scientific and logical thinking associated with the Renaissance and the Reformation enabled
men to look into the theory of the origin of the state as something which must be created by non-
church and non-god bodies. With the decline of the authority of religion declined the divine
authority.
The final nail of the coffin of the divine right theory was the modern theory of Thomas Hill Green
that democracy, i.e., will of the people was the basis of the state.

Essay # 2. The Patriarchal Theory as the Origin of the State:

The principal exponent of this theory is Sir Henry Maine.
According to him, the city is a conglomeration of several families which developed under the
control and authority of the eldest male member of the family.
The head or father of the patriarchal family wielded great power and influence upon the other
members of the family.
His writ was carried out in the household. This patriarchal family was the most ancient organised
social institution in the primitive society.

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Through the process of marriage the families began to expand and they gave birth to gen which
stands for a household. Several gens made one clan. A group of clans constituted a tribe. A
confederation of various tribes based on blood relations for the purpose of defending themselves
against the aggressors formed one commonwealth which is called the state.
Sir Henry Maine’s analysis of the growth of the state is- “The elementary group is the family
connected by the common subjection to the highest male ascendant. The aggregation of
families forms the gens or the houses. The aggregation of houses makes the tribe. The
aggregation of the tribes constitutes the commonwealth.”
Edward Jenks who is the other advocate of the patriarchal theory is of the view that the foundation
of the state was caused by three factors, namely male kinship, permanent marriages and paternal
authority. Thus, the salient feature of the patriarchal theory is that the families grew through the
descendants of the father, not the mother.
The male child carried on the population though marriages with one or several women, because
both monogamy and polygamy were the order of the day. The eldest male child had a prominent
role in the house.
Another important supporter of this theory was Aristotle. According to him- “Just as men and
women unite to form families, so many families unite to form villages and the union of many
villages forms the state which is a self-supporting unit”.
As for documentary evidence in support of this theory, there were twelve tribes who formed the
Jewish nation as we gather from the Bible. In Rome, we are told that the patriarch of three families
that made one unit exercised unlimited authority over the other members.

Criticism of the Theory:

The patriarchal theory as the origin of the state is subjected to the following criticisms:
In the first place, the origin of the state is due to several factors like family, religion, force, political
necessity, etc. So by identifying the origin of the state with family, one makes the same fallacy as
taking one cause instead of several causes. To say in the words of J. C. Frazer- “Human society
is built up by a complexity of causes.”
In the second place, the theory is incorrect, because in the opinion of several critics the primary
social unit was a matriarchal family rather than a patriarchal family. According to Meclennan,
Morgan and Edward Jenks who are staunch supporters of the theory, the matriarchal family and
polyandry were the basis of the state.

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The kinship through the female line in primitive society was responsible for the growth of the state.
The process was that polyandry resulted into matriarchal society and the matriarchal society led to
the state.
In the third place, the patriarchal theory is built on the wrong premise that the patriarchal family
was the origin of the state. Edward Jenks suggested the correct theory that tribe rather than family
was the beginning of the state, on the basis of his studies in Australia and Malaya Archipelago.
In the fourth place, Sir Henry Maine over simplified the origin of the state by attribution it to the
family alone. It is because of this over simplicity that the theory has to be rejected as untenable.
The authority of the father over the children is only temporary, because his authority ends when
the children grow in age. But the authority of the state over the population is perpetu

Essay # 3. The Matriarchal Theory as the Origin of the State:

The chief exponents of the matriarchal theory are Morgan, Meclennan and Edward Jenks.
According to them, there was never any patriarchal family in the primitive society and that the
patriarchal family came into existence only when the institution of permanent marriage was in
vogue.
But among the primitive society, instead of permanent marriage there was a sort of sex anarchy.
Under that condition, the mother rather than the father was the head of the family. The kinship was
established through the mother.
Edward Jenks who made a thorough study of the tribes of Australia came to the conclusion that
the Australian tribes were organised in some sort of tribes known as totem groups. Their affinity
was not on the basis of blood relationship but through some symbols like tree or animal. One totem
group men were to marry all the women of another totem group. This would lead to polyandry and
polygamy also.
This matriarchal system continued until the advent of the pastoral age when the permanent
marriage was introduce. We find the existence of the Queen ruling over in Malabar and the
princesses ruling over the Maratha countries. These are examples of the matriarchal systems of
life.

Criticism of the Theory:

The matriarchal theory is attacked on the following grounds:

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First, the state was created by several factors, of which the family was one. So this theory makes
only a partial study of the origin of the state. Force, religion, politics, family and contract were all
there to contribute to the growth of the state.
Secondly, like the patriarchal theory, this theory also mistakenly analyses the origin of the family
as the origin of the slate. The state is something more than an expanded family. They are quite
different in essence, organisation, functions and purposes.
Thirdly, the theory is historically false. It is not a fact of history that the matriarchal system was
the only system at a particular time. As a matter of fact, both patriarchal system and matriarchal
system prevailed side-by-side. There was a parallel development of both the systems. We may
conclude with the words of Stephen Leacock- “Here it may be a patriarchal family; there it
may be a matriarchal family, but there is no denying the fact that family is at the basis of the
state”.

Essay # 4. Force Theory of Origin of the State:

Another early theory of the origin of the state is the theory of force.
The exponents of this theory hold that wars and aggressions by some powerful tribe were the
principal factors in the creation of the state.
They rely on the oft-quoted saying “war begot the King” as the historical explanation of the
origin of the state.
The force or might prevailed over the right in the primitive society. A man physically stronger
established his authority over the less strong persons. The strongest person in a tribe is, therefore,
made the chief or leader of that tribe.
After establishing the state by subjugating the other people in that place the chief used his authority
in maintaining law and order and defending the state from the aggression from outside. Thus force
was responsible not only for the origin of the state but for development of the state also.
History supports the force theory as the origin of the state.
According to Edward Jenks:
“Historically speaking, there is not the slightest difficulty in proving that all political communities
of the modern type owe their existence to successful warfare.”
As the state increased in population and size there was a concomitant improvement in the art of
warfare. The small states fought among themselves and the successful ones made big states.

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The kingdoms of Norway, Sweden and Denmark arc historical examples of the creation of states
by the use of force. In the same process, Spain emerged as a new state in the sixth century A.D. In
the ninth century A.D. the Normans conquered and established the state of Russia.
The same people established the kingdom of England by defeating the local people there in
the eleventh century A.D. Stephen Butler Leachock sums up the founding of states by the
use of force in these words:
“The beginnings of the state are to be sought in the capture and enslavement of man-by-man, in
the conquest and subjugation acquired by superior physical force. The progressive growth from
tribe to kingdom and from kingdom to empire is but a continuation from the same process.”
History of the Theory:
This theory is based on the well-accepted maxim of survival of the fittest. There is always a natural
struggle for existence by fighting all adversaries among the animal world. This analogy may be
stretched to cover the human beings.
Secondly, by emphasising the spiritual aspect of the church the clergymen condemned the
authority of the state as one of brute force. This indirectly lends credence to the theory of force as
the original factor in the creation of the state.
Thirdly, the socialists also, by condemning the coercive power of the state as one bent upon curbing
and exploiting the workers, admit of force as the basis of the state.
Lastly, the theory of force is supported by the German philosophers like Friedrich Hegel,
Immanuel Kant, John Bernhardi and Triestchki. They maintain that war and force are the deciding
factors in the creation of the state. Today in the words of Triestchki – “State is power; it is a sin
for a state to be weak. That state is the public power of offence and defence. The grandeur of
history lies in the perpetual conflict of nations and the appeal to arms will be valid until the end of
history.”
According to Bernhardi-“Might is the supreme right, and the dispute as to what is right is
decided by the arbitrement of war. War gives a biologically just decision since its decision
rest on the very nature of things.”

Criticisms of the Theory:

Following criticisms are levelled against the theory of force. In the first place, the element of force
is not the only factor in the origin of the state; religion, politics, family and process of evolution
are behind the foundation of the state. Thus to say that force is the origin of the state is to commit

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the same fallacy that one of the causes is responsible for a thing while all the causes were at work
for it.
This has been rightly pointed out by Stephen Butler Leacock- “The theory errs in magnifying what
has been only one factor in the evolution of society into the sole controlling force.” A state may
be created by force temporarily. But to perpetuate it something more is essential.
In the second place, the theory of force runs counter to the universally accepted maxim of Thomas
Hill Green- “Will, not force, is the basis of the state.” No state can be permanent by bayonets and
daggers. It must have the general voluntary acceptance by the people.
In the third place, the theory of force is inconsistent with individual liberty. The moment one
accepts that the basis of a state is force, how can one expect liberty there? The theory of force may
be temporarily the order of the day in despotism as against democracy.
In the fourth place, the doctrine of survival of the fittest which is relied upon by the champions of
the force theory has erroneously applied a system that is applicable to the animal world to human
world. If force was the determining factor, how could Mahatma Gandhi’s non-violence triumph
over the brute force of the British Imperialists?
Lastly, the force theory is to be discarded because political consciousness rather than force is the
origin of the state. Without political consciousness of the people the state cannot be created. This
is so because man is by nature a political animal. It is that political conscience that lay deep in the
foundation of the state.
We may conclude with the words of R. N. Gilchrist- “The state, government and indeed all
institutions are the result of man’s consciousness, the creation of which have arisen from his
appreciation of a moral end.”

Merits of the Theory:

The theory of force, though untenable as an explanation of the origin of the state, has some
redeeming features:
First, the theory contains the truth that some states at certain points of time were definitely created
by force or brought to existence by the show of force. When the Aryans came to India they carried
with them weapons of all kinds and horses to use in the war against the non-Aryans and by
defeating the non-Aryans they carved out a kingdom in India.
Later on, the Aryans sprawled their kingdoms and broad-based their government and ruled with
the backing of the people.

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Secondly, the other silver lining of the theory is that it made the slates conscious of building
adequate defence and army to protect the territorial integrity of the state. That is why we find
commanders of war or Senapati as an important post in the ancient kingdoms.
In the modern state, we find a substantial amount of money used on defence budget. Every state
in the modern world has got a defence minister which unmistakably recognises the use of force in
modern statecraft too.

Essay # 5. The Social Contract Theory:

Genesis of the Theory:
The most famous theory with regard to the origin of the state is the social contract theory. The
theory goes to tell that the stale came into existence out of a contract between the people and the
sovereign at some point of time.
According to this theory, there were two divisions in human history – one period is prior to the
establishment of the state called the “state of nature” and the other period is one subsequent to
the foundation of the state called the “civil society”. The state of nature was bereft of society,
government and political authority. There was no law to regulate the relations of the people in the
state of nature.
There were three exponents of this theory. They were Thomas Hobbes, John Locke and Jean-
Jacques Rousseau who differed about the life in the slate of nature, reason for converting the state
of nature to civil society and the terms of the contract. They all, however, agreed that a stage came
in the history of man when the state of nature was exchanged with civil society to lead a regulated
life under a political authority.
The net result of this changeover was that the people gained security of life and property and social
security, but lost the natural liberty which they had been enjoying in the state of nature.
The crux of the social contract theory is that men create government for the purpose of securing
their pre-existing natural rights – that the right come first, that the government is created to protect
these rights. These ideas were based on the concepts of a state of nature, natural law and natural
rights.
According to John Locke, prior to the establishment of society, men lived in a “state of nature”.
Thomas Hobbes, an anti-democratic philosopher, emphasised, that in the state of nature there was

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no government to make and enforce laws, men made war on each other and life was “solitary,
poor, nasty, brutish and short”.
But Locke argued that even in a state of nature there was a law governing conduct-there was the
“natural law”, comprising universal unvarying principle of right and wrong and known to men
through the use of reason. Thus Locke would have us believe that if an Englishman was to meet a
Frenchman on an uninhabited and ungoverned island, he would not be free to deprive the
Frenchman of his life, liberty or property. Otherwise, he would violate the natural law and hence
was liable to punishment.
Thus according to Locke, the state of nature was not a lawless condition, but was an inconvenient
condition. Each man had to protect his own right and there was no agreed-upon judge to settle
disputes about the application of the natural law to particular controversies. Realising this, men
decided to make a “compact” with one another in which each would give to the community the
right to create a government equipped to enforce the natural law.
In this way, every man agreed to abide by the decisions made by the majority and to comply with
the laws enacted by the people’s representative, provided they did not encroach upon his
fundamental rights. In this way, the power of the ruler was curtailed.
Background of Social Contract:
The doctrine of social contract is faintly mentioned in the ancient period by both the western and
Indian philosophers. Plato was the first among the western thinkers to use the term. It is also
referred to in the Arthasastra of Kautilya.
The ideas of the contractual obligations were mouthed by the anti-monarchical writers like Richard
Hooker, Hugo Grotius, John Milton, Sir William Blackstone, Immanuel Kant, Johann G. Fichte
and Edmund Burke.
It is admitted at all hands that the two English political thinkers, namely Thomas Hobbes and John
Locke as well as the French political thinker Jean-Jacques Rousseau, gave the concrete shape to
this theory. This trio is considered as the godfathers of the social contract theory.
The theories of foundation of the state were laid down in the great works on social contract,
particularly those of the English philosophers Thomas Hobbes and John Locke in the seventeenth
century and the French philosopher Jean-Jacques Rousseau in the eighteenth century. The back
ground of their theories ‘was the aftermath of the Protestant Reformation which had shaken the
fundamental constitution of European Christendom and had broken up the divinely sanctioned

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contractual relation. Another significant thing was that the Holy Roman Empire was torn apart by
the wars of the Reformation.
In England King Henry VIII made the Church of England independent of Rome. Under these
circumstances, there was a need to search for a new basis of order and stability, loyalty and
obedience. In such search, the political theorists, and especially the Protestants among them, turned
to the old concept in the Bible about a covenant or contract such as the one between God and
Abraham and the Israelites of the Old Testament. This gave the presumption that God had created
the political unit by choosing his partners in an eternal covenant.
The result was that the secular theorists of the social contract reversed the process of choice. They
discarded the old idea that God chose his subjects. The new theory was that it was the people who,
through their representatives, succeeded in choosing their rulers and the method of governance by
means of a social contract or construction. The social contract theorists suggested that the political
unit was established by means of promise or promises in the Biblical fashion.
Nature of Social Contract Theory:
According to the social contract theory the state was the creation of the people living in a state of
nature which was a lawless and order-less system. The slate of nature was controlled by unwritten
laws prescribed not by men but by nature. The exponents of the theory gave conflicting views
about the nature of the state of nature. Some considered it gloomy, while others painted it as bright
like paradise.
For some reasons the people did not like the system and terminated it by an agreement to save one
man from the rapacity of the other. The nature-made laws were replaced by man-made laws. The
originally independent people subordinated themselves to the will of either the whole community
or a particular person or a group of persons. The three proponents of the theory interpreted the
theory in their own way.

Criticism of Theory:
The social contract theory is strongly denounced on the following grounds. In the first place, the
theory is not borne out by any historical record. It is not known to history that any such contract
was made. The only historical instance of contractual obligation is said to be the foundation of a
state by the early settlers in America by the May Flower Contract of 11 November 1620 and the
deposition of King Philip II in 1581 by the Netherlander where the people said- “The King has
broken his contract and the King therefore is dismissed like any other unfaithful servant.”

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But in both the cases the state existed there before it was said to be created or at least the people
had some knowledge of the state and the government before these were created, or the contract
was made. These examples do not establish that the primitive people who had no knowledge of
the state could establish a state by a contract. Similarly, a state of nature antedating a real state is
a fiction and has no historical basis.
In the second place, Sir Henry Maine attacked the theory as one of putting the cart before the horse,
because contract is not the beginning of the society, but the end of it. The universally accepted
view is that the society has moved from status to contract and not vice versa. With the growth of
age, status lost its rigour of fixity and its place was taken by contractual obligations.
The other serious fault with the theory is that it presupposes political consciousness in the state of
nature even prior to the establishment of the state. How can one have the idea of the good of a state
when he has no experience of the state?
In the third place, there cannot be any right even if it is a natural right without the state. Right
follows from the womb of the state. Without an established civil society there cannot be any right.
It does not follow from logic that the people had a bundle of rights even before the creation of the
state.
In the fourth place, it is a fact in history that the state came into existence as a result of a long
process of growth and development. The sociologists have established that the state is created by
a long term process of social development. Kinship, force, divine sanction, family and various
other known and unknown factors are there behind the growth of the state.
Modern social scientists and historians are of the view that men are by nature social animals and
they never lived in a pre-social and pre-governmental state of nature. The state is never a
consciously created institution but is a development like the family.
So Edmund Burke rightly observed- “The state should not be reduced to the position of a
partnership agreement in a trade of pepper and coffee, calico or tobacco or some such low concern,
to be taken up for a little temporary interest, and to be dissolved by the fancy of the parties. It is to
be looked upon with reverence. It is a partnership in all science; a partnership in all art; a
partnership between those who are living and those who are yet to be born.”
In the fifth place, the theory is dangerously wrong by certifying the state to be a handiwork of
human beings. The error is that the state is never a creation of man but it is an independent social
institution. The theory carries with it the portent of revolution by giving too much importance to

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men as even the creators of the state. The truth is that the government, not the state, is the creation
of man.
Modern political scientists have rejected the contract theory as unacceptable. J. K. Bluntschli
condemned it as highly dangerous, Jeremy Bentham called it a rattle. Fredrick Pollock discarded
it as “fatal of political impostures”. According to Sir Henry Maine, there was nothing more
worthless than the social contract theory as an explanation of the origin of the state.

Essay # 6. Marxician Theory of Origin of the State:

The Marxists are of the view that the state is a creation by the class-struggle with the help of force.
So, it is altogether a different theory of origin of state with the recognition of force which we have
studied as a theory of origin of state.
The Marxists began with the primitive society where there was no surplus wealth to quarrel with
and so there was no state. With the passing of time, society was getting split over hostile classes
with conflicting interests. This class antagonism was the root cause of the state. When agriculture
was learnt as an art of culture there was ample food which resulted in private property. The
insoluble contra-dictions as a result of division of labour became so acute that it was not possible
for any class to keep reconciled in the state or to keep the quarrelling classes under control.
The most dominant class that controlled the mode of production came to establish the state to
ensure its dominance over the other classes who did not own the modes of production. The state
thus became an instrument of domination and oppression of one class over the other classes.
Thus the state came in to ensure the right of the dominant class to exploit the other classes. As the
dominant classes kept on changing hands so also changed the character of the state. So V. G.
Afanasyev in his book Marxist Philosophy maintained that the state was not imposed from outside,
but it was a product of society’s internal development at a certain stage of development. With the
break-up of the social order ensued class-conflict which the society became powerless to dispel.
Emphasising the economic factor as the key element in the class struggle, Fredrich Engels
observed- “But in order that these antagonisms, classes with conflicting economic interests,
might not consume themselves and society in sterile struggle, a power seemingly standing
above society became necessary for the purpose of moderating the conflict, of keeping it
within the bounds of ‘order’ and this power, arisen out of society, but placing itself above it
and increasingly alienating itself from it is the state.”

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The state was the medium of the economically dominant classes. V.I. Lenin developed on the
above thesis by bringing the communist party as the dominant class, namely the proletariat and his
state, namely the USSR where the proletariat was the dominant class which was to exploit the
other classes. Lenin also emphasised on the element of force to be resorted to by the proletariat
against the bourgeois. Thus Lenin incorporated the element of force too in the creation of the state.
The Italian Marxist, Antonio Gramsci made a little departure from the Marxist tenet by stating that
a state is the creation of the political party that holds on power. According to him, the political
party is the “modern prince”, evidently using the expression of N. Machiavelli. He went to the
extent of asserting that the party represents the national popular collective will and aims at the
realisation of a higher and total form of modern civilisation. Here we find that the author is more
in agreement with the German idealist Hegel than the Marxists.
This is in broad analysis of the Marxist views as culled from the writings and opinions of Engels,
Lenin and Gramsci. Now we shall draw up the criticism of it.

Criticism of Marxist Theory of Origin of State:

The Marxist theory of origin of state as based on class struggle is subjected to the following
fierce criticism:
1. In the first place, it is nowhere stated in history that state in its origin is linked with the
class struggle.
2. In the second place, there might be different class interests, but it is difficult to say that
these classes were at arms as the Marxists have us to believe. The classes, on the other
hand, cooperated with each other and contributed in their way in the composite
development of the state.
3. In the third place, the Marxist theory is not original, but secondary because it carries the
old wine of the force theory in a new Marxist bottle. Force has been discarded as
unsatisfactory theory in the creation of the state.
4. In the fourth place, Lenin and Gramsci, by identifying the state with the political party,
have erred by generalising the communist state as an example for all other states. The
communist state in Russia and China might have originated with the communist party.
Russia and China were already there in the map of the world. They were not created with
the communist party. Today communist party is over in Russia. Does it deny the statehood
to Russia?

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 5. In the fifth place, Marxism, by identifying the state with the party, encourages the
totalitarianism of the worst type like Fascism and Nazism. So the theory is a dangerous
one.
6. Lastly, the Marxist dogma that the state is a creation of the class and it will die with the
death of class is false and misleading. The states are permanent and no state withered away
for want of a class to back it.
7. So we fail to accept the Marxist theory as a suitable answer to the, origin of the state.

Types of States
States vary based on who holds power, who elects the empowered, and how authority is
maintained.
KEY TAKEAWAYS
Key Points
• One way to classify these governments is by looking at how leaders gain power. Under this system,
governments fall into general categories of authoritarianism, oligarchy, and democracy.
• Authoritarian governments differ in who holds power and in how much control they assume over
those that they govern, but all are marked by the fact that the empowered are unelected individuals.
One well-known example of this type of government is a monarchy.
• An oligarchy is a form of government in which power effectively rests with a small elite segment
of society distinguished by royalty, wealth, family, military, or religious hegemony. One common
example is theocracy.
• Democracy is a form of government in which the right to govern is held by the majority of citizens
within a country or a state. All members of the society have equal access to power and all members
enjoy universally recognized freedoms and liberties.
Key Terms
• oligarchy: A government run by only a few, often the wealthy
• Democratic presidential republic: A system of government where an executive branch is led by
a president who serves as both head of state and head of government; in such a system, this branch
exists separately from the legislature, to which it is not responsible and which it cannot, in normal
circumstances, dismiss.
• theocracy: Government under the control of a Church or state-sponsored religion
States come in a variety of forms that vary based on who holds power, how positions of leadership
are obtained, and how authority is maintained. The United States is a democratic presidential

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republic: a democratic government headed by a powerful elected executive, the president. The
United States originally won its independence from Britain, which was a monarchy, in which
power was concentrated in an individual king. Other forms of government include oligarchy and
dictatorship or totalitarianism. One way to classify these governments is by looking at how leaders
gain power. Under this system, governments fall into general categories of authoritarianism,
oligarchy, and democracy.

Authoritarian Governments
Authoritarian governments differ in who holds power and in how much control they assume over
those that they govern, but all are marked by the fact that the empowered are unelected individuals.
One well-known example of this type of government is a monarchy.
A monarchy is a form of government in which supreme power is absolutely or nominally
lodged with an individual, who is the head of state, often for life or until abdication. The person
who heads a monarchy is called a monarch. There is no clear definition of monarchy. Some
monarchs hold unlimited political power while many constitutional monarchies, such as the United
Kingdom and Thailand, have monarchs with limited political power. Hereditary rule is often a
common characteristic, but elective monarchies are also considered monarchies (e.g., The Pope)
and some states have hereditary rulers, but are considered republics (e.g., the Dutch Republic).
Currently, 44 nations in the world have monarchs as heads of state.
Totalitarianism (or totalitarian rule) is a political system that strives to regulate nearly every
aspect of public and private life. Totalitarian regimes or movements maintain themselves in
political power by means of an official all-embracing ideology and propaganda disseminated
through the state -controlled mass media, a single party that controls the state, personality cults,
control over the economy, regulation and restriction of free discussion and criticism, the use of
mass surveillance, and widespread use of state terrorism.

Oligarchic Governments
An oligarchy is a form of government in which power effectively rests with a small elite segment
of society distinguished by royalty, wealth, family, military, or religious hegemony. An oligarchy
is different from a true democracy because very few people are given the chance to change things.
An oligarchy does not have to be hereditary or monarchic. An oligarchy does not have one clear
ruler, but several powerful people who rule. One common example is that of theocracy.

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 Theocracy is a form of government in which a god or deity is recognized as the state's
supreme civil ruler, or in a broader sense, a form of government in which a state is governed by
immediate divine guidance or by officials who are regarded as divinely guided. Theocratic
governments enact theonomic laws. Theocracies are distinguished from other secular forms of
government that have a state religion, or are merely influenced by theological or moral concepts,
and monarchies held "by the Grace of God. "

Democratic Governments
Democracy is a form of government in which the right to govern is held by the majority of citizens
within a country or a state. The two principles of a democracy are that all citizens have equal access
to power and that all citizens enjoy universally recognized freedoms and liberties. There are several
varieties of democracy, some of which provide better representation and more freedoms for their
citizens than others. However, if any democracy is not carefully legislated with balances, such as
the separation of powers, to avoid an uneven distribution of political power, then a branch of the
system of rule could accumulate power and become harmful to the democracy itself. Freedom of
political expression, freedom of speech, and freedom of the press are essential so that citizens are
informed and able to vote in their personal interests.

Monarchy
A monarchy is a form of government in which supreme power is absolutely or nominally lodged
with an individual, who is the head of state.
Key Points
• Monarchy was a common form of government in the world during the ancient and medieval times.
It is less common today, although several monarchies still exist.
• Modern monarchies often takes the form of a constitutional monarchy, in which the monarch retains
a unique legal and ceremonial role, but exercises limited or no political power pursuant to a
constitution or tradition which allocates governing authority elsewhere.
• Most states only have a single person acting as monarch at any given time, although two monarchs
have ruled simultaneously in some countries, a situation known as diarchy.
• diarchy: A form of government where power is shared between two joint authorities.
• hereditary rule: Hereditary rule is a form of government in which all the rulers come from the
same family, and the crown is passed down from one member to another member of the family.

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A monarchy is a form of government in which supreme power is absolutely or nominally lodged
with an individual, who is the head of state, often for life or until abdication. The person who heads
a monarchy is called a monarch.
Monarchy was the most common form of government into the 19th century, but it is no longer
prevalent, at least at the national level. Monarchy now often takes the form of a constitutional
monarchy, in which the monarch retains a unique legal and ceremonial role, but exercises limited
or no political power pursuant to a constitution or tradition which allocates governing authority
elsewhere. Currently, 44 nations in the world have monarchs as heads of state. Of these, 16 are
Commonwealth realms such as Canada and Australia that recognize the monarch of the United
Kingdom as their head of state.
There is no clear definition of monarchy. Even characteristics most commonly associated
with monarchies are not universal. For example, monarchies are often though of as highly
centralized forms of absolute power. But holding unlimited political power in the state is not the
defining characteristic, as many constitutional monarchies such as the United Kingdom and
Thailand are considered monarchies yet their monarchs have limited political power. Hereditary
rule is often a common characteristic, but some monarchs are elected (e.g., the Pope), and some
states with hereditary rulers are nevertheless considered republics (e.g., the Dutch Republic).
Most states only have a single person acting as monarch at any given time, although two
monarchs have ruled simultaneously in some countries, a situation known as diarchy.
Historically, this was the case in the ancient Greek city-state of Sparta or 17th-century Russia,
and there are examples of joint sovereignty of spouses or relatives (such as William and Mary in
the Kingdoms of England and Scotland).

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Oligarchy
An oligarchy is a form of government in which power effectively rests with a small elite segment
of society.

Oligarchy
Key Points
• Like monarchies, oligarchies may depend on blood relations, but they may also depend on wealth,
religion, or military hegemony.
• In de jure oligarchies, an elite group is given power by the law. For example, the law may give only
nobility the right to vote, or a theocracy may be ruled by a group of religious leaders.
• In de facto oligarchies, those with more resources are able to gain political power, despite laws that
ostensibly treat all citizens equally.
• Some contemporary authors have characterized the United States ' current state of affairs as being
oligarchic in nature.
Key Terms
• elite: A special group or social class of people which have a superior intellectual, social or
economic status as, the elite of society.
Dictatorship
Key Points
• Dictatorship is a form of government in which the ruler has the power to govern without consent
of those being governed.
• Totalitarian governments are those that regulate nearly every aspect of public and private behavior.
• Dictatorship concerns the source of the governing power (where the power comes from, the people
or a single leader) and totalitarianism concerns the scope of the governing power (what is the
government and how extensive is its power).
Key Terms
• totalitarianism: A system of government in which the people have virtually no authority and the
state wields absolute control, for example, a dictatorship.
• dictatorship: A type of government where absolute sovereignty is allotted to an individual or a
small clique.

An oligarchy is a form of government in which power effectively rests with a small elite segment
of society distinguished by royalty, wealth, family, military, or religious hegemony. Oligarchies

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are often controlled by politically powerful families whose children are heavily conditioned and
mentored to be heirs of the power of the oligarchy. These types of states have been tyrannical
throughout history, relying on public servitude and complacency in order to exist.

Dictatorship and Totalitarianism

Dictatorships govern without consent of the people and in totalitarian dictatorships the power to
govern extends to all aspects of life.
Dictatorship and totalitarianism are often associated, but they are actually two separate
phenomena. Dictatorship is a form of government in which the ruler has the power to govern
without consent of those being governed. Dictatorship can also be defined simply as "a system
that does not adhere to democracy," where democracy is defined as a form of government where
those who govern are selected through contested elections. A dictator's power can originate in his
or her family, political position, or military authority.
Many dictatorships are also totalitarian. Totalitarian governments are those that exert
total control over the governed; they regulate nearly every aspect of public and private behavior.
Totalitarianism entails a political system where the state recognizes no limits to its authority, and
it strives to regulate every aspect of public and private life wherever feasible. Totalitarian
regimes stay in political power through all-encompassing propaganda campaigns (disseminated
through the state-controlled mass media), a single party that is often marked by political
repression, personality cultism, control over the economy, regulation and restriction of speech,
mass surveillance, and widespread use of terror.
In other words, dictatorship concerns the source of the governing power (where the
power comes from—the people or a single leader) and totalitarianism concerns the scope of the
governing power (what is the government and how extensive is its power). In this sense,
dictatorship (government without people's consent) exists in contrast with democracy
(government whose power comes from people) and totalitarianism (where government controls
every aspect of people's lives) exists in contrast with pluralism (where government allows
multiple lifestyles and opinions).

Democracy
Democracy is a form of government in which sovereignty is held by the majority of citizens within
a country or a state.

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Key Points
• Democracies come in several forms, though all have competitive elections and freedoms
of expression.
• Democracies must balance conflicting obligations to try to maximize freedom and protect
individual rights.
• In most democracies, citizens are represented by elected lawmakers charged with drafting
and voting on laws.
• representative democracy: A policy under the rule of people acting on the behalf of and,
to a lesser extent, in the interests of the voting blocks by which they were elected.
• separation of powers: A theoretical model for governance, common in democratic states,
which features the division of sovereign power into at least three (but sometimes up to six)
organs of state in order to forestall tyranny, by preventing the acquisition of a monopoly
of power by a monarch or oligarchy; also, such an arrangement.
• tyranny of the majority: A situation in which a government or other authority
democratically supported by a majority of its subjects makes policies or takes actions
benefiting that majority, without regard for the rights or welfare of the rest of its subjects.

Democracy is a form of government in which the power of government comes from the people.
More formally, we might say that in democracy, the right to govern, or sovereignty, is held by the
majority of citizens within a country or state. Even though there is no universally accepted
definition of democracy, all definitions include two fundamental principles: First, in a democracy,
all citizens have equal access to power. Second, all citizens enjoy universally recognized freedoms
and liberties.

Democracy
Democracy is a type of political system that requires a popular vote (representative election) to
take place to elect the leader of the country and other officials. Simply put, the leaders are chosen
by the people.
Many of the most successful countries in the world, including the US, operate under a democratic
form of government. While democracy is noted as one of the most efficient government systems

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ever, it is, however, not without any downsides. Let us take a look at its advantages and
disadvantages.

List of Advantages of Democracy

1. It protects the interest of citizens.
As previously stated, the citizens in a democratic country are given the right to vote on political,
social and economical issues, particularly the representatives they want to be in charge of
making major decisions, such as the president. This can greatly protect the people from anything
they would disagree to occur.
2. It prevents monopoly of authority.
Due to the fact that the government is bound by an election term where parties compete to regain
authority, democracy prevents monopoly of the ruling authority. And, the elected ruling party
would make sure their policies will work for the people, as they will not be able to remain in
power after their term with bad records—they will not be re-elected.
3. It promotes equality.
Generally, democracy is based on the rule of equality, which means that all people are equal as
far as the law is concerned. Every person has the right to experience and enjoy equal political,
social and economic rights, and the state is not allowed to discriminate him on the standard of
sex, class, religion and property.
4. It makes for a responsible and stable administration.
When there are elected and fixed representatives, a more responsible government is formed.
Thus, democracy can be efficient, firm and stable. Its administration is ruled and conducted with
a sense of dedication, and people under this system discuss matters and problems thoroughly to
come up with sensible decisions.
5. It brings a feeling of obligation towards the citizens.
The ruling authorities owe their success to elections by the citizens, so they would feel grateful
to and socially responsible for them. This can serve as their motivating factor to work for the
citizens, for they have the right of choosing their government.
6. It imparts political education to the people.
One argument in favor of democracy is that it can serve as a training school for citizens—they
are driven to take part in state affairs. During elections, political parties propose their programs
and policies in support of their candidates through public meetings, demonstrations, television,

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radio, posters and speeches by their leaders to win public favor. All of these can impart political
consciousness among the people.
7. It helps make good citizens.
Democracy aims to create the ideal environment that is conducive to personality improvement,
character cultivation and good habits. As per the experts, this political system seems to function
as the first school for good citizenship, where individuals can learn about their rights and duties
from birth to the time of death.
8. It allows a little chance of revolution.
Since this system is based upon public will, there will be little to no chance of public revolt.
Elected representatives conduct state affairs with public support, and if they do not work
efficiently or do not meet the public’s expectations, they will probably not do well during the
next elections. Democracy or other popular governments often function with consensus, thus the
question of revolution would not arise.
9. It promotes change.
This political system can promote changes in the government without having to resort to any
form of violence. It tries to make citizens feel great and even provides them with a good sense of
participation and involvement.

List of Disadvantages of Democracy

1. It might allow misuse of public funds and time.
Democratic governments can lead to wasted time and resources, considering that it takes a huge
amount of time on formulating laws and requires a lot of money to be spent during elections. It is
also highly possible that the country will be ruled by incompetent and irresponsible leaders who
will just spend public funds for their own tours and recreation.
2. It instigates corruption.
Those who are elected to power might resort to unethical means for personal interests and
engage in corrupt practices. During their tenure in office, they might take advantage of authority
for personal gains, putting the interests of the masses at the backseat.
3. It risks the wrong choice of public servants.
Truth be told, not all individuals under a democratic government are aware of the political and
social circumstances in their country. In a voting system, majority wins, and there is no
distinction between the votes cast by the literate and the illiterate. People may favor a candidate

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based on other factors other than pure and required capability. Taking these things into
consideration, the elected official may not always be the perfect person for the seat, leading to
erroneous decisions.
4. It allows not exercising the right to vote.
Sadly, in some democratic countries, people fail to exercise their right to vote. Perhaps, they are
reluctant to do it or are just less aware about the impact of their votes. Or, perhaps they do not
see it as a privilege and take the process less seriously.
5. It may put more emphasis on quantity, rather than quality.
Another disadvantage of democracy is in terms of providing services—it tends to put more
emphasis on quantity, rather than quality. Also, considering that the system might be governed
by irresponsible and incompetent leaders, equality might be in question for only the rich and
famous might be prioritized more than the poor.
6. It can take long to make decisions.
Because it takes long to make decisions, it will also take long to implement them. Unlike in a
monarchy where one person is making decisions that are implemented quickly, democracy
requires majority voting in implementation, thus it is relatively less prompt in taking actions.
7. It may involve immoral practices during elections.
To lure the masses, election campaigns might involve immoral practices, where candidates
would use muscle power to draw the majority of votes, even trying to tarnish their opponents’
reputation. Money and power may be abused to influence the people to disregard opposing
parties.
Conclusion
It is important to take note that political systems have their own downsides, and people have
different views about them. But by weighing their advantages and disadvantages, which in this
case is democracy, you can come up with a well-informed understanding if it is best for the people
or not.

Democratic Administration in India

Conceptually, a democratic administration seems like a contradiction in terms ‘People’s Govern-
ment’ may be a rhetoric but popular administration at best can be an administration without
corruption and public grievances. Very many well-meant administrators would call it a democratic

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administration if it conforms to laws, rules and procedures. Weberian efficiency and Taylor’s
optimisation of results have been called as decisive ingredients of the democratic nature of
administration.
The debate may lead to attuning of the bureaucratic enterprise to the democratic ethos of the polity.
All democratic systems of parliamentary or presidential or a combination of the two need public
administration as a support structure of governance. If adult suffrage gives representativeness and
accountability to democratic politics, should a merit-based administration also strive to be
representative and responsible? Can openness, transparency and responsiveness of administration
ensure its representative an accountable character?
If human rights are the essence of democracy, should politics guarantee them to the citizens
through an enlightened vigilance of administrative machinery or through an elected leadership
against the intransigence of power- hungry civil service manned by brilliant sons of the soil? The
midway has to be discovered by reinventing the government in developing countries, where strong
administration should induct social democracy to attain a correspondence with political
democracy.
The Indian Constitution and Indian Polity followed this philosophy till 1991 and the 21st century
opens with a bang asking for a full throated democracy at all walks of public life. This end of the
endless transition is a metamorphosis and democratic administration is being asked for and is
emphatically asserted as an ‘end of native colonialism’, which was not a fact in European
experience.
In 1991, Prime Minister Narsimha Rao announced the dawn of a new era popularly known as LPG
(liberalisation, privatisation and globalisation). This triple penetration in the political economy of
India is often called a shift to the ‘New Right’ which like new lift has its varied shades and country
specific components. Because of the end of the cold war and disintegration of the Soviet Union in
1989 it has replaced the word ‘good government’ by a more amorphous term called as ‘good
governance’.
A variety of contents like competitive collaboration, citizen friendliness, innovative enterprise,
transparency and responsiveness are being poured into this new concept, which represents a
judicious mix of LPG. The Second Minnowbrook Conference (1988) on Public Administration
accepted it as a phenomenon of institutional pluralism, which should manage public affairs in the
interest of public good and social welfare.

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Several scholars have called this LPG administration as a World Bank view of public
administration which talks of deregulation, de-bureaucratisation and disinvestment from public
enterprise. The collapse of the Soviet system proved that the old rule-bound, rigid, conservative,
cautious, slow and unresponsive bureaucratic systems were archaic.
The winds of change should affect the structures, processes, orientations and behaviour patterns
of the government system throughout the world. At the cross-national plane, the emergence of a
post-industrial, knowledge-based, global economy has created new opportunities for governments
at all levels to respond to these realities.
The governments have to be ‘reinvented’ and made more entrepreneurial and ‘run like a business’.
This requires discarding of old structures and willingness to take real initiatives. A ‘catalytic
government’ should inspire, guide and help society, entrepreneurs and the people. The empowered
community ought to become ‘competitive’ and facilitating with the private sector and the agencies
of government.
To quote Osborne and Gaeblar, the rule-driven public organisations should be transformed into a
mission-driven government whose public servants pursue organisational mission with newer
techniques. Public organisations should introduce quality management in their services. A climate
of continuing innovation and reform can modernise the public sector with result orientations.
The consumer friendly organisations should explore avenues of revenue generation and profit
maximisation. It should be proactive rather than only reactive and ‘curative’. Teamwork should
replace the outworn Weberian hierarchy. A balance between markets and the community can be
tried with popular participation.
All these theoretical musing for the reinvention of government have a western or a capitalistic
perspective on which the Indian administrators have to superimpose a human face. The politico-
economic conditions that prevail in India demand it. A number of countries in the West and
socialist systems of China and USSR have taken to the path of liberalisation, privatisation and
globalisation but the Indian response has been halting because of the contextual constraints.
The mixed economy model is still regarded as the ideal path for economic transformation. The
reforms with a ‘human face’ envisage packages which include greater resource mobilisation
through fiscal adjustments, better investments and less spending. It places greater reliance on the
market mechanism.

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Reduction of price controls, subsidies and trading and banking reforms are suggested to have a
free flow of capital, technology and services for production relationship between domestic and
foreign industries. The policy of delicensing, increased disinvestment and closer of sick industries
has to be pursued with vigour. Similarly, exchange rate adjustment through devaluation and control
of money supply need to be rationalised.
Broadly speaking, all this is associated with the concept of ‘good governance’ which includes
politics as well as administration. In India, the long-term administrative implications of this
democratic governance are far-reaching and profound. With decisional power going to the grass
roots, the transformation will force the civil servants to accept the hegemony of political masters.
The job of decentralised governance under Panchayati Raj dispensation would create a situation
that will modify behaviours and attitudes. The bureaucracy which has been apathetic and resistant
to the strengthening of the voluntary sector will have to develop faith in the people and facilitate
situations for the endeavors of non-government sector.
This need and demand for democratic administration is being voiced in the context of increasing
liberalisation, privatisation and globalisation of politics and economy in India. The ‘negativism’
of regulatory administration is being reshaped into ‘positivism’ of competitive collaborativeness
at national and international levels.
The old institutions of control, vigilance, grievance redressal are increasingly and incrementally
being revised and strengthened to make conditions conducive for human rights, clear environment,
and technology friendly along with enhanced social responsibility of the business. Naturally a new
democratic administration for 21st century in India is being envisaged to optimise the results of
the policies of liberalisation, privatisation and globalisation.
Good Governance Introduction
The concept of good governance is not a new concept, even though it seems to be the buzzword
now for major organisations and aid-givers to evaluate whether aid should be given to countries
or not.
• In India, the concept was talked about in the Arthashastra, authored by Chanakya. He
mentions the characteristics of a good king thus, “In the happiness of his subjects lies his
happiness, in their welfare his welfare; whatever pleases himself, he does not consider as
good, but whatever pleases his subjects he considers as good.”
• Mahatma Gandhi had also given the term ‘Su- Raaj’ literally meaning good governance.

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 • Governance can be defined as ‘the process of decision-making and the process by
which decisions are implemented.’
• Governance refers to the decision-making and administration involved at any level, i.e.,
national, regional, local, corporate, family, etc.
• Government is a key actor in governance.
• Depending upon the level of governance talked about, other actors would be cooperatives,
bodies, associations, unions, NGOs, religious leaders, influential landlords, industry,
political parties, finance institutions, lobbies, think tanks, military, etc.
• In governance, all actors apart from the government and the military are called ‘civil
society’.
• In some areas, organised crime syndicates such as the land mafia can also influence
decision-making and hence, governance.
• An important point to note is that citizens are at the core of good governance. Hence,
citizen-centric administration and good governance go hand in hand.

Good Governance Definition

• The World Bank defines governance as ‘how power is exercised in the management of a
country’s economic and social resources for development.’
• According to a document released by the World Bank in 1992 titled, ‘Governance and
Development’, good governance is an essential complement to sound economic policies
and is central to creating and sustaining an environment which fosters strong and equitable
development.
• Components of Good Governance (according to the World Bank):
o Capacity and efficiency in public sector management
o Accountability
o Legal framework for the development
o Information and transparency
• Because of the close link between corruption and poor governance, many international
organisations such as the World Bank and the International Monetary Fund (IMF) are
preconditioning their aid to countries on the guarantee that the recipient countries
undertake good governance practices.

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 • The United Nations Development Programme (UNDP) has defined governance as ‘the
rules of the political system to solve conflicts between actors and adopt decision (legality).’
• The definition given by the Commission on Global Governance (1995) describes
governance as ‘the sum of the many ways individuals and institutions, public and private,
manage their common affairs. It is a continuing process through which conflicting or
diverse interests may be accommodated and cooperative action may be taken. It includes
formal institutions and regimes empowered to enforce compliance, as well as informal
arrangements that people and institutions either have agreed to or perceive to be in their
interest.’
Good Governance Characteristics
The United Nations (UN) has given 8 major characteristics of good governance. They are briefly
described below:

Good Governance – Participation

• A vital cornerstone of good governance is participation by all sections of society.
• This includes men and women, vulnerable sections of society, backward classes,
minorities, etc.
• Representative democracy does not necessarily translate into the representation of all
people. This is where good governance comes into play.
• Participation also implies freedom of association and expression.
Good Governance – Transparency
• This means easy access to information to all concerned and especially to those being
affected by the decisions made.
• This also implies information is available to the media.
• Another important facet is that all decisions are taken and enforced in such a manner that
all rules and regulations are followed.
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Good Governance – Rule of Law
• Rule of law warrants that fair legal frameworks are implemented impartially.
• It also means protection of human rights.
• This also requires an adequate and impartial judiciary and police force.
Good Governance – Responsiveness
• This implies that processes and institutions should serve all stakeholders within a
reasonable time frame.
Good Governance – Consensus oriented
• Consensus oriented decision-making ensures that even if everyone does not achieve what
they want to the fullest, a common minimum can be achieved by everyone which will not
be detrimental to anyone.
• Good governance is consensus-oriented. A broad consensus should be reached by proper
mediation.
• For this, a proper understanding of the society’s historical, cultural and social contexts is
needed; along with sustainable human development.
Good Governance – Equity and inclusiveness
• Good governance assures an equitable society.
• In such a society, no one or no section feels left out and marginalized.
• Opportunities should be given to all irrespective of their backgrounds, and no one should
be discriminated.
Good Governance – Effectiveness and efficiency
• Good governance implies that institutions and processes create results that meet the wants
of society while making optimal use of resources at their disposal.
• This also encompasses the sustainable use of natural resources and the conservation of the
environment.
Good Governance – Accountability
• This is a key trait of good governance.
• Accountability is not possible without the rule of law and transparency.
• Accountability should be there not just for the government, but also for citizens, the private
sector, industry, NGOs, and all stakeholders.
Necessary Pre-Conditions For Good Governance

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A study of the hindrances to good governance shows that many preconditions must be satisfied to
make governance citizen-centric. A few of the preconditions are given below:
• Effective legal framework
• Sound and effective institutional mechanism for correct implementation of laws
• Competent employees manning these institutions and efficient personnel management
policies
• Apt policies for delegation, decentralization and fixing accountability.
Also, several tools can also be used to make the citizen-centric administration. These are listed
below:
• Re-engineering processes
• Adopting correct modern technology
• Right to information
• Citizens’ charters
• Independent services’ evaluation
• Grievance redressal mechanisms
• Active citizens’ participation – public-private partnerships

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 Module - 3
What are Human Rights and what are their types?
Nelson Mandela rightly said, "To deny people their human rights is to challenge their very
humanity." But, what are these rights, who granted them and why do activists fight for them?

What are Human Rights?

In a bid to live with dignity, we humans are entitled to certain basic rights and freedoms. These
are not granted by any state but are inherent to us all, regardless of nationality, sex, national
or ethnic origin, colour, religion, language, or any other status. The United Nations Human
Rights Council (UNHRC) recognises life, liberty, equality and dignity as human rights.
The Universal Declaration of Human Rights (UDHR), adopted by the UN General Assembly
in 1948, was the first legal document to set out the fundamental human rights to be
universally protected. Even after 72 years, it continues to be the foundation of all international
human rights law.

Human Rights Day

It is observed every year on December 10. On this day, the UN General Assembly adopted
the Universal Declaration of Human Rights (UDHR) in 1948.

Characteristics of Human Rights

1- Human rights are universal and inalienable. This means that we all are equally entitled to
our human rights and they must not be taken away, except in specific situations and according to
due process. For instance, a criminal can be denied the Right to Liberty.
2- They are indivisible and interdependent. This implies that one set of rights cannot be enjoyed
fully without the other. For instance, if our Social or Civil Human Rights are violated, it will impact
other rights as well such as Political or Cultural Human Rights
3- These are equal and non-discriminatory as all human beings are born free and equal in
dignity and rights. For instance, one cannot be given priority over others.

Types of Human Rights

As guaranteed by the Universal Declaration of Human Rights (UDHR), Human Rights can be
classified as:
Social or Civil Human Rights

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Each one of us is entitled to:
a. Right to life, liberty and security
b. Right to freedom from slavery and servitude
c. Right to freedom from torture or cruel, inhuman or degrading treatment or
punishment
d. Right to freedom from arbitrary interference with privacy, family, home or
correspondence
e. Right to marry and have family and right to property
Political Human Right
To take part in political processes, each one of us is entitled to:
a. Right to nationality
b. Right to equality before the law and equal protection of law
c. Right to judicial remedies, fair trial and freedom from arbitrary arrest, detention or exile
d. Right to freedom of thought, expression, belief, faith, conscience and religion
e. Right to freedom of peaceful assembly and association
f. Right to take part in government affairs and equal access to public service
g. Right to equal suffrage
h. Right to freedom of movement and right of asylum etc.
Economic Human Rights
Each one of us is entitled to certain economic human rights:
a. Right to social security
b. Right to work and the right to equal pay for equal work
c. Right to form trade unions
d. Right to rest and leisure
e. Right to food, health and an adequate standard of living
Cultural Human Rights
To protect different cultures, customs, and traditions, we are entitled to:
a. Right to participate in the cultural life of the community
b. Right to enjoy the art and to share in the scientific advancement and its benefits
c. Right to the protection of the moral and material interests resulting from any scientific, literary
and artistic production of which the individual is the author

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d. Right to a social and international order in which the human rights as provided in the
Universal Declaration can be fully realized
International Human Rights Conventions and Bodies:
1- Universal Declaration of Human Rights (UDHR) lists 30 rights and freedoms such as civil
and political rights, economic, social and cultural rights. India took an active part in the drafting
of the UDHR.
UDHR along with International Covenant on Civil and Political Rights and its two Optional
Protocols and the International Covenant on Economic, Social and Cultural Rights and its
Optional Protocol, form the International Bill of Human Rights.
2- India is a party to many human rights conventions such as the Convention on the
Prevention and Punishment of the Crime of Genocide (1948), the International Convention on
the Elimination of All Forms of Racial Discrimination (1965), the Convention on the Elimination
of All Forms of Discrimination against Women (1979), the Convention on the Rights of the
Child (1989) and the Convention on the Rights of Persons with Disabilities (2006), among
others.
3- Human Rights Council is an inter-governmental body within the United Nations system. It is
responsible for promoting and protecting human rights. The Council is made up of 47 Member
States elected by the UN General Assembly.
Through its Universal Periodic Review, the Council reviews human rights records of all 192
Member States once every four years. The Office of the High Commissioner for Human Rights
(OHCHR) serves as its secretariat.
4- Amnesty International is an international organization run by volunteers who campaign for
human rights. The organization publishes independent reports on the violation of human rights
all over the world.

Human Rights in India

As guaranteed by the Indian Constitution
The Constitution of India incorporates most of the rights enumerated in the UDHR in two
parts-- the Fundamental Rights and the Directive Principles of State Policy.
Fundamental Rights: Articles 12-35 of the Indian Constitution guarantees the Right to
Equality, Right to Freedom, Right Against Exploitation, Right to Freedom of Religion,

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Cultural & Educational Rights, Saving of Certain Laws and Right to Constitutional
Remedies.
Directive Principles of State Policy (DPSP): Articles 36-51 of the Indian Constitution
guarantees Right to Social Security, Right to Work, Right to Free Choice of Employment,
and Protection Against Unemployment, Right to Equal Pay for Equal Work, Right to
Existence Worthy of Human Dignity, Right to Free and Compulsory Education, Right to
Equal Justice and Fee Legal Aid and the principles of policy to be followed by the State.
Law in India
Protection of Human Rights Act, 1993 (as amended in 2019) provided for the constitution of a
National Human Rights Commission at the Centre to steer State Human Rights Commission in
States and Human Rights Courts for better protection of Human Rights and matters connected
therewith or incidental thereto.

Rule of Law – Meaning & Scope

Dicey in his work stated that Rule of Law is fundamental to the English legal system and gives
the following three meanings to the doctrine:
1. Supremacy of Law
. Rule of law according to Dicey means the absolute supremacy or predominance
of regular law as opposed to the influence of arbitrary power or wide
discretionary power.
a. It means the exclusion of the existence of arbitrariness on part of the government.
b. This in essence means that no man can be arrested, punished or be lawfully made
to suffer in body or in goods except by the due process of law and for breach of a
law established in the ordinary legal manner before the ordinary courts of the
land.
2. Equality before Law
. While explaining this aspect of the doctrine, Dicey stated that there must be
equality before the law or equal subjection of all classes to the ordinary law of the
land administered by the ordinary law courts.

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 a. Dicey believed that the exemption of civil servants from the jurisdiction of the
ordinary courts of law and providing them with the special tribunals was the
negation of equality.
b. He stated that any encroachments on the jurisdiction of the courts and any
restriction on the subject’s unimpeded access to them are bound to jeopardise his
rights.
3. Judge-made Constitution
. Dicey observed that in many countries rights such as the right to personal liberty,
freedom from arrest, freedom to hold public meetings, etc. are guaranteed by a
written Constitution; in England, it is not so.
a. In England, those rights are the result of judicial decisions in concrete cases that
have actually arisen between the parties.
b. Thus he emphasized the role of the courts of law as guarantors of liberty and
suggested that the rights would be secured more adequately if they were
enforceable in the courts of law than by mere declaration of those rights in a
document.

Rule of Law and Indian Constitution

The Preamble of the Constitution itself prescribes the ideas of Justice, Liberty and Equality.
These concepts are further enunciated in Part III of the Constitution and are made enforceable.
All three branches of the government are subordinate i.e. the Judiciary, Legislature and the
Executive are not only subordinate to the Constitution but are bound to act according to the
provisions of the Constitution. The doctrine of judicial review is embodied in the Constitution
and the subjects can approach the High Court and the Supreme Court for the enforcement of
fundamental rights. If the Executive or the government abuses the power vested in it or if the
action is mala fide, the same can be quashed by the ordinary courts of law.
The Supreme Court of India in Chief Settlement Commissioner Punjab v. Om Prakash observed
that in our constitutional system, the central and most characteristic feature is the concept of the
rule of law which means, in the present context, the authority of the law courts to test all
administrative action by the standard of legality. The Court added that the doctrine of rule of law
rejects the conception of the dual state in which government action is paced in a privileged
position of immunity from control by law.

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Exceptions to Rule of Law
Some exceptions to the concept of the rule of law are discussed below.
• ‘Equality of Law’ does not mean that the powers of private citizens are the same as the
powers of public officials. e.g. a police officer has the power to arrest which the private
citizen does not have.
• The rule of law does not prevent certain classes of persons from being subject to special
rules, for example, the armed forces are governed by military laws.
• Ministers and other executive bodies are given wide discretionary powers by the statute.
• Certain members of the society are governed by special rules in their professions like
lawyers, doctors and nurses.
Conclusion
The founding fathers of India accomplished what the rest of the world thought impossible –
establish a country that would follow the letter of the law and implement the Rule of Law. In all
matters such as the protection of the rights of the people, equal treatment before the law,
protection against excessive arbitrariness, the Constitution of India has provided enough
mechanisms to ensure that the Rule of Law is followed. Through its decisions, the Courts have
strived to reinforce these mechanisms and ensure smooth justice delivery to all citizens.
Problems such as outdated legislation and overcrowded courts are but small hindrances and
bodies such as the Law Commission of India work towards ironing out these problems with the
aim of achieving a system where there are no barriers to the smooth operation of the Rule of
Law.

Accountability in Governance
▪ Accountability refers to the process as well as norms that make decision makers
answerable to ones for whom decisions are taken i.e., the decision maker and the
beneficiary.
▪ The recent emphasis on revolutionised democracy seeking increased
accountability from the government has brought into focus its need and importance in
Governance and government functioning.

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 o Accountability mechanisms-in functioning of the State has been engaging
attention of the civil society, academicians and lawmakers in general and
international financial institutions and donors in particular.
▪ In this context, accountability institutions assume importance and form the core of any
good governance mechanism helping in bridging the gap between the stakeholders
and the decision makers.

Advantages of Accountability in Governance

▪ Democratic governance: The accountability to the citizens is a fundamental principle of
democratic governance. It is not limited to accountability to seniors in hierarchy only as
part of chain of command but also the stakeholders including citizens and civil society.
o It may stem out of legal requirements or may be determined by the moral and
ethical framework of the organisation.
▪ Answerability: Accountability as an answerability component to justify the action and
an enforcement component that is to take action in cases where an act of omission or
commission is established.
▪ Remedial measures: It provides for remedial measures including punishment in case of
deviations from norms.
▪ Public confidence: Accountability helps in improving public confidence in government
performance.

Stakeholders
▪ Bodies enabling check and balance: The framers of the Indian Constitution, while
adhering to the principle of separation of powers between Legislature, Judiciary and
Executive also provided for appropriate checks and balances for administrative
objectivity and accountability. The accountability could be financial, administrative, legal
or professional.
▪ Citizens as electorate: First and foremost, the stakeholder in any case would be the
citizens. As the electorate, they have the right to seek accountability of the elected
representatives.
▪ Citizens as taxpayers: The citizens are the taxpayers. They have a right to know how the
money paid by them has been expended by the Government and whether it was used for

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 appropriate purposes and efficiently. It also needs that the government functionaries
entrusted with the collection of taxes and implementing the schemes of the government
follow the prescribed norms

Accountability as an ongoing process

▪ Vision of government: The stakeholders directly or indirectly participate in framing the
vision and indicating the priorities. The schemes are framed and implemented by the
government. The results of evaluation help in improving the system.
▪ Empowering stakeholders: At the same time, they empower the stakeholder to seek
justification from the decision makers who in turn are obligated to provide necessary
explanation. There are checks and balances and incentives in the system on one hand and
expectations of the stakeholders to be met on the other.
▪ Making accountability an obligation: Accountability is essentially an obligation to give
an account of the actions taken or the decisions made by the person in authority to the
stakeholders who are impacted by those decisions.
▪ Necessisting transparency: Accountability necessitates transparency in decision making
on the other it also presupposes that the accurate and reliable information and data is
maintained by the government agency and is available in public domain for public
scrutiny. In absence of information and facts neither the grievance of the citizens would
be appreciated nor could the responsibility be imposed for acts of omission or
commission.

Accountability and the Right to Information Act

▪ The Right to Information Act, 2005 has introduced a huge element of transparency in
the decision-making in the government as well as access to information.
▪ Digitisation of various services to the citizens has not only facilitated faster delivery of
services but also provided a clear trail of transactions for any analysis by an oversight
agency.

Accountability and the Citizen's Charter

▪ The Citizen's Charter also clearly spelt out the responsibilities of various agencies of
the government. By laying down the timelines for rendering the specific services they
proactively make themselves accountable to the citizens.

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 ▪ For example, the Citizens Charter of the Central Board of Direct Taxes (CBDT) provides
for inter-alia service delivery standards which include the specified timelines for issue
of refunds or redressal of grievances.

Role of Vigilance in Accountability

▪ Institutional mechanisms: The institutional mechanisms existence of strong and
independent accountability institutions is a necessary condition for good governance.
o These institutions can detect the violations and deviations from prescribed
norms as well as the instances of poor administration.
o They can indicate the abuse of power and unconstitutional conduct. The
institutional mechanisms in context of the Government to ensure accountability
may emanate out of Constitutional provisions, legislative framework and
administrative arrangements.
▪ Checks and balances: The framers of the Indian Constitution, while adhering to the
principle of separation of powers between Legislature, Judiciary and Executive also
provided for appropriate checks and balances for administrative objectivity and
accountability.
▪ Horizontal accountability: The institutions of horizontal accountability in Indian
context include the institutions of Comptroller and Auditor General (CAG), the
Election Commission, the Vigilance Commission, the Central Information Commission
and the Ombudsman.
o In addition, there are a large number of Regulatory bodies including SEBI, TRAI,
CERC, CPCB etc. While the institution of CAG and Election Commission derive
their mandate from the Constitution. others draw their mandate from the
respective Acts governing them.

Financial Accountability
▪ Financial accountability is rather critical for the overall functioning of the government.
The budget is passed by the Parliament allocating specific sums of money to different
ministries and departments to implement the schemes and projects.
▪ The Executive has full authority and freedom to formulate, design and implement the
schemes and projects for development and welfare of the citizens of the country.

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 ▪ Comptroller and Auditor General (CAG): In order to ensure accountability of the
executive to the legislature, the framers of the constitution created an independent
oversight agency namely CAG of India as per Article 148 of the Constitution of India.
o Further, accounting for the expenditure incurred by the ministries and
departments is done by the office of Controller General of Accounts (Ministry of
Finance).
o The Finance and Appropriation Accounts prepared by them are audited by the
CAG of India who submits a report thereof to the Parliament in terms of Article
151 of the Constitution. This completes the financial accountability loop.

The Role of CAG

▪ The role of CAG is not limited to financial audit of accounts. In addition, CAG of India
conducts Compliance Audit and Performance Audit.
o Compliance audit: It is on examination of rules, regulations, orders and
instructions for their legality, adequacy, transparency, propriety, prudence and
effectiveness.
o Performance audit: It is an independent assessment or examination of the extent
to which an organisation, program or scheme operates economically, efficiently
and effectively. Thus, the audit conducted by the CAG of India covers almost all
aspects of accountability.
▪ The CAG of India is an independent constitutional authority who is neither part of the
Executive, nor of the Legislature.
▪ Further, his independence is ensured through Constitutional and legislative provisions.
Independence of the authority entrusted with the task of oversight eclipse in efficient
discharge of his functions as part of the accountability mechanism.

Way Forward
▪ Resilient accountability: Governments today operate in a very complex environment
with stakeholders consisting of different interest groups, competing demands on limited
resources and complex legal requirements, therefore a more resilient accountability
mechanism is required that encourages responsible governance.

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 ▪ Ensuring public trust: Accountability facilitates a feedback mechanism between the
Government and its citizens. So the accountability to the citizens is most critical in order
to ensure sustenance of public trust and confidence in the existing democratic systems.
o The accountability mechanisms also need to keep pace with developments of
modern government structures particularly in the era of digitalization.
o There is also a need to sensitise the functionaries towards their responsibilities
and duties in context of the accountability frameworks.
▪ Minimum element of discretion: For better transparency, not only should there be a
Citizen's Charter but also well-defined Standard Operating Procedures (SOPs) for
performing a job. Element of discretion needs to be minimised for ensuring
responsiveness, transparency and accountability.

Participation as a principle of good governance

This principle implies the active and equal participation of civil society at the local level
in the work of its community. Through the participation of civil society in decision-making,
agreement is reached on mutual understanding of the most important challenges which local
community faces. The quality and effectiveness of a policy depends on the involvement of all
stakeholders in decision-making (from their creation to implementation). This will result in
greater confidence in the end result and in institutions that make political decisions. The
participation of civil society is achieved through prior observance of the principle of
transparency and accountability.
The principle of participation is contained, as a democratic principle, in Article 8 of the
Treaty of Lisbon. Also, the principle of participation is one of the basic principles contained in
the White Paper on Governance at the European level. According to the Guidelines for the
Inclusion of Civil Society Organizations in the process of passing regulations, the following four
levels of citizen participation are recognized as recommendations of the official Government of
the Republic of Serbia: 1) informing (one-way procedure for informing of citizens); 2)
counseling (two-way procedure for requesting and receiving information from citizens); 3)
inclusion (active participation of citizens in the process of drafting regulations); And 4)
partnership (the highest level of cooperation where citizens actively participate in the drafting,
but also the implementation of regulations).

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 During its existence, the Belgrade Open School aims to encourage and promote the
participation of stakeholders and other citizens in the drafting, implementation, monitoring of
implementation, but also in evaluating the impact of a public policy. Also, Belgrade Open
School is engaged in research, monitoring and advocacy of the stated levels of citizen
participation articulated and contained in the legal and planning system of Serbia, in the form of
public discussion, consultation, referendum, assembly of citizens and people, that is, civic
initiative. Also, employees of Belgrade Open School, are also engaged in advocating other ways
of citizen participation, which are examples of good practice, such as "green councils" in the case
of environmental policies at the local level.

Representation
representation, in government, method or process of enabling the citizenry, or some of
them, to participate in the shaping of legislation and governmental policy through deputies
chosen by them.
The rationale of representative government is that in large modern countries the people
cannot all assemble, as they did in the marketplace of democratic Athens or Rome; and if,
therefore, the people are to participate in government, they must select and elect a small number
from among themselves to represent and to act for them. In modern polities with large
populations, representation in some form is necessary if government is to be based on
the consent of the governed. Elected representatives are also less likely to reflect the transitory
political passions of the moment than are the people, and thus they provide greater stability
and continuity of policy to a government.
Through the course of long historical evolution, various methods and devices have been
developed in attempts to solve the many problems that have arisen in connection with
representation. These problems include the qualifications of electors (see suffrage); the
apportionment of constituencies (see constituency); apportionment (electoral); the basis of
election (see plurality system; proportional representation); methods of nominating candidates
(see primary election); and means of ascertaining the wishes of electors (see referendum and
initiative). Because of the need to formulate systematically the demands of citizens, political
parties have come to act as intermediaries between the citizens and their representatives. Political

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debate along party lines has thus become a characteristic feature of most representative systems
of government.
How answerable a representative should be to his electors is an issue that has long been
debated. The basic alternatives are that the representatives of the people act as delegates carrying
out instructions or that they are free agents, acting in accordance with their best ability and
understanding.

Transparency in Governance:
Transparency is broadly accepted as a major principle of good governance (World Bank
(2000) the UNDP has perceived that transparency means "sharing information and acting in an
open manner" (1997). Furthermore, transparency allows stakeholders to collect information that
may be critical to uncovering abuses and defending their interests. Transparent systems have
flawless procedures for public decision-making and open channels of communication between
stakeholders and officials, and make a wide range of information available UNDP
(1997).Transparency represents that decisions taken and their enforcement are done in a way that
follows rules and regulations. It also entails that information is easily available and directly
accessible to those who will be affected by such decisions and their enforcement. According to
Tandon (2002), transparency means that the criteria, process and systems of decision-making are
openly known to all in a public manner. The declaration of Right To Information Act (2015) set
the stage for the transparency in the functioning of the government and its various agencies.
Under this Act, access to information from a public agency has become a statutory right of every
citizen. In its enactment, it has been contended that the system of government in India is so
impervious that ordinary peoples do not have much information about how decisions are made
and how public resources are utilized. In effect, RTI Act is a media for greater transparency
about the manner of functioning of public agencies. A recent study (PRIA, 2008) on
implementation of RTI Act in 12 states established following facts:
1. Information about who the designated Public Information Officers (PIOs) were in the
district was not available in 90% of the districts;
2. Nearly half of all respondents felt that PIOs were not at all cooperative in giving
information even when asked (Kerala and MP behaving worse than UP, Bihar, Orissa and
Haryana);

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 3. Self-disclosure mandated under section 4 of the RTI Act was not made in 90% of the
districts in these states.
Major provisions of this Act is self-disclosure of information in public domain. It is expected
that if passable information is available, citizens can demand services and claim rights due to
them from suitable authorities and officials. The status of self-disclosure is rather poor
countrywide. Current study conducted by PRIA and CHRI (2009) about status of self-disclosure
in the field of food security exhibited that Food Corporation of India and PDS (civil supply
departments) have sensibly clear web-based self-disclosure at national level. But, the quality and
convenience of such self-disclosed information at district level becomes very poor and non-
existent. It indicated that an ordinary resident eager of accessing food from the PDS system
cannot get any clear information from the system of self-disclosure currently being practiced in
these states (including Karnataka, Gujarat and HP, which are generally deemed to be better
governed states). Disclosure of information at state or national levels only, mostly in English
language, and largely through only web-based tools have resulted in systematic rejection of the
very same citizens in whose name and interests of right to information has been endorsed.
Transparency is required to make the system of public service delivery effective. It
allows ready information to the citizens in a manner that they may be able to claim their
entitlements. However, sheer knowledge of what entitlements are, and who is responsible for
fulfilling them, is not sufficient to ensure that public services are passably and effectively
delivered to the 'intended' recipients.

Citizen Charter
Definition of Citizen Charter
Citizen’s Charter is a document which represents a systematic effort to focus on the commitment
of the Organisation towards its Citizens in respects of Standard of Services, Information, Choice
and Consultation, Nondiscrimination and Accessibility, Grievance Redress, Courtesy and Value
for Money. This also includes expectations of the Organisation from the Citizen for fulfilling the
commitment of the Organisation.

Objective of the Citizen Charter

The basic objective of the Citizens Charter is to empower the citizen in relation to public
service delivery.
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Citizen’s Charter – Introduction
The Citizen’s Charter is a voluntary and written document that spells out the service provider’s
efforts taken to focus on their commitment towards fulfilling the needs of the citizens/customers.
• It also includes how citizens can redress any grievances.
• It includes what the citizens can expect out of the service provider.
• The concept is that the charter preserves the trust between the service provider and the
citizens/users.
The concept of a citizen’s charter was initiated by former British Prime Minister John Major in the
year 1991. It was started as a national programme intended to improve the quality of public
services. In 1998, in the UK, the concept was renamed ‘Services First’.
Principles of Citizen’s Charter (As originally framed)
• Quality – Improving service quality.
• Choice – Wherever possible.
• Standards – Specifically mention what to expect and how to go about if standards are not
met.
• Value – For taxpayers’ money.
• Accountability – At the level of the individual and the organization.
• Transparency – Transparency in rules/schemes/procedures/grievances.
After the adoption by the UK, several other countries adopted a citizen’s charter under different
names and forms. The basic idea was the same, however, to enhance the quality of services offered
to the public, and have transparency and accountability in public services.

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The 6 principles as laid out by the government in the UK, were later elaborated in 1998. The
Labour government, then, brought out the following nine principles of Service Delivery:
1. Set standards of service
2. Be open and provide full information
3. Consult and involve
4. Encourage access and the promotion of choice
5. Treat all fairly
6. Put things right when they go wrong
7. Use resources effectively
8. Innovate and improve
9. Work with other providers

Citizen’s Charter in India

In India, the concept of citizen’s charter was first adopted at a ‘Conference of Chief Ministers of
various States and Union Territories’ held in May 1997 in the national capital.
• A major outcome of the conference was a decision to formulate Citizen’s Charters by the
central and state governments, beginning with sectors with a large public interface such as
the railways, telecom, posts, PDS, etc.
• The charters were mandated to include service standards, the time limit that the people can
expect to be served, mechanisms for redressing grievances, and a provision for unbiased
scrutiny by consumer/citizen groups.
• The task of coordination, formulation, and operationalization of citizen’s charters are done
by the Department of Administrative Reforms and Public Grievances (DARPG).
• In India, in this context, citizens can mean not only citizens but also all stakeholders such
as customers, clients, beneficiaries, ministries/departments/organizations, state/UT
governments, etc.
• The Indian model of citizen’s charter is an adaptation from the UK model. One additional
component of the charter in the Indian version is the inclusion of the point ‘expectation
from clients’.
• The DARPG website lists more than 700 charters adopted by various government agencies
across India.

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 • The Right of Citizens for Time Bound Delivery of Goods and Services and Redressal of
their Grievances Bill, 2011 (Citizens Charter) was introduced in the Lok Sabha in
December 2011. It was referred to a Standing Committee which submitted its report in
2012. The bill, however, lapsed due to the dissolution of the Lok Sabha in 2014.
• Citizen’s charters are not legally enforceable documents. They are just guidelines to
enhance service delivery to citizens.

Citizen’s Charter Components

A good citizen’s charter should include the following details:
1. Organization’s vision and mission statements.
2. A business carried out and other such details of the organization.
3. Explain who are citizens and clients.
4. Statement of services including quality, time-frame, etc. offered to citizens and how to get
those services.
5. Grievance redressal mechanisms.
6. Expectations from citizens/clients.
7. Additional commitments like the amount of compensation in case of service delivery
failure.
Other Elements of a Good Citizen’s Charter
• Should be in simple language
• The focus should be on the requirements of the customers
• There should be periodic review
• Reliability should be imbibed – that is, consistency in performance/delivery

Objectives of Citizen’s Charters

The basic objective of the citizen’s charters is to empower citizens through the delivery of public
services.
• Improve the quality of public services
• Ensuring transparency and right to information
• Save the time of both the customer and the service provider
• Have clear targets for all levels of services

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Features of Citizen’s Charters
The salient features of a citizen’s charter are given below:
• Lays down clear standards for the delivery of services. The standards should be
measurable, time-bound, relevant, specific, and accurate.
• Gives full information about the services, in simple language, as to what services are
available, level of quality to expect, grievance mechanism, etc.
• Wherever possible, the charter should offer a choice of services to the clients.
• It should also be made with regular consultation with all stakeholders including customers,
to ascertain the quality standards.
• It should encourage a culture of courtesy and helpfulness among the personnel of the
service provider.

Significance of Citizen’s Charters

Citizen’s charters are significant in that they empower citizens when it comes to public services.
• It boosts accountability in the delivery of public services.
• It enhances good governance. It improves the effectiveness of organizations by having
measurable standards.
• It augments the quality of services delivered by incorporating an internal and external
monitoring entity.
• Being citizen-centric, it creates a professional and customer-oriented environment for the
delivery of services.
• It also helps boost the morale of the staff.
• It enhances transparency and openness.
However, there are some drawbacks also associated with these charters. They are mentioned in the
below section.

Challenges faced in implementing Citizen’s Charters in India

• A general perception is that these are seen as a mere formality. There is no involvement
from the personnel and citizens and the whole exercise is carried out because it was a
command from the top.
• It can overburden organizations and government agencies. It might also divert the attention
of the personnel from their work.

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 • Improper training of the staff leads to the charter being merely drafted and not implemented
properly.
• In certain cases, unrealistic charters are drafted. This can lead to expectations not being
met.
• The citizen’s charter is not legally enforceable. This has made them ineffective in a real
sense.
• Generally, the charters are drafted unilaterally by the service provider without taking into
consideration the opinions and feedback of the customers. NGOs are also not consulted.
• There is also a lack of infrastructure in the country to go side-by-side with this initiative.
• There is a need for a team effort to implement the charter in its true spirit. There is a
hierarchy gap between officers and field staff, which leads to a lack of coordination and
motivation.
• The charters are not periodically revised.
• It is also seen that the needs of the disabled and senior citizens are not taken into account
while framing.
• Sometimes, the rules and procedures are found to be excessively complicated.
• There is a lack of awareness among the public about citizen’s charters.
• Standards defined are generally not measurable making the whole exercise ineffective.
• It is seen that organizations themselves are not keen to implement and adhere to their
charters.
• There is a tendency to have a uniform citizen’s charter for all agencies, departments, etc.
under the same parent organization. The charter should be customized as per the needs and
functioning of the particular office/agency.
• There are only a few more than 700 charters adopted in the country. It is still a long way
to go in terms of universal charter adoption.

2nd ARC Recommendations

The Second Administrative Reforms Commission (AC) had made recommendations to improve
the effectiveness of citizen’s charters. Some of the recommendations are:
• They should specify the remedy/compensation in the case of any default in meeting the
standards mentioned in the charters.

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 • Charters should restrict a few promises that can be kept rather than have a long unfulfilled
list.
• Before making a charter, the organization should restructure its set-up and processes.
• There should not be a uniform charter across organizations. They should be local and
customized.
• All stakeholders must be kept on board while drafting the charters.
• Commitments made should be firm and there should be a citizen-friendly redressal
mechanism.
• Officers should be held accountable if commitments made are not fulfilled.
• The citizen’s charters should be reviewed and revised regularly.
Aspirants can go through the following links to have relevant information on these topics and
prepare for the upcoming UPSC examination even better –

Reforms for Citizen Charter to make them Effective

• Not everyone fits in the same mold: Citizen Charter should be formulated as a decentralized
activity with the head office providing only broad guidelines.
• Wide consultation process: formulation of Citizen Charter should be done after extensive
consultations within the organization followed by meaningful dialogue with civil society.
• Commitments of the firms should be made: Citizen Charter should be precise and must
make firm commitments of service delivery standards to the citizens or consumers in
quantifiable terms wherever possible.
• Provide Redressal mechanism in case of default: Citizen charter should clearly lay down
the relief which the organization is bound to provide if it has defaulted on the promised
standards of delivery.
• Periodic evaluation: A citizen charter should be evaluated from time to time preferably
through an external agency.
• Officers to be held accountable for results: In cases where there is a default in adhering to
the Citizen Charter, fix specific responsibility.
• Society should be a part of it: To help in improvement in the contents of the Charter, Civil
Society should be included in it. They should be a part of the process, its adherence as well
as in educating the citizens about the importance of the vital mechanism of the Citizen
Charter.

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Way Forward
• A Citizens’ Charter is a means to an end it cannot be an end in itself. It is a tool to ensure
that the citizen is always at the heart of any service delivery mechanism.
• Drawing from best practice models such as the Sevottam Model (a Service Delivery
Excellence Model) can help Citizen’s Charter in becoming more citizen-centric.

Social Audit
A formal review conducted on the procedures, endeavours, and code of conduct of a company or
a state in relation to its social responsibility is known as a social audit. This process brings out the
impact of a company or a state on society with a clarified status of its endeavours. There is always
a question of balance between the overall profitability and the social responsibility of a company
or a state. This is where companies and states get reviewed in relation to their practices by the
social audit process.
The process facilitates an internal examination of whether a company’s or a state’s objectives are
being fulfilled. For this purpose, established benchmarks and measurable targets are utilised. The
process goes on to determine the public image of a company or a state with relation to the actions
implemented by the same. This is where the review of the expenditures provides clarity on the
practices.

Types of Social Audit

The types of Social Audit include two major divisions.
• The first one conducts a review of the actual expenditures incurred by a company or a state,
while matching those with the reports prepared by that company or the state.
• The second one reviews the actions and implementations of a company or a state in relation
to the social impact of the same.

Objectives of Social Audit

• Assessment of the various financial and physical gaps that come up between the
requirements and the resources available
• Making the providers and the beneficiaries aware of the various social as well as productive
services

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 • Reviewing the policy decisions in relation to the priorities and the interests of the
stakeholders, with a focus on the poverty-stricken areas
• Increasing the effectiveness and the efficiency of the programmes meant for local
development.

Benefits of Social Audit

• Reduction in the chances of corruption
• Making the common people aware of their entitlements and rights
• Increasing the effectiveness and efficiency of a particular project
• Reporting and social accounting
• Effective local governance
• Promoting integrity and unity among the people
• Addressing the grievances and implementing corrective actions

Social Audit in India

In India, this process involves public meetings that facilitate a critical analysis of the law
and various government policies and programmes. This also includes an assessment of the actions
and implementations of private entities. As a part of the Social Audit Rules 2011, the Government
of India identified ten states having operationalised units for conducting social audits. These ten
states are Tamil Nadu, Uttar Pradesh, Tripura, Mizoram, Telangana, Chhattisgarh, Andhra
Pradesh, Gujarat, Sikkim, and Karnataka.

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 Module – 4
Definition, Nature and Scope of Administrative Law
Introduction
For the smooth functioning of a democratic country, there should be a society based on
fairness, reasonableness and justness. Administrative law strives to develop a rule of law. It
regulates the relationships between citizens and government & protects the common man from
arbitrary decisions of officials. It consists of all executive actions, its programs & policies; all
administrative aspects of parliament & judiciary; all actions of state like actors (agency &
instrumentality of the state); all actions of non-state actors (private entities) exercising public
functions. It is the branch of public law which ensures the working of government at both central
and state levels and also deals with the organizations and powers of administrative and quasi-
administrative bodies. It is judge-made law in general which ensures public welfare by providing
guidelines.
Administrative law is basically a law which regulates the actions of administrative
authorities or agencies. Administrative law tries to develop a relation between the public and
government by regulating itself as the time required. Administrative law as per the Indian
perspective it is almost judge-made law it is because of its changes by the court case by case in the
form of guidelines. It contains all aspects of administrative actions as it can work as legislative as
it has delegated powers given through legislature but in limits, it can also work as executive as it
enforces the law or implements the law, it comes in the role of the judiciary when there is need to
make quick decisions but there can be judicial review of that actions if there is contrary in that
decision. Administrative law regulates all these actions and ensures remedies against the arbitrary
actions of administrative agencies.
Administrative law may be identified on the four basics stone:-
1. Checking constructive or abusive of the powers of the administrative authorities
2. Ensuring citizens a just and fair solution or determination of disputes
3. Protect from unauthorized curtailing of rights of the citizens
4. Accountability of the powers.

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Ensuring the protection of citizens over the arbitrary actions of the administration and also focuses
on the judicial review of the actions or decisions taken by the administration to fulfill that
protection against the actions of the administration are main objects of the administrative law.

Definitions of Administrative law

Administrative law is a law related to administration and can be defined as the law which governs
the activities of the administrative agencies of the government including actions like rulemaking,
adjudication, or the enforcement of a particular agenda.
Many scholars state different definitions of Administrative law in their views:
According to K.C. Devis, Administrative law is a law which is related to powers and procedures
of administrative agencies, including specially the law related to judicial review of administrative
actions.
Now we can define administrative law as the law which is a part of the public law of a nation
which deals with the administration, it also includes the procedure which is going to be followed
by the authorities under administrative law which deals with the procedure which discuss how to
exercise the powers, limitation on the powers, how powers are enforced on the public and also the
remedies for the public when their rights encroached. Administrative law defines the relationship
between the public and the government and protects from arbitrary actions which are unfair
without any reasonable reason to the public.
Definition by Ivor Jennings
Ivor Jennings in his "The law and the constitution, 1959" provided the following definition of the
term "administrative law".
According to him, "administrative law is the law relating to the administrative authorities". This is
the most widely accepted definition, but there are two difficulties in this definition.
(1) It is very wide definition, for the law which determines the power and functions of
administrative authorities may also deal with the substantive aspects of such
powers.
For example: - Legislation relationg to public health services, houses, town and country planning
etc. But these are not included within the scope and ambit of administrative law, and
(2) It does not distinguish administrative law from constitution law.
Definition by K. C. Davis

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According to K. C. Davis, "Administrative law as the law concerns the powers and procedures of
administrative agencies, including especially the law governing judicial review of administrative
action".

Definition by Prof. Wade

According to Wade (Administrative Law, 1967) any attempt to define administrative law will
create a number of difficulties. But if the powers and authorities of the state are classified as
legislative, administrative and judicial, then administrative law might be said "the law which
concerns administrative authorities as opposed to the others". Again,
there are some difficulties with this definition also. It falls to distinguish administrative law from
constitutional law Like Jennings definition mentioned above, this is also very wide definition. It
includes the entire legal field except the legislature and the Judiciary. It also includes the law of
local government. It is also said that it is not possible to divide completely and definitely the
functions of legislative, executive and judiciary. It is very difficult to say precisely
where legislation ends and administrative begins. Though enacting a law is function of the
legislature the administrative authorities, legislate under the powers delegated to them by the
legislature and this delegated legislation is certainly a part of administrative law.
Definition by Jain and Jain
According to Jain and Jain, "Administrative law deals with the structure, powers and function of
the organs of administration, the limits of their powers, the methods and procedures followed by
them in exercising their powers and functions, the method by which their powers are controlled
including the legal remedies available to a person against them when his rights are infringed by
their operation".
Administrative law, according to this definition, deals with four aspects: -
• It deals with composition and the powers of administrative authorities.
• It fixed the limits of the powers of such authorities.
• It prescribes the procedures to be followed by these authorities in exercising
such powers and,
• It controls these administrative authorities through judicial and other means.

Definition by Griffith and Street

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According to Griffith and Street, (Principles of administrative law, 1963), the main object of
Administrative law is the operation and control of administrative authorities, it must deal with the
following three aspects: -
• What are the limits of those powers?
• What sort of power does the administration exercise?
• What are the ways in which the administrative is kept within those limits?
Improvement to Griffith and Street's Definition
According to the Indian Law Institute, the following two aspects must be added to have a
complete idea of the present - day administrative law: -
• What are the procedures followed by the administrative authorities?
• What are the remedies available to a person affected by administration?
Definition by Garner
According to Garner, administrative law may be described as "Those rules which are recognised
by the court as law and which relates to and regulate the administration of government."
Thus Administrative law can be said to be science of power of Administrative authorities, and the
nature of their powers can be studied under the three heads:
• Legislative or Rule making,
• Purely Executive,
• Judicial or Adjudicative

Nature of Administrative law

Administrative law is the branch of public law which defines the relation between individuals and
state. But it is not a law in a true sense like other laws such as property law or labor law. It is also
not like private law which deals with relations of individual inter se. it is a law to administer the
administrative authorities and check them from making any arbitrary decisions. Administrative
law deals with the organization, powers and duties of the administrative authorities and also the
procedure followed by the officials while exercising the powers. Administrative law is limited to
the law which limits the power of administrative authorities while exercising the powers. It also
provides remedies in the favor of the public when the rights of the public encroached.
In India, administrative law is almost judge made law. Thus it suffers from more facilities and
benefits because of judicial lawmaking. Judiciary interprets law according to the need of time and

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issues guidelines for such. It affects administrative law and makes it more strong and beneficial. It
is a branch of the constitution that regulates all three branches i.e. legislative, executive and
judiciary in the same way administrative regulates all administrative authorities and protects them
from corrupt practices. Its main purpose is to focus on the judicial review of administrative actions.
In this way, there is protection from the arbitrary actions of the administrative actions.
Administrative actions can be legislative, executive or judiciary. Administrative can do all of three
actions when which is required to do so. By delegation legislation administrative has the power to
make law when it comes to implementation of administrative acts as an executive and when it
comes to making quick decisions then the administrative can act as the judiciary. The nature of
administrative law changes according to the need.

Scope of Administrative law

Scope means an area of study or the variety of subjects that are being discussed or considered. As
administrative law is almost judge-made law so it changes according to societal needs but in the
guidance of the basic principles so the scope of this law is wider in comparison to other laws.
Administrative law determines the powers and duties of the organization and the administrative
authorities. The scope of administrative law is wide enough because, with the requirement of time,
Administrative Law incorporates and culls out new rules and regulations. The concept of
administrative law is founded on the following:-
1. Principles of natural justice and for rulemaking
2. Notion of the Rule of law
3. Law conferred power to administration as per Article 13 of the Indian Constitution
4. Accountability of powers, no power is absolute or uncontrolled
5. There should be a reasonable restriction on the regulations of such powers
6. The power of the court to issues writs
7. Opinions of public and mass media.
As administrative law incorporates new rules and regulations as per the requirement of time, so its
scope is wide enough to incorporate all such rules and regulations. In general, it is a judge made
law so it varies according to societal needs. The scope of the administrative law is wide as it can
act as all three branches of the government. It can make law, implement the law and can also take
decisions whenever required. But the review of the decision can be taken and on the basis of that
review, the court can issue guidelines if there is any contradiction in that decision.

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Sources of Administrative Law:
Constitution
The Constitution is the creator of various several administrative bodies and agencies. It gives brief
details about the mechanism and the administrative powers granted to various authorities. The
Constitution is the supreme law of the land. Any law or act which is inconsistent with it has no
force or effect. The effect of this provision is that laws and administrative acts must comply with
the Constitution. The Constitution is binding on the executive branch of government in every
sphere of administration. Constitution establishes a variety of agencies and administrative
structures to control the exercise of public power.
Acts and Statutes
Acts and Statutes passed by legislature are important sources of administrative law because they
elaborately detail the powers, functions and modes of control of several administrative bodies.
Ordinances, Notification and Circulars
Ordinances are issued by the President (at Union / Federal level) and Governor (at State level) and
are valid for a particular period of time. These ordinances give additional powers to administrators
in order to meet urgent needs. Administrative directions, notifications and circulars provide
additional powers by a higher authority to a lower authority. In some cases, they control the
powers. Ishwor Thapa Public Administration Campus, Tribhuvan University, Nepal An Article
“Administrative Law: Concept, Definition, Nature, Scope and Principle and its Sources ”
Judicial decision
Judicial decisions or judge-made law have been responsible for laying down several new principles
related to administrative actions. They increased the accountability of administrative actions and
acted as an anchor between the notifications, circulars etc. to be linked and complied directly or
indirectly with the constitutional or statutory provisions.

Principles of Administrative Law:

Judicial Review:
Administrative law is generic term, it encompasses all aspects of legal regulations of
governmental powers, and judicial review of the administrative actions refers to the jurisdiction of
the courts to ensure that governmental decision makers act within law. The exercise of legal power
may often involve the exercise of discretion to choose between alternative courses of action or,

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indeed, whether or not to act at all. The essence of discretion is, however, that it is contained within
legal limits. A power not contained within such limits would be arbitrary. The principles of judicial
review serve to set legal limits to the exercise of discretionary powers. Judicial review is concerned
with the legality of the decision made, not with the merits of the particular decision
Principle of legitimate expectation
It was, in fact, for the purpose of restricting the right to be heard that 'legitimate expectation'
was introduced into the law. It made its first appearance in an English case where alien students of
'Scientology' were refused extension of their entry permits as an act of policy by the Home
Secretary, who had announced that no discretionary benefits would be granted to this sect. They
had no legitimate expectation of extension beyond the permitted time and so no right to a hearing,
though revocation of their permits within that time would have been contrary to legitimate
expectation. Official statements of policy may cancel legitimate expectation; just as they may
create it. Ishwor Thapa Public Administration Campus, Tribhuvan University, Nepal An Article
“Administrative Law: Concept, Definition, Nature, Scope and Principle and its Sources ”
Principle of reasonableness
The concept of discretional decision making is one of the main issues of administrative
law. The term discretion has been used to indicate administration’s choice to achieve its goal
without arbitrariness since it achieves its goals by involving all citizens. Wielding this power, it
can make choices from a range of solutions, but bounded by the principle of reasonableness. This
principle expresses the logical relationship that must exist between discretional decisions and the
evaluation of all public and private interests involved in the circumstances of the case.
Principle of good governance
Good governance is about the processes for making and implementing decisions. It’s not
about making ‘correct’ decisions, but about the best possible process for making those decisions.
Good governance has eight major characteristics:
• Participatory
• Consensus oriented
• Accountability
• Effective and efficient
• Equitable and inclusive
• Rule of law

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 • Transparent
Principle of natural justice
“Not only should justice be done, but it should be seen to be done” It is not a written law
but has been developed by courts in process of their judicial decisions. It seems to be as old as the
system of dispensation of justice itself. It has by now assumed the importance of being, so to say,
"an essential inbuilt component" of the mechanism, through which decision making process
passes, in the matters touching the rights and liberty of the people. It is no doubt, a procedural
requirement but it ensures a strong safeguard against any Judicial or administrative; order or action,
adversely affecting the substantive rights of the individuals.
The principle of rule of law
“Where laws do not rule, there is no constitution.”19 The notion of the rule of law can be
traced back to at least the time of Aristotle who observed that given the choice between a king who
ruled by discretion and a king who ruled by law, the later was clearly superior to the former. The
essence of the rule of law is that of the sovereignty or supremacy of law over man and the
government. The rule of law insists that every person- irrespective of rank and status in society-
be subject to the law. Although it is always a good precept to beware of fashions in legal thinking,
there is substantial support for the view that the foundation of modern administrative law is the
rule of law.
The principle of accountability
The principle of accountability requires that there must be in place forums in which
decision makers may be called to account to justify their actions. Such accountability may be
political or legal. A minister should be accountable to Parliament at the political level to justify,
for example, that decisions taken are in the best interests of the nation. The principles of judicial
review enable the courts to call decision-makers to account for the legal propriety of their decision-
making. The principle of accountability helps in making a clear distinction between direction and
arbitrariness. An arbitrary power is one which is open-ended, not subject to identifiable limits and,
therefore, not capable of being controlled by the courts
Classification of power
The separation of powers is a useful doctrine in order to measure any undue shift of power
toward the executive. It is importance to recognize the scope and extent of a government’s
executive or administrative powers, and its judicial powers. It is a doctrine which is fundamental

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to the organization of a state – and to the concept of constitutionalism – in so far as it prescribes
the appropriate allocation of powers, and the limits of those powers, to differing institutions. The
concept has played a major role in the formation of constitutions. The extent to which powers can
be, and should be, separate and distinct, was a central feature in formulating, for example, both the
American and French revolutionary constitutions. In any state, three essential bodies exist: the
executive, the legislature and the judiciary. It is the relationship between these bodies which must
be evaluated against the backcloth of the principle. The essence of the doctrine is that there should
be, ideally, a clear distinction in function between the legislature, executive and judiciary, so that
none should have excessive power and that there should exist a system of checks and balances
between the institutions.
Objectives of Administrative Law:
Over the past decade it appears that administrative law, which is the body of law governing
the activities of administrative agencies of government, has been minimized, allowing a number
of governmental agencies to run ineffectually. Ultimately this has resulted in numerous economic
and environmental calamities within the United States, i.e.; British Petroleum, Enron, Wall Street,
and the auto industry. The majority of governmental agencies within the United States are
underneath the executive branch, with few being a part of the judicial and legislative branches.
Following are the objectives of administrative law:
• Control of government powers:
• Remedy to aggrieved person:
• Equal status of state and public:
• Effective use of government power:
• Public utility:
• Determination of government and public disputes:
• Determination of social problems:
• Performance of administration - improvement:
• Maintenance of Rule of law:

Conclusion
Administrative law is to administer & protect the public from the arbitrary actions of the
administrative authorities. For a democratic country, there should be a strong and honest

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administration system. Administrative law provides that strength by making laws for
administrative authorities. Administrative law makes the working of the administration system
more clear and more smooth. How to exercise powers, limits of those powers, how to keep those
powers in limits while exercising such powers, procedures followed by the officials all these things
are in administrative law. There are also remedies for the public when their rights are seized. It
does not like substantive law which is beyond the understanding of lawyers it is a law which is
dictated by the judges and especially focusing on the judicial review of the administrative actions.
It is limited to the law concerning powers and procedures of administrative and quasi-
administrative agencies.

Relationship Between Constitutional Law and Administrative Law

Constitutional law and administrative law are interrelated. While administrative law deals
with the organizations, powers, functions, and duties of administrative authorities,
the constitutional law deals with the general principles relating to these organization and their
powers and the relationship of these organs with the individuals.
For relationship between Constitutional law and administrative law, it can be stated that-
“It is logically impossible to distinguish administrative from constitutional law and all attempts to
do so are artificial. The constitutional law describes the various organs of government at rest, while
administrative law describes them in motion.”
In simple terms it can be said that the structure pertaining to legislature and executive are
the subject matter of Constitutional Law whereas their functions are dealt with Administrative
Law. Hence, Constitutional law and administrative law are closely connected and form a platform
for accountability and responsibility to government. There was no difference between the two laws
according to English Jurists. However, there are certain areas where they overlap each other and
is termed as ‘water shades of administrative law’. But the difference between the two reflects that
they are supplementary and complementary to each other.
There has always been a complicated relationship between both the laws. India has a
written Constitution and prevalence of concept called Judicial Review thereby, makes it very
difficult to separate both the laws. There is no watertight relation between the two and hence, this
imposes a burden on scholars and jurists to read between the lines. Constitutional Law is the
mother of Administrative Law wherein both are public laws and cannot exist without each other.

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The court in Suk Das v. Union Territory of Arunachal Pradesh (1986) held that in the
relationship between Constitutional Law and Administrative Law, there lies a rational nexus
between both the laws as Administrative Law functions to preserve the sanctity of principles,
duties, rights, obligations etc. laid down by Constitutional Law. But thereafter, there is pressing
need to draw distinction between the both laws to cater the idea of jurisdiction.
The confusion was created because U.K. had an unwritten constitution. Hence, in such
ambiguity jurists and scholars are referred to solve the differences and relationship between the
two laws. for example, according to Holland, various organs of the government are adumbrated in
Constitutional Law whereas the Administrative Law describes them in motion. Hence, the
structure of legislature and executive comes under the ambit of constitutional law whereas their
functioning comes under administrative law.
For Ivor Jennings, general principles relating to organization, its powers and powers of
other organs along with their mutual relationship is the subject matter of Constitutional Law
whereas, the premise of Administrative Law deals with organization, its functions and powers of
administrative authorities. And Locke had a more clear stance on the same as he pointed out that
“an individual can do anything but what is forbidden by law while state may do nothing but what
is authorized by law”.
According to Foulks, Administrative Law reflects the “law relating public administration.
It is concerned with the legal forms and constitutional status of public authorities; with their powers
and duties and with the procedures followed in exercising them; with their legal relationships with
one another, with the public and with their employees; which seek, in varied ways, to control their
activities.”
The doctrine of water shades helps to establish a line of distinction indicating proper
boundaries for application of laws. Dicey and Holland attempted to define this idea as relationship
between both the laws. However, many jurists feel that there exists a grey area between the two
laws. in India, this exists in shape of constitutional mechanism for ruling administrative
authorities’ and to keep an eye on- Article 32, 136, 226, 227, 300 and 311 deals with study of
administrative agencies which finds its genesis in constitution, legislative powers delegation and
limitation on administrative actions.
The growth of Administrative Law was outcome of growing and changing role of state and
its people. In country like India, the expectations of people are very high, because government

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performs functions of not only facilitator but regulator too. The role is not limited to external
aggression but involves internal one also. The distribution of limited resources requires good
governance.
There have been technological advancements which has consequences like unemployment,
overutilization of resources etc. Furthermore, inefficiency of traditional courts which requires
proper functioning for justice, welfare and quick problem solving. Hence, growth of administrative
law amidst it is the backbone of modern political philosophy.
This development of Administrative Law is not a recent one. It finds its root even in ancient
times. This can be traced in the era of Mauryas and Guptas who have well-structured administrative
laws. The notion of Dharma was at its peak and gave importance to principles of natural justice,
fairness etc. And this was considered to have a broader ambit as compared to rule of law or due
process of law. Every king or monarch followed this without claiming any immunity.
Constitutional Law is the prime source of Administrative Law in India. It is considered as
soul of Administrative Law. However, ordinance is also an important source. Under Article 213
and 123, President and Governor has power to promulgate ordinance in emergency situations, but
there lies a need to get approval for the same.
In Bank Nationalization Case, Supreme Court held that “if the ordinance is constructed
on collateral grounds then it can be challenged before the Apex Court”. Further in S.R. Bommai
v. Union of India, the court clarified that “proclamation of emergency under Article 356 on ground
of failure of constitutional machinery is subjected to judicial review”.
The Constitutional Law is the supreme law of the land whereas Administrative Law is
subordinate to it. Hence, former is genus and latter is its specie. Constitutional law reflects
provisions with respect to all laws and their relations with state and citizen, however, the latter
deals with working of state and its various functions to be performed. Therefore, there lies a need
for separate discipline to control and prevent the arbitrary action of administrative authorities and
give protection to the rights of an individual and thereby public as a whole.
The court in State of Bombay v Bombay Education Society held that Executive action
established in India is protected through various ways. Considering example of subordinate
legislation which is considered within the meaning of Article 13 which includes bye-laws
regulations etc. but if it is ultra vires of Constitution then it can be struck down as held
in Chandrakant Krishnarao Pradhan v Jasjit Singh. The court in Rashid Ahmed v Municipal

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Board, Kairana[14] held that any administrative action with no statutory basis can be held void
and therefore, court has power to declare it void if any administrative policy or action violates
Constitution.
There is an additional ground on which administrative action can be challenged in special
cases where legislative act if comes under purview of administrative order made in itself is
unconstitutional as held in State of Mysore v. H. Srinivasmurthy. The court also in Ram
Narayan Singh v State of Delhi held that, when the orders are made in cases of quasi-judicial
questions it can be challenged to be unconstitutional and legislative provision to be against
constitution.
The court in A.R. Antulay v. R.S. Nayak held that any aspect of administrative law does
not differentiate between both the laws. the aspects are so broad to include various substantive
aspects like public health, education etc. since, the Constitutional Law reflects such ideas for public
welfare at large and hence, administrative law deals with them to further help in implementation.
Constitutional Law has power to monitor the three branches of the government and set a
benchmark to the extent in which policies, rules and regulations can be formulated as substantiated
in Sunil Batra II v. Delhi Administration.
Therefore, it cannot be denied that Constitutional Law plays a very important role in
establishing guidelines, rules, principles and helps in broadening the scope of Administrative Law.
The relationship between constitutional law and administrative law, however, sometimes overlaps
but very instrumental in many cases. In existence, both are separate laws and have a common area
called watershed area in administrative law.

Rule of law and Administrative Law

Meaning and Origin
The rule of law is a product of centuries of the struggle of the people for the recognition of their
inherent rights.1 In classical Greece, Aristotle wrote that “law should be the final sovereign”. In
1215, the Magna Carta checked in the corrupt and whimsical rule of King John by declaring that
the government should not proceed except in accordance with the law of the land.
During the thirteenth century, Thomas Aquinas argued that the rule of law represents the natural
order of God as ascertained through divine inspiration and human resources. In the seventeenth

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century, the English jurist Sir Edward Coke asserted that the “king ought to be under no man, but
under God and the law.” Despite its ancient history, the rule of law is not celebrated in all quarters.
The English philosopher Jeremy Bentham described the rule of law as “nonsense on stilts.” The
twentieth century has seen political leaders who have oppressed disfavored persons or groups,
without warning or reason, governing as if no such thing as rule of law existed. For many people
around the world, the rule of law is essential to freedom.
The most famous exposition of the concept of rule of law has been laid down by A.V. Dicey
(Law of the Constitution) who identifies three principles which together establish the rule of
law:
1. The absolute supremacy or predominance of regular law as opposed to the influence of
arbitrary power.
2. Equality before the law or the equal subjection of all classes to the ordinary law of the land
administered by the ordinary courts; and
3. The law of the constitution is a consequence of the rights of individuals as defined and
enforced by the courts
When explained, it amounts to, in Dicey’s own words:
“……every official, from the Prime Minister down to a constable or a collector of taxes, is under
the same responsibility for every act done without legal justification as any other citizen. The
reports abound with cases in which officials have been brought before the courts, and made, in
their personal capacity, liable to punishment or to payment of damages, for acts done in their
official character but in excess of their lawful authority. [Appointed government officials and
politicians, alike] …. And all subordinates, though carrying out the commands of their official
superiors, are as responsible for any act which the law does not authorize as is any private and
unofficial person.”2
Criticisms
Dicey’s concept has been criticized because of the predominance of ordinary laws and the absence
of arbitrary power. Discretionary power is a must when it comes to the application of laws by
governmental agencies like impartial and independent tribunals.3
Due to these limitations, the rule of law still remains a cardinal principle of every democratic
government. It is true that delegated legislation and administrative jurisdiction are both the worst

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enemies of the rule of law. The development of delegated legislation and administrative justice,
however, is not only inevitable but also, with proper modification and safeguards, desirable.
Dicey’s notions may have been criticized but the main idea behind the rule of law still holds i.e.
protection of individual rights and liberties. For a democratic government, the rule of law is a basic
requirement; and for the maintenance of the rule of law, there must be an independent and impartial
judiciary.
It is embodied in the concept of rule of law that equality before the law or equal protection of laws
is ensured to all citizens, and every citizen is protected from the arbitrary exercise of power by the
state. Thus, in a state professing the rule of law, the aim should be to provide for a system that
secures to its citizens’ adequate procedure for the redress of their grievances against the state
before forums, which are able to administer justice in an impartial manner without any fear or
favour.
Each country has devised its own system to ensure the maintenance of the rule of law. The rule of
law pervades the entire field of administration and regulates every organ of the state.4
Rule of law in India
The Constitution of India specifically provides that the state shall not deny to any person equality
before the law or the equal protection of the laws. The concept of rule of law would lose all its
vitality if the instrumentalities of the State are not charged with the duties of discharging their
functions in a fair and just manner.5 It has been held that the rule of law pervades the constitution
as its basic feature and cannot be taken away even by an amendment of the constitution.6
In a system governed by rule of law, discretion, when conferred upon executive authorities, must
be confined within clearly defined limits. This means that decisions should be made by the
application of known principles and rules and, in general, such decisions should be predictable and
citizens should know where he stands.7
The Constitution lays down in Part IV the directive principle of state policy. It enjoins the State to
bring about a social order in which justice – social, economic and political – shall govern all the
institutions of national life. The rule of law promotes the lofty ideals enshrined in the directive
principles of state policy and draws its sustenance from the higher judiciary, which upholds the
constitutionality of laws keeping in view the philosophy of these ideals.

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A growing threat to the rule of law is coming from undue delay in judicial proceedings. In order
to ensure the rule of law, the system must, therefore, ensure effective and expeditious remedies
against the violation of laws.8
Basic Principles of the Rule of Law
▪ Law is Supreme, above everything and everyone. Nobody is above the law.
▪ All things should be done according to law and not according to whim.
▪ No person should be made to suffer except for a distinct breach of law.
▪ Absence of arbitrary power being the heart and soul of the rule of law.
▪ Equality before the law and equal protection of the law.
▪ Discretionary power should be exercised within reasonable limits set by law.
▪ Adequate safeguard against executive abuse of powers.
▪ Independent and impartial Judiciary.
▪ Fair and Just Procedure.
▪ Speedy Trial
Rule of Law and Indian Constitution
In India the Constitution is supreme. The preamble of our Constitution clearly sets out the principle
of rule of law. It is sometimes said that planning and welfare schemes essentially strike at rule of
law because they affect individual freedoms and liberty in many ways. But the rule of law plays
an effective role by emphasizing fair play and greater accountability of the administration.
It lays greater emphasis on the principles of natural justice and the rule of speaking order in an
administrative process in order to eliminate administrative arbitrariness.
Case laws
In an early case, S.G. Jaisinghani v. Union of India and others9 the Supreme Court portrayed
the essentials of rule of law in a very lucid manner. It observed:
“The absence of arbitrary power is the first essential of the rule of law upon which our whole
constitutional system is based. In a system governed by rule of law, discretion, when conferred
upon executive authorities, must be continued within clearly defined limits.
The rule of law from this point of view means that decisions should be made by the application of
known principles and rules and, in general, such decisions should be predictable and the citizen
should know where he is. If a decision is taken without any principle or without any rule it is

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unpredictable and such a decision is the antithesis of a decision taken in accordance with the rule
of law”.
The Supreme Court in a case, namely, Supreme Court Advocates on Record Association v.
Union of India 10, reiterated that the absence of arbitrariness is one of the essentials of rule of law.
The Court observed.
“For the rule of law to be realistic there have to be rooms for discretionary authority within the
operation of rule of law even though it has to be reduced to the minimum extent necessary for
proper, governance, and within the area of discretionary authority, the existence of proper
guidelines or norms of general application excludes any arbitrary exercise of discretionary
authority. In such a situation, the exercise of discretionary authority in its application to
individuals, according to proper guidelines and norms, further reduces the area of discretion, but
to that extent discretionary authority has to be given to make the system workable.”

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 Module 5
Redress of grievances
Grievances of Citizens in India – Different Types
We can classify public grievances into different categories which are mentioned below.
Grievances against Policies
1. Citizens may have grievances against the policies of the Government, which may affect a
large group of people.
2. Such grievances are raised in the media and legislatures.
Grievances due to Maladministration
1. This grievance arises when the Government policies are not implemented efficiently by the
administration due to various issues like lack of coordination between different
departments or agencies or may be due to inefficiency of officials stemming from the heavy
workload.
Grievances due to Corruption
1. This arises due to a lack of integrity among officials working in the administration. For
many years India is known for its high levels of corruption. For many years the public has
been suffering due to rampant corruption at all levels. However, there are efforts from the
current Government to control corruption.
Grievances in Rural Areas
Majority of the population in India resides in rural areas. The grievances faced by them are given
below.
1. Non-availability of supplies – Grievances due to intermittent supply of essential
commodities like electricity, seeds, pesticides, fertilizers, medicines etc. Instead of making
sure the supplies reach intended beneficiaries, it gets leaked into black markets for
profiteering.
2. Delay in Supplies or Services – This happens due to inefficient public distribution
systems.
3. Harassment – Many villagers at the hands of officials when they wanted to avail medical,
administrative and agricultural services.

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The 2 most important nodal agencies that are responsible for addressing grievances at the Central
Government are listed below.
1. Department of Administrative Reforms and Public Grievances (DARPG) – It
functions under the Ministry of Personnel, Public Grievances and Pensions.
2. Directorate of Public Grievances – It is part of Cabinet Secretariat
Department of Administrative Reforms and Public Grievances (DARPG)
1. The primary role of this department is to plan and implement citizen-centric measures in
the domain of public grievances and carry out administrative reforms so that the
Government is in a position to deliver quality public services without any obstacles.
2. The grievances received will be forwarded to the respective ministries, departments, and
state governments. The cases will be followed until it is closed.
Directorate of Public Grievances (DPG)
1. It was set up in the Cabinet Secretariat in 1988. They handle complaints pertaining to 16
Central Government Organisations.
Ombudsman
This concept came from Sweden. It means an officer appointed by the Legislature to handle
complaints against a service or administrative authority. In India Government has appointed
Ombudsmen to resolve grievances in the following sectors.
1. Insurance Ombudsman
2. Banking Ombudsman
3. Income Tax Ombudsman
Lokpal
Lokpal was established under the Lokpal and Lokayuktas Act 2013 to investigate corruption
against public functionaries, even the Prime Minister. Lokpal can order investigation from its
internal inquiry wing, Central Bureau Investigation (CBI), Central Vigilance Commission (CVC).
Tribunals
Tribunals are formed to address delays in disposal of cases in courts. These are quasi-judicial
institutions. Some of the most important tribunals are mentioned below.
1. Central Administrative Tribunal (CAT)
2. Railway Claims Tribunal
3. Debt Recovery Tribunal

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 4. Customs, Excise and Service Tax Tribunal
5. Income Tax Appellate Tribunal
6. Labour Tribunal
Committee on Petitions – Parliamentary Committee
This is a Parliamentary Committee which works on redressing grievances of the public, and a
citizen can submit petitions to secure redress against grievances.
E-Governance – To Address Public Grievances
The current Government has been working on addressing the public grievances by utilising
Information and Communications Technology (ICT). Some of the noteworthy efforts of the
Government to implement E-governance to reduce Public Grievances in a timely manner has been
mentioned below.
• Central Public Grievance Redress and Monitoring System (CPGRAMS) – It is an
integrated online grievance redressal and monitoring system developed by National
Informatics Centre (NIC) in collaboration with DARPG and DPG. Citizens can lodge
complaints and monitor the status of their complaints through CPGRAMS. This system
was developed in 2007.
• Pro-Active Governance and Timely Implementation (PRAGATI) – It is a multi-modal and
multi-purpose grievance redressal system designed by the Prime Minister’s Office (PMO)
and NIC. It increases the cooperation and coordination between the Union Government
and State Government in addressing the grievances and monitoring government schemes.
• E-Nivaran – It was launched by the Central Board of Direct Taxes for online redressal of
grievances related to taxpayers. The taxpayers can register and track their grievances in
this system.
• Unified Mobile Application for New-Age Governance (UMANG) – It is a single platform
through which citizens across India can access e-governance services, starting from Central
Government to local government bodies.
• MyGov – It is a platform launched in 2014 to disseminate information by the Government
and Government can seek public opinion.
• Nivaran – It is an online portal launched by the Indian Railways in 2016, to address the
grievances of lakhs of Railway Employees.

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 • Integrated Grievance Redressal Mechanism (INGRAM) – It is a portal launched by the
Ministry of Consumer Affairs to address grievances of the public when they purchase any
goods or services.
• Mera Aspataal (My Hospital) – It was an app and portal launched by the Ministry of Health
in 2017 under the National Health Mission. It was to capture patient feedback for the
services received at the Government Hospitals. This is to help the Government enhance the
quality of health care services provided across public facilities.
Other Citizens Grievance Redressal Mechanisms
• Right to Information Act (RTI) – The RTI act was passed in 2005. It empowers the
citizens to ask any questions to the Government, seeks information, obtains Government
documents, inspects Government works. This act is to not only empower citizens but also
promote transparency and accountability in the functioning of Government.
• Citizens Charter – The task of formulating and operationalising Citizens Charter was
undertaken by DARPG. The idea was to bring in transparency in public services and to
correct things when they go wrong. The idea of Citizen Charter was first pioneered in the
United Kingdom in 1991, with a focus on public services. However there have been many
loopholes in the citizens charter which needs to be fixed.
• Gram Sabha – Conducted at village levels to address the grievances of village community
members.
• Senior Citizen Act – It has been passed to address the grievances of senior citizens.
• Hostels Act – This has been passed to address the grievances of working women.
Administrative Reforms Commission (ARC) – 2 Commissions
The Administrative Reforms Commission (ARC) is the committee appointed by the Government
of India for giving recommendations to reform the Public Administration System in India. So far
there have been 2 Administrative Reforms Commissions. The details are shared below.
1st Administrative Reforms Commission (ARC)
1. The 1st ARC was established on 5th January 1966.
2. The commission was chaired by Morarji Desai and was later chaired by K. Hanumanthaiah
The mandate of 1st ARC
1. They were tasked with the mandate to suggest measures to improve financial, personnel,
economic, district, agricultural administrations.

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 2. The administrations concerning Defence, Intelligence, External Affairs, Railways were
excluded from the purview of 2nd ARC.
2nd Administrative Reforms Commission (ARC)
1. 2nd ARC was constituted on 31st August 2015.
2. Veerappa Moily was the chairman of the 2nd ARC.
3. It was tasked to revamp the public administrative system.
2nd ARC Report
The 2nd ARC submitted 15 reports covering the following areas
1. Right to Information (RTI)
2. Ethics in Governance
3. Local Governance
4. Public Administration
5. E-Governance
6. Combating Terrorism
For More Information on Arc Reports visit the linked article
Sevottam
1. This is a model proposed by the 2nd Administrative Reforms Commission.
2. When translated into English, Sevottam means Excellent Service.
3. This would provide a standard model for grievance redressal mechanisms. It will plug the
loopholes of the Citizen Charter.
4. Sevottam focuses on improving the quality of service delivered to the citizens.
Sevottam – Focus Areas
Sevottam will work on rectifying problems in the following 3 main domains.
1. Public Grievance Mechanism
2. Citizen Charter
3. Service Delivery

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Rule of law

Dicey concept
Dicey is one of the well known jurists of England and he has written a famous book “Law of the
Constitution”. One should know the difference between administrative law and the rule of law.
People who are in government job have different law from ordinary citizens and the rule of law is
equal for everyone whether he is Prime minister of India or a normal clerk working in an office.
The same law will be applicable to both of them, no discrimination will be done under the rule of
law and rule of law is supreme in nature.
Dicey was against making different rules for a different class of people so he stood by against this
concept and promoted the idea of Rule of law. Here a term is used “Droit administrative” was
introduced by Napoleon and in France, it was known as Droit Administratif. France was having
separate administrative court for dealing with the matter. According to this action by the citizens
against an official for a wrongful act committed in their official capacity will be dealt by the special
court not by the ordinary courts of law. Droit administratif does not consist of rules and law made
by the French parliament but it includes a rule which is developed by the judges of the
administrative court.
The doctrine of Rule of law has 3 meaning in Dicey book.
1. Supremacy of law.
2. Equality before the law.

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 3. The predominance of a legal spirit. Merit and Demerits of the Dicey Concept
Merits:
1. Help in making limits to the power of administrative authorities.
2. A major role in growth and recognition of administrative law.
3. Act as a scale for the test of administrative action.
Demerits:
1. His theory was not fully accepted during that era also.
2. Failed to distinguish between discretionary and arbitrary power.
3. He misunderstood the concept of Droit administration which was actually
successful in France.
Rule of law
Rule of law is a product of struggle by the people from centuries for recognition of their inherent
rights and the concept of a rule is very ancient and old. During the ancient times, the concept of
rule of law was discussed by the Greek philosopher Aristotle and Plato at the time of 350 BC so
now you can imagine how old this concept. Plato has written that if rule of law under the
supervision of any law than it doesn’t have any value and the concept of state will get collapsed
and if the law is master of government and government work as a slave for law then the concept
of state will work effectively and humans can enjoy their rights.
According to Plato the meaning of rule of law is that it is supreme in nature and nobody is above
the law.
According to Aristotle has written that law should be the final sovereign of the state.
According to Sir Edward Coke “Rule of Law” means the absence of arbitrary power on the part
of Government.
This phrase was derived from the French phrase “la Principe de legality” which means that the
principle of legality whatever the legal system principle is called a rule of law. Which refers to
government is based on the principles not on any individuals and according to the law everything
will move. Rule of law is the basic principle of the English constitution and this doctrine is
accepted by the US and as well as India also.
The entire basis of Administrative law is the Rule of law and delegated legislation is the backbone
of administrative law.

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Development
Rule of law was developed by a British jurist Albert Venn Dicey in his book called “The Law of
the Constitution” 1885. In this book, he develops this concept and he identifies 3 principles while
establishing the rule of law.
According to Albert Venn Dicey rule of law first meaning is “No man is punishable except for
a Distinct breach of Law” established in the ordinary legal manner before the ordinary court. The
government or any high-class authority cannot punish any individual on the personal ground till
the time an individual has committed an offence and if the offence is committed then proper
procedure and trail will be conducted and in case the final verdict is that the offence is committed
then physical or economic punishment will be given to the accused person. This clearly indicates
that even if 100 criminals are not arrested is ok rather than punishing one innocent person.
“No man is above the law” every man, whether he is from a higher rank or whatever his position
is subjected to ordinary law under the jurisdiction of the ordinary court. No man will be derived
from his personal property until the time he has breached any law established by the ordinary court.
Article 14 of The Constitution of India also talk about that “Every Man is equal before the law,
no one is above”.
Constitutional rights are the source of a judicial decision it means that the source of rights is not
the constitution but the rules or law enforcement by the court. The British constitution is the result
of judicial result and all the rights are given under the Constitution is decided and framed from
some or the other judicial decisions.
The principle of Rule of law is accepted by Article 14 of the Constitution and it has 2 main rule
that no man is above the law and no man is punishable except for a breach of law and the last rule
given above is not accepted by our constitution. So, the first and second rule applies to the
constitution but the third rule of dicey is not accepted by our Indian system. All rules passed by
the legislature must be within the provision of the Constitution and if any law is made which
encroached any of the provisions of the constitution then it will be declared as void by the Supreme
Court.

Basic Principles of Rule of Law

1. Law is supreme and nobody is above the law.
2. All the things should be done according to a law not as per whim.

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 3. No person should be suffered except for the breach of law.
4. Absence of arbitrary is the soul of the rule of law.
5. Equality before the law and equal protection of the law.
6. Speedy trial.
7. The fair and just procedure should be conducted.
8. Independent and impartial judiciary.
Kesavananda Bharati vs. the State of Kerala under this case the principle of Basic Structure was
propounded and it was said that any part of the Constitution can be amended without disturbing
the basic structure of it.
Indira Nehru Gandhi vs. Raj Narain, the court held that rule of law is also part of the basic
structure and in the list rule of law was also added and it means that no amendment can be done in
rule of law.
The State of Bihar vs. Sonawati Kumari, it is an integral part of Rule of law that all the authority
within the State including executive government should be bound to obey the rules.
In case of Bachan Singh vs. the State of Punjab, popularly known as “Death Penalty Case” the
rule of law is free from arbitrary action if anywhere any action is done with arbitrary power then
it will be considered as the denial of the concept of Rule of Law.
In case of Som Raj vs. State of Haryana, that absence of arbitrary power is absolute motive of the
principle of rule of law upon which directly the whole Constitution is dependent. Rule of law in
modern Sense
Today the dicey theory of Rule of law cannot be accepted in total. The modern concept of rule of
law is very wide and therefore set up an example for the government to achieve and this concept
was developed by the International Commission of Jurists which is also known as Delhi
Declaration, 1959.
According to this, the Rule of the law says that the function of the government in a free society is
to exercise and create a condition in which the dignity and respect of an individual are increased
or upheld. It does not only recognize civil or political rights but the introduction of certain social,
political, economic, and educational etc. which are necessary for the full development of
personality.
According to Davis, there are 7 types of Modern law
1. Law and orders.

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 2. Principle of Natural law.
3. Fixed rules and regulations.
4. Eliminate the idea discretion.
5. Due and fair process of law.
6. Preferences for judges and court of law to executive authority and administrative
tribunals.
7. Judicial review of administrative action.
So, in proper manner rule of the law say that it silent on the democratic system, where the political
interest is encouraged and criticism of the government is not only permitted but given positive
merit.

How Freedom of Speech and Expression is an integral part of the Rule of law Rule of law is
very founding stone of stage of democratic stands that’s why it is considered as an important and
integral part of Rule of Law. To ask for the right of others and the way they are expressed can be
either by speaking, writing, drawing, etc. and above all rule of law does not go with arbitrariness
which can be established by fiving freedom and one of such freedoms is freedom of Speech and
expression.
Now, let’s understand about Freedom of Speech and expression is one of the important
fundamental rights given under the Constitution for every individual to enjoy it fully. Freedom of
speech and expression should be used in a very delicate manner because while expressing the idea,
thought it should not defame or hurt the sentiments of any individual or religion view and without
the fear of getting punished for any offensive act. As per UDHR (Universal Declaration of
Human Resources) every individual has the right to freedom of expression and opinion. The right
involves the right to hold the information without any interference from any media or other
sources. Right to freedom of speech and expression is recognized as an essential human right under
Article 19 of the UDHR as well as in ICCPR (International Covenant on Civil and Political
Rights).

Freedom of Speech and Expression in the Indian Constitution

Article 19(1) of the Indian Constitution says the Freedom of Speech and expression means the
right to express one’s ideas by the help of words, gesture, painting, writing etc. or by any other

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specified mode. It also includes the publication of articles, books etc. so the freedom of the press
is also included under this category.
1. It also helps individuals to be well informed about the current situation of
highlights of society or nation.
2. Help the individual to the development of ideas, thoughts, opinions etc. which will
help in decision making.
3. Varieties of ideas help in maintaining a balance between stability and social
changes.
4. Help in achieving of Self-fulfilment.
In Shivkant Shukla vs. ADM Jabalpur the government of M.P. appealed against the High Court
ruling in the Supreme Court. The problem arises that whether Rule of law aside from Article 21
of the Constitution of India. There is no rule apart from Article 21 and there can never be separate
rule of law.

Conclusion
It was very clear that the idea of the Rule of law was not totally perfect. Rule of law has taken
charge of administrative powers and understated them with their measures and this concept was
adopted by various countries as a watchdog of the constitution. The modern concept given by
David was a broad concept as well as possible for the government to use it in a graceful manner
and administrative law main task was to fulfil the gap between power and liberty. The government
under the guideline of Rule of law make to rule or conditions that do not intercept with any
individual dignity.

The Doctrine of Separation of Power

I. INTRODUCTION
India follows a separation of functions rather than a separation of powers. The doctrine of
separation of powers is an important aspect of the Indian Constitution since it oversees and
supervises the powers granted to various parts of government, including the legislature, executive,
and judiciary. Montesquieu, a French academic, originally introduced the doctrine of separation
of powers in his book “Espirit des Louis” (The Spirit of the Laws) in 1747. He advocated for a
division of authority among the many departments of the state, according to his idea. The

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separation of powers between the several branches of the government creates a system of checks
and balances that keeps the various entities in check and prevents one branch from becoming too
dominant.
II. WHAT DOES THE TERM “SEPARATION OF POWERS” MEAN?
▪ The concept’s backstory
▪ This idea initially appeared in Aristotle’s works in the 4th century BCE, when he
identified the three branches of government as the General Assembly, Public
Officials, and Judiciary.
▪ A comparable approach was used in the Ancient Roman Republic.
▪ In his book De l’esprit des Lois, the 18th-century French philosopher Montesquieu
made the idea a highly systematic and scientific one in modern times (The Spirit
of Laws).
▪ His work is founded on an understanding of the English system, which tended to
emphasize the separation of the three branches of government.
▪ John Locke expanded the concept further.
▪ The Separation’s Purpose
The goal of separation of powers is to prevent a single person or a group of people from abusing
their power. It will protect society from the state’s arbitrary, illogical, and dictatorial powers,
ensure everyone’s freedom, and assign each role to the appropriate state organs for the successful
performance of their tasks.
▪ What Does Separation of Powers Mean?
Separation of powers separates the government into three branches: legislature, executive branch,
and the judiciary branch.
Although different authors provide different definitions, three characteristics of this theory can be
framed in general.
▪ A single person should not be a member of more than one of the government’s
three organs.
▪ No one government organ shall interfere with any other government organ.
▪ The functions of one government organ should not be exercised by any other
government entity.[1]

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These broad areas are thus defined, yet in a complicated society like India, conflict, and
transgression by one branch against the other is common.
▪ The doctrine’s importance
Why is it necessary to have a division of powers between the various State organs? When power
is concentrated in one place, there is a higher risk of mismanagement, corruption, nepotism, and
power abuse. This principle prevents authoritarianism from infiltrating a democratic system. It
safeguards citizens from arbitrary rule. As a result, the significance of the idea of separation of
powers can be summarised as follows:
1. Keeps autocracy at bay
2. Individual liberty is protected.
3. Assists in the creation of a more efficient administration
4. The independence of the judiciary is preserved.
5. Prevents lawmakers from passing arbitrary or unconstitutional legislation.
III. SEPARATION OF POWERS BETWEEN THE THREE GOVERNMENT
BODIES
▪ Legislative Authority
The legislature enacts general norms of legislation that are primarily concerned with how its
citizens and institutions behave themselves. The Lok Sabha and the Rajya Sabha are the two houses
of India’s Union Legislature, which help to enact laws, approve borrowing, levy taxes, and write
debates, and pass bills that are then sent to the President for approval. Only after the President
signs and approves a bill does it become law. As a result, the system of checks and balances is
emphasized. Article 123 of the Indian Constitution gives the President this authority.
▪ Executive Powers
The executive branch of government is responsible for enforcing the laws passed by the legislature.
According to Article 53 (1) of the Indian Constitution, the President and the Governor of India
have executive powers. They have the power to veto laws, play a key role in appointing judges,
and give pardons to criminals. As a result, the system of checks and balances over the
government’s judiciary body is preserved.
▪ Powers of the Judiciary
The principal role of the judiciary is to prevent laws from being broken and to defend citizens’
fundamental rights. The Supreme Court of India is the highest in the country, with complete

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judicial power. The judiciary’s job is to interpret the laws enacted by the legislature but they are
unable to enact new legislation. In this way, they are reliant on the government’s legislative body.
By establishing the Supreme Court of India, Article 124 (1) of the Indian Constitution affords the
court various rights. The Supreme Court judge is appointed by the President, who is the executive,
according to Article 124 (2), creating a system of checks and balances on the judiciary.
IV. INDIA’S CONSTITUTIONAL STATUS OF POWER SEPARATION
Although not explicitly stated, the notion of separation of powers is a part of the Constitution’s
essential framework. A bill that violates this principle cannot be passed by the legislature. The
Constitution expressly mentions the functions of the three organs.
Take a look at some of the Constitution’s articles that propose the separation of powers.
Article 50: This article imposes a duty on the state to keep the judiciary and the executive distinct.
It is not enforceable, however, because it falls under the Directive Principles of State Policy.
Article 123: The President, as the country’s executive leader, has the authority to exercise
legislative powers (promulgate ordinances) under certain circumstances.
Articles 121 and 211 state that legislators are prohibited from debating the conduct of a Supreme
Court or High Court judge. They can only do so if the president is impeached.
Article 361: The President and Governors of the United States are immune from legal action.
There is a system of checks and balances in place, with certain rules imposing checks on one
another.
▪ The executive and legislative activities are subject to judicial review by the
judiciary.
▪ According to Article 13, the judiciary can overturn any law approved by the
legislature if it is unconstitutional or arbitrary (if it violates Fundamental Rights).
▪ It also has the power to declare unconstitutional executive actions null and void.
▪ The legislature also examines the executive’s performance.
▪ The judges are appointed by the executive, even though the judiciary is
independent.
▪ While keeping to the constitutional restriction, the legislature can also change the
foundation of the ruling.

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There are checks and balances in place to ensure that no single organ becomes too dominant. The
Constitution ensures that any organ’s discretionary power is exercised following democratic
principles.
V. SEPARATION OF POWER IN INDIAN CASE LAWS
1. Kesavananda Bharati Vs. State of Kerala[2]
Article 368 of the Constitution was challenged in this case. Article 368 gives Parliament the
authority to modify the Constitution and the procedures for doing so. In this case, it was decided
that, while Parliament is given the capacity to alter the Constitution, they do not have an absolute
right to do so, and that if an issue arises to amend the constitution’s core elements, it would be
declared unconstitutional.
2. Ram Jawaya v. the State of Punjab[3]
The Hon’ble Supreme Court ruled in this judgment that there is no rigorous division of powers in
India. The Supreme Court ruled that the executive branch derives its legitimacy from the
legislature and is reliant on it.[4]
3. Indira Gandhi Nehru v. Raj Narain[5]
This case is a Supreme Court lawsuit involving a dispute about Prime Minister election results. It
was decided that the function of the judiciary in resolving a specific issue is that of the judiciary
and that the legislature cannot exercise its modifying power under Article 368. It was decided that
the Prime Minister elections would not be nullified, but that they would be held in violation of the
separation of powers concept.
4. M/S UEE Electricals Engg. Pvt. Ltd. vs. Delhi Development Authority[6]
It was said in this case that judicial review should only be utilized for protection, not for undue
interference in executive activities.
VI. THE LEGISLATURE’S AND THE JUDICIARY’S RELATIONSHIP
Even though the executive and judiciary’s roles are specified in the Constitution, the checks and
balances system assure that each can impose checks on the other.
▪ The judiciary has the power to overturn laws that are deemed unconstitutional or
unreasonable.
▪ The legislature, for its part, has denounced judicial activity and attempted to enact
legislation to overturn key rulings.

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 ▪ The principle of separation of powers is considered to be violated by judicial
activism.
▪ In some cases, the courts have issued laws and rules as a result of their decisions.
The Vishakha Norms, for example, are a set of sexual harassment guidelines
published by the Supreme Court.
▪ The Supreme Court ordered the government to distribute food grains in 2010.
▪ Judicial overreach occurs when the judiciary exceeds its authority and enters the
legislative or executive branches of government.
VII. THE LEGISLATURE’S AND THE EXECUTIVE’S RELATIONSHIP
The Executive Branch of the State (Council of Ministers) is collectively responsible to the
Legislature, according to the Constitution (Lok Sabha). This indicates that Parliament should
monitor the government’s activities and hold it accountable for its decisions.
▪ The executive and legislature are not divided in a parliamentary form of
government since members of the council of ministers are also members of the
legislature.
▪ When the legislature loses faith in the executive, it loses authority. If the
executive/council of ministers loses the confidence of the legislature before the end
of its term, it is removed. In a parliamentary system of government, the executive
and legislature are not separated because members of the council of ministers are
also members of the legislature.
▪ The legislative loses authority when it loses faith in the executive. If the legislature
loses confidence in the executive/council of ministers before the end of its term, it
is ousted.
▪ The legislature enacts legislation in broad terms and delegated authority to the
administration to develop and implement detailed policies.
▪ The executive is not accountable to the legislature in a presidential system of
government. Both the State and the government are led by the same individual. A
minister does not have to be a member of the legislature.
VIII. THE EXECUTIVE AND JUDICIAL BRANCH’S RELATIONSHIP
The Constitution contains many clauses that ensure the independence of the judiciary. This is
because it is considered that the judiciary must be independent for a democracy to be efficient and

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successful. The constitution is said to be guarded by the judiciary. If the executive also has judicial
powers, the government is more likely to be corrupt.
The executive, on the other hand, performs some judicial tasks as well. They are as follows:
▪ The executive makes the appointments for the judges.
▪ The President and Governors have the authority to pardon, reprieve, and so on.
These are judicial functions that are carried out directly.
▪ The executive agencies have the authority to hear and decide issues involving
certain domains of administrative activity under the administrative adjudication
system.
IX. CONCLUSION
The principle of power separation is enshrined in India’s Constitution. The checks and balances
system ensures that the power wielded by various government agencies, such as the Legislature,
the Executive, and the Judicial, is not abused and that the law is followed in its entirety. In India,
the separation of powers is not strictly enforced because multiple government organizations
perform similar responsibilities. In India, courts are prohibited from investigating Parliamentary
proceedings under Articles 122 and 212 of the Constitution. The powers of the judiciary and the
executive are separated by Article 50 of the Indian Constitution. The President of India has
executive powers under Articles 52 and 53. After the legislative has prepared a law, it must be
approved by the executive, which is the President. The bill can subsequently be accepted or
rejected by the President. There is a system of checks and balances between the legislative and the
administration in this regard. Multiple times, Article 368 of the Indian Constitution, which
provides Parliament the ability to change the Constitution, has been challenged.
Thus, in India, the powers of the three bodies of government, namely the judiciary, executive, and
legislative, are divided according to the doctrine of separation of powers to prevent the creation of
a totalitarian type of government.
Montesquieu’s Theory
According to this theory, powers are of three kinds: Legislative, executive and judicial and that
each of these powers should be vested in a separate and distinct organ, for if all these powers, or
any two of them, are united in the same organ or individual, there can be no liberty. If, for instance,
legislative and executive powers unite, there is apprehension that the organ concerned may enact
tyrannical laws and execute them in a tyrannical manner. Again, there can be no liberty if the

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judicial power is not separated from the legislative and the executive. Where it joined the
legislative, the life and liberty of the subject would be exposed to arbitrary control, for the judge
would then be the legislator. Where it joined with the executive power, the judge might behave
with violence and oppression.[ix]
Writing in 1748, Montesquieu said:
“When the legislative and the executive powers are united in the same person or in the same body
of magistrates, there can be no liberty, because apprehensions may arise, lest the same monarch
or senate should exact tyrannical laws, to execute them in a tyrannical manner. Again there is no
liberty if the judicial power be not separated from the legislative and the executive. Where it joined
with the legislative, the life and the liberty of the subject would be exposed to arbitrary control;
for the judge would be then a legislator. Where it joined to the executive power, the judge might
behave with violence and oppression.
There would be an end of everything, where the same man or the same body, whether of nobles or
of the people, to exercise those three powers, that of enacting laws, that of executing the public
resolutions and of trying the causes of individuals.”[x]
The theory of separation of powers signifies three formulations of structural classification of
governmental powers:
1. The same person should not form part of more than one of the three organs of the
government. For example, ministers should not sit in Parliament.
2. One organ of the government should not interfere with any other organ of the
government.
3. One organ of the government should not exercise the functions assigned to any
other organ.[xi]
Now the question in the subject is whether this doctrine finds a place in England? In
England, the King being the executive head s also an integral part of the legislature. His ministers
are also members of one or other Houses of Parliament. This concept goes against the idea that the
same person should not form part of more than one organ of the Government.
In England House of Commons control the executive. So far as the judiciary is concerned, in
theory, House of Lords is the highest Court of the country but in practice, judicial functions are
discharged by persons who are appointed specially for this purpose, they are known as Law Lords

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and other persons who held judicial post. Thus we can say that the doctrine of separation of powers
is not an essential feature of the British Constitution.[xii]
Principle Of Checks And Balances
The doctrine of separations of powers may be traced back to an earlier theory known as the theory
of mixed government from which it has been evolved. That theory is of great antiquity and was
adumbrated in the writings of Polybius, a great historian who was captured by the Romans in 167
BC and kept in Rome as a Political hostage for 17 years in his history of Rome.
Polybius explained the reasons for the exceptional stability of the Roman Government which
enabled Rome to establish a worldwide empire. He advanced the theory that the powers of Rome
stemmed from her mixed government. Unmixed systems of government that is the three primary
forms of government namely, Monarchy, Aristocracy, and Democracy – were considered by
Polybius as inherently unstable and liable to rapid degeneration.
The Roman constitutions counteracted that instability and tendency to degeneration by a happy
mixture of principles drawn from all the three primary forms of government. The consuls, the
Senate and the popular Assemblies exemplified the monarchical, the aristocratic and the
democratic principles respectively.
The powers of Government were distributed between them in such a way that each checked and
was checked by the others so that an equipoise or equilibrium was achieved which imparted a
remarkable stability to the constitutional structure. It is from the work of Polybius that political
theorist in the 17th Century evolved that theory of separation of powers and the closely related
theory of Checks and Balances. [xiii]
Effects
The doctrine of separation of powers as propounded by Montesquieu had a tremendous impact on
the development of administrative law and functioning of Governments. It was appreciated by
English and American jurists and accepted by politicians. In his book ‘Commentaries on the Laws
of England’, published in 1765, Blackstone observed that if legislative, executive and judicial
functions were given to one man, there was an end of personal liberty. Madison also proclaimed:
“The accumulation of all powers, legislative and executive and judicial, in the same hands, whether
of one, a few or many and whether hereditary, self-appointed or elective may justly be pronounced
the very definition of tyranny.” The Constituent Assembly of France declared in 1789 that there

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would be nothing like a Constitution in the country where the doctrine of separation of powers was
not accepted.[xiv]
Importance
The doctrine of separation of power in its true sense is very rigid and this is one of the reasons why
it is not accepted by a large number of countries in the world. The main object as per Montesquieu
in the Doctrine of separation of power is that there should be government of law rather than having
will and whims of the official. Also, another most important feature of the above-said doctrine is
that there should be the independence of judiciary i.e. it should be free from the other organs of
the state and if it is so then justice would be delivered properly.
The judiciary is the scale through which one can measure the actual development of the state if the
judiciary is not independent then it is the first step towards a tyrannical form of government i.e.
power is concentrated in a single hand and if it is so then there is a cent percent chance of misuse
of power. Hence the Doctrine of separation of power does play a vital role in the creation of a fair
government and also fair and proper justice is dispensed by the judiciary as there is the
independence of the judiciary.
Also, the importance of the above-said doctrine can be traced back to as early as 1789 where The
constituent Assembly Of France in 1789 was of the view that “there would be nothing like a
Constitution in the country where the doctrine of separation of power is not accepted”. Also in
1787, the American constitution inserted the provision pertaining to the Doctrine of separation of
power at the time of the drafting of the constitution in 1787.[xv]
Defects
Though theoretically, the doctrine of separation of powers was very sound, many defects surfaced
when it was sought to be applied in real life situations. Mainly, the following defects were found
in this doctrine:
1. Historically speaking, the theory was incorrect. There was no separation of powers
under the British Constitution. At no point in time, this doctrine was adopted in
England. As Prof. Ullman says: “England was not the classic home of
separation of powers.” It is said: “Montesquieu looked across foggy England from
his sunny vineyard in Paris and completely misconstrued what he saw.”
2. This doctrine is based on the assumption that the three functions of the Government
viz legislative, executive and judicial are independent of distinguishable from one

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 another. But in fact, it is not so. There are no watertight compartments. It is not
easy to draw a demarcating line between one power and another with mathematical
precision.
3. It is impossible to take certain actions if this doctrine is accepted in this entirety.
Thus, if
the legislature can only legislate, then it cannot punish anyone, committing a breach of its
privilege; nor can it delegate any legislative function even though it does not know the details of
the subject-matter of the legislation and the executive authority has expertise over it; nor could the
courts frame frame rules of procedure to be adopted by them for the disposal of cases. Separation
of Powers thus can only be relative and not absolute.d) Modern State is a welfare State and it has
to solve complex socio-economic problems and in this state of affairs also, it is not possible to
stick to this doctrine. Justice Frankfurter said; “Enforcement of a rigid conception of separation of
powers would make modern Government impossible.” Strict separation of powers is a theoretical
absurdity and practical impossibility.[xvi]
4. The modern interpretation of the doctrine of Separation of Powers means that
discretion must be drawn between ‘essential’ and ‘incidental’ powers and one
organ of the Government cannot usurp or encroach upon the essential functions
belonging to another organ but may exercise some incidental functions
thereof.[xvii]
5. the Fundamental object behind Montesquieu’s doctrine was liberty and freedom of
an individual, but that cannot be achieved by mechanical division of functions and
powers. In England, the theory of Separation of Powers is not accepted and yet it
is known for the protection of individual liberty. For freedom and liberty, it is
necessary that there should be Rule of Law and impartial and independent judiciary
and eternal vigilance on the part of subjects.[xviii]
Indian Outlook
In India, the doctrine of separation of powers has not been accorded constitutional status. Apart
from the directive principle laid down in Article 50 which enjoins separation of judiciary from the
executive, the constitutional scheme does not embody any formalistic and dogmatic division of
powers.[xix]
The Supreme Court in Ram Jawaya Kapur v. State of Punjab[xx], held:

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“Indian Constitution has not indeed recognized the doctrine of separation of powers in its absolute
rigidity but the functions of the different parts or branches of the government have been sufficiently
differentiated and consequently it can be very well said that our Constitution does not contemplate
assumption by one organ or part of the State of functions that essentially belong to another.”
In Indira Nehru Gandhi v. Raj Narain[xxi], Ray C.J.also observed that in the Indian Constitution
there is separation of powers in a broad sense only. A rigid separation of powers as under the
American Constitution or under the Australian Constitution does not apply to India. However, the
Court held that though the constituent power is independent of the doctrine of separation of powers
to implant the story of basic structure as developed in the case of Kesavananda Bharati v. State
of Kerela[xxii] on the ordinary legislative powers will be an encroachment on the theory of
separation of powers. Nevertheless, Beg, J. added that separation of powers is a part of the basic
structure of the Constitution. None of the three separate organs of the Republic can take over the
functions assigned to the other. This scheme of the Constitution cannot be changed even by
resorting to Article 368 of the Constitution.
In India, not only is there a functional overlapping but there is personnel overlapping also. The
Supreme Court has the power to declare void the laws passed by the legislature and the actions
taken by the executive if the violate any provision of the Constitution or the law passed by the
legislature in case of executive actions. Even the power to amend the Constitution by Parliament
is subject to the scrutiny of the Court. The Court can declare any amendment void if it changes the
basic structure of the Constitution.[xxiii] The President of India in whom the Executive Authority
of India is vested exercises lawmaking power in the shape of ordinance making power and also
the judicial powers under Article 103(1) and Article 217(3) to mention only a few. The Council
of Ministers is selected from the Legislature and is responsible to the Legislature. The Legislature
besides exercising law-making powers exercises judicial powers in cases of breach of its privilege,
impeachment of the President and the removal of the judges. The Executive may further affect the
functioning of the judiciary by making appointments to the office of the Chief Justice and other
Judges.

Judicial Opinion On The Doctrine Of Separation Of Powers

The separation of power there were times where the judiciary has faced tough challenges in
maintaining and preserving the Doctrine of separation of power and it has in the process of
preservation of the above said Doctrine has delivered landmark judgments which clearly talks

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about the independence of judiciary as well as the success of judiciary in India for the last six
decades.
The first major judgment by the judiciary in relation to Doctrine of separation of power was in
Ram Jawaya v State of Punjab[xxv]. The court in the above case was of the opinion that the
Doctrine
of separation of power was not fully accepted in India. Further, the view of Mukherjea J adds
weight to the argument that the above-said doctrine is not fully accepted in India. He states that:
“The Indian constitution has not indeed recognized the doctrine of separation of powering its
absolute rigidity but the functions of the different parts or branches of the government have been
sufficiently differentiated and consequently it can very well be said that our constitution does not
contemplate assumption, by one organ or part of the state, of functions that essentially belong to
another”.
Later in I.C. Golak Nath v State of Punjab[xxvi], Subha Rao, C.J opined that
“The constitution brings into existence different constitutional entitles, namely the union, the state
and the union territories. It creates three major instruments of power, namely the Legislature, the
Executive and the Judiciary. It demarcates their jurisdiction minutely and expects them to exercise
their respective powers without overstepping there limits. They should function with the spheres
allotted to them”
The above opinion of the court clearly states the change in the court’s views pertaining to the
opinion in the case of Ram Jawaya v State of Punjab related to the doctrine of separation of power.
The came one of the most landmark judgments delivered by the Supreme Court in
Keshvananda Bharti v Union of India the court was of the view that amending power was now
subject to the basic features of the constitution. And hence, any amendment tampering these
essential features will be struck down as unconstitutional. Beg, J. added that separation of powers
is a part of the basic structure of the constitution. None of the three separate organs of the republic
can take over the functions assigned to the other 7. Hence this further confirmed the opinion of the
court in relation to the doctrine of separation of power.
Then in Indira Gandhi Nehru v. Raj Narain, where the dispute regarding P.M. election was
pending before the Supreme Court, opined that adjudication of a specific dispute is a judicial
function which parliament, even under constitutional amending power, cannot exercise i.e. the
parliament does not have the jurisdiction to perform a function which the other organ is responsible

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for otherwise there will be chaos as there will be overlapping of the jurisdictions of the three organs
of the state. Also, the constituent Assembly Of France in 1789 was of the view that “there would
be nothing like a Constitution in the country where the doctrine of separation of power is not
accepted.” So if there is a provision then there should be proper implementation and this judgment
emphasis on that point only.
Also in I.R. Coelho vs. State of Tamil Nadu[xxvii], S.C. took the opinion opined by the Supreme
court in Kesavananda Bharati case pertaining to the doctrine of basic structure
and held that the Ninth Schedule is violative of the above-said doctrine and hence from now on
the Ninth Schedule will be amenable to judicial review which also forms part of the basic structure
theory.
From the above few case laws right from Ram Jawaya v state of Punjab in 1955 to I.R. Coelho
v. State of Tamil Nadu in there has been a wide change of opinion as in the beginning the
court was of the opinion that as such there is no Doctrine of Separation of Power in the
constitution of India but then as the passage of time the opinion of the Supreme Court has
also changed and now it does include the above said Doctrine as the basic feature of the
Constitution.

Evaluation Of The Doctrine

In a strict sense, the principle of separation of powers cannot be applied in any modern Government
either may be U.K., U.S.A., France, India or Australia. But it does not mean that the principle has
no relevance nowadays. Government is an organic unity. It cannot be divided into watertight
compartments.
History proves this fact. If there is a complete separation of powers the government cannot run
smoothly and effectively. The smooth running of government is possible only by co-operation and
mutual adjustment of all the three organs of the government. Prof. Garner has rightly said, “the
doctrine is impracticable as a working principle of Government.” It is not possible to categorize
the functions of all three branches of Government on a mathematical basis. The observation of
Frankfurter is notable in this connection. According to him “Enforcement of a rigid conception of
separation of powers would make Government impossible.”
It is my opinion that the doctrine of Montesquieu is not merely a “myth” it also carries a truth, but
in the sense that each organ of the Government should exercise its power on the principle of
“Checks and Balances” signifying the fact that none of the organs of Government should usurp

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the essential functions of the other organs. Professor Laski has aptly remarked: “It is necessary to
have a separation of functions which need not imply a separation of personnel.”[xxviii]

Checks and Balances - Concept

● Checks and balances refer to a system of government in which power is divided
between different branches, or parts, of the government.
● The idea is that the branches will then be able to check and balance each other so
that no part of the government can become too powerful.
● These checks and balances help resist the power of others. They are of
fundamental importance in tripartite governments.
● The Indian Constitution has no explicit provision for separation of powers of
organs: Legislative, Executive, and Judiciary. However, separation of power exists
between these organs. Also, to avoid supremacy of any organ and prevent abuse of
power by it, there
exists a scheme of checks and balances.

The Doctrine of Separation of Powers

▪ Separation of powers is the division of the legislative, executive, and judicial functions
of government.
▪ Since the sanction of all three branches is required for the making, executing, and
administering of laws, it minimises the possibility of arbitrary excesses by the government.
▪ The constitutional demarcation precludes the concentration of excessive power by any
branch of the government.
Instruments of Checks & Balances
Legislature Control
▪ On Judiciary: Impeachment and the removal of the judges. Power to amend laws
declared ultra vires by the Court and revalidating it.
▪ On Executive: Through a no-confidence vote it can dissolve the Government. Power
to
assess works of the executive through the question hour and zero hour. Impeachment of the
President.
Executive Control

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 ▪ On Judiciary: Making appointments to the office of Chief Justice and other judges.
▪ On Legislature: Powers under delegated legislation. Authority to make rules for
regulating their respective procedure and conduct of business subject to the provisions
of this Constitution.
Judicial Control
▪ On Executive: Judicial review i.e. the power to review executive action to determine
if it violates the Constitution.
▪ On Legislature: Unamendability of the constitution under the basic structure
doctrine pronounced by the Supreme Court in Kesavananda Bharati Case 1973.
Weakening System of Checks & Balances
▪ Weakened Opposition in India: Democracy works on the principle of checks and
balances. It is these checks and balances that prevent democracy from turning into
majoritarianism.
o In a Parliamentary system, these checks and balances are provided by the
opposition party.
o However, the majority of a single party in the Lok Sabha has diminished the role
of an effective opposition in the Parliament.
▪ Weakened Legislature Scrutiny: According to data by PRS Legislative Research,
while 60% of the Bills in the 14th Lok Sabha and 71% in the 15th Lok Sabha were
referred to
Department-related Standing Committees (DRSCs) concerned, this proportion came down to 27%
in the 16th Lok Sabha.
o Apart from the DRSCs, there are negligible bills referred to Select Committees of
the Houses or Joint Parliamentary Committees.
▪ Judiciary Being Averse to Checks & Balances: The Supreme Court has held the
99th
constitutional amendment, which provided for the establishment of the National Judicial
Appointments Commission as ultra-vires.
o The National Judicial Appointments Commission (NJAC) could guarantee the
independence of the system from inappropriate politicization, strengthen the
quality of appointments, enhance the fairness of the selection process, promote

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 diversity in the composition of the judiciary, and rebuild public confidence in the
system.
▪ Judicial Activism: In many recent judgments, the Supreme Court has become
hyper-activist in making judgements that are deemed as laws and rules. This transgresses the
domain of legislature and executive.
▪ Executive Excesses: Executive in India is alleged of over-centralisation of power,
weakening of public institutions like CIC & RTI and passing laws to strengthen law, order &
security of the state but curbs freedom of expression as well like UAPA.
Way Forward

▪ Introducing Legislative Impact Assessment (LIA): A detailed framework for pre

and post-legislative Impact Assessment was needed whereby every legislative
proposal is
evaluated on account of social, economic, environmental and administrative impact for wider
awareness.
o A new Legislation Committee of Parliament to oversee and coordinate legislative
planning should be constituted.
o This can check any overreach by the executive that may curb the civil liberties.
▪ Strengthen the Role of the Opposition: In order to strengthen the role of the
opposition, the institution of shadow cabinet can be formed in India.

Ultra vires doctrine

Intra-vires means “within the powers” and Ultra-vires means “beyond the powers”. The
power to make laws, rules, and regulations and to legislate; are conferred with the legislative body.
Over the years, the state functions have undergone many changes in the aspects of quantity and
quality. So some of the legislative (law-making) functions are performed; by the executive body
also. This type of legislation function by the executive body; is known as “delegated legislation”.
The judicial review of such delegated legislation can be done at two stages; conferment stage and
exercise stage.
In case, the discretionary power is exceeded then it will be considered as ultra vires. If the
subordinate legislation falls outside the purview of the power conferred, then it is ultra vires to the

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constitution. If the action of the delegated legislation body affects the fundamental rights
guaranteed to the people, then it is said to be ultra vires to the constitution. Ultra vires is an error
apparent on the face of the record. The lack of jurisdiction of any delegated body forms the error
on record. Some of the elements which are present in an ultra vires act:
• Error or excess of Initial jurisdiction
• Error or loss of jurisdiction on the way of proceedings or in the pending proceedings
• Mala fide intention or improper motive
• Mixed consideration or irrelevant considerations
• An error apparent on the face of the record
The doctrine of ultra vires is frequently used; in the constitutional law, administrative law,
and corporate law. It is applied in cases where the government bodies exceed their limit; or when
the subordinate legislation crosses their legal authority. Also, in companies when legal persons go
beyond their legal capacity, then the doctrine of ultra vires comes into play. In this article, the
author deals with the role played by doctrine of ultra vires in the Administrative law and the
Constitutional law

Delegated Legislation
What is Delegated Legislation ?
Our democracy is supported by four pillars – legislature, executive, judiciary and press. The
legislature makes laws. It is difficult for the Parliament to carry out and maintain the same as per
the law. Hence, the powers are delegated to the executive as per the Constitution. This delegation
of powers to other organ is called delegated legislation.
The synonym for delegated legislation is subordinate legislation. Salmond has stated, legislation
is either supreme or sub-ordinate. Overall, the law legislated by the administration with the powers
given by the legislature is delegated legislation.
• Types of Delegated Legislation
• Advantages of Delegated Legislation
• Disadvantages of Delegated Legislation
• Important Maxim related to Delegated Legislation
• Judicial and Legislative Control
• Case Laws related to Delegated Legislation

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Two Types of Delegated Legislation
1. Positive Delegation: When the delegated powers are clearly explained in the statute/parent
rule, it is termed positive delegation.
2. Negative Delegation: When the delegated powers are obscurely (blur) cited in the main
statute, it is termed negative delegation.
Examples: Rules, regulations, by-laws etc., are some of the examples of delegated legislation. In
this current pandemic, the State Government of Odisha has decided to authorize the district
authorities to create rules on micro containment zones to arrest the pandemic’s further spread. This
is a live example of delegated legislation.

Advantages of Delegated Legislation

Some of the main advantages of Delegated Legislation are:
• Saves cost and time when dealing with emergencies.
• More flexible as compared to non-delegated legislation.
• Helps in finding the bottlenecks.
• Sets up a new base for amendment of statutes which is the demand of time.
• Helps in relieving the burden on Parliament.
• Affected person’s interest is maintained.

Disadvantages of Delegated Legislation

Some of the main disadvantages of Delegated Legislation are:
• More claims for review of legislation.
• Influence of superior courts may cause interference.
• Authorities may follow the dictatorial principle.
• Increase in corruption and misuse of powers.
• Lack of legal knowledge among common people may trigger unavoidable situations.
• Slowly, the executive will start encroaching upon the legislature if delegation is obscure.
• It is against the doctrine of separation of powers.
• Executive becomes more powerful.
Note: Controlled delegated legislation should mention all the criteria like extension and
enablement of the act, powers of the delegates and authority to make and amend rules etc., in the
parent statute.

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Important Maxim related to Delegated Legislation
Delegatus non potest delegare: A delegate cannot further delegate. Suppose, A has made power
of attorney in favour of B in which he has delegated sale deed agreement execution powers in
favour of B. B cannot further delegate or create another power of attorney to C.
Note: If a non-delegable function is delegated, that legislation is bad and ultra-vires of the
Constitution.
Judicial and Legislative Control
Judicial control over the delegated power is implemented by two methods – Substantive Ultra-
Vires and Procedural Ultra-Vires. Ultra-vires means beyond the powers.
It is a general rule of law that any public servant cannot act beyond its powers, and if he does so,
it is accordingly ultra-vires or void. In legislative control, Parliament is the main authority to
delegate the powers through statutes.
Legislative Control
• Parliament has the power to control sub-ordinate law-making agency.
• It must be laid before Parliament for the prescribed period of time.
• Scrutinizing committee must approve and report to the Parliament.
• Affected groups must be consulted.
• Publication of rules in the official gazette is a must.
Judicial Control
Doctrine of Ultra Vires: If sub-ordinate authority goes beyond the powers conferred by enabling
act, such exercise of power is void. Dicey expounded this doctrine.
Procedural Ultra Vires:
o Publication is essential and mandatory.
o Applies to particular procedure.
o Power vested in one authority by parent act.
o Consulting opinion and suggestion is followed mandatorily.
Substantive Ultra Vires:
o Sub-ordinate authority should not go beyond policy/principles/purposes in
the parent act and the Constitution.
o Parent Act should be Constitutional (Chintamani Rao vs State of MP).

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 o Sub-Ordinate Legislation should not be the ultra vires of the Constitution
(Narendra Kumar vs Union, 1960).
Case Laws related to Delegated Legislation Gerewal D S vs Punjab State
In this case, Mr Gerewal challenged his removal from one of the prestigious Indian Police Service
of the country under Article 226 at the High Court of Punjab. The apex court held that Article 312
of the Indian Constitution does not mention anything that removes delegation power.
State of Sikkim vs Surendra Sharma
Sikkim Govt created certain casual posts for a job. Later, the government removed some non-
locals from the service. Non-locals filed a writ petition in the High Court that removing non-local
employees violates Article 14 and Article 16 of the Constitution.
Held: Discrimination based solely on the workers’ status as ‘non-locals’ was found to be
unconstitutional under Article 14 and Article 16 of the Constitution, and the orders of termination
based on that basis were overturned.
Chintaman Rao vs State of MP
Held: The Deputy Commissioner’s prohibition on producing bidis during the agricultural season
is a violation of Article 19.1.g of the Indian Constitution.
R Chandran vs M V Marappan
Held: The power of by-laws must be within the limits of the legislature. If not, the same must be
struck down.
Re Delhi Laws Act
In re Delhi Laws Act, Precepts stated as follows:
• Parliament cannot give up by creating another legislative body.
• Delegation power is adjunct to the legislative power.
• Repealing power cannot be delegated.
• Necessary functions of legislature cannot be delegated, whereas unnecessary ones can be.
Above (In re Delhi Laws Act) case law is an excellent example of judicial control over
delegated legislation.
Finale
Current administration is somewhat complex in our democracy which demands a guided and
controlled delegated legislation for its smooth operation with the advancement of time. Every

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statute must contain certain provisions for its amendment by the executive. Else it will attract many
drawbacks and adverse issues which may draw criticism and untoward circumstances.

Natural justice
Introduction:
Natural justice is an expression of English common law, and involves a procedural requirement of
fairness. The principles of natural justice have great significance in the study of Administrative
law. It is also known has substantial justice or fundamental justice or Universal justice or fair play
in action. The principles of natural justice are not embodied rules and are not codified. They are
judge made rules and are regarded has counterpart of the American procedural due process.
Definition:
There is no precise and scientific definition of natural justice. However, the principles of natural
justice are being acceptable and enforced. Different judges, lawyers and Scholars define it in
various ways. In Vionet v. Barrett [1],
Lord Esher M.R has defined it as the natural sense of what is right and wrong. Later, he had chosen
to define natural justice as fundamental justice in a subsequent case (Hopkins v. Smethwick Local
Board Of health) [2]. Lord Parker has defined it as duty act fairly. Mr. Justice Bhagwati has taken
it as fair play in action. Article 14 and 21 of the Indian Constitution has strengthened the concept
of natural justice.

Basis of the application of the principle of natural justice:

The principles of natural justice, originated from common law in England are based on two Latin
maxims, (which were drawn from jus natural).
In simple words, English law recognizes two principles of natural justice as stated below-
1. Nemo Judex in causa sua or Nemo debet esse judex in propria causa or Rule against
bias (No man shall be a judge in his own cause).
2. Audi Alteram partem or the rule of fair hearing (hear the other side).
3. Rule against bias or bias of interest- the term bias means anything which tends to
or may be regarded as tending to cause such a person to decide a case otherwise
than on evidence must be held to be biased. In simple words, bias means deciding
a case otherwise than on the principles of evidence.
This principle is based on the following rules

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 1. No one should be a judge in his own cause.
2. Justice should not only be done, but manifestly and undoubtedly be seen to be done.
The above rules make it clear that judiciary must be free from bias and should deliver pure and
impartial justice. Judges must act judicially and decide the case without considering anything other
than the principles of evidence.

Essay on Administrative Adjudication | Public Administration

Essay # 1. Meaning of Administrative Adjudication:
Modern public administration has taken a leaf not only from the legislature’s book but also from
that of the judiciary. Administrative Adjudication is the latest addition to the administrative
techniques.
Administrative Adjudication means the determination of questions of a judicial or quasi-
judicial nature by an administrative department or agency. Like a regular court, administrative
bodies hear the parties, sift evidence, and pronounce a decision in cases where legal rights or duties
are involved.
In the words of Prof White, “…administrative adjudication means the investigation
and settling of a dispute involving a private party on the basis of a law and fact by an
administrative agency.” Prof Dimock defines Administrative Adjudication as the process by
which administrative agencies settle issues arising in the course of their work when legal rights
are in question.
Blachly and Oatman describe administrative tribunals or Administrative Courts as,
“authorities outside the ordinary court system which interpret and apply the laws when acts of
public administration are attacked in formal suits or by other established methods.”
The agencies for administrative adjudication may comprise:
1. The minister;
2. The head of the department (permanent);
3. A ministerial tribunal;
4. A special committee or commission like Independent Regulatory Commissions;
5. Specialized courts of law;
6. Single member tribunal;
7. Composite tribunal.

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 Dr. Robson has thus remarked, “One of the most striking developments in the British
Constitution during the past half century has been the acquisition of judicial power by the great
departments of the state and by various other bodies and persons outside the courts of law.”
The main point of difference between administrative adjudication and administration of
justice by the courts is that administrative justice is administered by administrative agencies
instead of regular courts. The administrative courts follow the principles of natural justice and
common good whereas the courts of law follow the settled principles of law and evidence.
The administrative courts are manned by officers belonging to the executive branch whereas the
judges are the members of the judiciary independent of executive control.

Essay # 2. Kinds of Administrative Adjudication:

Administrative adjudication may take the following forms:
1. Advisory administrative adjudication which means that the power of final decision is
vested in the head of the department or other authority.
2. Administrative Adjudication may constitute a part of the regular functions of an
administrative officer.
3. Administrative Adjudication may be combined with a legislative administrative process.
4. Regular suits may be filed against administrative decision.
5. Administrative Adjudication sometimes applies to licensing activities.
6. Administrative Adjudication may be adopted for the settlement of claims.
7. Administrative Adjudication may sometimes serve as a condition precedent to the perform-
ance of an administrative act.

Essay # 3. Causes of the Growth of Administrative Adjudication:

The following causes have led to the growth of administrative adjudication:
1. A By-Product of the Welfare State:
The Administrative Tribunals rendering Administrative justice constitute a by-product of
the welfare state. In the 18th and 19th century when ‘laissez’ faire theory held sway, law courts
emerged out as the custodian of the rights and liberties of the individual citizens.
At times they protected the rights of the citizens at the cost of State authority. With the emergence
of welfare state, social interest began to be given precedence over the individual rights. The
existing judiciary failed to uphold the new system.

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 In the words of Robson, “with the extension during the nineteenth and twentieth century’s
of the functions of the government to one new field after another, with the progressive limitation
of the rights of the individuals in the interests of the health, safety and general welfare of the
community as a whole, with the development of collective control over the conditions of
employment and manner of living and the elementary necessities of the people, there has arisen a
need for a technique of adjudication better fitted to respond to the social requirements of the time
than the elaborate and costly system of decision provided by litigation in the courts of law.”
In brief the new system of administrative adjudication suited new social ends espoused by a
welfare state. It proved a potential instrument for enforcing social policy and legislation.
2. Suitable to Industrialized and Urbanized Society:
Administrative Adjudication suits modern industrialized and urbanized society as well.
The latter necessitates positive and prompt action which is possible if the problems arising out of
the new order are not left to the mercy of ordinary courts.
In the words of Robson, “Parliament did not overlook the courts of law but they found the
possibility of setting up new organs of adjudication which would do the work more rapidly, more
cheaply and more efficiently than the ordinary courts, which would possess greater technical
knowledge and fewer prejudices against government, which would give greater weight to the
social interests involved and show less solicitude for private property rights which would decide
with a conscious effort at furthering the social policy embodied in the legislation. This prospect
offered solid advantages which induced the legislature to extend in one sphere after another the
administrative jurisdiction of governmental departments so as to include judicial functions
affecting the social services.”
3. Ordinary Law Courts not Competent:
1. Law courts, on account of their elaborate procedures, legalistic forms and attitudes can
hardly render justice to the parties concerned in technical cases. Ordinary judges brought
up in the traditions of law and jurisprudence are not capable enough to understand
technical problems which crop up in the wake of modern complex economic and social
processes.
2. Only administrators having expert knowledge can tackle such problems judiciously. In
the words of White, “Another important consideration was the desire to secure
adjudication by a body of experts in the subject-matter of litigation rather than by a body

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 of experts in the law.” Lord Summer also held a similar opinion. According to him, the
common law judges are “ill- equipped to weigh the merits of one solution of a practical
question against another.”
3. The expedient adopted by the courts is to examine the experts of the subject. The expert
witnesses are only too often hired assassins of the truth; and even if they were just men
made perfect the assimilation of technical facts at short notice, through the testimony of
another individual, is a different thing from a first-hand knowledge of the groundwork
based on personal experience or training.
4. In the recent past in a decision given by Madras High Court, it frankly admitted that it
knew nothing of the subject. That clearly reflects the handicaps of regular judiciary.
5. The court procedures when tested by times are found wanting. Litigants have to face
exasperating delay because of crowded dockets of these courts and an excessive right of
appeal to the higher courts.
6. The justice in these ordinary courts has neither been speedy nor cheap. It has been dilatory
or cumbersome. Hence an improvement was contemplated in administrative courts.
7. Ordinary courts were under too much strain. Hence they were to be relieved of the strain.
Dr. White has graphically summed up defects of the ordinary courts which caused aversion
to them and a swing towards administrative courts, in these words “For a half century, there had
been growing dissatisfaction with the court procedure. Litigants were faced with exasperating
delay… they found the technical rules of evidence sometimes inappropriate and conducive to
dispute among lawyers rather than to a just and early settlement; they were dubious about the value
of jury in many kinds of cases; and the cost of judicial action including Attorney’s fees sometimes
reduced victory to a hollow success.”
4. Safety to be Ensured:
A good number of situations are such as require quick and firm action otherwise health and
safety of the people may remain in jeopardy. For instance, ensuring of safety measures in coal
mines, preventing of illegal transactions in foreign exchange, and unfair business practices
necessitate prompt action.
Such cases, if to be dealt with in the ordinary courts of law, would cause immense loss to
the state exchequer and undermine national prestige. However, the administrative courts presided
over by the experts would ensure prompt and fair action.

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 5. Standards of Conduct to be Devised:
Besides the points suggested above, the main business of the ordinary courts is to settle
disputes and not to set standards of human behaviour. It is for the legislature to set such standards.
The legislatures are not in a position to prescribe in exact details the pattern of conduct. This power
is delegated by the legislature to the administration.
The disputes arising out of the enforcement of these standards can be properly tackled by
the Administrative courts alone. For instance, the factory rules provide certain safety measures. A
workman working in the factory gets injured. Has he been injured due to bad workmanship or non-
compliance of the safety measures by the management can be decided only by the administrative
expert rather than an ordinary judge.
The sporadic rise of administrative adjudication was, however, widely denounced by the
freedom- loving people of the democratic countries. In England, parliament was compelled to
appoint a Select Committee on Ministers’ Power in 1931 to go into the question.
The Committee was, however, of the view that the system of Administrative Adjudication was not
inconsistent with the Rule of Law. Still they suggested certain safeguards to meet the dangers of
the practices?

Essay # 4. Advantages of Administrative Adjudication:

The following are the advantages of Administrative Adjudication:
(a) Cheaper:
Administrative justice is cheaper comparatively. In suits, lawyers may or may not appear.
No court fees are to be paid, no solicitors are to be instructed, no counsel is to be briefed, no
pleadings are to be printed, no affidavits are to be sworn. Robson opines that it is also cheaper
from the point of view of the state, if the relative salaries of the official members of the
administrative tribunals and the judges are taken into consideration.
(b) Speedy Justice:
Justice by the Administrative Tribunals is speedy. Oral hearings are dispensed with.
Intricate trial procedures are abandoned. Vexatious rules of evidence are conspicuously absent.
(c) Adequate Justice:
In the fast changing world of to-day, administrative tribunals provide the most effective
means of rendering fair justice to the individuals. Lawyers steeped in the old traditions and
philosophy of law and environed by procedural dialectism generally discernible in the ordinary

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courts of laws, can hardly appraise the needs of the modern welfare society. Hence administrative
courts alone can render adequate justice.
(d) Burden of Courts Lessened:
The system provides the much needed relief to the ordinary courts of laws which are
overburdened with varied types of ordinary suits. Many of the disputes coming before the ordinary
tribunals are of ordinary nature and do not warrant the attention of highly paid judges or the
necessity of elaborate procedures and rules of evidence. Such cases can easily be referred to these
tribunals.
(e) Useful in Developing Democracies:
In developing democracies which experiment with new social and economic programme,
ordinary courts would be completely misfit. All the disputes arising out of such programmes will
get struck, thus giving a setback to the programme itself unless we switch over to the
Administrative Courts.
(f) Fixing of Standards:
The disputes which come for adjudication before the Administrative Tribunals arc not
concerned with the proprietary or other claims of the disputants but the fixation of public standards
of performance. Such standards of performance can be determined only by these administrative
and not ordinary courts.
For example, a dispute concerning an injured employee’s claim for compensation from the
employer is more a problem of enforcing standards of safety in the factory than a mere dispute of
rights between the employer and the employees. Obviously ordinary courts are not capable of
undertaking such work.
(g) Flexibility:
The legalistic approach to problems is static, un-progressive and individualistic. An
ordinary court intervenes only when a conflict arises. It moves in the direction of controversy
alone. It is not concerned with the problems arising from the decisions the complications following
such decisions and the other inter-relations involved.
The fast changing society necessitates a progressive attitude and an adaptation of policies to meet
changing conditions.
Administrators formulate policy, develop administrative techniques, work out new
methods of adjusting controversies, check and modify their standards in the ordinary functions and

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difficulties confronting everyday life and adjust their decisions and attitudes. Thus conditions
fostering controversies are removed through such a type of flexibility.
Moreover, such tribunals are not bound by precedents. They are free to go against the existing
precedents. This makes administrative law flexible and enables administrative tribunals to further
a policy of social amelioration unhampered by legal rigidities.
Robson has well summed up the advantages of Administrative Adjudication in these words,
“cheapness, and speed with which they usually work; the technical knowledge and experience
which they make available for the discharge of judicial functions in special fields; the assistance
which they lend to the efficient conduct of public administration; and the ability they possess to
lay down new standards and to promote a policy of social improvement.”
Frederick and Miriam are also of the same view, “Administrative courts not only relieve
the ordinary courts of a great bulk of work, but also serve purposes foreign to the latter…The
informal and inexpensive procedure before most administrative courts and the possibility of
specialization either in separate courts or in chambers are generally considered very desirable…
The weight of expert opinion considers the continental system more satisfactory than the separate
administrative courts practically always subject in certain respects to the judicial courts which are
found in England and the United States. There IS no doubt that the administrative courts of some
kind are a necessary and increasingly important part of modern governmental machinery.”

Essay # 5. Disadvantages of Administrative Adjudication:

Though these advantages of Administrative Courts are quite impressive, yet they have been
target of criticism at the hands of certain critics like Dicey, Lord Hewart, Allen and K M Munshi.
Lord Hewart calls administrative adjudication as ‘organised lawlessness’.
Dicey considers it derogatory to the rule of law. An Editorial Note in Times of India
describes it a ‘Martial Law’. K.M. Munshi while realizing the indispensableness of Administrative
Courts opines, “… it would in my opinion undermine the democratic structure if administrative
methods of adjudication are considered convenient alternatives to the court of law.”
Following are the main defects of the administrative adjudication:
(a) Violation of Rule of Law:
It violates the rule of law-the cornerstone of democracy. Rule of Law stands for equality
before law, supremacy of law and due procedure of law over governmental arbitrariness. The

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administrative tribunals, with their separate law and procedure often made by themselves,
seriously circumvent the celebrated principles of Rule of Law.
(b) Principle of Natural Justice Undermined:
Administrative Adjudication violates the principles of natural justice, viz., no man should
be a judge in his own case; no party ought to be condemned unheard; party should know the reason
for the decision. The Administrative courts do not often give the reasons for decision.
The quality of investigation is also poor. Free from the trammels of judicial procedure,
administrative courts depend on unsworn written statements, unsupported by verbal testimony
given on oath and subjected to cross-examination. Neither the documents are sent for nor witnesses
are compelled to attend. Thus justice remains at stake.
(c) Limited Right to Appeal:
The right to appeal from the decisions of these courts is either very limited or is non-
existent. The opportunity for judicial review is restricted. This is apt to lead to miscarriage of
justice.
(d) Lack of Publicity:
The rules of procedure of administrative courts do not provide for the publicity of
proceedings. Provision of oral hearing may not be there or if it is there it may not be open to the
public and the press. Reports of the cases so decided may not be publicized.
Even the statement of reasons on which they are based, may not be given. In the absence
of proper publicity, it is not easy to predict the trend of future decisions. In the words of Robson,
“without publicity, it is impossible to predict the trend of future decisions and an atmosphere of
autocratic bureaucracy is introduced by the maintenance of secrecy which in the ordinary course
of events is quite unnecessary…”
(e) Tribunals do not Act Judicially:
Tribunals are not maimed by judicial luminaries. As such, they do not have the impartial
outlook. They become the limbs of the executive, and dance to its tune and cease to act judicially.
(f) Prediction of Future Decisions not Possible:
The Administrative courts hold summary trials and do not take into consideration
precedents. Hence, it is rather impossible to predict the course of future decisions. It is contended
by the critics that administrative law today is a medley of confusion practically in all those
countries where rule of law prevails. It is neither written, nor definite, nor known.

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 (g) Uniform Procedures Non-Existent:
The Administrative courts do not observe uniform procedures. It leads to inconsistent and
arbitrary decisions. Fixed standards of conduct are conspicuous by their absence. Hence justice is
negated. Lord Hewart correctly remarked, “Justice should not only be done but should undoubtedly
and manifestly be seen to be done.” In the U.S.A., however, the Administrative Procedure Act
1946 has clearly laid down minimum procedural requirements.
According to Schwartz, “The Administrative Procedure Act represents the first legislative
attempt in the common law world to state the essential principles of fair administrative procedure.
The Congress, in enacting the law of 1946, mirrored the mood of discontent with the administrative
process which existed in the United States among many of those subject to administrative
authority…”
Though these defects seem to be quite alarming yet they are not inherent defects. There is a
necessity of providing proper safeguards to eliminate these defects. In reality, there is a need for
striking a proper balance between cheapness and promptness of justice and the liberty of
individuals.

Essay # 6. Safeguards in Administrative Adjudication:

Three types of safeguards if provided, Administrative Adjudication may prove an asset to a
democracy. They are – organisational, procedural and judicial.
A. Organisational Safeguards:
(a) The Adjudicator of disputes should be a person different from the one who is involved in
a dispute against the individual or group of individuals. He may be drawn from the same
service responsible for administration of the functions of the agency.
(b) An adjudication board or tribunal rather than a single officer should be empowered to
adjudicate. This is in consonance with a well established rule of fair justice.
(c) The appointment of the members and particularly of the chairman should not vest solely
with the minister concerned. The Franks Committee in U.K. had recommended that to
insulate the Tribunal from departmental influence, the chairman of all such Tribunals
should be appointed by the Lord Chancellor.
It further suggested that the members of such Tribunals should be appointed by Council on
Tribunals. Such a suggestion may be of use for India as well. A Council or Tribunal in India may
comprise judges both existing and retired, lawyers, academicians and reputed persons in other

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walks of life. Such a council should be consulted in matters concerning composition and
procedures of administrative tribunals.
B. Procedural Safeguards:
Purely from procedural point of view the Administrative Tribunals in countries following the
Anglo-Saxon system of law present a picture of complete disharmony and utter confusion. The
Committee on Ministers’ Powers appointed in U.K. reported in 1932 that administrative tribunals
should follow the principles of natural justice.
They suggested:
1. No man should be a judge in his own case;
2. No man should be condemned unheard;
3. Party concerned should know the reasons for the decision. Besides the above, following
procedural improvements can also be helpful;
4. All the evidence and documents on the basis of which a decision is to be taken should be
disclosed. No one should be taken by surprise;
5. The concerned should be entitled to represent his case either by himself or through a legal
expert.
6. The accused should be entitled to cross-examine the evidence and challenge the evidence
produced against him.
7. The accused should not only be given an opportunity to examine the evidence produced against
him but should also have an opportunity to call evidence, oral and documentary.
8. He should be given the right to full judgment which should reveal the reasons for the order and
not merely the order.
9. He should possess the right to appeal for further and higher judgment.

C. Judicial:
The system of Judicial Review over judicial and semi-judicial action of the administrators
and tribunals can prove a very adequate safeguard. In France and Germany, supreme
Administrative Court has been provided to supervise all administrative tribunals and authorities.
In the Rule of Law countries the jurisdiction of the Supreme and the High Courts should not be
curtailed. The right to judicial review on points of law should remain unimpaired.

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In the words of M.C. Setalvad, India’s Attorney General, “Any judicial review of administrative
action in which the highest court of the country is not the predominating authority, would
not inspire public confidence.”
In a developing democracy like India in particular, the judicial review is almost a necessity.
Articles 32, 136, 226 and 227 of the Constitution provide for judicial review of the decisions of
the Administrative Tribunals. Some of the Acts are immune from judicial control.
The Opium Act, 1857, the Ganges Tolls Act, 1867, the Explosives Act, 1884 the Ancient
Monuments Preservation Act, 1904, the Indian Cotton Cess Act, 1923, the Trade Marks Act 1940
the Mines Maternity Benefit Act, 1941, the Minimum Wages Act, 1948, and the Representation
of the People Act, 1950, the Air Corporation Act, 1953, and the Inter-State Water Dispute Act,
1956, are some of the examples of such Acts.
Though these safeguards will help in removing the lacunae of the functioning of the
Administrative Courts, yet it is advisable that indiscriminate recourse to Administrative Courts
must be avoided. The democratic superstructure is likely to be undermined if administrative
adjudication is used as an alternative to the ordinary court system.
Lord Green has rightly remarked “It is only certain classes of questions which are suitable
for submission to a special tribunal to the exclusion of the courts, In deciding whether a case falls
within these classes, it is relevant to consider the number of individuals likely to be affected and
their probable pecuniary position the necessity or otherwise of providing a speedy and inexpensive
procedure and one affording opportunities for decentralization… In all cases there should be a
right of appeal to the courts on questions of law. In no circumstances should the power of the
courts to restrain a special tribunal from exceeding its jurisdiction be taken away.”
Talking of suitability of Administrative Adjudication to India, S.R. Dass, ex-Chief Justice of India,
correctly stated. “To us who have been brought up on the tradition of the Anglo-Saxon system
of jurisprudence and nurtured on the basic ideals of the Rule of Law, the idea of Tribunals
appears to be odious. But we have to adjust ourselves to the needs of modern times.”

Essay # 7. Administrative Tribunals (Court) in Various Countries:

Administrative tribunals radically differ from the ordinary courts regarding their constitution and
procedure. They consist of administrative officials and experts and not judges. Their procedure is

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simpler and much more informal than that of ordinary courts. The usual rules of evidence are not
observed. Lawyers are not allowed to appear. Facts are ascertained through questioning by the
hearing officers. Decisions are speedily arrived at.
Examples of Administrative Tribunals: In continental country like France, a systematic
hierarchy of administrative courts headed by the Council od State exists. It is the case in Germany.
Administrative Tribunals in U.K.:
In the Anglo-Saxon countries like England, a large number of Administrative Tribunals
have come to exist. Railway Courts, the Transport Tribunal, Road Transport Licensing Authorities
National Health Service Tribunals, School Tribunals, National Insurance Tribunals National
Assistance Tribunals, Pensions Tribunals, Rent Tribunals, Local Valuation Tribunals, Land
Tribunals are the examples of regular Administrative Tribunals.
Besides, certain ministers perform judicial functions. Adjudicatory powers have been
entrusted to particular officers, viz., District Auditors, Registrar of Friendly Societies, etc.
Administrative Tribunals in U.S.A.:
In the U.S.A., there are four types of Administrative Tribunals:
(a) Independent Administrative Courts, viz., the U.S. Customs Courts, Board of Tax Appeals,
Courts of Claims, etc.
(b) Special Administrative Courts, viz.. Board of Appeal in the Patent Office, Board of
Veterans appeal in the Veteran Administration.
(c) Regulatory bodies, viz., the Interstate Commission, Federal Trade Commission.
(d) Licensing authorities like the Bureau of Marine Inspection and navigation. Civil
Aeronautics Authority, etc.
Besides these courts, some of the executive departments or their heads, e.g., the Secretary
of Agriculture, also possess adjudicatory powers.
In U.S.A., the number of Administrative Tribunals goes on increasing annually. In U.K.,
their number is no less. About 14 closely printed pages of Pollards’ book. Administrative Tribunals
at Work are devoted to a mere mentioning of such courts. Their constitution, however, differs.
Some of them consist of single officers, others are plural in composition.
Some are independent or quasi-independent of executive control. Some are departmental in
character. Their proceedings may be private or public. Personal hearing may or may not be

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permitted. Lawyers may or may not be allowed to appear as defence counsels. Reasons for
decisions may or may not be quoted. Appeals may or may not be allowed.
Administrative Tribunals in India:
In India also like U.K. and U.S.A., their growth has been rather haphazard. They have come
into existence as or when required. Though their number has been gradually multiplying, yet they
have never been organized into a coherent system. Over 3,000 such courts exist in India.
Income Tax Appellate Tribunal, Railway Rates Tribunal, Labour Courts, Industrial Tribunals,
Wage Boards, Compensation Tribunals, Election Tribunals, Central Administrative Tribunal, Rent
Tribunals are some of the examples of such Tribunals.
Certain other agencies of Government as Central Board of Revenue, Collectors of Customs
and Excise, Custodian General of Evacuee Property also perform adjudicatory functions. They
constitute part of administrative machinery.
There is a common feeling that the administrative tribunals in India do not act impartially
and the citizens fail to get justice at their hands. The principles of natural justice are not observed
and the administrative courts do not give speaking orders.
However, the Constitution of India under Articles 32, 136, 226 and 227 provides adequate
safeguards against the miscarriage of justice. The decisions of administrative courts are open to
judicial review.
(i) Income Tax Appellate Tribunal:
Section 252 of the Income Tax Act, 1961 provides that the Central Government shall
constitute an Appellate Tribunal consisting of an many Judicial Members and Accountant
members as it thinks fit to exercise the powers and functions conferred on the Tribunal by the Act.
Under the Act, a judicial Member shall be a person, who has held a judicial office for at least ten
years or has been a Member of the Central Legal Services and has held a post in Grade II of that
service or any equivalent or higher post for at least three years or who has been an Advocate for
at least ten years.
For an Accountant Member, the person must have been for at least ten years a Chartered
Accountant or a member of the Income Tax Service Group A and has held the post of Additional
Commissioner of Income Tax or any equivalent post for at least three years.
The powers and functions of the Tribunal are exercised and discharged by the Bench constituted
from amongst the members of the Tribunal. A Bench consists of one Judicial Member and one

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Accountant Member. The Benches of the Tribunal have been constituted in different parts of the
country presently there are 63 benches.
The Tribunal is empowered (i) to hear and decide appeals; (ii) to state a case to the High
Court on any question of law arising in the case. The powers of the Tribunal include the imposition
of a penalty in addition to the tax, up to a maximum limit of one and a half times the amount of
the tax. It may confirm, reduce, enhance or set aside the assessment or may send back the case to
the lower authority. The Tribunal is the final court of Appeal in Income Tax matters. However, an
appeal on a question of law can be taken to the High Court first and then to the Supreme Court.
The Tribunal follows judicial procedure in the hearing of a case.
(ii) Central Administrative Tribunal:
Article 323 A added in the Constitution of India in 1985 provides for the setting up of
Administrative Tribunal for adjudicating the disputes relating to service matters of persons em-
ployed to public services and posts in the Central Government and the States. In Pursuance of the
above amendment the Administrative Tribunals Act, 1985 was enacted.
The CAT enjoys the status and powers of a High Court in respect of service matters
Appeals against its orders He to the Supreme Court only. It has 17 regular Benches operating at
the principal seats of High Court. These regular Benches also hold circuit sittings at other seats of
High Courts. The sanctioned strength of the CAT is Chairman – 1, Vice-Chairman 16, Members
– 49. The process of appointment of Chairman, CAT is initiated by the Chief Justice of India on a
reference made to it by the Central Government.
The appointment of Vice-Chairman and Members of CAT are made on the basis of
recommendations of a Selection Committee chaired by a nominee of the Chief Justice of India
who is a sitting judge of the Supreme Court. The appointments are made with the approval of the
Appointments Committee of the Cabinet. The members are drawn both from judicial as well as
administrative streams.
The CAT is distinguished from the ordinary courts in the following respects:
1. The Tribunal exercises jurisdiction only in relation to the service matters of public
servants covered by the Act;
2. The Tribunal is free from the shackles of many of the technicalities of the ordinal courts
in respect of hearing of evidence and pleading by the lawyers and the presentation of
the case.

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 3. The government can present its case through the departmental officers or legal
practitioners.
4. Further, only a nominal fee is to be paid by the petitioner for filing an application before
the Tribunal.
5. The members of the Administrative Tribunals are drawn from the administrative stream
also, whereas the judges of ordinary courts belong to the legal stream.
6. The Ministry of Personnel, Public Grievances and Pensions looks after the
Administrative Tribunals providing them better conditions of service and improve their
functioning.
One of the main objectives of setting up the Administrative Tribunals was to provide cheap and
speedy justice to public employees in disputes relating to their service matters. The CAT has been
able to achieve this objective to a considerable extent, despite many constraints faced by it.
Through an amendment in the Administrative Tribunal Act, 1985, the States have been given the
power to abolish the State Administrative Tribunals if they so desire.

Vigilance and control

I. Introduction
Vigilance when talking about in the context of any organization means keeping a watchful
eye on the administrative activities of the public officers and officials of the unit to ensure the
integrity of personnel in their official transaction. In other words, vigilance would mean ensuring
clean and prompt administrative action of the personnel towards achieving efficiency and
effectiveness of the employees involved in particular, and the functioning of the organization in
general. Vigilance is a necessary aspect to keep a check on the administration of the system, failure
to which leans to waste, losses, and economic decline.
Moreover, corruption is deep-rooted in the Indian polity and it is evidently affecting its
administration. Not to mention the Indian citizens often lose the trust they place in the power
holders because of this corruption issue and to maintain public confidence in the administration of
government departments, incorruptibility is an essential requirement. This is the main reason the
Indian government formed CVC to strengthen the existing vigilance mechanism over the power
and checks of the administration.

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 The Central Vigilance Commission was formed in 1964 by the Government of India with
an aim to curb the corruptive practices in the country’s administration. A committee on Prevention
of Corruption was formed, under the chairmanship of Shri K. Santhanam to advise and guide the
government agencies in the field of vigilance. The committee made its recommendations to the
government who accepted it and created CVC as an apex body for exercising general
superintendence and control over vigilance administration.
The initial two prime concerns that led to the formation of CVC are:
1. prevention of corruption and maintenance of integrity amongst Government servants; and
2. Ensuring just and fair exercise of administrative powers vested in various authorities by
statutory rules.
The Central vigilance commission has jurisdiction and powers in respect of all the matters
to which the central government’s executive power extends. It comprises Central Vigilance
Commissioners as its chairperson and not more than three vigilance commissioners as its members.
It was aimed at preventing corrupt practices by releasing reports on the failure of the administrative
system of the country which eventually led to corruption.
II. History of the formation of CVC
In 1963, through an executive resolution, the Government of India established the Central
Bureau of Investigation. Prior to this, India had only a special Police establishment under the Delhi
Special Police Establishment Act, 1946 that can be used to investigate offences committed by the
government officials while discharging their official duties. Later, with the formation of CBI,
SPE was made another wing of the CBI mainly for investigative purposes and CBI derived its
power from the Delhi Police Establishment Act, 1946.
Under the vigilance commission, there existed the Chief vigilance officer in each
governmental department having a number of three vigilance officers under him. The
commissioners were empowered to start a departmental inquiry in disciplinary proceedings against
concerned officials. After the formation of CVC, the following noteworthy changes were made:
Commissioners for the departmental inquiry was transferred to the administrative control of the
vigilance commission
Vigilance Officers in each department came to be appointed in consultation with the CVC.
However, the role of the officers was limited only to being advisory. Their primary tasks are

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coordination, supervision, and advisory rather than investigating the complaints themselves or
giving sanctions for criminal prosecutions.
In 1998, the Indian government promulgated an ordinance that conferred statutory status
to the apex vigilance body CVC with the relevant powers to exercise superintendence over the
function of Delhi Special Police Establishment and Prevention of Corruption Act. In the same year,
the CVC bill was introduced in the Lok Sabha but failed for some reason. It was again re-
introduced in 1999 and remained with the Parliament till 2003 when it was duly passed in both the
houses and became an actor. The Parliament has enacted the CVC act, 2003 in such a way that the
commission exercises its entrusted powers and functions under the Government of India resolution
so that it will be inconsistent with this 2003 act.
III. Jurisdiction and Functions of CVC
The jurisdiction of the vigilance commission is co-terminus with the center’s executive
powers; therefore, its jurisdiction extends to all matters. It has the power to undertake any
departmental inquiry into any transaction in which a suspected public servant is alleged to have
acted for an improper or mainly corrupt purpose. It can cause an investigation to be made into any
complaint of corruption, misconduct, gross negligence, recklessness, lack of integrity, or other
kinds of administrative malpractices on the part of being a government official or a public servant.
The commission is primarily entrusted with the task of looking into matters of prevalent corruption
in the administration. The CVC accordingly gives appropriate advice to the disciplinary authorities
in all such departmental matters having a definite or potential vigilance angle and an element of
corruption or criminal misconduct or malafide. It exercises superintendence over CBI in the
vigilance matters committed under the Prevention of Corruption Act, 1988 and tenders advice at
two stages:
1. to consider investigation report and advice about the type of proceedings (major/minor) to
be initiated, and
2. to consider inquiry report and advice about the penalty to be imposed.
The resultant is that the complaints against the suspected public servant(s) are meant to
result in punitive action. Relief as such in the vigilance matters to the complainant is only
incidental to the vigilance action and to note the redressal of grievances vis-à-vis government
organizations or PSE’s should not be the focus of complaints to the commission.

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However, with the growing scope of administration in India, a feeling has arisen in the minds of
the citizens that vesting of such vast vigilance powers only in the hands of administration has
generated endless possibilities and opportunities of abuse or misuse of power by administrative
functionaries resulting in maladministration and corruption.
IV. Analysis of the vigilance commission
There are a plethora of issues in the constitution and the powers sanctioned to the vigilance
commission. Firstly, the appointment procedure for the chief vigilance officer is not transparent
and clear. This issue was brought into notice in the year 2010 when PJ Thomas was appointed as
the chief vigilance commissioner on the recommendation of a high-powered committee, headed
by the Prime minister of India. Various objections were raised against the appointment, citing the
pending charge sheet against him. Later in 2011, the apex court of India quashed the appointment
of Thomas, noting the HPC’s inadequate considerations.
The point to be noted is that although there is no statutory requirement on the selection of
the chief vigilance commissioner to be unanimous or based on all members consensus, there is an
undeniable moral obligation upon the government representatives on the committee not to proceed
with the appointment in case the opposition leader, on any reasonable ground, disagrees with the
selection of a particular individual.
The main issue with the commission is that it is an agency of the executive and not the
legislature. It was created by a government resolution and not a statute. Additionally, it doesn’t
have any investigative mechanism, and to investigate any complaints it has to depend on other
bodies for their investigation report. With only advisory powers and not adjudicatory powers, it
lacks its competency to sanction criminal prosecutions for offenses committed by the public
servants while discharging their functions.
Since the commission always has to wait for the sanction from the competent authority,
issues are meant to arise. This was well-illustrated by the Supreme Court in the case of Sunil
Kumar v. State of West Bengal. In the case, an inquiry officer was appointed to investigate certain
charges levelled against the appellant who was a member of IAS. The inquiry officer submitted its
report to the vigilance commissioner and sought his advice. Thereafter, the disciplinary authority,
i.e. the state government arrived at conclusion and reduced the salary of the appellant from higher
to lower in the same grade. The order was challenged and it was contended that the consultation
with the vigilance commissioner, who had no statutory status didn’t furnish its report. On

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preliminary findings, the court held that the disciplinary committee committed no irregularity, and
the conclusion has not arrived on the basis of advice rendered by the officer, but independently.
The present judgment has failed to satisfy the jurists on the role of CVC and there is a doubt over
the consideration of the views of the vigilance commissioner in reaching a final conclusion upon
the matter by the disciplinary authority. If the report submitted by the commissioner is not going
to be taken into account, the whole purpose behind having such an apex body against corruption
will get defeated. Natural justice requires that any decision-making authority should be made
competent and independent enough to make its own decision and should not be influenced by the
working of another body. The Supreme Court for that matter has time and again reiterated that the
recommendation of the chief vigilance commissioner regarding the question of punishment is not
binding in disciplinary authority.
The Supreme Court has answered an important question in the case of R.S. Nayak v. A.R.
Antulay, whether a private complaint in respect of the offenses against the public servants is
cognizable by the court? The apex court held that the private complaint is cognizable by the courts
regarding the offenses committed by the public servants and held that: “the right to initiate the
proceedings cannot be whittled down, circumscribed or fettered by putting it into a straightjacket
formula of locus standi unknown to criminal jurisprudence, save and except specific statutory
exception”.
V. Conclusion
Since the Central Vigilance Commission is not a legislative body, its current authoritative
status is undeniably weak. There is a need for new reforms and stringent actions on the functioning
of the commission, preventing the country from falling prey too often to corrupt practices. Whilst,
in 2010, few amendments were suggested to the CVC Act, 2003 to include the Vice-President of
India as the chairman of the commission and a nominee of the Chief Justice of India CJI as a
member of the selection committee. The suggestions were made in line to strengthen the
administration of commission and make a check mechanism from the judiciary wing.

Role of Quasi-Judicial Bodies

A Quasi-Judicial body is a non-judicial entity empowered to interpret laws. The powers
and procedures used by these bodies are similar to those of the courts of law such as an arbitrator
or a tribunal board. They are obliged to judge facts impartially and give solutions to provide the

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basis for official action. Their area of authority is limited to land use, financial markets, zoning,
public standards, etc.
The actions of a quasi-judicial body provide remedies to situations; they are also empowered to
impose legal penalties which may affect the rights of private parties through rulemaking. A quasi-
judicial body doesn’t need to resemble a court of law, for instance, the election commission of
India is a quasi-judicial body that does not resemble a Court of Law. Some other examples of
quasi-judicial bodies in India are Income Tax Appellate Tribunal, Intellectual Property Appellate
Tribunal, National Human Rights Commission, SEBI, Central Information Commission, etc.
The Quasi-Judicial bodies can also be created to fulfill specific purposes, they are as follows:
1. Central administrative tribunal: This entity looks after the disputes concerning civil
servants. For instance, determining the age of civil servants in case of a dispute.
2. National Human Rights Commission: It determines cases involving a violation of
human rights. They investigate human rights abuse and recommend steps to prevent it.
3. National river water dispute tribunal: This body looks after disputes between states
involving water sharing issues. They have the power to grant awards to share water among
disputing states.
4. Election commission: This body is in charge of conducting, controlling, and supervising
elections. It also performs some judicial functions like examining and maintaining a code
of conduct, also determining the disqualification of legislators.
5. Other regulatory bodies: Besides the above-mentioned bodies there are some other bodies
like the SEBI, TRAI, IRDA who ensure transparency in the market economy. They are
also empowered to punish for violation of rules by fines.
The characteristic features of the Quasi-Judicial bodies are as follows:
• Adjudicating Disputes: The quasi-judicial bodies adjudicate and decide penalties, the
parties can approach these bodies for justice without undergoing the hassle of approaching
the judiciary. The disputes can be monetary, the conduct of rules, or any dispute not directly
linked with the judiciary. For instance, tribunals are quasi-judicial bodies that bring about
amicable solutions to problems between two parties, especially states.
• Nature of the quasi-judicial bodies: These bodies can be statutory, regulatory, or
constitutional. The National Human Rights Commission is a statutory body, while the

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 Finance Commission is a constitutional body and the SEBI is a regulatory body all these
bodies perform specific judicial functions as well.
• Heads of the bodies: Unlike the judiciary which is headed by a judge, these bodies are led
by individuals who are well versed in a field like Finance, Economics, and Law.
• Limited powers: The powers of these bodies are limited unlike the judiciary, they can
only decide on cases that fall under their purview of expertise. For instance, the Company
Law Appellate Tribunal can decide cases regarding governance and functioning of
corporate companies their powers are limited to this area.
• Power of punishing: These bodies are not merely advisory they have the authority to
punish in matters that fall under their jurisdiction. For example, the Consumer Court of
India deals with consumer disputes and punishes the company indulging in illegal
practices.
• Judicial review: The verdicts issued by these bodies can be challenged in a court of law,
and the decision of the judiciary is supreme.
The Quasi-judicial bodies are popular these days, owing to their positive impact. The
advantages of quasi-judicial bodies are as follows:
1. Cost-effective: tribunals are cost-effective in comparison to the conventional judicial
processes. The cost-friendly nature of the tribunals encourages people to seek justice and
redress their grievances.
2. Hassle-free: the tribunals do not require lengthy or complex procedures for submitting of
applications. These bodies are accessible, free from technicalities and they proceed more
rapidly and efficiently under expert supervision.
3. Sharing of workload: The tribunals by taking up many cases reduce the workload of the
judiciary. For example, the National Green Tribunal adjudicated on matters concerning
the environment and pollution.
4. Speedy justice: they are more efficient and provide speedy redressal of grievances.
5. Expert knowledge: A tribunal consists of experienced and knowledgeable
individuals who easily understand the technicalities of the case brought before them
thereby providing the right solution to the problem
The Quasi- judicial bodies are also burdened with a lot of issues, they are as follows:

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 1. The concept of Quasi-judicial bodies is new to India; as a result, these bodies are
mostly understaffed and burdened with a lot of cases rendering the very purpose of speedy
justice ineffective.
2. The decisions and judgements given by the Tribunals are often challenged in the courts of
law which also negate the very purpose of a quasi-judicial body.
3. The cost-effective nature of the tribunals encourages people to fight for justice but also
invited a lot of false cases to the tribunals.
The Quasi-judicial bodies are an indispensable entity of the Indian federation that guarantees the
citizens of the country their share of justice. It functions effectively by reducing the workload of
the judiciary and providing speedy justice to the aggrieved. However, the government must take
constructive steps towards eliminating the loopholes that exist in the functioning of these bodies
to make these bodies efficient and responsive to the needs of the individuals of the country.

Tribunals
Tribunal is a quasi-judicial institution that is set up to deal with problems such as resolving
administrative or tax-related disputes. It performs a number of functions like adjudicating
disputes, determining rights between contesting parties, making an administrative decision,
reviewing an existing administrative decision and so forth.
▪ The term ‘Tribunal’ is derived from the word ‘Tribunes’, which means ‘Magistrates of
the Classical Roman Republic’.
o Tribunal is referred to as the office of the ‘Tribunes’ i.e., a Roman official under
the monarchy and the republic with the function of protecting the citizen from
arbitrary action by the aristocrat magistrates.
▪ A Tribunal, generally, is any person or institution having an authority to judge, adjudicate
on, or to determine claims or disputes – whether or not it is called a tribunal in its title.
Need of Tribunal
▪ To overcome the situation that arose due to the pendency of cases in various Courts,
domestic tribunals and other Tribunals have been established under different Statutes,
hereinafter referred to as the Tribunals.

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 ▪ The Tribunals were set up to reduce the workload of courts, to expedite decisions and
to provide a forum which would be manned by lawyers and experts in the areas falling
under the jurisdiction of the Tribunal.
▪ The tribunals perform an important and specialised role in justice mechanism. They take a
load off the already overburdened courts. They hear disputes related to the environment,
armed forces, tax and administrative issues.
Constitutional Provisions

▪ Tribunals were not part of the original constitution, it was incorporated in the Indian
Constitution by 42nd Amendment Act, 1976.
o Article 323-A deals with Administrative Tribunals.
o Article 323-B deals with tribunals for other matters.
▪ Under Article 323 B, the Parliament and the state legislatures are authorised to provide for
the establishment of tribunals for the adjudication of disputes relating to the following
matters:
o Taxation
o Foreign exchange, import and export
o Industrial and labour
o Land reforms
o Ceiling on urban property
o Elections to Parliament and state legislatures

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 o Food stuff
o Rent and tenancy rights
▪ Articles 323 A and 323 B differ in the following three aspects:
o While Article 323 A contemplates the establishment of tribunals for public service
matters only, Article 323 B contemplates the establishment of tribunals for certain
other matters (mentioned above).
o While tribunals under Article 323 A can be established only by Parliament,
tribunals under Article 323 B can be established both by Parliament and state
legislatures with respect to matters falling within their legislative competence.
o Under Article 323 A, only one tribunal for the Centre and one for each state or two
or more states may be established. There is no question of the hierarchy of tribunals,
whereas under Article 323 B a hierarchy of tribunals may be created.
▪ Article 262: The Indian Constitution provides a role for the Central government in
adjudicating conflicts surrounding inter-state rivers that arise among the state/regional
governments.
Tribunals in India
Administrative Tribunals
▪ Administrative Tribunals was set-up by an act of Parliament, Administrative Tribunals
Act, 1985. It owes its origin to Article 323 A of the Constitution.
o It adjudicates disputes and complaints with respect to recruitment and conditions
of service of persons appointed to the public service and posts in connection
with the affairs of the Union and the States.
▪ The Administrative Tribunals Act, 1985 provides for three types of tribunals:
o The Central Government establishes an administrative tribunal called the Central
Administrative Tribunal (CAT).
o The Central Government may, upon receipt of a request in this behalf from
any State Government, establish an administrative tribunal for such State
employees.
o Two or more States might ask for a joint tribunal, which is called the Joint
Administrative Tribunal (JAT), which exercises powers of the administrative
tribunals for such States.

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 ▪ There are tribunals for settling various administrative and tax-related disputes,
including Central Administrative Tribunal (CAT), Income Tax Appellate Tribunal
(ITAT), Customs, Excise and Service Tax Appellate Tribunal (CESTAT), National
Green Tribunal (NGT), Competition Appellate Tribunal (COMPAT) and Securities
Appellate Tribunal (SAT), among others.
Central Administrative Tribunal
▪ It has jurisdiction to deal with service matters pertaining to the Central Government
employees or of any Union Territory, or local or other government under the control of the
Government of India, or of a corporation owned or controlled by the Central Government.
o The CAT was set-up on 1 November 1985.
o It has 17 regular benches, 15 of which operate at the principal seats of High
Courts and the remaining two at Jaipur and Lucknow.
o These Benches also hold circuit sittings at other seats of High Courts. The tribunal
consists of a Chairman, Vice-Chairman and Members.
• The Members are drawn, both from judicial as well as administrative
streams so as to give the Tribunal the benefit of expertise both in legal and
administrative spheres.
▪ The appeals against the orders of an Administrative Tribunal shall lie before the Division
Bench of the concerned High Court.
State Administrative Tribunal
▪ Article 323 B empowers the state legislatures to set up tribunals for various matters like
levy, assessment, collection and enforcement of any of the tax matters connected with land
reforms covered by Article 31A.
Water Disputes Tribunal
▪ The Parliament has enacted Inter-State River Water Disputes (ISRWD) Act, 1956 have
formed various Water Disputes Tribunal for adjudication of disputes relating to waters
of inter-State rivers and river valleys thereof.
o Standalone Tribunal: The Inter-State River Water Disputes (Amendment) Bill,
2019 is passed by Parliament for amending the existing ISRWD Act, 1956 to
constitute a standalone Tribunal to remove with the need to set up a separate
Tribunal for each water dispute which is invariably a time-consuming process.

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Armed Forces Tribunal (AFT)
▪ It is a military tribunal in India. It was established under the Armed Forces Tribunal Act,
2007.
▪ It has provided the power for the adjudication or trial by AFT of disputes and complaints
with respect to commission, appointments, enrolments and conditions of service in respect
of persons subject to the Army Act, 1950, The Navy Act, 1957 and the Air Force Act,
1950.
▪ Besides the Principal Bench in New Delhi, AFT has Regional Benches at Chandigarh,
Lucknow, Kolkata, Guwahati, Chennai, Kochi, Mumbai and Jaipur.
o Each Bench comprises of a Judicial Member and an Administrative Member.
▪ The Judicial Members are retired High Court Judges and Administrative
Members are retired Members of the Armed Forces who have held the rank of Major
General/ equivalent or above for a period of three years or more, Judge Advocate
General (JAG), who have held the appointment for at least one year are also entitled to be
appointed as the Administrative Member.
National Green Tribunal (NGT)
▪ The National Environment Tribunal Act, 1995 and National Environment Appellate
Authority Act, 1997 were found to be inadequate giving rise to demand for an institution
to deal with environmental cases more efficiently and effectively.
▪ The Law Commission in its 186th Report suggested multi-faceted Courts with judicial and
technical inputs referring to the practice of environmental Courts in Australia and New
Zealand.
o As a result NGT was formed as a special fast-track, quasi-judicial body comprising
of judges and environment experts to ensure expeditious disposal of cases.
▪ The National Green Tribunal was established in 2010 under the National Green Tribunal
Act 2010 as a statutory body.
o It was setup for effective and expeditious disposal of cases relating
to environmental protection and conservation of forests and other natural
resources.
o It also ensures enforcement of any legal right relating to environment and giving
relief and compensation for damages to persons and property.

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 ▪ The Tribunal is mandated to make and endeavour for disposal of applications or appeals
finally within 6 months of filing of the same.
▪ Initially, the NGT is proposed to be set up at five places of sittings and will follow circuit
procedure for making itself more accessible.
o New Delhi is the Principal Place of Sitting of the Tribunal and Bhopal, Pune,
Kolkata and Chennai shall be the other four place of sitting of the Tribunal.
Income Tax Appellate Tribunal
▪ Section 252 of the Income Tax Act, 1961 provides that the Central Government shall
constitute an Appellate Tribunal consisting of many Judicial Members and Accountant
members as it thinks fit to exercise the powers and functions conferred on the Tribunal by
the Act.
Characteristics of Administrative Tribunals
▪ Administrative Tribunal is a creation of a statute.
▪ An Administrative Tribunal is vested in the judicial power of the State and thereby
performs quasi-judicial functions as distinguished from pure administrative functions.
▪ Administrative Tribunal is bound to act judicially and follow the principles of natural
justice.
▪ It is required to act openly, fairly and impartially.
▪ An Administrative Tribunal is not bound by the strict rules of procedure and evidence
prescribed by the civil procedure court.
Merging of Tribunals
▪ The Finance Act of 2017 merged eight tribunals according to functional similarity. The
list of the tribunals that have been merged are given below:
o The Employees Provident Fund Appellate Tribunal with The Industrial
Tribunal.
o The Copyright Board with The Intellectual Property Appellate Board .
o The Railways Rates Tribunal with The Railways Claims Tribunal.
o The Appellate Tribunal for Foreign Exchange with The Appellate Tribunal
(Smugglers and Foreign Exchange Manipulators (Forfeiture of Property) Act,
1976.
o The National Highways Tribunal with The Airport Appellate Tribunal.

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 o The Cyber Appellate Tribunal and The Airports Economic Regulatory
Authority Appellate Tribunal with The Settlement and Appellate Tribunal
(TDSAT) .
o The Competition Appellate Tribunal with the National Company Law
Appellate Tribunal.
Difference Between Tribunal and Court
▪ Administrative Tribunals and Ordinary Courts both deal with the disputes between the
parties which affects the rights of the subjects.
▪ Administrative Tribunal is not a court. Some notable differences between a court and
Administrative Tribunal are as follows -

No. Court of Law Tribunal

A court of law is a part of

An Administrative Tribunal is
the traditional judicial
1. an agency created by the statute and
system whereby judicial powers are
invested with judicial power.
derived from the state.

Tribunal is also known as the Quasi-

The Civil Courts have judicial
judicial body. Tribunals have the
power to try all suits of a civil
2. power to try cases of special matter
nature unless the cognizance is
which are conferred on them by
expressly or impliedly barred.
statutes

Judges of the ordinary courts of law Tenure, terms and conditions of the
are independent of the executive in services of the members
3. respect of their tenure, terms and of Administrative Tribunal are
conditions of service etc. Judiciary entirely in the hands of
is independent of Executive Executive (government).

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The presiding officer of the court
4.
of law is trained in law.
The president or a member of the
Tribunal may not be trained as well in
law. He may be an expert in the field
of Administrative matters.

A judge of a court of law must be An Administrative Tribunal may be a

5. impartial who is not interested in party to the dispute to be decided by
the matter directly or indirectly. it.

A court of law is bound by all An Administrative Tribunal is not

6. the rules of evidence and bound by rules but bound by
procedure. the principles of nature of Justice.

Administrative Tribunal may decide

Court must decide all questions by taking into account
7. questions objectively on the basis departmental policy, the decision of
of evidence and materials on record. Administrative Tribunal may be
subjective rather than objective.

A court of law can decide vires of a

8. Administrative Tribunal cannot do so
legislation

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 Module – 6
Participation:
Participation is one kind of process in which stakeholders or participants are influenced
and shared control over development initiatives, decisions, and affected resources.

Why Participation?
When arises the question of why participation? The answers are simple. Such as:-
1. Equal distribution of resources to mass people
2. Decentralized the power of authority
3. Reduced the autocratic power of government in decision making
4. Poverty reduction
5. Establish a clear channel for community
6. Building local capacity to interact with authorities and other stakeholders.

Participatory Governance (PG):

Participatory governance refers to a synergy of power between the actors of state and
society. Participatory governance refers to the public’s collaborative efforts to provide high-quality
programs and services. Participatory governance can make:-
a. better citizens
b. better decisions &
c. better government.

Why Participatory Governance?

Participatory governance is essential to implement good governance in a state or country.
Because:-
a. To ensure the transformation of power.
b. To ensure the involvement of civil people in the government.
c. To ensure a participatory budget.
d. Participatory governance is needed to do participatory planning.
e. Participatory governance is needed to ensure equal distribution of resources.

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Where does Participatory Governance Being?
State or Civil Society? Civil Society, as a site for governance, facilitates public deliberation
and problem solving by various actors (NGOs to social movements). People are invited to
participate by various authorities, be they government supranational agencies or non-government
organizations. State initiates participation (Participatory budgeting & local level planning). A
strong state and a strong civil society are the needs to develop participatory democracy.

Theories of Participatory Governance (PG):

Three theories are influenced by participatory governance. Such as:-
a. Liberal Democracy
b. Neoliberalism
c. New Institutionalist Communitarianism

1. Liberal Democracy:
Liberal Democracy is a political ideology and a form of government. Here, representative
democracy drives under the principles of classical liberalism what is the branch of liberalism. The
characteristics of liberal democracy are:-
a. Fair, free and competitive elections
b. Separation of power
c. Protection of the rights and freedoms of the individual.
Criticism of Liberal Democracy:
In a liberal democracy, representative democracy cannot work freely rather than be limited
by constitutional law.

2. Neoliberalism:
Neoliberalism is a liberal economic ideology and a form of government where the
government transfers economic factors from the public sector to the private sector under the
principles of neoclassical economics.
Criticism of Neoliberalism:
In neoliberalism, governmental economic issues have chanced to fall against private
sectors.

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3. New Institutionalist Communitarianism:
New Institutionalist Communitarianism or New Institutionalism or neo-institutionalism
interactions the different institutions within society or civilization. How their dynamics, norms,
rules define the behavior and act of individuals. It has come from the Old Institutionalism what is
focused on state or government and their numerous law and practices which are practiced on
citizens. New Institutionalist Communitarianism has three approaches. Such as:-
• Sociological institutionalism
• Historic institutionalism
• Rational choice.
Criticism of New Institutionalist Communitarianism:
The New Institutionalist Communitarianism is the weakest when tries to explain the
genesis and transformation of the institution.
Table: Theories of Participatory Governance
Theory Origin Ideology Criticism
Liberal Democracy Liberalism Political Limited by constitutional law
and order
Neo-liberalism Neo-classical Economic Decreased economic issues of
Economics the public than the private
sector
New Institutionalist Old Institution Weakest in the genesis and
Communitarianism Institutionalism transformation of the
institution
Here, we try to understand the basic concept of the topic. If you want to know more things,
you can contact us.

Importance of people’s participation in a democracy:

1. Good governance: People’s participation is essential for good governance and is the
backbone of the democratic process. When people express their views and opinions, it
becomes possible for a government to effectively execute various welfare measures
listening to people’s grievances. It is significant in various policy and decision making
processes undertaken by the government.

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 2. Feedback mechanism: People’s participation helps the government in understanding the
viewpoints of citizens and gather feedback. This helps them to make policies
implementation better and plugging various loopholes regarding various welfare measures.
3. Better policy implementation: Without people’s participation any effort made for their
welfare does not give desired results. People’s participationis important, especially where
policy seeks to make a behaviour change. For example, Swachh Bharat abhiyan, beti
bachao beti padao etc. are made successful due to the drive to involve people at a local
4. Accountability: People’s participation makes the government accountable to them. It
creates a 2 way mechanism in which the government understands the issues of citizens
better and people learn about government efforts in a better way. Thereby removing
misunderstandings and making the government accountable and answerable to people. For
example, RTI has increased accountability in government due to increased participation of
citizens.

Ways to enhance people’s participation:

1. Media: Media is always connected with people. Strengthening media’s freedom and safety
can help better involvement of people. PM ‘Mann Ki baat’ initiative has enabled Indian
citizens to directly connect with them. Social media is another new platform that is
transforming governance and government services. For example, Twitter is being used
excessively nowadays by railways, municipalities to solve various issues.
2. Connectivity: The Internet is an enabler in a way, it connects citizens directly to the
government. For example, mygov.in platform of government helps it to connect with
people and get various inputs regarding important national issues and policies.
3. Incentives: Monetary incentives attract people of every sphere. Government can provide
incentives to people to get involved and work with the government for good governance.
For example, government efforts to create various competitions like logo design contests
help people to participate actively in government activities.
India is the largest democracy in the world and Indian citizens are enthusiastic to be a part of
governance. In a democratic system, citizen participation is one of the key components of the
decision-making process. People’s participation can make a country’s development inclusive and
targeted. Thus, efforts must be made to increase People’s participation in a democracy.

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Political Regimes:
What is a Regime?
In political science, a regime is usually defined as a set of rules and norms determining
how politics works in a country. These rules might be formal, like a constitutional provision in
France that affirms the president is elected for five years, or informal, like a tradition in the United
Kingdom that maintains that the monarch cannot veto bills even though technically she is allowed
to do so. The rules defining a regime specify the workings of its political institutions (the
government, legislature, courts, etc.). This definition of a regime is neutral, but in everyday
language, the term has negative connotations. It is usually used to characterize autocratic or
repressive systems (like a Fascist regime). Contrastingly, the phrase "Germany's democratic
regime" sounds unusual. A term with a similar meaning to "regime" is "political system."

Regime vs. Government

In contrast to the regime, which is a more general term, "government" refers to a group
of people who control a country. Government has a broader and narrower meaning. In the broader
meaning, it refers to a country's central political institutions, which are usually divided into
executive, legislative, and judicial branches. In the narrower sense, it encompasses only the people
holding top executive positions (presidents, prime ministers, ministers/secretaries, monarchs, etc.).
One of the differences between regime and government is that governments, especially in
democratic countries, change significantly more often than regimes. For example, a change of
government occurred in France in May 2017 when Francois Hollande left the presidency and
Emmanuel Macron assumed office. In a similar way, China had a change of government in March
2013 when Hu Jintao left the presidency and Xi Jinping took it over. Yet, France's democratic
regime and China's autocratic regime did not change.
A regime change implies not only a change of government but also a change of
fundamental rules governing the country. Burma experienced a regime change in February 2021
when the military overthrew its democratically elected government in a coup. Fundamental rules
of the regime changed because before the coup, free elections decided who would rule the country.
After the coup, the military decided who would rule. Similarly, China experienced a regime change
in 1949 when Communists won a civil war over their Nationalist opponents. One should add that
under some circumstances, especially in personalist autocratic regimes (in which a single ruler

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concentrates power and civil institutions are weak), the regime is hardly distinguishable from the
government. This is the case, for example, in North Korea.
In the United States, the term "government" is also often used to describe what other
varieties of English call "the state," that is, the entirety of public institutions at all administrative
levels (which include the military, police, and agencies such as the Social Security Administration
and National Park Service).

Types of Regimes
Just like with people, regimes may be categorized into several overlapping dimensions. In
the case of a person, one can describe them, for example, in terms of height and age. So, elderly
people might be either tall or short and the same can be said about young people. There are at least
four ways to describe a person alongside these two dimensions. Obviously, adding dimensions
multiplies the number of possible ways.
In the same way, there are several dimensions in which regimes can be classified. First, in
terms of how much freedom a regime allows, one can identify the following types of regimes:
Democratic, autocratic, and totalitarian.
Another dimension used to classify regimes looks at how their head of state comes to
power. In this regard, one can identify monarchies and republics.
Democracies
One of the most often-talked about political system is a representative democracy. This is
a system in which representatives are directly elected by the citizens, and these representatives
then make political decisions for the people, with the assumption that their decisions will reflect
the general will of the republic. This can be compared to a direct democracy, in which the citizens
directly vote on all issues of importance.
Republics
The republic is one of the most common systems of government in the world, although it
takes many different forms. For instance, a republic can be associated with a religion, as in the
case of an Islamic republic; an economic system, as in a socialist republic; or a political procedure,
like a parliamentary republic. A number of republics try to show the fact that they are actually
made up of smaller, semi-autonomous parts. The United States of America, for example, says very
clearly that its political regime is that of a group of united state entities. Both Nigeria and Germany
also convey this idea by calling themselves federal republics.

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 Republics are often denoted in the official name of the state, and often include a modifier
to convey some sort of philosophical ideal the political regime holds. For example, Guyana is
known as a the Co-Operative Republic of Guyana, Sri Lanka is known as the Democratic Socialist
Republic of Sri Lanka, and mainland China is known as a People’s Republic of China. The actual
governmental system in these countries can vary: for instance, China is a Marxist-Leninist single
party state, not a republic. This type of government can also go the other way, with several
republics being part of one state, like countries in the former Soviet Union.
Dynastic Governments
Dynastic systems of government consist of all the leaders of the country coming from one
family. Common types of this government include monarchies, emirates, and dynastic empires,
like that of Imperial China. In modern times, the leaders of many monarchies and emirates serve
primarily as figureheads. This type of government is called a constitutional monarchy or nominal
monarchy, and includes countries like the United Kingdom. The opposite of this is an absolute
monarchy, in which the ruler has total power to govern the state, and is not subject to control from
a constitution or parliament. Examples of modern absolute monarchies include Saudi Arabia and
Qatar.
Authoritarian and Totalitarian Regimes
In authoritarian and totalitarian political regimes, one person, entity, or party has complete
control over the affairs of the state, without the input or consent of the population. In totalitarian
regimes specifically, this leader attempts to control all aspects of a society, including things like
the personal beliefs and morals of the population. These are sometimes accompanied by a cult of
personality around the leader or leaders, as in the case of Adolf Hitler, the leader of Nazi Germany.
Common forms of authoritarian or totalitarian regimes include military juntas, in which a small
committee of military leaders rules the country or a single-party state, in which only one political
party is in power and others are either outrightly or tacitly not allowed to challenge that authority.
Another form is a dictatorship, in which one person rules the country without being accountable
to anyone and then passes his or her powers on to another person upon death.
Rare or Archaic Systems
Some systems are leftovers from a bygone age. Luxembourg, for example, is officially
known as a grand duchy, dating back to a time when it was a part of the Netherlands as a Dutch
dominion. Another type of archaic system is a kritarchy, or a rule by judges; and a timocracy, or

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country in which only people who own land can be active in governing. Other types of
governments are rare in the modern world, but still exist in pockets. Theocracies, for example,
such as the government of Tibet in exile, or of Vatican City, where a religious figure is also granted
secular power of the government.
Theoretical Systems
There are a number of types of political regime that exist more in theory than anywhere in
the world. One example of this is a strict meritocracy, for example, where leaders are chosen based
on their ability to lead. Other theoretical systems include a corporatocracy, a popular theme in
science fiction, in which corporations rule their own sovereign states; and a geniocracy, in which
leaders are selected based on their problem-solving abilities and creativity.

Democracy and Development

Tracing the journey of Democracy and Development in India
Even prior to independence the Indian people were more or less committed to a democratic
future. The experience of colonialism reinforced this desire for democracy. Of course, as was to
be expected, there were considerable differences in the understanding of the meaning and
functioning of democracy and development in post-independence India. This indicated a vibrant
and democratic political ethos in the making.
The definitions of democracy were wide and sweeping, not limited to the institutional facet
alone. For instance, one of the sub-committees of the National Planning Committee of the Indian
National Congress constituted in 1939- the sub-committee on Women’s Role in Planned Economy
(WREP) clearly stated that democracy in India would remain a limited experience if women’s
lives within the family and the economy were not suitably re-structured (Nirmala Banerjee, 1998).
The Constitution of independent India reflects both the concern for democracy and it close linkage
with development- the preamble opens with a most eloquent appeal to the need for equality, liberty,
fraternity, justice the dimensions of which are not just political but clearly spelt out as social and
economic (Rajeev Bhargava 2008).
In the period between 1947 to roughly 1966 there was considerable amount of overlapping
of economic and political programmes. The economic component it was believed would bring
a better life for Indian citizens thus furthering democracy. It was hoped that the elaborate
provisions made for dalit and marginalized communities would bring about a social

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transformation thus strengthening the democratic fabric of India, and, secular institutions
and principles would eliminate the importance of religion from public life enabling the
citizens to be free from the stranglehold of religion, as well as become equal citizens in public
life.
Over the six decades after independence, the painful observation that has dawned upon the
citizens of India is that the development programme remained flawed and limited.
Economically, it failed to bring about a transformation in the lives of vast majority of the
people of India. Persistent and rampant poverty remains a problem, and over the last two
decades, the improvement in the lives of ordinary Indian citizens is a goal that is no longer
heard repeated with any degree of conviction. The voices and concerns of the poorer sections
of India are not heard enough in boardrooms and planning bodies. The chant of privatization
and globalization is often repeated, this discourse of course has nothing to offer the very poor
and the marginalized. This is indeed a severe limitation of the experience of Indian
democracy (Nayyar 2001).
In the real world of statecraft and policy making, faced with the rough and tumble of
politics, both the definitions of democracy and development took on a very limited (in the
case of democracy an institutional connotation and in the case of development statistical
growth rates) meaning.
The early decades after independence were thus marked by an uncritical acceptance
of the Indian state’s definition and programme of democracy and development, except by
the ideologically distinctive Left groups as well as the Hindu nationalist groups on the right.
By the end of the 1970s the Indian electorate had tasted blood in a manner of speaking, having
thrown out the Indira Gandhi led Congress government that had suppressed the democratic rights
of the citizens by declaring a national emergency.
The hope and belief in the democratic credentials of the state was gone and people
began to re-think their role in forging a democratic society and polity. This led to a
tremendous churning of the political class and resulted in the birth of many new social
movements that questioned the existing consensus over the meaning, purpose and manner of
functioning of Indian democracy and the goals and manner of development. These
movements in a certain sense became the harbinger of the new phase of Indian democracy.

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 Disillusioned with existing party and political structures, many of the new movements
nurse a healthy contempt and suspicion of conventional democratic politics.The Indian state
seems to have lost its edge as far as the democratic agenda is concerned, and the poor seem to have
rejected the “mainstream” definition of development.

Development vs. Democracy

The popular media and journalistic accounts of Indian society and politics post 1990s
presents a picture of India that is marching ahead thanks to the advantage of English language
education combined with spread of computer literacy and technology. The expansion of the
Business Processes Outsourcing (BPO) is a common example. These developments along with
many similar changes that are occurring in the economy thanks to globalization are often held up
as evidence of the rapid strides taken by India on the development front.
Today a great deal of reporting on India in the local and international press is about
the economic revolution sweeping India and the transformation of the Indian economy from
a marginal player to a global giant specially in some key areas and sectors like software,
biotechnology and pharmaceuticals.
The tendency to be self-congratulatory in the context of repeated and smooth electoral
transitions of governments and a largely free media and culture industry is rather
disturbing. Democracy it is declared has firm and deep roots in India. We need to reflect
critically upon the nature of democracy and how the ordinary Indian citizen experiences it,
we also need reflect critically upon the nature of development and how it impacts the lives of
Indian citizens.
Niraja Gopal Jayalobserves that the frontiers of democracy in India have been stretched
in the recent years like never before (2001). Apart from many other factors, she identifies two very
significant ones, the first is the multitude of what are described in India as grassroots
movements and the second is the unprecedented assertion by backward and marginalized
castes (Raka Ray and Mary Fainsod Katzenstein 2005).
Jayal believes that the two big challenges to Indian democracy have resulted in a
somewhat more inclusive democracy being created. This is however; she contends not the same
as a deepening of Indian democracy. A deepening of democracy in India would require a
commitment to restructuring and re-ordering of the society. The direction that democracy
in India is taking is inclusionary, satisfied with the creation of new categories of citizenship

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with special provisions for employment and education in government institutions. In this
framework therefore, class differences are pushed to the background and the pursuit of
egalitarianism not spoken about (Zoya Hasan 2009).
The third change has been the bold and loud questioning of the Indian state’s
development programme which is supposedly devoted to the welfare of all its citizens.
Development for many decades was seen as a sacred chant that the state would invoke and
the citizens would repeat. From the 1990s, many social movements are questioning the merit
of a development strategy that leaves thousands of Indian citizens displaced and distressed.
The question being asked is how democratic can a development strategy that is not desired
by vast sections of the citizens of India be?1

Political Participation
Political participation refers to the civic activities, such as voting, that citizens use to take part in
political processes and express their opinions and preferences. Explore the definition, forms, and
examples of political participation, review the types of political participation, and recognize who
the process is for.

What Is Political Participation?

For many, as American citizens, one of the aspects of our culture that many are most proud of is
the extent to which they can take part in the political system. Whether they are voting for a new
congressman, serving on a jury, or participating in a public protest, they can be fairly certain that
their actions are going to have an influence on American politics in some way. For them, this is
important because it is one of the ways in which Americans can contribute to their communities
and be active members of society.
These civic activities are what are known as political participation, and they are a critical part of
any democracy. As the name suggests, political participation simply means that a person is
participating in the political process by making his or her opinions and beliefs known. In the social
sciences, the term 'political participation' is often used to describe an action taken by a citizen to
influence the outcome of a political issue.

1
For more information: Democracy and Development in India | socialsciences.in

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Types of Political Participation
There are many different forms of political participation, and whether you know it or not, you've
probably taken part in some of them at different points in your life.
Some of the most common forms of political participation are:
1. Voting: In a democracy, voting is the single most important form of political participation
that a person can take part in because it ensures that politicians are elected by the people,
rather than being assigned to their position of power by someone else.
2. Protest: Whether or not it is a constitutional right, as it is in the U.S., public protests are
another important form of political participation because you are making your opinions
known in a very obvious way, with the hope that your actions will influence or initiate
change in a particular area of politics.
3. Public consultations: Like voting, public consultations (which are more commonly known
as town hall meetings) offer ordinary citizens the chance to get together in a group with a
politician or elected official in order to make their opinions and feelings known.
4. Jury duty: Although most people shudder at the thought of having to attend jury duty, it
is an important type of political participation because it ensures that people who are
charged with a crime are judged by people like them, rather than allowing the outcome to
depend entirely on a single person, such as a judge.
While these are some of the most common forms of political participation, there are many others.
These include:
• Signing a petition
• Writing a letter to a public official
• Blogging about a political issue
• Donating money to a cause
• Volunteering for a campaign
• Joining an activist or interest group
• Holding a public official position
• Occupying a building in an act of protest
• Committing a terrorist act
As long as the activity involves ordinary citizens expressing their opinions by contributing to the
political process, you can probably assume that it is a form of political participation.

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Other forms of political participation:
Campaigning
If there is a particular issue or problem that you see, you can campaign. This raises
awareness of the issue which means that other citizens will understand it better. It also brings it to
the attention of the government and holds them to account. Forms of campaigning include peaceful
protesting, writing letters to officials, or joining an activist or interest group. If you continuously
campaign about an issue, this increases the chances of that issue being addressed by the
government.
Understanding
A simple way to become involved with politics, is simply to understand who the political
parties are in your country and what you think of them. This makes it easier to decide who to vote
for. It also makes it easier to understand what political problems a country has, and how they could
be fixed. Finding information on political parties is therefore a very good starting point.
Information can be found by reading the agendas or manifestos of a party to see what their policies
are. These can normally be found online. It is also helpful to read the news, from a number of
different sources. This gives a wide understanding of political issues and key political figures.
Discussion
Talking about politics with your family, friends, and neighbours is an easy and fun way to
engage with your country’s political system. This helps you develop your own political views by
listening to what other people have to say. It’s great to have an opinion on a political issue, but
also very important that you’re prepared to listen to what others think. By listening to other
opinions you get to see things from another point of view which might change how you feel.
Hold a public position
One of the best way to become involved with politics, is to become a politician or public
official. If you hold a public or political position, you have power to find out what problems your
community has. You also have power to help to have these issues addressed.

Why is political participation important?

Political participation is one of the best ways for ordinary people to make a substantial
change to their community. If people are engaged with the politics of their country, they will better
understand where the government is going wrong. Once they have an understanding of the political
problems, they will be better equipped to combat them. If this political understanding, then

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becomes political action, the government will have a clearer understanding of why people are
unhappy. If everyone in a country participates in politics, it will become much harder for a
government to ignore the problems of the people. Therefore, an increase in political participation,
should mean more will be done to address political and social problems.2

4 benefits of youth political participation

In the area of political participation, eligibility for national parliament starts at 25 years old
or older in a third of all countries. About 1.6 percent of parliamentarians around the world are in
their twenties. Young people between the ages of 15 and 25 constitute a fifth of the world’s
population, according to UN Youth. Facts prove the necessity of a young generation that is more
engaged, that leads toward a higher quality of democratic governance.
A simple but difficult question then follows: why should youth participate in politics and what are
the benefits of their involvement?
From political to civic engagement - The involvement of youth in politics leads to civic
engagement which is broader than political engagement because it can include service to the
community through involvement in health, education and charity work. Political engagement is a
more targeted aspect of civic engagement and can be expressed through voting, participating in
political demonstrations and signing petitions for specific issues.
Better Citizens - Young people who participate politically in their community from early on are
more likely to become engaged citizens and voters. So in order to have better “young” citizenship,
politics is one of the best tools.
Break the status quo - In countries of dictatorship, the younger generation’s fresh ideas and new
leadership can help to overcome authoritarian practices. Protests led by youth leaders can force
autocratic leaders to step down from power, allowing these youths to become part of formal
decision-making.
Youth for Youth - The youth face many issues in the world, but these issues go unheard. Since
the youth would better understand other young people, the best way to improve this newer
generation would be through politics, which is a tool used to take action for development.

2
For more information : 8.1 What Is Political Participation? – American Government and Politics in the Information
Age (umn.edu)

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Social inclusion
Social inclusion is a process by which efforts are made to ensure equal opportunities for
all. The multi-dimensional process aimed at creating conditions which enable full and active
participation of every member of the society in all aspects of life, including civic, social, economic,
and political activities, as well as participation in decision making processes. Social inclusion may
also be interpreted as the process by which societies combat poverty and social exclusion. Social
inclusion aims to empower poor and marginalized people to take advantage of burgeoning global
opportunities. It ensures that people have a voice in decisions which affect their lives and that they
enjoy equal access to markets, services and political, social and physical spaces.

Panchayati Raj Institutions and Participative Democracy

The National Panchayati Raj Day is celebrated every year on April 24. The Panchayati
Raj Institutions play a major role in the socio and economic development of people at the
grassroot level. Panchayati Raj Institutions (PRI) as units of local government have been in
existence in India for a long time, in one form or another. However, it was only in 1992, on the
recommendations of the LM Singhvi Committee (1986), that it was granted constitutional status
as the third level of India’s federal democracy through the 73rd Amendment Act.
The primary objective of establishing the third tier of the government (PRI) is to
increase democratic participation, to better articulate local needs and priorities, and to ensure
a more efficient use of local resources along with greater accountability and transparency.
However, this tier of the government is marred by many problems that need to be sorted out.
Significance of Panchayati Raj Institution
▪ Promote Democratic Representation
o The PRI system generally consists of three level: Gram Panchayat at the village
level, Block Panchayat or Panchayat Samiti at the intermediate level and Zilla
Panchayat at the district level
o This scheme of the PRI system increases cooperation among people, democratic
participation and decentralization.
▪ Effective and Efficient Planning
o The 2.5 lakh Gram Panchayats (GPs) in the country have been entrusted to
provide basic services in the villages and plan for local economic development.

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 o The Gram Sabha (GS) discusses the development work plans of the GP
called Gram Panchayat Development Plan (GPDP) and the elected
representatives execute the plans. Formulation of GPDP improves efficiency of
public services.
▪ Ensures Good Governance
o ‘Consensus oriented’ and ‘Participation’ are two important pillars of Good
Governance and the PRI helps in ensuring both these pillars.
o For example, GS is a channel to include the less privileged section of society and
ensure their participation in the village level governance wherein they can
advocate their developmental aspirations.
o This bottom-up approach is meant to reflect the needs of various stakeholders
Gram sabha
▪ Gram Sabha is a body consisting of all persons whose names are included in the electoral
rolls for the Panchayat at the village level. The term is defined in the Constitution of
India under Article 243(b).
▪ The Constitution mentions that Gram Sabha exercises such powers and performs such
functions at the village level as the Legislature of a State may, by law, provide.
▪ All eligible voters of the village can participate in the Gram Sabha.
▪ The decisions taken by the Gram Sabha cannot be annulled by any other body except
itself.
Challenges With the PRI System
▪ Lack of Effective Devolution
o Local government is a state subject in the Constitution, and consequently, the
devolution of power and authority to panchayats has been left to the discretion of
states.
o Some of the important subjects like fuel and fodder, non-conventional energy
sources, rural electrification including distribution of electricity, non-formal
education, small scale industries including food processing industries, technical
training, and vocational education have not been devolved in certain states.
▪ Insufficient Grants/Funds

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 o Despite the constitutional empowerment, the local bodies face problems
of inadequate finance to carry out various activities assigned to them.
o Transfers made through the State Finance Commissions are also meagre in most
States.
o In most of the states, most of the GPs are found reluctant to raise their own source
of revenue (OSR). Only a few GPs are able to generate OSR in the form of tax or
non-tax revenue by renting shops, house tax and clean water fee.
▪ Issue of Sarpanch Pati
o On the Panchayati Raj Day in 2015, the Prime Minister called for an end to
‘Sarpanch Pati culture’. But it is still very much prevalent in the society, mainly
due to gender biases, women illiteracy and patriarchal society.
▪ Infrastructural Challenges
o Some of the GPs do not have their own building and they share space with
schools, anganwadi centre and other places. Some have their own building but
without basic facilities like toilets, drinking water, and electricity connection.
o While GPs have internet connections, they are not functional in many cases. For
any data entry purposes, panchayat officials have to visit Block Development
offices which delay the work.
▪ Lack of Support Staff
o The Standing Committee on Rural Development (Chair: Dr. P Venugopal) in July
2018 observed that there is severe lack of support staff and personnel in
panchayats, such as secretary, junior engineers, computer operators, and data
entry operators. This affects their functioning and delivery of services by them.
▪ Lack of Convergence of Various Government Programmes
o There is a clear lack of convergence of various development programmes of the
Centre and state governments.
o For example, roads in two different patches are constructed utilising two different
sources of funding (e.g. Fourteenth Finance Commission and MPLAD), but it is
difficult to find one large activity with funding from multiple sources.
o Different guidelines by different departments are cited as a major constraint for
lack of convergence of activities.

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Steps to be taken
The recommendations of the 6th report of the 2nd Administrative Reform Commission (ARC)
can be implemented for a better and effective functioning of the Panchayati Raj institutions.
▪ Genuine fiscal federalism i.e. fiscal autonomy accompanied by fiscal accountability can
provide a long term solution.
o The 2nd ARC had recommended that there should be a clear-cut demarcation of
functions of each tier of the government.
▪ The 2nd ARC also recommended that state Governments should encourage local bodies
to outsource specific functions to public or private agencies, as may be appropriate,
through enabling guidelines and support
▪ The Comprehensive and holistic training requires expertise and resources from various
subject matter specific training institutes.
o This can be best achieved by ‘networking’ of institutions concerned with various
subjects such as financial management, rural development, disaster management
and general management.
▪ Audit committees may be constituted by the State Governments at the district level to
exercise oversight of the integrity of financial information, adequacy of internal controls,
compliance with the applicable laws and ethical conduct of all persons involved in local
bodies.
Some Positive Steps Taken By Finance Commissions
▪ In the context, the Fourteenth Finance Commission (FFC) has substantially increased the
grants to the local bodies for the period year 2015-16 to 2019-20
▪ The grants provided are intended to be used to support and strengthen the delivery of
important basic public services.
▪ Also, the 15th Finance Commission has further increased the grants in its interim report
for year 2020-21 for rural and urban bodies.
Conclusion
The governments should make adequate efforts to devolve funds, functions, and
functionaries to panchayats, so that they can effectively plan economic development and social
justice schemes. An empowered PRI is the foundation to an ideal ‘Gram Swaraj’ as advocated by
Mahatma Gandhi.

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Participatory Budgeting in Brazil
Participatory budgeting (PB) began more than a decade ago in Porto Alegre, one of the
most populated cities in South Brazil. PB is a process through which citizens present their demands
and priorities for civic improvement, and influence through discussions and negotiations the
budget allocations made by their municipalities. Since 1989, budget allocations for public welfare
works in Porto Alegre have been made only after the recommendations of public delegates and
approval by the city council.
Participatory budgeting has resulted in improved facilities for the people of Porto Alegre.
For instance, sewer and water connections went up from 75 percent of total households in 1988 to
98 percent in 1997. The number of participants in the participatory budgeting process in Porto
Alegre reached 40,000 per year in less than a decade, indicating PB’s ability to encourage
increasing citizen involvement. The success of people’s participation in determining the use of
public welfare funds in the city of Porto Alegre has inspired many other municipalities to follow
suit. So far, of the 5,571 municipalities in Brazil, more than 140 (about 2.5 percent) have adopted
PB.
The positive impact of PB is a noticeable improvement in the accessibility and quality of
various public welfare amenities in those municipalities that have adopted it. The participation and
influence of people belonging to low-income groups in the budget allocation process are proof of
their empowerment. However, lack of representation of very poor people in the process is a
shortcoming of PB that needs to be addressed.

The Process of Participatory Budgeting

Participatory budgeting involves three parallel streams of meetings: neighborhood
assemblies, “thematic” assemblies, and meetings of delegates for citywide coordinating sessions.1
These meetings continue throughout the year. The first stream discusses fund allocations among
16 districts or neighborhoods of the city for the usual departmental responsibilities, such as water
supply and sewage, street paving, parks, and schools. The district-based meetings begin with 16
“great assemblies” in public places, including union centers, gyms, churches, clubs, and even a
circus tent. The city government’s “Presentation of Accounts” from the previous year marks the
beginning of events every year.

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 The government also presents its investment plan for the current year, as decided in the
previous year’s meetings. Then a debate starts for the next year. The debates continue for nine
months, and each district gives two sets of rankings, one set for requirements within the district
(such as pavement, school construction, or water lines), and the other set for efforts which affect
the whole city (such as cleaning up the beaches). A public debate decides the criteria for allocating
investment budget among districts. These criteria can be population, an index of poverty, a
measure of shortages (such as a lack of pavement or the lack of a school), the assigned priorities,
and so on.

Key Factors for Success

1. Processes such as participatory budgeting can have a significant impact in regions with
high disparities in income. Through a platform such as PB, the poor can put forth their
needs and obtain access to facilities or services that the other groups already have. The
participation and involvement of the poor can help to focus public welfare works on less
developed areas.
2. The Porto Alegre example suggests that: (1) initially, local citizens can be involved in the
allocation of a small part of the city’s total budget, and (2) over time, more of the city’s
budget can be allocated through public participation. The increase in the amount of funds
allocated through PB in Porto Alegre reflects the growing power of citizens to decide civic
matters that affect them directly.
3. There are claims that PB is not reaching the very poor in Porto Alegre, but it is
accomplishing an important goal by moving resources to segments earlier deprived of
government attention. This experience points to a step-by-step approach in implementing
PB projects, which can start with low-income groups and move to the very poor in the next
phase.
4. The case of PB at Porto Alegre suggests that lack of support by the local media for local
initiatives, such as PB, can hinder the dissemination of such initiatives to other parts of the
country.
5. Participatory budgeting can influence long-term planning. Local solidarity and concern for
the environment have resulted in some bold decisions in Porto Alegre. In one instance,
despite the influence and employment assurance of a large motor vehicle company, the city
turned down a proposal for a new automotive plant, believing that the required subsidies

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 could be better used for other city requirements. Similarly, a proposal for a five-star hotel
at a decommissioned site was turned down, and it was decided to use the well-situated site
to develop a public park, a convention hall, and a public symbol of the city.
6. PB can strengthen accountability in the government’s budgeting mechanism. In Porto
Alegre, for instance, several rounds of meetings give public representatives ample
opportunity to hold the administration answerable for false promises or for slow progress
in work in their localities.
7. For successful implementation of PB, and to avoid the possibility of unreasonable demands
made by the citizens, it is important to maintain transparency and make the citizens aware
of the funds position and constraints of the municipal administration.

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Examples of social issues :
1. Unemployment
2. Insecurity
3. Robbery
4. Poor standard in education
5. Corruption
6. Low quantity in agricultural production
7. Inflation
8. Low standard of industrial products
9. Poor health system
10. Poor access to financial services for economic activities
11. Raising social and economic inequalities
12. Pollical
13. Religious
14. Agitation
15. Poor transportation system
16. Poor housing
17. Drug abuse
18. Rape
19. Poor public service

Concepts not covered

module 4
1. Governance as Execution of Law
2. Values and Context of Legal and Administrative Process –Constitution.
3. Rule of Law and Administrative Law French, British and German Contexts.

module 5
1. review of administrative acts

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Module 6
1. Innovations and Pitfalls in Participatory Governance
2. Government transparency in Policy Decisions.
3. Engaging the Community at Grassroots
4. Level Issues in Engagement and Participation.
5. Grameen Bank in Bangladesh

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