MA POLITICAL SCIENCE - University of Calicut Political Science-Paper IV... · we add ‘public’...

PRINCIPLES AND THEORIES OFPUBLIC ADMINISTRATION

PAPER IV[

MA POLITICAL SCIENCE

(2013 Admission)

UNIVERSITY OF CALICUTSCHOOL OF DISTANCE EDUCATION

Calicut university P.O, Malappuram Kerala, India 673 635.

493 A

School of Distance Education

Principles and Theories of Public Administration Page 2

UNIVERSITY OF CALICUTSCHOOL OF DISTANCE EDUCATIONSTUDY MATERIAL

MA POLITICAL SCIENCE

PAPER IV

PRINCIPLES AND THEORIES OF PUBLIC ADMINISTRATION

Prepared by: Dr. Asha. V,Associate Professor,N.S.S Hindu College,Changanassery .

Scrutinized by: Dr. G. Sadanandan,Associate Professor & HOD,PG Dept. of Political Science,SKVC, Thrissur.

Layout: Computer Section, SDE

©Reserved



Contents Page No.

MODULE I 5

MODULE II 11

MODULE III 22

MODULE IV 38

MODULE V 44

MODULE VI 50

MODULE VII 57

MODULE VIII 62

MODULE IX 66





MODULE I

Basic concepts of Public Administration

a) What is Public Administration?

Administration is an integral part of our daily lives. All our progress and development havebeen possible due to the administrative efforts. The word ‘administer’, derived from the Latin wordad+ ministare, means to care for or to look after people, to manage affairs. Administration is aprocess permeating all our collective effort and is having a universal nature. Thus administration iseverywhere with us from “womb to tomb”.

Public Administration is truly a sub division of the broader concept of administration. Whenwe add ‘public’ to administration, it means governmental administration. It is the management ofgovernmental affairs and activities. Dimock and Dimock define public administration as “theaccomplishment of politically determined objectives”. Woodrow Wilson, the authority in the field,defines public administration as “detailed and systematic execution of public law”. Piffiner andPresthus define administration as the “organization and direction of human and material resourcesto achieve desired ends”. According to L.D. White, ‘administration is the direction, co-ordinationand control of many persons to achieve some purpose or objective”.

Eventhough, the definitions of public differ in many respects, it can be concluded thatpublic administration is an instrument of translating political decisions into reality, it is the actionpart of government, the means by which the aims and objectives of the government are realized.

When one analysis the nature and scope of public administration, mainly there are twobroad views ie, the ‘managerial view’ and ‘integral view’. The supporters of managerial viewbelieves that administration comprises of the work of only those persons who are engaged inperforming the managerial functions of an organization. Luther Gullick, Henry Fayol, HerbertSimon, Donald W.Smithburg and Victor Thomson are the main advocates of this view. Gullick hassummed the managerial activities as ‘POSDCORB’. It includes the seven functions of the ChiefExecutive such as Planning, Organizing, Staffing, Directing, co-ordinating, Reporting andBudgeting. Only those who are performing these managerial functions are part of administrations.The clerical, manual and technical activities are excluded from the purview of publicadministration. This view regards administration as getting things done, not doing things. This viewis considered as a narrow view of administration. On the other hand, the exponents of ‘integralview’ regards administration as the sum total of all the activities – manual, clerical or managerialwhich are undertaken to realize the goals of an organization. According to this view, all acts ofgovernment officials from peon to the secretary are part of public administration and publicadministration is a combine effort or team work. this view is supported by Woodraw Wilson, L.D.White, Marshall E. Dimock, and John.M. Pfiffiner.



Public Administration has a wider scope in the contemporary society. The traditional writersrestrict the scope of public administration to the executive branch of the government alone Butmodern writers have extended the scope of public administration to all the three branches of thegovernment. To them, public administration is to whole government is action. This view has greateracceptance today. In India there is mutual dependence and intensive interaction between all thethree branches of government and public administration is a part of the larger political process inthe country.

Public Administration and Private Administration

The two terms Public and Private administration are treated differently by different writers.Thinkers like Max Weber, Henry Fayol, Mary Parker Folelt and L. Urwick argue that alladministration is one and the same and exhibit the common features. No doubt, there is much incommon between public and private administration. At the same time, in certain respects, both aredifferent. Paul.H. Appleby, Herbert.A. Simon and Peter Drucker have made a distinction betweenPublic and Private administration.

Public Administration aims to serve the public, but private administration, aims to produceprofit. Again administrator’s activities are fixed by law. But the business executive is free to selectthose activities that brings more profit. Public accountability is the hallmark of publicadministration. His actions are exposed to public review and criticism at all times. But this is notapplicable to private administration. Again, public administration is subjected to political directionand control. But the functions of private administration are directed by market forces. On thewhole, Public administration have a wider scope than private administration.

Public Administration aims to serve the public, but private administration aims to produceprofit. Again public administrator’s activities are fixed by law. But the business executive is free toselect those activities that brings more profit. Public accountability is the hall mark of publicadministration. His actions are exposed to the public review and criticism at all times. But this isnot applicable to private administration. Again, public administration is subjected to politicaldirection and control. But the functions of private administration are directed by market forces. Onthe whole public administration have a wider scope than private administration

In the era of globalization, Liberalisation and privatization, the role and functions of thestate is decreasing to a considerable extent. The administrative apparatus as well as the size of thebureaucracy is shrinking. Thus in the era of the free market economy, public administration has toregulate the private sector in order to protect public interest.

PUBLIC ADMINISTRATION: ART OR SCIENCE

Public Administration has two dimensions – as a practice and as a study. As a practice itstands for a process or activity administering governmental affairs. As a study it stands for an areaof intellectual enquiry. As a practice, public administration is an art, but as a study of governmentalaffairs, it is surely a science. It is clear that social sciences which study the complex humanbehavior are not exact sciences like physical sciences. But social sciences are trying to becomemore and more scientific by using scientific methods of study.



Woodraw Wilson, the pioneer of Public administration, as a subject of study called it as the‘Science of Public Administration as early as 1887. He laid emphasis on the study of PublicAdministration “to rescue executive methods from the confusion and costliness of empiricalexperiment and set them on the foundations laid deep in principle”. W.F. Willoughby, LutherGullick and L. Urwick etc are contributors who laid emphasis on the Science of Administration. In1939, Charles Austin Beard spoke of “Philosophy, Science and Art of Public administration”.

The question raised is whether Public Administration is a true science? The most importantfeatures of science are absence of normative (or ethical) value, predictability of behavior and finallyuniversal application. All these three factors are not fully present in public administration. Valuescannot be fully eliminated from public administration. Public Administration is ultimately a politicsand normative values cannot be completely sacrificed. On the other hand science is value-free orhas no ethical content.

Yet another issue is that public administration, like any other social science, studies humanbehaviour. As Robert Dahl remarked, the concern with human behavior limits the immediatepotentialities of a science of Public administration. To Dahl, no science of Public administration ispossible unless: (1) the place of normative values is made clear, (2) the nature of man is the area ofpublic administration is better understood and his conduct is more predictable and (3) there is abody of comparative studies from which it may be possible to discover principles and generalitiesthat transcend national boundaries and peculiar historical experiences”.

Moreover, public administration has had its growth in the cultural framework of the West.As such its findings and principles may not be valid in other parts of the world, where differentcultures prevails. Public administration is culture bound. In short, public administration can beentitled to be called a science only after its principles are directly derived from studies andinvestigations made in the different societies of the world-in Asian, Latin, American and Africancountries.

Public Administration is not an exact science like Physics. But part of which has alreadybecome mechanized can be classified as science. The impact of computer and the statistical andMathematical techniques like operations research, linear programming etc is gradually makingincreasing part of public administration scientific. So public administration is science to someextent, and in exact science to some other extent.

One should not disregard the impact of culture on administrative theories and principles.There is a continuous interaction between culture and institution. This is so aptly demonstrated by afact that an executive’s chamber looks like the same in all the countries, all international airlineslook so similar etc. Slowly and steadily there emerges an administrative culture which seeks totranscend national frontiers and peculiar national experiences.

C. NEW PUBLIC ADMINISTRATION

As an academic discipline, Public administration is growing and developing gradually.Always it has tried to respond to the constantly emerging social needs. New Public Administration(NPA) can be defined as a new and qualitatively different phase in the growth of public



administration, infused with political values like equity, social justice, change and commitment.This new phase is often equated with the ‘crisis of identity’ of public administration as a separatediscipline. NPA can be regarded as the first serious attempt on the part of the practitioners of publicadministration to give it a stable identity by re-emphasizing its core commitments towards thesociety.

The origin of NPA can be traced back to a path-breaking conference in 1968 at theMinnobrook conference I site at Syracuse university. It was attended by a host of youngintellectuals drawn from different branches of social sciences. This conference was truly a wake-upcall for all theorists and practitioners, to make the discipline socially relevant and accountable. Itwas held in the backdrop of a turbulent time which was marked by a series of social upheavals inthe form of ethnic clashes, campus clashes, Vietnam war and its repurcussions in American societyand the like. The New Public Administration was the result of the above developments and a deepsense of dissatisfaction with the existing state of affairs. This new “counter-culture”, as MohitBhattacharya puts, has called for the ‘primacy’ of ‘politics’ in administration.

The Minobrook conference site at Syrause university has a unique distinction of hostingthree consecutive conferences pertaining to the development of public administration. In an exactinterval of twenty years (1968, 1988 and 2008) the centre has organized three conferencesrespectively known as Minnobrook conference I, II and III. The first conference was famous forbringing about a new era in public administration informed with relevance, equity, change andsocial justice. Public interest formed the core of the deliberations. Social equity has been added toefficiency and economy as the rationale or justification for policy positions. Ethics, honesty andresponsibility in governance have returned again to public administration. Change, not growth hascome to be understood as the more article theoretical issue. Effective public administration hascome to be defined in the context of an active and participative citizenry.

In addition to advancing these themes, the participants were influential in the primaryprofessional association. The American Society for Public Administration (ASPA). It has nowopen elections, sections for minorities and women, and a record of women and minorities in theleadership positions. It has developed a code of ethics and takes position on the significant publicpolicy issues of the day.

NPA is not free from criticisms. It is often held responsible for the propagation of anillusion of “paradigon shift or paradigon revolution within the field”. The argument goes that NPAinstead of contributing to a paradigm shift, has fostered intellectual confusion, methodologicalissues and institutionalization of undisciplined medioerity in the field with a definite politicalintention of re-infercing statusquo. However, NPA is a kind of soul-searching exercise, whichsought to bring back relevance in public administration by integrating theory and practice in acoherent whole.

d) CONTROL OVER PUBLIC ADMINISTRATION

Public Administration, all over the world is showing a trend towards expansion. There is aphenomenal increase in the governmental functions. In the opinion of L.D. White, “Power in ademocratic society requires control, and the greater the power, the more need for control”. The



grant of powers inevitably carries with them a fear of their abuse or misuse. The need for effectivecontrol over administration is thus, obvious. Mainly there are three types of control over publicadministration- Legislative control, Executive control and Judicial control.

1. Legislative Control: In the democracies, the broad policies of administration are laid down inthe legislative enactments. The tasks of government are thus not of its own making; these arebroadly speaking, defined by the legislature. Further, the latter provides the government with fundsto finance the various programmes. Coupled with these legislative prerogatives is its general powerof ‘direction, supervision and control of public administration’.

In India the tools of legislative control are: Questions, Resolutions, Zero Hour Discussion,Adjournment motions, votes of censure, Budgets and Parliamentary committees, Public Accountcommittee, Estimates committee, committee on public undertakings, committee on subordinatelegislation and committee on Assurances, Audit etc.

However, there are some limitations of legislative control. The legislative control overpublic administration is not as effective as it ought to be. Legislatures have neither the staff nor theexpertise to exert effective control in the most meaningful areas. Pfiffiner and Presthus havepointed out the limited effectiveness of congressional control over the Executive in the U.S.A.India is not an exception to this. The following limitations are faced by almost all countries.

1. In the formulation of policies the executive plays a decisive role. A large number of billsoriginate in the government departments.

2. The work of administration has been phenomenally increasing both in volume andcomplexity. Legislatures do not have time and expertise to control effectively the rapidlyexpanding administration.

3. Legislatures sometimes fail in their task of exerting effective control over finances.

4. The elected representatives are dependent on the ruling executive. The government feelssafe behind its majority in the parliament.

2. Executive Control

Executive control over public administration is another form of control. Public policiesoriginate from the chief executive. The policies are implemented by the civil servants, who unlikethe chief executive, enjoy6 permanent tenure and are not affected by the ups and downs of politicalparties. There is, thus, an apparent used for control of the civil services so that its behavior mayconform to the executives expectations.

The tools of executive control over public administration are the following:-

1. Power of appointment and removal;

2. Rule making power, ordinances etc

3. Civil service code



4. Staff agencies

5. Budget

6. Appeal to public opinion.

3. Judicial control

The media of external control over administration are two, legislative and judicial. Theformer is the control of the policy and expenditure of the executive branch, and the latter is thecontrol of administrative acts which ensures their legality and thus protects citizens whenever theofficial authority encroaches upon their constitutional or statutory rights. The primary objective ofjudicial control is the protection of private rights, which obviously is a task of grave importance.The judicial control over administrative acts stems from the doctrine of rule of law.

Courts of law intervene in any of the following cases- 1) abuse of power, 2) lack ofjurisdiction , 3) error of law, 4) error in fact finding and , 5) procedural error.

The court’s intervention may be sought if the public servant uses his authority to harm someperson. The court also intervenes if the administrator has acted ultra vives or without authority, or ifhis act falls outside the scope of his authority. Any administrative act which violates theconstitution is liable to be pronounced unconstitutional by the judiciary.

Judicial control also has some limitations. First of all, courts of law cannot intervene ontheir own accord. They can intervene only when they are approached by individual or group ofindividuals. Secondly, the judicial control is a control after the event, it is in the nature of warningto the administrators. Again recourse to judicial redress has become so expensive that a averagecitizen cannot afford it.

Even if such limitations exist, judiciary have a major control over public administration.



MODULE II

APPROACHES TO PUBLIC ADMINISTRATION

A. TRADITIONAL APPROACHES

Public Administration is a generalized human activity concerned with the ordering of menand materials required to achieve collective social ends. Since its birth, the study of PublicAdministration has been growing in different directions and today it involves complex concernsand functions. There have been numerous attempts by different scholars to explain the differentaspects of public administration. The result is that public administration consists of relativelydistinct approaches that grow out of the different perspectives that shape its structures andfunctions. Each approach gives a particular point of view of administrative activity. In a broadsense, one can divide the approaches into normative approach and empirical approach. Thenormative approach concentrates on what public administration should be, while the empiricalapproach analyses the actual administrative situations. The traditional approaches includephilosophical approach, historical approach, institutional approach, legal approach and comparativeapproach.

1. Philosophical Approach

The philosophical approach is perhaps the oldest approach to the study of PublicAdministration like all other social sciences. An example of this approach is found in Shanti Parvaof Mahabharata, other well-known examples being Plato’s Republic, Hobbes “Leviathan”, Locke’s“Two Treatises of Civil Government” etc. The Philosophical approach is wide ranging, takingwithin its purview all aspects of administrative activities. Its goal is to find out and enunciate theprinciples or ideals, underlying these activities.

2. Legal Approach

The legal approach to the study of Public Administration came after the philosophical one.It is a systematically formulated approach and traces its ancestry to the European tradition ofrooting public administration in law. The supporters of this approach considered administration as apart of law and concentrate on the legally prescribed structure and organization of publicauthorities. This approach was formulated at a period when the functions of the state were limitedand simple in nature.

3. Historical Approach

The historical approach studies the public administration of the past within particular timespans, organizing and interpreting the information in a chronological order. The historical approachnaturally commands a powerful attraction in a society having a rich past and can be very valuablein identifying the uniqueness of administrative system. Indeed, many administrative institutions canbe best understood in the light of their past, which is possible by adopting the historical approach.We, for instance, cannot understand the Indian National Congress founded in 1885, withoutstudying its historical development.



4. Institutional Approach

This approach is largely based on the legal rights and obligations of the government. Ittends to emphasize formal relationships and the separation of powers among the three branches ofgovernment. Policy and administration are often separated, with the assumption that the role ofadministrators is almost entirely confined to merely carrying out policies designed by the politicalarms of the government. The generalizations of this approach were often based upon formalanalyses of organizational structure and the constitutional delegation of authority and responsibilityto the three branches of government. A major assumption of this approach is upon the normativequestion of responsibility.

5. Comparative Approach

Woodraw Wilson has examined the methods best suited for the study of administration. Herejected the philosophical method and emphasized the historical and comparative methods.According to him, nowhere else in the whole field of politics, one can use these methods moresafely than in the province of administration. Without comparative studies in government, wecannot rid ourselves of the misconception that administration stands upon different bases indemocratic and other states. A comparative approach to public administration structures of differentnations with different cultural settings. The Comparative Administrative Group (CAG) has definedit as the public administration applied to diverse cultures and national setting and the body offactual data by which it can be examined and tested. The purpose of such comparisons is to find outthe universal elements in public administration and build a theory of public administration. Asmentioned earlier, Woodraw Wilson was the first who stressed the need for a comparative study ofpublic administration. In 1947, Robert Dahl, in his essay, “The Science, of Public Administration,“Three Problems” also emphasized the utility of comparative public administration to develop ascience of public administration. However, the comparative approach to public administrationbecame popular only after the II World War with the emergence of new nations in Asia, Africa andLatin America. These nations were facing the challenges of modernization and technologicaldevelopment. It was hoped that a science of comparative public administration would provideinsights into such problems and yield some useful hypotheses about administrative behavior ingeneral. Two important figures in this field are Ferrel Heady and Fred Riggs. The comparativeapproach to public administration is not only useful to strengthen the theory building process inpublic administration but also helps us to know whether the administrative practices in a particularnation are applicable to other nations or not. On the basis of this, the applicability of theadministrative models can be judged and practiced in other political systems.

b) Modern Approaches

1. Behavioural Approach

The growing dissatisfaction against the institutional structural approach crystallized intowhat has come to be called the behavioural approach to the study of Public administration. Thisapproach, which dates back to the forties, focuses on the actual behavior of persons and groups inreal organisations. This approach argues that one cannot understand the actual functioning oforganizations without understanding why people act as they do. Hence, the behaviouralists have



come to apply the knowledge of social psychology, anthropology, psychology and many otherdisciplines in an effort to secure a better understanding of the actual human behavior withinorganization. The main aim of this approach is to establish a body of knowledge that facilitatesunderstanding, explaining and prediction of human behavior in administrative situations.

In contrast to the earlier approaches, the behavioural approach tends to focus quite stronglyon methodological problems, the use of survey analysis to determine organizational reality, and isconcerned with human aspects of administration and decision making. It attempts to builddescriptive and analytical generalizations about organizations and administrations. One of itsnormative assumptions is that it is possible to build an administrative science through carefulresearch on organisations and the behaviour of those who work in them. Herbert Simon and RobertDahl have been among the pioneers of the approach to the study of public administration.

2. Marxist Approach

Karl Marx, the father of scientific socialism, never attempted a full length discourse onpublic administration or bureaucracy. His interests were largely peripheral in the sense that he dealtwith public administration only as complementary to capitalism. Yet, as a keen observer of theEuropean Public administrative systems of his times, Marx could not ignore the significance ofbureaucracy in the society. Unlike Weber, Marx did not write extensively on bureaucracy. But hemade more than passing reference to bureaucracy in his critique of Hegel’s Philosophy of Right”.In it he had clearly expressed his views on the structure and behavior of bureaucracy and itsrelationship with State and Society. Marx’s usage of bureaucracy refers both to the system ofadministration and to the men who implemented that system. He examined it as a set ofrelationships that arise in a specific socio-economic context. Therefore Marx’s interpretation ofbureaucracy must be understood within the conflict, the crisis of capitalism and the advent ofcommunism.

Marx had no intention to present a systematic exposition on bureaucracy. His theory ofbureaucracy should be read in his overall schematic framework of social change. He had identifiedbureaucracy as an appendage of the ruling class, which had worked in tandem with the state toperpetuate the existing rule. Citing the example of French bureaucracy during the revolution of1789, he had shown how bureaucracy had facilitated the ruling bourgeois class. In his view,bureaucracy is often acted as a buffer which absorbs shocks that might hit the state. Therefore, as atrue, scientist of social change he had identified the crucial importance of bureaucracy in sustainingthe statuesque and prescribed the simultaneous abolition of bureaucracy and the state.

Eventhough Marx dealt with public administration only as complementary to capitalism, hisideas are profound in two respects (1) while elaborating his argument concerning the rise anddecline of capitalism, he was more and more engaged in the real momentum of developedcapitalism, as evidenced in the struggle between those upholding capitalism and those who areopposed to it. In this process, bureaucracy had no choice but to act formally as an appendage to thesystem of production contributing to the division of classes and (2) by identifying the institutionalroots of bureaucracy. Marx provided a contextual explanation of public administration contrary tothe weberian universal model of administration. Bureaucracy is ‘rational’ provided it is



conceptualized within a socio-economic format. Therefore, there cannot be a meaningful universaldesign. This is where Marx stands out as a creative theoretician of public administration, which isnot merely a structure, but is ideological in the sense of its behavior, specific to the socio-economicand political milieu within which it is located.

3. Ecological Approach

Administration and its environment influence each other and the understanding of thedynamics of this process is necessary to understand administration. This approach is known asecological approach. The word ‘ecology’ is borrowed from biology where it suggested theinterdependence between an animal species and its natural environment.

The Ecological approach to the study of public administration was initiated (in the order) byJ.M. Gans (1947), Robert.A. Dabl (1969), Roscoe Martin (1952) and FW. Riggs (1961). Fred W .Riggs is currently the fore most exponent of the ecological approach in public administration.

In 1961, F.W. Riggs in his book, “The Ecology of Public Administration” explored from acomparative perspective the interaction between public administration and the environment inwhich it develops. In analyzing the administrative system from the ecological point of view, Riggsmainly used the structural-functional approach. Talcott Parsons, Robert Merton, Marion Levy,Gabriel Almond and David Apter are the other thinkers who adopted this approach in their works.

The ecological approach views public bureaucracy as a social institution which iscontinuously interacting with the economic, political and socio-cultural sub systems of a society.Bureaucracy is not only affected by these environmental systems but also affects them in turn.Thus, this approach emphasizes the necessary interdependence of public bureaucracy and itsenvironment. In the opinion of Riggs, administrative institutions are shaped and affected by theirsocial, economic, cultural and political environment. Therefore, he emphasizes that in order tounderstand better the real nature, operations and behavior of a particular administrative system, oneshould identify and understand deeply in various environmental factors influencing it. Theecological approach determines how an administrative system operates in practice. Thus it is usefulto understand administrative realities.

4. Structural Functional Approach

F.W. Riggs mainly used structural-functional approach in analyzing the administrativesystems. This approach envisages that in every society certain important functions have to becarried out by a number of structures with the application of certain specified methods. To Riggs, inevery society five important types of functions are discharged, viz. economic, social,communication, symbolic and political functions. The same set of functional requisites applies toan administrative sub-system in which various structures carry out a number of functions in aspecified manner.

The structural functional approach in the field of public administration, was first suggestedby Dwight Waldo in 1955. Waldo’s suggestion was first followed by F.W. Riggs when he came outwith his “agrarian-industria” (that is, agricultural and industrial societies) typology in 1956. These



models were developed keeping in view the societies of imperial China and the United States.According to him, all societies transform from ‘agraria’ to ‘industria’ at a given point of time.

Later in 1957, he developed an intermediate model named “transition” which representedthe transforming societies and possessed the characteristics of both “agrarian” and ‘industria” Butthe typology of ‘agrarian-transitia – industria” was criticized as having many limitations. Later,Riggs developed another set of models to analyse the administrative systems in developingcountries. It came to be known as the fused-prismatic-diffracted model. The ideal models of Riggsanalyse the administrative systems, in developing countries. It came to be known as the fused-prismatic-diffracted model. The ideal models of Riggs administrative systems – fused, prismaticand diffracted are hypothetical assumptions aimed at analyzing pre-historic developing anddeveloped societies.

Riggs created models on the basis of the structural – functional approach. In his view, in afused society, a single structure carries out various functions. Contrary to this, in a diffractedsociety separate structures are created to carry out specific functions. But between thee two, thereexist a number of societies in which the characteristics of both fused and diffracted societies existside by side. These are called prismatic societies.

The focus of Rigg’s analyses is the study of certain key elements of the social structures in aprismatic society and their interaction with “sala”, ie, the administrative sub-system in such asociety. His treatment of the fused and diffracted societies is sketchy, and has relevance only to theextent that it aids the analysis of prismatic societies. It is to explain the ‘administrative ecology’ ofprismatic societies that he has constructed the “Prismatic-sala” model. He identified three featuresof prismatic-sala model:- (1) Heterogencity (2) Formalism, 3) Overlapping.

Later on in his book “Prismatic Society Revisited “ (1973), Riggs revised his prismatictheory. He replaced the ‘one dimensional approach’ (differentiation) with “two dimensionalapproach’ (differentiation and integration). Thus, he reconceptualised diffracted societies as, “co-diffracted”, “Ortho diffracted’ and ‘new diffracted’ and prismatic societies as ‘co-prismatic’,‘ortho-prismatic’ and ‘neo prismatic’. His analysis of the process of administrative developmentcan provide guidelines to the policy makers in different nations.

Decision Making Approach

Decision making approach is generally associated with the pioneering contribution ofHerbert Simon. The decision making approach usually equates administration with decisionmaking. Decisions are made at every stage of the organization and are considered as fundamentalsteps in the process of policy formulation. However, decision making is not a single person’s task,it involves a series of steps including feed back and follow up actions and obviously multipleactors. Herbert Simon gives importance to rational decision making.

Decision making is a complex process involving several steps. They can be sequenced thefollowing manner:-

1. Identification of or locating the problem.



2. Getting related information and data and figuring out tentative options.

3. Weighing the tentative steps by seeking the opinion of the subordinates.

4. Zeroing in on a particular option.

5. Evaluate the efficiency of the decision reached at.

6. Getting the feed back and make necessary modification if situation so demands.

Hence decision making requires a total team work starting right from the chief executivedown to the personnel stationed at the ground level. Then only the objective of the organization canbe achieved in a satisfactory manner.

Herbert Simon’s rational decision-making theory

Decision making approach is popularly associated with Herbert Simon, who has introducedthe rational decision making approach. Simon views organization as a structure concerned withdecision making. Decisions are made at every level of the organization. With an objective ofensuring that decision making is more effective and scientific, Simon tried to uncover thecomplicated inner dynamic of a decision in order to see how multiplicity of value premisesdetermines the ultimate decision making. Simon breaks up decision making process into threephases namely, intelligence activity, design activity and choice activity. By intelligence, Simonreferred to those activities by which one scans the environment and identifies occasions to make adecision, by design, he referred to finding or developing alternative options; and by choice, hereferred to finding or developing alternative courses of action from those available options.

To Simon decision making involves choice between alternative plan of actions, and thechoice in turn, involves logical co-ordination between fact and value propositions. Thus, Simon’sdecision making approach has another criteria ie the ‘rationality’ criteria. Simon views that totalrationality in an administrative situation is almost impossible. Hence he has prescribed a moderatelevel of rationality (bounded rationality) based on a practical level of satisfaction.

Simon’s contributions are undoubtedly a major breakthrough in the evolution ofadministrative theory. His model has greatly encouraged the need for the use of variousmanagement techniques in public policy making and policy science has received the initial impulsefrom his formulation.

Developmental Approach

The term ‘developmental administration’ was first coined by U.L. Goswami in 1955 andlater popularized by scholars like Riggs, Edward W. Weidner, Joseph La Palombara and AlbertWaterson. Weidner was the first to introduce the concept of development administration.

Edward Weidner defined development administration as an “action-oriented, goal – orientedadministrative system”. It is the process of guiding an organization towards the achievement ofprogressive political, economic and social objectives that are authoritatively determined in onemanner or another.



The term development administration has been used in two inter related senses. First, itrefers to the administration of development programmes, to the methods used by large scaleorganisations, notably governments, to implement policies and plans designed to meet theirdevelopmental objectives. Second, it indirectly involves the strengthening of administrativecapabilities. These two aspects of development administration, that is the administration ofdevelopment and development of administration are intertwined in most of the definitions. ToRiggs, “development administration” and ‘administrative development’ have a chicken-and-eggkind of relationships. Today, development administration is concerned with the formulation andimplementation of four P’s- plans, policies, programmes and projects.

Characteristics of development administration

1. Change-orientation- The distinctive feature of development administration is its centralconcern with socio-economic change. It is this special orientation which distinguishes itfrom traditional administration which is basically concerned with the maintenance ofstatusquo.

2. Result-Orientation:- Development administration has to be result-oriented since changeshave to be brought about rapidly and within a definite time schedule.

3. Commitment to work – In development administration the organizational role expectationinvolves commitment to socio-economic change and concern for completing time boundprogrammes. The bureaucracy is expected to be ‘involved’ and emotionally attached to thejobs they are called upon to perform.

4. Innovativeness: Development administration focuses on replacing or improving the existinggoverning structures and norms with the ones that suit the changing political and socialenvironment. In other words, development administration is one that is dynamic andprogressive in thought and action.

5. Client orientation:- Development administration is positively oriented towards meeting theneeds of marginal farmers, landless agricultural labourers and rural artisans in developingcountries. The socio-cultural and politico-economic progress of these sections forms theessential basis of the performance appraisal of development administration.

6. Citizen-participative orientation:- Development administration accepts for its purposes theprinciple of associative and participative system of administration. Here people are taken asactive participants in the formulation and execution of developmental plans, policies andprogrammes.

7. Temporal dimension:- Since socio-economic changes have to be brought about as quicklyas possible, time assumes considerable importance in development administration.

8. Effectiveness of co-ordination:- Since development implies increasing specialization andprofessionalization, a number of agencies and organsiations involved in development taskshas considerably gone up. Co-ordination between various administrative units and activitiesis essential for attaining the maximum benefit.



9. Ecological perspective:- Development administration shapes the political, social andeconomic environment and also gets affected by it in turn. It is not a closed system. Itreceives feedback from the social system and responds to the demands put on it by thesystem.

Contemporary Approaches

Contingency Approach

The contingency or situational approach attempts to bridge the gap between managementtheory and management practice. Mary Parker Follet used the phrase “Law of the situation” in 1919to emphasise that different situations require different kinds of leadership. But the contingencyapproach developed mainly during 1970’s. After a review of leadership studies, Ralph Stogdillconcluded that the traits and skills required in leadership are determined by the situation in whichan individual is exercising leadership.

The basic premise of the contingency approach is that managerial actions and organizationaldesign must be appropriate to the given situation and a particular action s valid only under certainconditions. There is no one best approach for all situations. In other words, managerial action iscontingent upon external environment. Thus the contingency approach takes into account not onlygiven situations but the influence of given situations on behavior patterns of organization.

The contingency approach can be expressed as “if then” relationship approach. ‘If’ denotesthe independent variable environment while ‘then’ stands for dependent variable ie. managementaction. This shows the contingent relationship between environment variables and managementvariables. In other words, for every environmental situation, an appropriate management style maybe identified for the most effective attainment of desired goals. For example, participativeleadership may be most effective in an organization employing professional personnel in a hightechnology operation in an atmosphere of non- materialistic orientation and free expression. On theother hand, authoritarian leadership would be more effective in an organization which employsunskilled personnel on routine tasks in social values oriented towards materialism and obedience toauthority.

Contingency approach suggests that management is entirely situational and there is nothinglike universal principles of management. There is no one best way to organize and manage. Thisapproach highlights the multivariate nature of organisations and explains how organisations operateunder varying conditions. With its help managers can design actions which are most appropriate totheir respective situations. Contingency approach suggests that managers should develop situationalsensitivity and practical selectivity. The contingency approach attempts to integrate the variousschools of management thought.

The Rational choice approach

The rational choice theory, also known as choice theory or rational action theory, is a theoryfor understanding and often modeling social and economic as well as individual behavior. It is themain paradigm in the currently-dominant micro economics school of thought. It is also central to



modern political science, as well as other disciplines such as sociology and philosophy. Becher(1976) recorded that “the rational choice theory was early popularized by a 1992 Nobel MemorialPrize Laureate in Economics Science, Gary Becker, who was one of the first to apply rational actormodels more widely”. Elster (1989) stated the essence of rational choice theory when he said that“when faced with several courses of action, people usually do what they believe is likely to havethe best overall outcome”.

The “rationality” defined by the rational choice theory adopts a more specific and narrowerdefinition, which simply means that “an individual acts as if balancing costs against benefit toarrive at action that maximizes personal advantage”.

Rational Choice Theory is an approach that could be used by social scientists to understandhuman behavior. Green (2002) identified that the spread of the rational choice approach beyondconventional economic issues is discussed by Becker (1976), Radnitzky and Bernholz (1987),Hogarth and Reder (1987), Swedberg (1990) and Green and Shapiro (1996) among others.

Rational choice is argued to have developed as part of the behavioural revolution inAmerican political science of the 1950s and 1960s which sought to investigate how individualsbehaved, using empirical methods. The approach has increasingly become a growing approach topolitical science, especially in the United States. Anthony Downs (1957) was the first to applyrational choice theory to electoral behavior and party competition. His work, reviewed in Hinichand Munger (1997) went further to revolutionize the studies of elections. Other directions in whichrational choice theory has gone away from the works of Downs include areas of collective action,public choice, rent seeking, among others.

Olson (1965) showed that individuals with self interest would not always take part incollective action to accomplish a common goal, for instance, why would some of us refuse to payour tax despite the fact that the monies derived from taxes are used to develop our society; improvebasic amenities and security. This has lead to the development of the collective action theory,which can assist us to explain how collective actions failures can be grossly reduced if the decisionmakers involved are small.

The subject of public choice posits that the intervention of democratic governments to repairmarket failures have often created more problems than it solved. In part because, the combinationof the self interest of bureaucrats in maximizing their budgets and bureaucratic control overinformation on cost structure of state provisions of public goods result in their over provision, at theexpense of the citizenry (Niskanen, 1971).

Post-war intellectual developments go back through micro economics and welfareeconomics, nineteenth century liberalism and utilitarianism, and the work of classical politicaleconomist like Adams Smith, John Locke and Thomas Hobbes. If rational choice theory owesintellectual debts to the liberal tradition, it has made repayments by suggesting lines of analysis andarguments within the field.



Rational choice theory adopts a quite different approach to the study of social action, humanagency , and social systems and structures. There are many variants of rational choice theory whichtend to differ from other perspectives in the following ways.

The rational choice theory begins, firstly, from the viewpoint of the individual, as opposedto viewing several individuals interacting together, social situations, or groups. The emphasis onthe individual interest is always the starting point of the theory. Although some theorists of rationalchoice make different assumptions about the individual and proceed to larger social groups andsystems, each theorist begins with the individual as the foundation unit of the theory. In the wordsof Abell (2000), “it is only individuals who ultimately take actions and social actions…. individualactions and social actions are optimally chosen and “individuals” actions and social actions areentirely concerned with their own welfare”. These basic assumptions portray the methodologicalindividualism of the theory – the individual as actor with an initial concern only about him orherself, as well as his or her welfare. Upon the foundation of individualism, the rational choicetheory may go further to portray how sharing, cooperation, or norms emerge, and the role they playin the decision making process. Another major differential aspects of the rational choice theory isthe fact that it is sociologically minimalist. It begins with a few simple assumptions about theindividual and the relationship among individuals, and then builds models of social action andinteraction that describe and explain the complexities of larger groups, systems and whole societies.This approach is very different from the systems and structural approaches of Durkheim or Parsons,who make social norms and values at the societal level an essential feature of their perspective. Italso differs from the writers in the Marxian and Weberian traditions that emphasize large scale,global, and historical social forces. The rational choice theory also runs opposed to the symbolicinteraction, interpretive and feminist approaches that adopts a dense and complex view of socialactors and social interaction. The latter consider meaning, interpretation, emotions, experiences,and a wide variety of aspects of human existence, none of which can be reduced to the other, nor iscapable of simple explanation. Contrastingly, the theory adopts a relatively spare and simple modelof the individual, one that can be applied across time and space, so that it is a universal model.

Public Choice Approach

A great landmark in the evolution of Public Administration was the emergence of ‘publicchoice’ approach. Since the early 1960’s the public choice school has been developed by a numberof eminent scholars in a variety of ways. Essentially a critique of the bureaucratic model ofadministration, the public choice approach deals with the possibility of institutional pluralism in theprovision of public goods and services. Plurality of governments and public agencies is supportedon the grounds of consumer preferences.

Vincent Ostrom, the chief protagonist of the public choice school, has developed a conceptof “democratic administration’ along side the conventional idea of bureaucratic administration. Thebureaucrats, in his view, prefer self interest to public interest. Ostrom says, bureaucratic structuresare necessary but not sufficient for a productive and responsive public service economy”. Ostrom’sdemocratic administration paradigm earned popular acceptance because of its forceful emphasis ondemocratizing administration. He argued the need for diverse democratic decision makingstructures, popular participation in administration and dispersed administrative authority. In brief,



Ostrom argues, perfection in the hierarchical ordering of a professionally trained public serviceaccountable to a single center of power will reduce the capability of a larger administrative systemto respond to diverse preferences among citizens for many different public goods and services andcope with diverse environmental conditions. A variety of different organsiational arrangements canbe used to different public goods and services. Such organisations can be co-ordinated throughvarious multi-organizational arrangements.

To sum up, the public choice approach is an attempt to construct a theory of organisations intune with consumer interest and individual preferences. The monocentric, hierarchical andbureaucratic model of administration has been found to be incompatible with some of the basicnorms of a humanist and liberal democracy. The public choice school thus locates publicadministration within the domain of politics and an appropriate theory of political organization.



MODULE III

ORGANISATION

Theories of Organization

No doubt, we are living in the age of the “Organization Man, a man who accepts theorganization goals as the value premises of his decisions. The concise Oxford Dictionary definesthe word to organize as to frame and put in to working order.” The term organization has threedifferent meanings, 1) the act of designing the administrative structure, 2) both designing andbuilding the structure itself. 3) Gladden defines organization as “the pattern of relationshipsbetween persons in a enterprise, so contrived as to fulfill the enterprises functions.” Organization isnot merely a structure; it embraces structure as well as the human beings who run it in order torealize the preconceived objective. As such organizational theory must be basically human.

1. Scientific Management theory

Scientific management theory is considered as the first coherent theory of organization. Itwas a major breakthrough is industrial management with the expansion of large-scale industriesafter the industrial revolution; the western world had witnessed a resultant crisis of management.The growing scarcity of resources, competition, and complexity is managing business haddemanded an efficient science of management. The scientific management theory was the outcomeof such a needed. It had drastically ‘redefined’ the science of management by insuring maximumefficiency with the consequent economization of time and resources.

Frederick. W. Taylor has been considered as the father of scientific management theory.Taylor believed that in every trade there is one best way of doing a job, and the objective of themanager is to explore that best way to get optimum result. In his opinion, Scientific Management is“the art of exactly what you want men to do and seeing that they do it in the best and the cheapestway”. The objective of management should be to secure the maximum prosperity for both theemployer and the employee. Therefore each individual should be developed to his greatestefficiency. For this a scientific approach to management is highly needed.

Taylor”s Philosophy consist of the following principles which constituted the corner-stone ofscientific management.

2. Development of a true Science for each element of a man’s work to replace the old value ofthumb method.

3. Scientific selection, training and progressive development of every worker.

4. Close Co-operation between management and workers to ensure that work is done inaccordance with the developed principles.



5. A more equal division of work and responsibility between management and workers,management concerned with the planning of work and workers to look after the executionof plan.

Taylor suggested that all traditional knowledge should be gathered, classified, tabulated andreduced to rules, laws or formulas so as to hell workers in their daily work. Taylor emphasized amental revolution on the part of both employer and employees. This mental revolution requires thatmanagement should create congenial work conditions and should develop scientific attitudetowards the problem of organization. Similarly, workers should be sincere in doing jobs and theirshould be mental trust and co-operation. Thus Taylor’s theory can be summed up with thefollowing words:-

Science, not rule of thumb,

Harmony, not discord,

Co-operation, not individualism,

Maximum output in place of restricted output.

Development of each individual to his greatest efficiency and prosperity.

Mechanism of Scientific Management

Taylor and his associates developed several techniques of scientific management. Thesetechniques provide the mechanism for implementing the principles of scientific management. Themechanism of scientific management consists of the following techniques:-

1. Time study which is used to measure precisely the time required in doing every elementof a job with the purpose of deciding a fair day’s work.

2. Motion study designed to find out the best way of doing a job and thereby eliminatewasteful movements of workers and machines.

3. Functional foremanship involving division of labour at the supervisory level. It consists ofthe use of 8 specialists, four each in office and shop, to supervise every worker.

4. Differential piece rate plan of incentive wage involving two different piece rates forefficient an inefficient workers.

5. Standardization of materials, tools, equipments and working conditions and workmethods.

6. Instruction cards, slide rules, graphs, charts, costing system etc…

Among Taylor’s contempories who made significant contributions to scientific managementmovement, the names of Henry L. Gantt, Harrigton Emerson, Frank Gilbreth and Lillian Gilbrethare worth nothing.



The Classical Organisation or Formal Organisation Theory

The classical organization theory assumes that administration is a universal applicability,regardless of the situation and context. The supporters of this theory believes that certain universalprinciples of organization. The major exponents of this theory are Henry Fayol, Luther Gullick,Lyndall Urwick, J.D Mooney, A.V.Reily, Mary Parker Follet, R.Shelton etc…

Henry Fayol

Perhaps Fayol is one of the earliest administrative theorists to discuss universal principle ofadministration. Fayol had interpreted administration from a point of view of a manager and spelledout five key elements of administration, namely, planning, organizing, command, co ordination andcontrol. Henry Fayol wrote many papers of which “General Principles of Administration” and “TheAdministration Theory of State” deserve special mention. Moreover, Fayol had refuted the populardistinction between management and public administration. Instead, he was of the opinion thatadministration is an activity common to all human undertakings, whether in the home, business orgovernment. Fayol had further developed 14 principles of administration, namely, division oflabour, authority and responsibility discipline, unity of command, unity of direction, subordinationof individual interest to general interst, remuneration, centralization, scalar chain/hierarchy, equity,stability of tenure of personnel, order, initiative and spirit of corps to make it more comprehensive.He also said that good administration required efficient managers and his managers to have thefollowing traits: physical qualities, mental qualities, moral qualities, general education, specialknowledge and experience.

Luther Gullick and Hyndall Urwick

Despite their individual contribution, they have been mostly clubbed together for theirseminal publication entitled “Papers on the Science of Administration” (1937). In the said bookthey have introduced a popular acronym “POSDCORB” to the administrative theory. Gullick isalso known for his theory of departmentalization which addresses the problem of assignment ofduties in an organization.

Mary Parker Follet

Follet is another proponent of classical organization theory. Throughout her carrier she wasmuch occupied with problem of conflict and integration and came out with an innovative idea ofsocial interaction in every organization. She wants every organization to make use of the unutilizedpotential of conflict for its betterment. In the words of Follet, “all polishing is done by friction. Weget music from the violin by friction and we left the savage state when we discovered fire throughfriction”. She had preferred integration among the three popular ways of resolving a conflict, newlydomination, compromise and integration.

The classical theory or organization has been severely criticized for over emphasis oninstitutional structure and for ignoring the human elements of organization. Herbert Simon hasridiculed the classical organization theory as “homely proverbs, myths, slogans and prospousidentities”. But the fact is that the classical organsiation theory, which had formed the bedrock formodern organization theories.



The Human Relations Theory

The Human Relations theory, gives primacy to the human factor over institutional factors aspopularized by the traditional schools of public administration. It is a path breaking theory in thediscipline of public administration, which views organization as a social system by elevatinghuman behaviour as the basic unit of analysis. The theory is based on a simple premise that thehuman problem requires a human solution, since happier workers are the secret to a successfulorganization. Unlike the traditional approach, which glorifies economic man, the human relationstheory glorifies “the social man”. This theory underscores four key elements of organization,which the classical theorists seem to have overlooked. There are (1) organization is to be viewed asa social system (2) workers are human beings with all humanly attributes, 3) informal elements alsoplay an important role in the overall organizational output, 4) organization has a social ethics,instead of individual ethics.

Elton Mayo is considered to be the father of human relations theory. As a professor ofindustrial research at the graduate school of Business Administration at Harvard University, Mayohad conducted a number of landmark researches including the famous Hawthorne studies. In fact,he was also instrumental in initiating the study of industrial sociology. His major works include‘The Human Problems of the Industrial Civilization (1933), ‘The Social Problems of an IndustrialCivilisation” and ‘The Political problem of Industrial Civilization (1947).

The Hawthrone Experiments

The origin of human relations theory can be traced back to Hawthrone experiments. Thefindings of these experiments have ushered in a new vista in the organization theory. TheHawthorne plant of Western Electrical company at Chicago was one of the progressive firms in theU.S, which enjoyed a unique distinction in terms of better wage, liberal working hours, and cordialemployer – employee relationships. But from, early 1920’s the firm had been facing the problem ofmoderate productivity. Inspite of the liberal incentives and better working environment, the firmhad to content with a moderate growth rate. The management had tried all the possible remediesprescribed by scientific management theory and the classical orgaisation theory to solve theproblem. But no good result was attained. Under this circumstance that the managementapproached Elton Mayo and his associates to find a solution. The Harvard Business School took teh responsibility in the late 1920’s and 1930’s and began a series of experiments over a couple ofyears. The notable experiments among these were the great Illumination Experiment (1924-27) toassess the impact of the work environment on industrial output, The Human Attitudes andSentiments (1928-31) and the Bank Working experiment to study the group psychology whichinfluences group psychology.

The essence of the human relations theory are the following: (1) this theory, -- unlike themachine model of organization, views organization in its holistic social perspective, (2) Workersare being treated as human beings with all humanly attributes. Instead of viewing workers as merecogs in the machine, human relations theory put emphasis on the uniqueness of each worker. Thistheory believes that each worker carries with him his culture, attitude, belief and way of life.Therefore such socio-cultural aspects of a worker were to be considered. 3) The identification of



informal groups, which play a huge role in the overall organisaitonal output, 4) The humanrelations theory lays emphasis on social ethics, instead of individual ethics. Finally, the humanrelations theory in effect started a new form of management, ie, participative management.

BUEROCRATIC THEORY

No organization can exist without any form of bureaucracy. Every collective effort demandssome form of bureaucratic structure. The word “Bureaucracy” was first coined by Vincent deGournay are economist of France. The dictionary of the French Academy accepted the word in its1798 supplement and defined it as “power”, influence of the heads and staff of government bureau”

It is fact that whenever there is a discussion on bureaucracy, the first name that will becoming is the name of the French Sociologist Max Weber. It was Max Weber who hadsystematically theorized, bureaucracy for the first time. Weber’s conceptualization of bureaucracyneeds to be appreciated as a purely sociological phenomenon. To be more specific Weber’s theoryof ideal type bureaucracy as manifestation of national legal authority will become more intellible ifit is placed in the backdrop of his theory of domination. Max Weber, domination is not merely astructure of command that elicits obedience, rather it is what is readily compiled with. He hasidentified three sources of legitimation i.e, traditional, charismatic and rational-legal, of whichrational legal authority is codified in bureaucracy. In case of traditional authority, the source oflegitimation is tradition. Basically, traditional societies are subject to this kind of authority, wherepatriarchs, tribal clan heads have drawn their authority from innumerable customs, traditions andconventions. The charismatic source of authority rest upon personal charm, which may includemagnetic personality, heroic figure, and the like. But sources of legitimation are inherentlyunstable. By contrast the rational legal authority invokes the sanction of law.

In the opinion of Weber, bureaucracy is universal and most progressive and modern form oforganization, which is based on rational legal authority. It plays a crucial role in ordering andcontrolling modern societies. Weber has inummerated the following characteristics ofbureaucracy.:-

1. There is a clear hierarchy of officials.

2. The functions of the officials are clearly specified

3. Officials are appointed on the basis of a contract.

4. The staff members are personally free, observing only the impersonal duties of their affairs.

5. They are selected on the basis of a professional qualification, ideally substantiated by adiploma gained through examination.

6. They have salary and usually pension rights- the salary is graded according to the positionin the hierarchy.

7. The official’s post is his sole or major occupation.

8. There is a career structure and promotion is possible either by seniority or merit.



9. The official may appropriate neither the post nor the resources which go with it.

10. He is subjected to a unified control and disciplinary system.

The Bureaucratic theory is not face from criticisms. It has been pictured as a machinetheory and a closed system model due to its over emphasis on formal structure. Critics say that it isrigid, static and inflexible. This process will produce bureaucratic rigidity, red-tape and resistanceto change.

Inspite of such short coming, Weber could be created for the beginning of a systematicstudy of bureaucratic organization. It has helped to develop professionalism in administration byavoiding favouritism and nepotism. Though bureaucracy has earned a nick name for red tapism,nepotism and corruption, but at the same time no state in the world so far has been in a position todispense with bureaucracy, which itself speaks about its utility. If Wilson is the pioneer of thediscipline, Hex Weber is its first theoretician who provided the discipline with a solid theoreticalbase. His ‘ideal’ type of bureaucracy continues to remain fundamental in any conceptualization oforganization.

a) BASES OF ORGANISATION

What are the bases of organization? Aristotle had suggested two principles namely- 1)division of work according to persons or classes and 2) division of work according to the servicesto be rendered. These alternatives were adopted by the Haldane committee on the Machinery ofgovernment. But actually there are four different bases for organizations 1) function or purpose, 2)process, 3) Clientele or persons and 4) area or place. Luther Gullick calls these purpose, process,person and place – the ‘four p’st’ as the bases of organization.

1. Purpose:- By purpose is meant the major objective to be aimed at or major service to beperformed. Functional division of work is very common, and is regarded by many as the onlyefficient method. Ministries of defence, Education, Transport and communications andRailways in the government of India have been formed on this basis.

2. Process:- Process is identified with a technique, profession, o skill of a somewhat specializedtype, though it is to be admitted that is not quite easy to differentiate between process andfunction. Minister of Law in India manifests its principle. Generally speaking, process orprofession is found as basis of staff organization.

3. Person or clientele: Sometimes, persons also becomes the basis of organization. TheDepartment of Rehabilitation at the centre and the Department of Tribal Welfare in some statesin India have been formed on this principle. There is a possible justification for creating clientbased organizations. Some groups in the community have distinctive problems, so special as todifferentiate them from the rest of the community.

4. Place or Area:- Finally, place where jobs is done, may be the basis of organization. Thisprinciple is based on the belief that a region may have problems peculiar to itself. The forestdepartment, the zonal offices of the Ministry of Railways are good examples.



It may be noted that no single basis of departmental organization is best for all conditionsand purposes. In organizing government departments the administrators must be guided by thespecific conditions of each case and the objectives aimed at. If the objective of an organization isthe provision of services to the people, the purpose principle is the best one, if the aim is to achieveeconomy in technical staff, the process principle should be adopted, if the objective is to deal withspecial problems of a certain group of people in society, clientele is the most suitable principle forstructuring such a department, and lastly, the area or place principle is best suited, if the aim is totackle some peculiar problems of a specified area or region. Thus in practice, no department can beorganized on the basis of a single principle.

C. PRINCIPLES OF ORGANISATION

There are certain principles of organization. They are hierarchy, span of control, unity ofcommand, integration Vs disintegration, centralization Vs decentralsiation etc.

1. HIERARCHY

It is difficult to conserve of an organization without some form of hierarchy. Organization isessentially the division of functions among a given number of persons. The distribution offunctions and responsibilities is both horizontal and vertical. When additional levels are added in anorganization structure, it is called horizontal growth. Vertical, distribution creates levels. Topmanagement, middle management, supervision and level of specific performance. But when morefunctions or more positions are added without increasing the number of levels, it is calledhorizontal growth.. “Hierarchy consists in the universal application of the superior-subordinaterelationship through a number of levels of responsibility reaching from the top to the bottom ofstructure”. Mooney and Rcitey call it the “scalar process”.

The principle of hierarchy has been criticized. It has been blamed for creating superior-subordinate relationship in the hierarchy. Procedure through proper channels, red tapism and delayin disposal of cases ate the criticisms leveled against it. However, hierarchy performs very usefulpurposes in an organization. Hierarchy provides the much needed channels of communication inthe organization from top to bottom and bottom to top. It is also built in device to achieveconsensus in the organization. It also facilitates delegation of authority. More specifically it is themeans by which resources are apportioned, personnel selected an d assigned, operations activated,reviewed and modified.

6. SPAN OF CONTROL

Span of control is another important principle of organization. It is simply the number ofsubordinates or the units of work that an administrator can personally direct. In the opinion ofDimock, “The span of control is the number and range of direct, habitual communication contactsbetween the chief executive of an enterprise and his principle fellow-officers”. There are limits tohuman capacity, and if the span of supervision is extended too thinly, unsatisfactory results occur.The scholars therefore, have been engaged in determining what should be the length of the span.There are some who limit it to 20 and so on. There is no unanimity as to the exact number, but theredoes exist a general agreement that the shorter the span, the greater will be the contact, and



consequently, more effective control. On the other hand, there are dangers inherent in excessivelylimited span of control, such as, the risk of detailed supervision of the few reporting, and theresultant failure to stimulate subordinates or to fully use their capacities. There can be no rigid spanof control. The exact length of span will depend on many factors like the personality of thesupervisor, the age of the organization, diversification of functions, the traditions and environmentand the caliber of the subordinates.

3. UNITY OF COMMAND

The principle of unity of control means “an employee should receive orders from onesuperior only” – Fayol. Pfiffner and Prosthus defines it, “the concept of unity of command requiresthat every member of an organization should report to one and only one under, “Fayol believes thatof thus principle is violated, authority is undermined, discipline is in jeopardy, order is disturbedand stability threatened”.

But this principle is also being criticized. In the words of Seekler Hudson, ‘the old conceptof one single boss for each person is seldom found in fact in complex governmental situations.Many inter-relationships exist out the straight line of command which require working with andreporting to, many persons for orderly and effective performance….. the administrator ingovernment has many bosses and he can neglect none of them. From one he may receive policyorders, from another, personal, from, a third, budget, from a fourth, supplies and equipments”.Again, the unity of command has been seriously affected by the increasing member and growinginfluence of staff and auxiliary agencies. These agencies are manned by experts has added to theirgrowing significance. So, what we are having today is not unity of command, not even duality ofcommand, but multiplicity of command.

5. INTEGRATION VS DISINTEGRATION

An administrative system is called integrated in which all the executive authority isconferred by law or constitution on one single person who therefore becomes the chief executive.The reverse of it is a disintegrated system where executive authority is distributed by state orconstitution among a number of coerel bodies or agencies or persons. Closely allied to this conceptis the idea of area administration Vs functional administration. In the former system, there obtainsat any given level of administration an authority superior to all others with the power to co-ordiantetheir activities and resolve conflicts and contradictions. A good example of area administration wasthe District in the olden days with the collector at the apex of the departmental officials at thatlevel. Now it has changed to functional administration in which all departmental authorities at thedistrict level have coeval status and run along parallel lines resulting in a disintegrated and un co-ordinated administrative system.

6. CENTRALISATION VS DECENTRALIZATION

Centralisation stands for concentration of authority at or near the top, decentralization, orthe other hand, denotes dispersal of authority among a number of individuals or units. In the wordsof White, “the progress of transfer of administrative authority from a lower to a higher level ofgovernment is called ‘centralisaiton’, the convere, decentralization. The essential element in



decentralization is the delegation of decision making functions. In the words of Charlesworth, “thesignificant question in any large administrative undertaking is whether or not any definitive actionsare taken by the centre-head which can be taken at the periphery’.

Decentralization may be political or administrative. Political decentralization implies thesetting up of new levels of government. The Panchayati Raj institutions in India is a good exampleof decentralization. Another dimension of it is the association of the public with administration, andthis can be secured only by the dispersal of political and administrative authority. Administrativedecentralization may be vertical and territorial, or horizontal and functional.

Centralization and decentralization,a re not a priori principles which can be universallyapplied at any time and at any place, they have a situational relevance. According to James.W.Fesler, there are four factors which come into play in deciding for a centralized or a decentralizedsystem. Thse are the factors of responsibility, administrative factors, functional factors and externalfactors. One f the arguments against decentralization is the principle of administrativeresponsibility. Authority and responsibility go hand in hand and so long as the central authority isheld responsinbel for any action, it is besilant and even reluctant to cede discretionary authority tofield officials. Among the administrative factors, age of the agency, stability of the policies andmethods, competence of its field personnel, pressure for speed and economy and administrativesophistication. The main functional factors may be the variety of functions on agency performs, thetechnical nature of functions and the need for nation wide infirmity. Among the external factorsmay be the demand of popular participation in programmes and the pressure of political parties.The demand for “planning from below” is a good example. So centralization and decentralization isdependent upon the existing conditions of the organization.

D) STRUCTURE OF ORGANZIATION

CHIEF EXECUTIVE

The head of the administrative system of a country is called the Chief Executive. Broadlyspeaking, there are two types of chief executive, the parliamentary and the presidential. The bestexamples of Parliamentary chief executive are Britain and India. USA is the classical example ofpresidential chief executive.

In a parliamentary system, the real chief executive is the cabinet, which is a plural body.The Prime Minister, who is the head of the cabinet, regards other members as his colleagues. But ina Presidential system, the President is the real chief executive. The members of his cabinet are hissubordinates, not colleagues. In a parliamentary system, there is fusion of legislative and executivepowers, but in a presidential system, there is clear separation of the three departments ofgovernment. Mention may also be made of the Swiss Executive which belongs to neither of the twotypes discussed above, but a plural executive consisting of seven members having equal status.These members have seats in the legislature to which they are accountable, but have no votingrights. The Swiss Executive is elected for a fixed period during which it can not be ousted fromoffice. Nor can it dissolve the legislature. Thus it retains the merits of both the Parliamentary andPresidential systems.



Functions of the Chief Executive

The Chief Executive have political and administrative functions. The political functionincludes obtaining and retaining the legislative support for his policies and programmes, providingleadership to nation etc. His administrative functions are summed up by Gullick in the word‘POSDCORB’. It includes

1. Planning:- that is, working out in outline the things that need to be done and the methods fordoing them to accomplish the purpose set for the enterprise.

2. Organizing:- that is the establishment of the formal structure of authority through whichwork a sub divisions are arranged, defined and co-ordinated for the defined object.

3. Staffing – that is the whole personnel function of brining in and training the staff andmaintaining favourable conditions of work.

4. Directing – ie, the continuous task of making decisions and embodying them in specific andgeneral orders and instructions, and serving as the leader of the enterprise.

5. Co-ordinating- ie- all important duty of inter relating the various parts of the work.

6. Reporting – ie, keeping those to whom the executive is responsible, informed as to what isgoing on, which thus, includes keeping himself and his subordinates informed throughrecords, research and inspection.

7. Budgeting – with all that goes budgeting in the form of planning accounting and control.

The administration duties of the Chief Executive are the following: -

Firstly, he formulates administrative policies and programmes.

Secondly, the chief executive authorizes the structure of the organization through whichadministration functions.

Thirdly, the chief executive wields power in personal administration. He appoints anddismisses pubic officials.

Fourthly, the chief executive issues directives, proclamations, orders etc to make theadministrative activities conform to the statutory provisions.

Fifthly, the chief executive orders investigations and enquiries, and by this general power hemakes himself sure that the powers he delegates to numerous officials of varying ranks arenot abused.

Sixthly, he has budgetary responsibilities. He prepares and submits in annual budget to thelegislature, and after the latter’s approval, executes and implements it.

Seventhly, coordination is the most important function. Co-ordination is indeed, the heart ofadministration.



The role of the Chief Executive is made up of all these functions. The Chief executive,himself cannot perform all these functions. These functions are to be distributed among hissubordinates. These subordinates act as a filter and a funnel. The Chief executive is always thechief executive; he is the administrator in chief. C. Rajagopalachari has enumerated sixrequirements of a good administration. They are character, capacity to judge upon relevant adviceand to decide promptly and rightly, capacity to inspire confidence among subordinates, novacillation after a decision is made, even temper and to bring into being a sense of social purpose.

Line and Staff

A look at the power and function of the Chief executive convinces us that he cannotexercise his powers and perform his functions effectively and efficiently, unaided and unassisted.He needs help. This help, he receives from the organs attached to him. Many of his functions aredelegated to these organs. This delegation, however, does not interfere with his supremeresponsibilities of supervision, direction and control over administration. This organ called ‘generalstaff’ reduces pressure upon the chief executive’s time and energies. The general staff providesexpert advice and assistance to the chief executive.

An important concept in the realm of organization is that of Line and Staff. Both these termsare derived from the military vocabulary. A government conducts its business with the help of arightly elaborate system of organization held together by what may be termed as “chain ofcommand”. The central hierarchy comprises the Line, assisting the line are the staff and Auxiliaryagencies. Line works at the direct accomplishment of programme objectives, and is served by staffand Auxiliary services. Staff provides specialized advice, but does not command. Auxiliary staffprovides common services.

Line Agency

An administrative system is divided into agencies or departments principally on the basis ofmajor substantive purpose. The agencies are, thus concerned with the execution or fulfillment ofthe primary objects of the government, and deal directly with the people, supplying services to thepeople, regulating, their conduct, implementing programmes sanctioned by the legislature,collecting taxes and the like. It is with the line agencies that the ordinary citizen comes into contact,and it is they which constitute the kernel of administration. The major ‘Line’ departments in thegovernment of India are those of Health, Defence, Education, Labour, Railways, Transport,Communications, Community Development, Commerce and Industry.

Auxiliary Agency

The Auxiliary function or the ‘house-keeping” function as Willoughloy terms it, isundertaken to enable the line agency to perform its primary function. This function, is, thus,secondary. Neverthless, it is a necessary function, specially, in a complex and expandingorganization like government. The Department of Posts and Telegraphs has the primary duty ofdelivering letters and telegrams. This is the Line activity, and its performance depends upon theperformance of numerous other functions like purchase of paper, printing of post cards andenvelopes, recruitment of personnel etc etc. All these functions are thus auxiliary or house-keepingin nature.



In recent times, each Line department strove for operating self-sufficiency, and made itsown arrangement for performing its auxiliary functions. A characteristic of these auxiliaryfunctions is that they are common to all line departments. If these functions are taken away from allthe Line departments, and are performed by separate agencies, the benefits of specialization andincreased efficiency could be achieved such a trend is visible and separate auxiliary agencies existin most governments

STAFF AGENCY

Staff elements perform different kinds of roles. First of all, the advisory and co-ordinatingrole in which the staff elements are essentially extensions of the chief executive himself, carryingon for him those functions which he would do himself, if he had the time. Another role of staff isthe provisions of technical expertise. An operational research group might be considered astechnical staff for the executive. A last role of a staff group is to provide services in such areas aspersonnel or finance not only to the executive but under his direction to the entire organization.

Though staff and Auxiliary agencies assist the line, the distinction between the two shouldnot be forgotten. The staff has no operating responsibilities. It work is of research and consultativetype. The Auxiliary agency does have operating responsibilities, it undertakes the responsibilities,for contacting, purchasing, recruiting, keeping of accounts etc. The Auxiliary agency’s concern isto maintain the Line Agency. The staff has a wider jurisdiction. It performs the followingfunctions.

1. Advising, teaching, consultation.

2. Co-ordination, not merely through plans, but also through human contact, trouble shootingand winning over opposition at all levels of the organization.

3. Fact finding and research

4. Planning

5. Contact with other organizations and individuals to know what is going on

6. Assisting the line without unfringing its authority.

7. Sometimes exercising delegated authority from the Line commander.

The ultimate object of staff is an improvement of both the product and the productionmethods. Staff is only advisory in character, and the line has the monopoly of execution. Apertinent question is : can a hard and fast line be drawn between Line and Staff functions? Theproper relationship between these two has been a subject of lively debate, so much so that in thewords of Dimock, Dimock and Koeing, “the right adjustment between Line and Staff constitutesone of the most difficult areas of management”.

DEPARTMENT

The most important line unit of administration is the department. The Department, being atthe apex, carries on its duties to fulfill the purpose for which the government exists. The



Departments have immediate relationship with the chief executive. The latter performs hisfunctions of executing laws and serving the citizens with the assistance of these departments.

The word ‘Department’ literally means a part of portion of a larger whole and often it isused to denote parts of things other than the administrative units. In France for example, thedepartment is the name given to each of ninety territorial sub divisions into which the country isdivided. In the field of administration, department has a special meaning. It means the biggestblocks or compartments, immediately below the chief executive into which the entire work ofgovernment is divided. It is the highest and biggest unit of the administrative hierarchy. In thewords of Dimock and Dimock, “The departmental system is the natural growth of the need for thedivision of labour in administration and becomes acute when the functions of an enterprise multiplyover and over as in the case of a modern government and especially the federal government”.

The department are just below the chief executive in the administrative hierarchy and thework of government is divided among them. In India, the power to organize, reorganize or abolish aministry or a department is the sole power of the cabinet. But in the USA, this power to create thedepartment lies with the Congress. In India, after every general election, when new ministries arecreated, some new departments come into being and some are abolished, under the sweet will of thePrime Minister

Bases of Departmental Organisation

The question arises what are the bases of departmental organsiation? Luther Gullicksuggested four ‘Ps’ as the bases of department. They are:- 1) Purpose of function, 2) Process, 3)Persons, (4) Place of Territory. These are the four important bases of departmental organsiation.

Next is the discussion about the headship of a department. Normally, there are two systemsof headship. (1) Single Director or Bureau system (2) Plural Head or Board or commission system.

If a single individual is the Head of the Department, it is known as Bureau type oforganization. The responsibility for direction and supervision of a department is vested in the handsof a single individual in India. The Central Government, we have a Minister as the head of theDepartment. The minister is responsible for all the administration of his department viz. theFinance Minister for Finance department, Defence Minister for defence department.

If authority for direction and supervision is shared by more than a person, it is called aBoard or commission type of organization. In the same way, if the authority to direct and supervisethe department lies with many a person, it is known as plural headship or Board or commissiontype of organsiation. In India, we have the Central Board of Revenue which controls income tax,Customs and Excise Departments. Railway Board is another example.

Bureau system has many advantages. They are, quick decisions, unity fo purpose, betterdiscipline, location of responsibility, devotion to work and efficient direction and administration. Atthe same time, the Bureau system have certain disadvantages like chances of wrong decisions, lackof knowledge and experience, limitation of control, misuse of power etc.



Board or commission system have certain merits. They are:- most suitable for specializedtype of functions, free from political pressure, free from external pressures, easy settlement ofdisputes and the like. But the demerits are:- no fixation of responsibility, lack of enthusiasm, partypolitics, lack of unity of command, indiscipline etc.

Both the systems have their merits and demerits. So it is difficult to say which is better thanthe other. It depends on the nature of work and circumstances in the organization.

PUBLIC CORPORATION

The development of individualism or Laissez-faire theory was the contribution of the 19th

century. Adam Smith, the famous economist was its chief supporter. To him that state was the bestwhich served the least. He supported laissez faire policy for government in the economic sphere.England followed this policy, but could not achieve the desired result. The communist ideologywas a reaction against individualism. Communism paved the way for state interference in everywalk of individual’s life. As a result, the scope of state functions expanded. The welfare state ideabegan to emerge during this period. Public Corporations are a result of state’s entry into the field ofbusiness and commercial enterprise. According to Robson, “Public corporations are the mostimportant innovation in political organization and constitutional practice”.

The emergence of Public Corporation is the most important innovation with regard to publicadministration. The public corporation, though being a line agency, is different from thedepartments and independent regulatory commissions. It has the features of both public and privateadministration. Public corporation provides a combination of commercial freedom and governmentcontrol.

In President Roosevelt’s classic phrase, “it is clothed with the power of government butpossesses initiative and flexibility of a private enterprise”. The main reason for the creation ofmodern type of public corporations is the need for a high degree of freedom, boldness andenterprise in management of undertakings of an industrial or commercial character and the desire toescape caution and circumspection which is considered typical of government departments. Thusthe original impetus to the movement for public corporation came from a two fold desire to securefreedom from parliamentary supervision over management on the one hand, and the treasurycontrol over personnel and finance on the other hand.

Meaning and Definitions

Chambers Dictionary defines public corporation as a body or society authorized by law toact as one individual. The Chief characteristic of public corporation is that all its members legallyact as an individual. Their policies are also formulated by a board of persons. Dimock defines,“Public corporation is a public-owned enterprise that has been chartered under federal, state or locallaw for a particular business or financial purpose”. According to Earnest Davis, “The publiccorporation is a corporate body created by public authority with defined powers and functions andfinancially independent”.



Pfiffner defines: “A corporation is a body formed for the purpose of enabling a member ofpersons to act as a single person. The corporation is viewed as an artificial person, which isauthorized by law to carry on particular activities and functions”.

The above definitions makes it clear that a public corporation is neither, like a governmentdepartment under the full control of the government, nor like an independent regulatorycommission; it is free and autonomous. It is a quasi govt and quasi joint stock company whichworks like an individual. It is established by law. The corporation management recruits its ownpersonnel for external as well as internal administration. Their terms and conditions of service,training, salary and other facilities are settled by the corporation itself.

Features of Public Corporations

A public corporation has the following features:

1. Creation of Law:- A public corporation is created and established by specific law ofparliament or state assembly.

2. Legal status: Its is a artificial legal person capable of suing and being sued, entering intocontracts, acquiring and owning property in its own name.

3. State owned:- Government has total ownership of a public corporation as it has investedcapital in the corporation. But in India, some mixed corporations have also beenincorporated, namely, industrial finance corporation, State Finance Corporation etc.

4. Independent Finance System: Public Corporation has its own finances separate from thecentral budget. It holds funds in its own name which are granted to it by the parliament oncea while and which have been accumulated by it through its own earnings. It enjoys completeautonomy in the management of these funds.

5. Management by a Board:- For the management of Public Corporation, a board of directorsis appointed, which also comprises persons from private sector besides the public officials.

6. Recruitment, Promotion and other service conditions:- For internal administration of acorporation, personal are required. Recruitment, promotion, training, salary and otherservice conditions are laid down by corporation itself. Public corporation is quiteautonomous in this field, for there is no external interference.

Objects of Public Corporations

Prof. L.D. White has enumerated three reasons, for which the corporations are established:-

1. The extension or facilities of credit.

2. The management and operation of some industrial, commercial, other business undertakingand

3. Understanding the multi purpose development of some regions.



For example, in India, the aim of Rehabilitation Finance Corporation is to extend loans torefugees at a lower rate of interest. The Industrial Finance Corporation was also established toprovide loan facilities at lower rate of interest to industries. The aim of Damodar ValleyCorporation is allround development of Damodar Valley.

Merits of Corporations

1. Flexibility and Co-ordination: The corporations are free from the control of ministries intheir routine work. Their finances are separate from the government budget, andcomparatively they are independent on financial matters.

2. Service oriented: The aim of public service is another important feature of publiccorporations.

3. No Red-tapism: Unlike the government departments, there is no red-tapism in pubiccorporations. Their rules are simple and easy.

4. Characteristics of private enterprise: The public corporation makes all appointments of itspersonnel on its own conditions. Thus it is in a better position to control and supervise them.This helps in better production and discipline.

5. Free from political pressure – A corporation combines private and public managements.Thus, it does not used to change the procedure and policies, according to changingcircumstances. Political pressure does not effect its policy decisions.

6. National aims:- The establishment of public corporations has helped the state to achievenational interests.

Demerits

1. Vague Jurisdiction: The corporation system invites many disputes regarding the jurisdiction.How much liberty and autonomy be given to the corporation, and how much control may beexercised upon it? What are the jurisdictions of state and corporations, has not been decidedfinally. It remains a bone of contention.

2. Exceeding Financial Autonomy: Since there is no sufficient control over income and financialliberty the public money is often misused.

3. Unnecessary Interference: The ministerial interference in the affairs of corporations is notsatisfactory. The ministers intervene in the routine work and it will hamper progress anddevelopment.

4. Indifference to Public opinion: The Corporations are averse to public relations. They remainignorant of the public reactions to their policies and activities.

5. Irregular system of Employment: There is no regular system of appointment of the personnel ofcorporations.



MODULE IV

PERSONNEL ADMINISTRATION – BUREAUCRACY

The term ‘bureaucracy’ may be traced to the French word ‘bureau’ which means a writingtable or desk. Bureaucracy, thus simply means ‘desk government’. Following the model of thedefinition of democracy’ one may define bureaucracy as govt of the bureaus, by the bureaus and forthe bureaus. According to Encyclopaedia Britanicca, the term “signifies the concentration ofadministrative power in bureaus or departments, and the undue interference by officials in mattersoutside the scope of state interference’. Gladden uses the term to mean “a regulated administrativesystem, organsied as a series of interrelated offices”. According to Max Weber (1864-1920), thefamous German sociologist and the first thinker to attempt a detailed analysis of bureaucracy,bureaucratic organization displays the given ahead characterisitcs, 1) assignment of specified dutiesto every member to discharge the assigned duties, 2) methodical provision for the regularperformance of these duties, 3) the building up of the organization on hierarchical principle, 4)reliance on written documents or records 5) formulation of rules to govern the transaction ofbusiness and 6) recruitment and special training of the functionaries. So bureaucracy isindispensable to modern government, and functions both under public and private managements.

Max Weber and Bureaucracy

Max Weber (1864-1920), the German Sociologist, was the first social scientist to havesystematically studied bureaucracy. Max Weber developed a typology of authority anddistinguished three “pure” types – “traditional”, “charismatic” and “legal”. He regardedbureaucracy, sustained and sanctified by the purest type of exercise of legal authority (rationallegal), as the most efficient form of organization. To Weber, bureaucracy is a form of organizationwhich has certain essential characteristics. These are (1) separation of office and its incumbent, (2)selection by merit, (3) fixed remuneration of officials, (4) the official is subject to discipline andcontrol while performing his official work (5) hierarchy of offices, 6) allocation of activities of theorganization needed to fulfill its objectives, (7) allocation of authority required to discharge theseactivities and (8) strict adherence to rules etc.

Types of Bureaucracy

Forstein M. Marx describes four types of bureaucracy: (1) the guardian bureaucracy, (2) thecaste bureaucracy, 3) the Patronage bureaucracy and (4) Merit bureaucracy. He cites two examplesof “guardian bureaucracy”, viz, Chinese bureaucracy up to the advent of Sung period (960 A.D)and the Prussian civil service during 1640 and 1740. This type may be defined as “a scholasticofficialdom trained in right conduct according to the classics”. Such civil service regarded itself ascustochians of public interest, but was independent of and unresponsive to the public opinion. Itwas incorruptible, efficient, competent and benevolent on the one hand, but authoritarian andresponsive on the other.



The caste bureaucracy has a class base and “arises from the class connection of those in thecontrolling positions”. Such type is widely prevalent in oligarchical political systems. Under suchsystems only persons belonging to the upper classes can become public officials. Thus in ancientIndia, only Brahmins and Kshatriyas could become high officials.

Another name for the patronage bureaucracy is the “spoils system”. There is a differencebetween these two terms – patronage and spoils system. In both, the recruitment is based onfavouritism. But in patronage, the persons would continue in employment while in spoils, thebeneficiaries have to quit when the government changes. In contrast to the spoils system, patronageprovides stability of tenure. The traditional home of spoils has been USA. Patronage had full swayin the U.K, till the middle of the 19th century. This type of civil service exists where public jobs aregiven as a personal favour or political reward.

Merit bureaucracy has, as its basis, merit of the public official and its aim is efficiency ofcivil service. It aims at career open to talent. The attempt is to recruit the best man for the publicservice. Appointment to public service is no longer governed by class considerations, and it is nomore a gift or a favour. The civil servant in a modern democracy is really an official in the serviceof the people and is recruited on the basis of prescribed qualifications tested objectively.

Criticisms

Bureaucracy has been criticized by many. One of the criticisms leveled against bureaucracyis that it unresponsive to popular demands and desires. Bureaucracy, tends to regard itself as theself appointed guardian and interpreter of public interest. Secondly, red tape or undue formalism isanother criticism. It is true that bureaucracy puts too much emphasis on “procedure through properchannel” and precedents. Thirdly, bureaucracy is self-perpetuating. Fourthly departmentalism orempire building is another drawback. Finally, bureaucracy loves tradition and stands conservatism.

In brief, the maladies of bureaucracy are arrogance, self complacency, obsession with rules,ignorance of human factor rigidity in outlook and indifference to democratic institutions andprocesses.

Recruitment

Recruitment refers to the discovery and development of the sources of required personnel sothat sufficient number of candidates will always be available for employment in the organization. Itinvolves identifying and attracting job candidates who have the required abilities, attitudes andmotivation so as to meet the manpower requirements of the enterprise. Recruitment has beendefined as “the process of searching for prospective employees and stimulating them to apply forjobs in the organisation”. The purpose of recruitment is to seek out or explore, to evaluate, toinduce and to obtain commitment from the prospective employees so as to fill up positions requiredfor the successful operation of an enterprise. Recruitment provides an adequate pool of candidatesto enable management to select suitable candidates for different jobs. Sound recruitment isimperative for intelligent selection.



Sources of Recruitment

The various sources of recruitment may broadly be classified into two categories, ie, 1)internal sources (recruitment from within the enterprise) and 2) external sources (recruitment fromoutside).

Internal sources:- Internal sources of recruitment consists of transfers and promotions ofpresent employees. Transfer is a horizontal shifting while promotion is a vertical shifting ofemployees. Shortage of personnel in one branch may be filled through transfer from other branchesor departments. Job transfers are also helpful in avoiding lay off, replacement, job enrichment, shiftchange and is removing individual problems.

Business enterprises generally follow the practice of filling higher jobs by promotingemployees from lower jobs. This practice helps to improve the motivation, loyalty and morale ofthe employees. Thus, existing employees are an important source of recruitment in allorganisations. Internal recruitment is comparatively less expensive. Internal recruitment alsosimplifies the process of selection and placement. The candidates that are already working in theenterprise can be evaluated accurately and economically. A sense of security and loyalty developsamong the employees. Employees at lower levels are encouraged to look forward to higher ranks. Abetter employer – employee relationship is developed. However, complete reliance on internalrecruitment involves the danger of inbreeding by stopping infusion of new blood into theorganization. Moreover, no organization can fill all its vacancies from internal sources.

External sources:

Every enterprise has to keep external sources for various positions because all the vacanciescannot be filled through internal recruitment. The present employees may be insufficient or theymay not fulfill the specifications of the jobs to be filled. External recruitment provides wide choiceand brings new blood into the organization. However, it is expensive and time consuming. Thevarious external sources of recruitment are the following:-

1. Advertisements:- Advertising in newspapers or professional journals is a popular source ofrecruitment. It is a convenient and economical method. More over, advertisement provides a widerange of candidates from which management can make its choice.

2. Employment Agencies:- The government of India has set up a network of employmentexchanges throughout the country. These exchanges maintain detailed records of job-seekers andrefer appropriate candidates to the employees.

4. Educational Institutions:- Colleges, and institutes of management and technology have becomea popular source of recruitment for technical, professional and managerial jobs. Many bigorganisations maintain a close laison with the universities, vocational schools and managementinstitutes to recruit qualified personnel for various jobs. Placement cells have been set up in all wellknown educational institutes to help the students in securing suitable jobs.



4. Recommendations:- Applicants introduced by present employees, or their friends and relativesmay prove to be a good source of recruitment. Such applicants are likely to be good employeesbecause their background is partly known. Trade unions are an important source of recruitingworkers in factories.

5. Direct Recruitment:- Under this source of recruitment, a notice is placed on the notice boardspecifying the details of the jobs available. This is also known as recruitment at factory gate.Selection is done on the spot.

6. Labour contractors: Labour contractors maintain close contacts with labourers and they canprovide the required number of workers at short notice.

These are the various sources of recruiting personnel. The choice of a particular source ormore than one sources depends upon the quantity and quality of manpower required, pastexperience, organization policy etc.

TRAINING

Training of public servants is gaining more and more importance today. Training has beendefined as “the process of developing skills, habits, knowledge, and aptitudes in employees for thepurpose of increasing the effectiveness of employees in their present govt positions as well aspreparing employees for future government positions”. It is a well articulated effort to provide forincreased competence in the public services, by imparting professional knowledge, broader vision,and correct patterns of behavior, habits, and aptitudes.

According to Edwin.D. Flipper: ‘The purpose of training is to achieve a change in thebehavior of those trained and to enable them to do their jobs better. In order to achieve thisobjective, any training programme should try to bring positive changes in knowledge: it helps atrainee to know facts, policies, procedures and rules pertaining to his job,

Skills – it helps him to increase his technical and manual efficiency necessary to do the job and

Attitude: It moulds his behavior towards his co-workers and supervisors and creates a sense ofresponsibility in the trainee. Training is a continuous process and the initial training should besupplemented by special courses and refresher courses to which those who are already in theservice should be invited.

The directives and aims of training are the following:

1. Training helps the entrant by inculcating occupational skill and knowledge, making himfamiliar with the objectives of the department to which he belongs, and his potentialcontribution in the furtherance of the department’s goal.

2. There are constant changes in the goals and techniques of departments. The broad goals aredefined by registration and they have to be modified and revised occasionally. Training adjuststhe employees to the new environments.



3. The deficiencies of the new appointees may be corrected by imparting to them necessarytraining.

4. The Govt. must impart training in activities and occupations which are peculiar to it and haveno parallel in the private enterprise.

5. Training also helps keep the employee informed of latest development in the field, keep hisknowledge up to date.

6. Training helps the employees become people oriented.

7. Training broaden the vision and outlook of the appointees. It enhances the efficiency of theemployees, helps build integrity and morale in the public employees and also fosters teamspirit among the employees.

Types of Training

Training may be informal or formal.

Informal Training:- Informal training is training by the doing the work, and learning from mistakes,thus, leading to the acquisition of administrative skill through practice. This training occurs in theday to day relationships of employee and superior; in the conferences and staff meetings ofemployee, news papers and organization publications etc. Such training is connected with theregular tasks of the employees, he can best integrate with his own experience and thereby profitfrom it Since there is no compulsion connected with it, his motivation is positive. The ultimatesuccess of informal training depends upon the experience and seniority of the senior officer and hisinterest in the new entrant.

Formal Training:- Formal training aims to inculcate administrative skill by well defined courses atproper stage in the man’s career. Informal training must consequently be supplemented by formaltraining. Formal training may be divided into four categories, 1) Pre-entry training, 2) Orientationtraining, 3) In-service training, 4) Post-entry training.

1) Pre-entry training: It prepares a perspective candidate for entrance into the public service.Viewed in this light, even education imparted in schools and universities is pre-entry training,as it seeks to fit its recipient for all sorts of jobs including jobs in the Govt. of India, there ishardly any pre entry training scheme in existence. But in the USA there is a comprehensivesystem of pre-entry training for administrative and managerial position in the form ofinternship and apprenticeship.

2) Orientation Training: The object of orientation training is to introduce an appointee to thebasic concepts of his job, new work environment, organization and its goal. The orientationtraining not only helps personal adjustment of the new employees to his job and work groupbut also promote morals in the organization. Orientation training is becoming important inIndia, in order to keep bureaucracy.



3) In-service Training: In-service training has the twin aims of stimulating the employees tomake their best effort, and helping them to improve their performance. It is primarilyconcerned with developing in an employee, the skills and habits consistent with the existingpractices of an organization and with orienting him to his immediate problems. The employeeslearn the job by personal observation and practice as well as occasionally handling it. It islearning by doing, and it is most useful for jobs that are either difficult to stimulate or can belearned quickly by watching and doing.

4) Post entry Training: Post entry training while for the most part not directly related to thework of the employee, is definitely of help to an organization. An example would be trainingin engineering for a personnel specialist in a public works of a highway department. Trainingin personal work or public administration in this instance would be considered in-servicetraining, yet training in engineering in our example, might be as valuable to the employee asthe more closely related work in personnel administration”. There seems to be growingrealization of the need for post entry training in India and the central govt is taking initiativesto arrange post entry training.

The above analysis highlights the importance of the training of the public servant in any effortto make the public service competent and responsive to the aspirations of the people. Trainingshould be imparted to the new entrants. In addition to this, those who are already in the servicesshould be occasionally required to attend refresher courses and special courses.



MODULE V

FINANCIAL ADMINSITRATION

Administration and Finance are as inseparable as a body and its shadow. All administrativeacts involve expenditure of money, atleast, for hiring the necessary personnel to carry out the tasks.Finance fuels the administrative engine. In the opinion of Kautilya, “All undertakings depend uponfinance. Hence, foremost attention shall be paid to the treasury”.

Sound fiscal management is very important for every government. Since the revenue isderived even from the humblest citizen, it is morally incumbent upon the govt to spend moneyefficiently and economically. Imprudent financial management alienates the people from thegovernment and may blast the prospects of democracy itself. The unprecedented increase ingovernment expenditure in modern times makes it absolutely increasing that sound principles, toolsand techniques of financial administration are evolved and employed by all govts. The method andstyle of financial administration do influence and even condition the socio-economic behavior ofthe people and it is at the core of modern government”. The budget is the nuts and bolts of publicpolicy.

Financial administration involves operations designed to raise, spend and account for fundsneeded to be expended on public services. These operations, which act in a continuous chain, areperformed by the following agencies:-

1. The Executive, which needs funds

2. The Legislature, which alone can grant funds

3. The Finance Ministry, which controls the expenditure of funds sanctioned by the legislature

4. The Audit Department

BUDGET

The budget is one of the principal tools of financial administration in addition to being themost powerful instrument of legislative control and of executive management. The word ‘budget’ isderived from the old French word “bougetee” means a sack or pouch of leather from which thechancellor of the Exchequer used to take out his papers for laying before the parliament thegovernment’s financial scheme for the ensuing year. Now, the term ‘budget’ refers to the financialpapers, certainly not to the sack.

The budgets began to develop in the late Middle Ages, which were characterized by thepresence of absolute regimes in England as well as in Europe. The budget was a statement ofrevenue and expenditure, and was regarded as the business affairs of the king and secrets of thestate. This was so because the revenue was derived from the King’s domain. It was not until theRevolution of 1688 that the principle of “no taxation without representation” could be generally



recognized. Even at that period all govt expenditures were not subjected to parliamentary control.Full legislative control of the purse strings is the feature of this country. Thus, the conception of thebudget as the central tool of financial direction and control is comparatively a recent one.

The budget system is the basis of efficient fiscal management. W.F. Willoughby observes,“the real significance of the budget system lies in providing for the orderly administration of thefinancial affairs of a govt. “Fiscal management involves a continuous chain of operations, such asestimates of revenue and expenditure, revenue and appropriation acts, accounts, audit and report.The budget is, thus, a plan of action, it predicts and manifests the programme of the chief executivefor the ensuing financial year. It is much more than a mere statement of revenue and expenditure ofthe government. It has three functions – control, management and planning.

Budgeting is the heart of administrative management. It serves as a powerful tool of co-ordination, and an effective device of eliminating duplication and wastage. Budgeting inculcatescost consciousness and this feeling should permeate all levels of administration. Budgeting presentsan opportunity for evaluating programmes and policies, thereby identifying unnecessary activitiesand giving a call for their discontinuance. Thus budgeting disciplines administration, and goes handin hand with programme planning. Harold D. Smith sets out the following eight budgetaryprinciples. They are:-

1. Executive programming: Budget, being the programme of the Chief Executive, goes hand inhand with programming and consequently, must be under the direct supervision of the ChiefExecutive.

2. Executive responsibility:- Appropriation is not a mandate to spend. The Chief Executivemust see that the department programmes fulfill the interest of the legislature and dueeconomy is observed in the execution of the programme.

3. Reporting:- Budgetary process like preparation of estimates, legislative action and thebudget execution must be based on full financial and operating reports coming from alllevels of administration. ‘Budgeting without such reporting is blind and arbitrary’.

4. Adequate tools:- Budgetary responsibilities of the Chief Executive require him to beendowed with certain administrative tools. For instance, he must have an adequatelyequipped budget office attached to him, and an authority to earmark monthly or quarterlyallotment of appropriations.

5. Multiple procedures:- Though all govtal operations are reflected in the budget, the methodsof budgeting may vary according to the nature of operations.

6. Executive Direction:- Appropriation may be made for broadly defined functions of thedepartment, allowing sufficient discretion to the executive to choose means of operations torealize the main purpose.

7. Flexibility in timing:- Budget should have provisions to accommodate, necessary changes inthe light of changing economic situation.



8. Two-way Budget Organization:- It is very important that efficient budgeting depends uponthe active cooperation of all departments and their sub-divisions. Budgeting is not only acentral function, but also a process that should permeate the entire administrative structure.

The Budget is an instrument of economic and social policies. Also, budget is a politicaldocument, it provides a glimpse of the entire philosophy of the government. To sum up, budget ismany things – an economist views it as a device of influencing the country’s economy, thepolitician employs it for defending or criticizing the government programme, the administrator usesit as a framework for communication and co-ordination as well as for exercising administrativediscipline throughout the administrative structure.

BUDGETARY PROCESS

The budgetary responsibilities of a modern govt are vast and grave. Through budgetmaking, the financial policy of the govt, the aspirations and anxiety of its various organs etc areprojected. Strictly speaking, the budgetary responsibilities are not the exclusive concern of oneparticular ministry, how powerful it may be. All the ministries come into the picture at variousstages and in varying capacities and the budgetary process is a complex and time taking activity.

Budgetary Process in India

The budgetary process in the country appears to have become a round the year affair as oneor the other aspect of the process is always in motion, keeping the budget officials on theirtenterhooks. For instance, the intiation of the budgetary process by the third quarter of the year doesnot get completed with the enactment of the budget proposals by the parliament in the month ofMarch. Parliamentary approval is followed by the task of budget implementation which alsocombines the responsibility of budget accounting as well. The final act in the budgetary process isenacted by the audit of the appropriation accounts maintained by the spending departments whichin itself is an activity having its own follow up actions. Here is a brief description of the budgetaryprocess in India.

Budget Planning

The stage of budget planning involves numerous activities that go into making the budgetbefore its presentation to the Lok Sabha. To get the stage for budget planning and to accommodatethe plan objectives for development in the budget, a detailed discussion takes place between theofficials of the Planning Commission and the Ministry of Finance. In this discussion, the twocrucial issues are finalized which include the gross budget support for plans andministry/department wise plan allocation. Such an exercise appears to be a crucial step in thebudget planning in India, given the predominant position accorded to planning in chartering out thelong term policies and programmes for the socio-economic development of the country.

Budget scrutiny:

The scrutiny of budgetary proposals in India takes place at two levels – administrative andlegislative. Administrative scrutiny refers to the scrutiny carried out by the higher echelons of aparticular dept as well as the Ministry of Finance. As the final step in the administrative scrutiny,



all the departmental budgets, particularly the new items, thereof, are minutely scrutinized by theMinistry of Finance and its decision becomes the final word on the subject.

After the presentation of the budget in the Parliament, the stage of legislative scrutinybegins. Earlier, the legislative scrutiny of budgetary proposals in India was more generalized andformalistic, but with the inauguration of the system of departmentally related standing committee in1993, the legislative scrutiny of the budget has become more focused and sharp. In the end, thedebates and discussions on various aspects of the budget culminate in its approval by theparliament.

Budget Implementation:-

The nodel agency for budget implementation in India is the Ministry of Finance. Followingthe passage of the Appropriation Act, the Ministry of Finance issues advisories to the spendingministries, intimating the quantum of allocated funds to them. Therefore, the responsibility comeson to the controlling officers, who are the heads of the departments – to allocate money to thenumerous disbursing officers of the department. However, the disbursing officers are given theright to spend money only to the extent permitted, going beyond which would necessarily requirethe permissions of the competent sanctioning authorities. At the same time, it is also mandatory foreach spending department to maintain the records of payments and receipts in the prescribedmethod of accounting. In the process of budget implementation, the concerned officers are expectedto exercise the highest degree of continuous vigilance and financial prudence in order to have aneconomical, efficient and effective utilization of public money.

Budget Accounting:-

Constitutionally, the budgetary accounting in India is the responsibility of an independentand constitutional authority called the CAG of India. In fact, the method and form of keeping theaccounts of the central as well as the state govts are prescribed by the CAG with the approval of thePresident of India. Hence, the office of the CAG happens to be the custodian of accounting andaudit system in the country, though the audit and account were separated in 1976 to provide forbetter administrative expediency and ccountability. Under the comptroller and Auditor general,there is Accountant General in each state, in whose office the accounts of the transactions (Centralas well as states) which takes place within the territorial limits of the state are kept. The uniquenessof the Indian accounting, thus, lies in making it a executive function, despite retaining it under theoverall monitoring and guidance of the legislative-constitutional office of the CAG.

Budget Audit:-

Budget audit is the exclusive function of the CAG of India. Given the value and sanctity ofthe function, the office of CAG has impliedly been made analogous to that of a judge of theSupreme Court of India in terms of its independence and functional autonomy. Audit is, in fact,visualized as an extension of the legislative control and accountability over the financialadministration of the country. Audit in India is more sharp and focused with regard to theexpenditures which is called the Appropriation Audit. The objective of Appropriation Audit is toensure that the funds voted by the legislature are utilized by the executive for the purposes forwhich they are intended with due regard to the economy and efficiency. It comprises of: 1) audit



from the point of view of accountability and classification, 2) audit from the point of view ofauthority, 3) audit of appropriation and finance accounts and 4) audit from the view point ofprosperity.

The budget process in India appears as an integrated entity, reflecting the nature andstructure of the socio-economic and politico-administrative set up of the country. Budget planningis a standard statement on the budgetary dynamics of the socio-economic development goals andmethods of their achievement. In order to provide for wisdom, faithfulness, economy andaccountability, an elaborate system of administrative and legislative scrutiny ahs been put in place.Also, the budget implementation illustrates the maturity and autonomy of administrative apparatusin India, with a view to achieve the highest degree of development, enterprise and innovation.Again budget accounting and audit have become the hallmarks of financial accountability in truespirit of the parliamentary democratic system of governance in India.

Fiscal Management in India

The management of finances in India involves a complex set of activities right from thegeneration of resources to their proper management for the socio-economic development of thecountry. Infact, finance probably constitutes the most significant aspect of the budget. Thegovernment policies and programmes designed to bring about socio-economic development of thepeople get functional dynamism only through the support of finances. Indeed, budget and financemay be taken as two sides of the same coin. In this regard, the Ministry of Finance functions as thenodal agency to manage the finances in conjunction with certain other bodies like the PlanningCommission. Two core issues involved in the finance management of India are the generation ofthe revenues and the proper expenditure of the same in such a manner that the socio-economicdevelopment of the country may be maximized to the greatest possible extent. The size of financein India is usually reflected through the estimates presented in the annual budgets.

The revenue component of public finance in India consists of the receipts on both therevenue or current as well as capital accounts. In turn, the revenue receipts are further divided intotax revenue and non-tax revenue. Accounting for the major chunk of the finance revenue of thegovt, the tax revenue is drawn mainly from three types of taxes, taxes on income and expenditure,taxes on property or capital assets and taxes on goods and services. While the first two get of taxesare known as direct taxes, the last category of tax is called the indirect tax. Of the direct taxes, theincome tax constitutes the back bone of the finance revenue in India. The other components of thetaxes on income and expenditure include the corporation tax and the interest tax. Two keycomponents of the taxes on property comprise of wealth tax and the give tax. Within the categoryof indirect taxes, customs duties, central excise duty, and the recently introduced service taxconstitute the nucleus of the account.

Capital account receipts of the govt are drawn from four sources, (a) net recoveries of loans andadvances made previously to state govts, union territories and public sector undertakings, (b) net marketborrowings, ie, gross borrowings from the market less repayment of public debt, c) net small savingscollections and d) other capital receipts like provident fund, special deposits and so on.

On the expenditure side, the govt has gone for a new classification under the heads of non-plan expenditure and plan expenditure from the financial year 1987-88. The capital non planexpenditure is mainly meant for the financing of the activities such as defence capital expenditure,loans to public sector enterprises, loans to the states and union territories, apart from the loans andgrants to the foreign govts.



As against the non-plan expenditure, the plan expenditure is visualized to provide forfinancing of long term infrastructure development projects in the sectors such as agriculture, ruraldevelopment, irrigation and flood control, energy, industry, mining, transport and communications,science and technology, environmental protection, social services and social security. The financeexpenditure component of the public finance in India, therefore, consists of both the non-plan aswell as the plan expenditures with the budgetary provisions just giving a detailed description ofthese heads for a particular financial year.

As part of the management of the public finances, Govt. of India maintain its corpus offunds under three specific purpose accounts called funds and account. First, the Consolidated fundof India, set up under the provisions of Article 266(1) of the Indian Constitution, acts as the fund tofinance, among others, the expenditures called “charged expenditures” in the conduct of theoperations of the vital organs such as judiciary and other constitutional offices. It consists of all therevenue receipts by the govt by way of taxes such as income tax, central excise, customs and othernon tax revenues. Second, under the provisions of Article 267 of the Constitution of India, theContingency Fund of India has been set up with a corpus of Rs.50 crore to meet the expensesarising in emergency and unforeseen circumstances. Finally, the Public Account, constituted underArticle 266(2) of the Constitution is meant to service the transactions relating to debt other thanthose included in the consolidated fund of India. Thus, the Consolidated Fund, the ContingencyFund and the Public Account form the core of what may be called as Govt. funds in India.

The Govt bonds also constitutes a significant component of the public finance system inIndia. Technically, a govt bond is a bond issued by the govt of India dominated either in thecountry’s own currency or in foreign currencies in which case they are called sovereign bonds.Such bonds are issued to raise money in order to finance the spending of the govt given theinsufficiency of funds being raised from sources like taxation.

In sum, the management of public finance or India turns out to be a complex and technicalexercise requiring a high degree of managerial skill and financial prudence in the personsconcerned. It is true that barring few financial crises erupting occasionally, the overall managementof finances in India remained on sound footing, bearing testimony to the prudence andforesightedness of the Fathers of the Indian constitution.



MODULE VI

MANAGEMENT

“The heart of administration is the management of programmes designed to serve thegeneral welfare” – says Paul.H. Appleby. Management is very significant for every organization,public or private. The term “Management” is used in many senses. It should not be confused with aperson, a group of people, an economic, social or political class. Management is a process made upof definite functions; those who perform these tasks are managers. Management is sometimesconfused with Administration and sometimes with Organization In fact, organization is theanatomy or the structure while management is the physiology or the process. Management is aprocess of achieving a desired goal, Management is not doing things, but getting them done.According to Terry, “Management is the accomplishing of predetermined objective through theefforts of other people. Management process is universal and it is a collective endeavor by a team.

Tasks of Management

1. Planning:

Planning is the foremost task of every management. Dimock defines planning as “the use ofrational design as contrasted with chance, the reading of a decision before a line of action is takeninstead of improving after the action has started” . Seckler-Hudson defines it as “the process ofdevising a basis for a course of future action”. In short, planning is the conscious process ofselecting and developing the best course of action to accomplish a defined objective. The threesteps involved in the process of planning are 1) determination of the objective, 2) Consideration ofthe possible courses of action to achieve the objective and 3) the selection of the best course ofaction.

Planning is a rational, dynamic and integrative process. It is never the result of chance orconscious effect. Planning is rational because it demands a systematic analysis of several possiblemeans and ends, followed by a selection of those means thought best suited to the desired objective.Planning is not static process; it is dynamic and needs continuous adaptation in the light ofexperience. Constant evaluation, review, follow up and redecision, are sine qua non of goodplanning. Actually, planning is an exercise in co-ordination, integration and synthesization ofvaried programmes and resources. Planning is primarily a staff function.

Kinds of Planning

Planning can be of many types – overall, limited and administrative. The first of these,commonly called socio-economic planning, is the most comprehensive planning. It is more thanlaying down a few economic targets here and a few physical targets there. It is an overall effort toachieve an all round development of the country. Five year or seven year plans are examples of thistype of planning. On the other hand, limited plans were also prepared to develop only certainsectors of the life of the community. Again, planning may be governmental and non-governmental.



There are some who divide governmental planning into ‘administrative’ (policy and programmeplanning) and ‘management’ (operational planning). Administrative planning comprehends all theactivities of government and can be divided into policy, programme and operational planning.Policy planning occurs at top levels – policies being political in nature, should be formulated bythose who have political responsibility. A policy is ineffective unless it converts itself in the formof concrete programmes. The making of such specific programs and projects is the responsibility ofthe top and middle executives. In India, this role is played by the secetariety helped and advised byLine department heads. The most important phase is implementing or executing the plan. This isthe responsibility of the live or operational agencies which lay down the plan of action necessary toimplement the projects or programmes.

Plans may also be of varied durations, short range or long range. The Annual budget itself isone year plan. Then there are four year five year or six year plans. These plans of specific durationsare made on the context of long range or perspective plans. Perspective planning thus, helps in theformulation of present plans and in maintaining and continuing from one plan period to another.Planning, may thus a never ending occupational problem for a manager.

According to Millett, Planning embraces three broad steps – 1) the formulation of goals, 2)an assessment of the resources available to realize these goals and 3) the preparation of a workprogramme designed to achieve the desired objectives. In short, planning process includes threesteps – the formulation, execution and evaluation of plans.

CO-ORDINATION

Co-ordination is the first principle of organization, it is also the first principle ofmanagement. In the words of Newman, it is not a separate activity but a condition that wouldpermeate all phases of administration. In a positive sense, coordination attempts to bring about co-operation and team work among the employees of an organization. In a negative sense, co-ordination aims at removing conflicts and overlapping from, administration, co-ordination can bedefined as ‘the integration of the several parts into an orderly whole to achieve the purpose of anundertaking’. A simple and brief definition of co-ordination has been given by Seckler Hudson as‘the all important duty of inter relating the various parts of the work”. It is the “synchromization ofefforts”.

Co-ordination may be internal (functional) or external (structural). Internal co-ordination isconcerned with co-ordinating the individual duties of persons working in an organization. Externalco-ordination, is concerned with co-ordinating the activities of the different organizational units. Itfunctions both perpendicularly and horizontally.

Means of Co-ordination

Co-ordination has different means. For example, planning is a co-ordinating device.Planning involves the maximum utilization of all available resources in men, money and materialswith a view to achieving the planned targets and goals, within a specific period, and this is nothingbut an exercise in co-ordination on a national scale. Again, there are organizational devices or



institutionalization of a co-ordination techniques. These may take the form of conferences, panels,committees, symposia etc. Organization itself is a co-ordinating device.

Standardization of procedures and methods is another medium of co-ordination. Procedureswhich concern a large number of people and which are repetitive in nature, are generallystandardized. Manuals, regulations and rules are other examples of such standardization.

Centralised house-keeping is another device to promote co-ordination. In administrationhouse keeping problems usually include supply, warehousing problems usually include supply,warehousing, the cleaning and maintenance of buildings, central mailing, printing, transportation,telephone service, food etc. In India there are many agencies of centralized house keeping likeaccounting and auditing under the Auditor general, construction, maintenance and repair ofbuilding etc under PWD etc.

Finance Ministry (Department) is another co-ordinator. The annual budget itself is an essayin co-ordinating the resources, expenditures and programmes of the govt concerned. The FinanceMinistry’s role does not end with the passing of budget and the allocation of funds among theministries, its sanction is needed for the implementation of any programme by the operating depts..

Again, co-ordination is largely dependent upon the effectiveness of verbal and writtencommunications which channel information and ideas down, up and across the chain of command.

In addition to the formal means of co-ordination, there are informal media of co-ordinationalso. Personal contacts, committees, conferences, dinners, lunches, parties etc have becomerecognized media of informal co-ordination. The disciplined party system and good leadership alsobecome co-ordinating factor in many respects.

Hindrances to co-ordination:

There are certain limits to the degree of co-ordination. Some of the difficulties arise from(1) the uncertainty of the future as to the behavior of individuals, 2) the lack of knowledge,experience, wisdom and character among leaders and their confusing ideas, 3) lack ofadministrative skill and technique, 4) the changing conditions in the world and 5) the lack oforderly methods for developing and adopting new ideas and programmes. In short, the enormousgrowth in the size of public and administration, new needs and demands, thinning out of the span ofcontrol, lack of delegation on the part of the boss etc become hindrances to co-ordination.

DELEGATION

When an organization grows, the need for delegation arises, because one person or group ofpersons can no longer make all the divisions. Authority and responsibility along with duties musttherefore, be divided. Delegation is one of the main ways for dividing and distributing authority.The extent of delegation of authority is related to the size and complexity of the organization.

In the opinion of Mooney, delegation means conferring of specified authority by a higher toa lower authority. But to Terry, delegation means conferring authority from one executive ororganization unit to another. Delegation may be downward, upward or sideward. Downward



delegation of authority is illustrated by a sales manager to his salesmen, upward delegation by stockholders to their board of directors, sideward delegation by certain African tribal chiefs and theircentral tribal authority.

It should be remembered that delegation is not abdiction of responsibility and does notmean the transfer of final authority. The persons overall responsibility and retains the power ofinspection, supervision, control and review. He can even revoke is delegation and take back all theauthority. Organizationally conceived, therefore delegation is only a way for dividing anddistributing authority.

What to Delegate?

Delegation requires knowledge of people and of situations, and has to be continuouslyrevised to meet changes in personnel, programme or pressure. There are certain limits to delegationof authority. They are:

1. The extent to which authority may be delegated is restricted by constitution, laws andpolitical institutions.

2. The caliber of the staff at the lower level. Delegation to an incompetent individual is clearlyimpracticable.

3. The extent to which special programme requirements necessitate centralization.

4. The extent to which work is of a stable and repetitive type. If the conditions of work arechanged frequently, delegation may be more difficult.

5. The size of the organization and its geographical situation.

6. Methods of internal communication in the organization.

7. The degree of co-ordination which is required throughout the organization.

There are certain hindrances to delegation. It is often seen that superior officers feel shy ofit, and are generally reluctant to delegate authority. The causes for such failure to delegate may besummed up as, highly developed egotism on the part of persons who rise to positions ofhierarchical leadership, their apprehension that others are incapable of making proper decisions orcarrying them out in the desired manner; their impatience with the slower pace and theindecisiveness of subordinates, absence of emotional maturity in the top man, the desire of leadersto be always in the limelight and to take credit for everything, lack of knowledge of what todelegate and how, and the accountability of the chief to those above him or the legislature or thepeople.

In order to tackle the hindrances to delegation, some general principles can be laid down bywhich the effectiveness of a system of delegation can be achieved.

1. Delegation of authority should be specific and be in written form.



2. Policies, regulations and procedures should be well defined to assure uniformity ofinterpretations in the organization.

3. Authority which can be exercised competently and safely at lower levels should bedelegated.

4. Delegation should follow the normal line of command and should be made to a post ratherthan to an individual.

5. Delegations should be planned in the sense that they are integrated with the systematicdevelopment of a competent and trained staff and conform to the other operational plansand policies.

COMMUNICATION

This is an age of communication. The average man, today, is much closer to his govt andhis neighbours, he identifies himself more with the life around him. Democracy demands that thepublic must be increasingly associated with administration. Almost all civilized govt today have setup information, publicity and public relations departments. Millett regards communication as thebloodstream of administrative organization. Pfiffner considers it “the heart of management”.

Communication is often used in the sense of imparting knowledge or transmittinginformation. The term has a wider cannotation, and includes interchange of thoughts, partaking ofideas and a sense of participation and sharing. Really, communication is “shared understanding of ashared purpose”. The underlying aim of communication is meeting of minds on common issues.

Communication is an organization may be internal, external and interpersonal. The firstdeals with the relationship between the organization and its employees. The second is concernedwith the relations of the agency with the public and is called “public relations”. The third is relatedto the relationship among the agency’s employees themselves.

Communication has also been classified as “Up’, ‘down’ and ‘across’. “Up”communication is achieved by such method as systematic, written and verbal reports ofperformance and progress, statistical and accounting reports concerning work, written, verbalrequests for guidance, suggestions and discussions. “Down” communication is achieved throughdevices such as directives, manuals, specific, written or verbal orders, staff conferences, budgetsanctions and establishment authorization. “Across” communication is achieved through exchangeof written or verbal information and reports, formal and informal and personal contacts, staffmeetings and co-ordinating committees. The aim is to bring together different but related parts ofthe organization.

Communication is possible through media which may be grouped into three main types-audio, visual and audio visual, ie, hearing, seeing and both. Each of these media has its merits andlimitations, and it is for the manager to decide which medium should prove effective and when. Theconference method is also used as a means of encouraging communication.



Difficulties and Barriers

The great difficulty is the complexity of language – communication is made difficult by the‘tyranny of words’. Word differences are a big hindrance to mutual understanding.

Ideological barriers is another difficulty. Employees join organizations with differentideologies which greatly affect the communication pattern. Individual differences in terms ofvalues, perceptions and attitudes may make the meeting or minds difficult.

Unwillingness to communicate is yet another problem. Organizational effectiveness isgreatly influenced by the leaders and the knowledge, skill, motivation and productivity ofemployees who work within the organization. Sometimes, it is often found that manager’s fear ofchallenge to authority refrain than to transmit adequate information up the line. Similarly,subordinates may also not be willing to communicate upward because of lack of confidence, fearand proper motivation and interest.

There are organizational barriers also. The communication process is affected by itsorganizational structure, policies, rules and regulations and organizational climate. An organizationwith too many buerarchical levels may cause delay in transmitting information. Communicationflow would not be smooth and adequate if organisation’s policies are unsupportive to the flow ofinformation in different directions. Absence of organizational facilities, size and distance etc makecommunication more complex.

Yet another barrier is lack of communication skills. The ability to communicate differs fromperson to person. Like wise, active listening is another physical characteristic of dynamic andeffective communication. Poor communication skill and lack of active listening will affect effectivecommunication. Like wise inadequate information system also serve as a great barrier to effectivecommunication.

According to Millett there are seven factors necessary to make communication effective,namely – it should be clear, consistent with the expectation of the recipient, adequate, timely,uniform and acceptable.

PUBLIC RELATIONS AND PUBLICITY

Public Relations and publicity has come to be regarded as a very important attribute ofmodern administrative system. The vast increase in governmental function, urgent attention paid topublic and private iniquity and the changed role of the civil servants have contributed to theimportance of public relations.

The term ‘public relations’ stands for governmental relations with the public. The generalpublic is not really one but a collection of many publics”. The general public is a vague,unidentifiable and amorphous entity. We hardly feel its presence except at the election times.However, the ordinary citizen, who is the unit of the public, is identifiable, and comes in daily andconstant contact with the administration or some aspects of it. He needs information on manypoints, he needs help in filling up the ever growing number of forms, he requires assistance ingetting acquinted with procedures, he demands polite and courteous behavior on the part of govt



officials. How to determine administration’s relations with him, is the main crux of public relationsEach agency of the govt, has to direct its public relations to that part of the public with which it isdirectly concerned with.

The term ‘public relations’ has been defined by Encyclopaedia Americana as “the art ofanalyzing, influencing and interpreting a person, idea, group ro business so that he, or it will berecognized as serving the public interest and will benefit from so doing”. According to Millett,public relations of management have four primary aspects, (1) to learning about public desires andaspirations, 2) advising the public about what it should desire, 3) ensuring satisfactory contactbetween public and govt officials and 4) informing the public about what an agency is doing.

Tools and techniques of Public Relations

The major tools and techniques of public relations are the following:

1. Publicity: It is the most important aspect of public relations, and has become a must for everylarge organsiation, including the government. There is hardly a government today without adepartment of Information and publicity. Both Democratic and totalitarian regimes make full use ofthis powerful weapon of influencing and moulding public opinion. It has been defined as “the art ofdealing with the people in the mass”.

The principal media of modern publicity are of three types – Visual (advertisement,publications, silent movies, demonstrations); auditory (radio broadcasts and lectures) and audio-visual (films and telecasts). All these methods are made full use of by modern governments in theirpublicity drives.

The publicity work of the govt of India has been entrusted to the Ministry of Informationand Broadcasting. This Ministry was created in October 1941, and is charged with theresponsibility for publicity and broadcasting activities of the government of India and the generalconduct of govt relations with the public. The various activities of the Ministry and the importantservices rendered by it can be briefly described under the following heads:-

1) All India Radio, 2) Door Darshan, 3) Press Information Bureau, 5) Directorate of Advertisingand Visual Publicity, 6) Films Division, 7) Research and Reference Division, 8) Directorate ofField Publicity.

In the ultimate analysis, public relations are nothing but personal contacts between publicofficials and individual members of the public., The average citizen judges the quality ofadministration by his contact with the pretty officials. Hence, the emphasis on smart lookingreceptionists a broad smile on their face, habitual use of phrases like “Thank yo”, “May I help you”etc. Courtesy weeks, so often celebrated in our country, aim at similar results.

Direct mail is another method of public relations. In a democracy, the political executivesreceived a heavy mail and each person expects at least an acknowledgement. Prompt and courteousreplies to letters go a long way in establishing good public relations.

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MODULE VII

ADMINISTRATIVE IMPROVEMENT

Administrative improvement and efficiency has been the concern of many scholars in thefield of administration, especially after the II world war. Enlightened personal administrationimproved methods and procedures, streamlined organization, increasing use of automation,incentives to employees, training schemes and executive development programmes are some of thedevices used to bring about the desired results. Scientific Management theory, Human Relationstheory, systems theory etc are some among these theories. O and M or Organisation and Methods isone of the techniques of administrative improvement.

O and M Organisation and Methods

The term “O’ and ‘M’ is used in two senses. In the wider sense it means organizationmanagement which includes the entire process of management, ie, planning organizing, co-ordinating, motivating, directing and controlling. In its restricted sense “O’ and ‘M’ is concernedwith the organization of public bodies and their office procedures with a view to improving both.The two elements of O and M work thus and Organisation and Methods. One of the important tasksof O and M work is to conduct reviews of an organization with a view to streamlining it. However,O and M is confined to improving only the internal structure of the unit concerned. By tradition, thework of reorganizing the structure at a higher level is not within the ambit of the O and M unit.Such work is left to more highly placed bodies like the government Organization Committee inUSA, the Haldane committee in U.K and the one-new Ayyankar Committee in India. The O and Munit is expected to carry out reviews, procedures and systems of doing work in order to improvethem, and in doing so they adopt the well-known techniques of work simplification and workmeasurement. They adopt techniques like Work study, Operations Research and Automation.

However, many a time the term O and M is used as a tool for management improvement. Inthis sense O and M becomes a function rather than a technique for improving administration. Itexists not only as a management tool but also as a service for managers, auditors or others whoneed it because they have no time or the necessary expertise. There are different views regardingthe content of the O and M.

Functions

The purpose of O and M is to assist line officials to prove management. O and M work maybe summed up as – help reduce costs, save man power, simplify procedures, save materials, speedoperations and improve organization. There are many ways of doing it.

Research and Development:- It is the primary duty of the central O and M office, in particularto consider and develop new ideas for administrative systems relating to managerial functions.

Training: Training of personnel in O and M techniques should occupy a high place in any O andM organization. Such training helps in creating qualified personnel to staff the different O and



M units in the administration. By training the line officials in O and M methods, it creates awell qualified O and M men and helps indirectly in stimulating interest in O and M programemsand in raising the general tone of administrative organization.

Investigation:- Analysing the organization, procedures and methods of various administrativeagencies as a well recognized function of the O and M office. The Central office usually carriesout investigations requiring a broader or more specialized knowledge that can be providedlocally.

Co-ordination of Management Improvement Programmes: In a decentralized O and Mprogramme, it is essential to have someone to do the co-ordinating, ie to prevent overlapping, toremove contradictions, to avoid conflicts etc. The main function of a central O and M unit is tostimulate interest in programmes, and assist line officials in carrying out their O and M efforts.

Information:- Dissemination of information is another major function of an O and M office. Itshould act as a clearing house of information regarding the O and M work done at all the levelsof govt- Central, state or location as also in foreign countries.

Publication: The Central O and M office can buy publication of guides, manuals, researchmaterials, hand books, bulletins, periodicals, and other literature concerning both theory andpractice of O and M.

In brief, the chief functions of a Central O and M unit, may be enumerated as-comprehensive reviews of departments, planning new activities, research in O and M techniques,training O and M officials and employees, co-ordinating the work of different O and M units ingovt, studying problems of common interest to different units of govt, analyzing organizationmethods and procedures, developing management policies and acting as a sort of clearing house forall material and information relating to O and M work.

But O and M should not be regarded as a substitute for management improvement. It aloneis not responsible for effecting, improvements in administration. O and M is primarily a servicefunction and its role is essentially advisory. It should be recognized as a work improvement studyand not a fault finding mission. Truly, O and M function is a common human endeavor to find outbetter ways of doing things.

OMBUDSMAN

One of the major problems is how to combat corruption among ministers, legislators andpublic servants. How to safeguard people against the abuse of power by public officials?Conscious public opinion, strong opposition and free are essential to check the corrupt politiciansand public servants. But mostly these means prove to be fruitless. To inspire confidence into theadministration, it is essential to have such an independent and impartial agency, which canfearlessly investigate the causes of corruption.

The Britanica disctionary has defined ‘Ombudsman’ to be the officer of the legislature forinvestigating public grievance against the abuse of power by the bureaucracy. It is, therefore, anauthorized agent who acts as a watchdog for administrative and quasi judicial activities ofadministrative officials. Its main functions is to provide relief to the aggrieved parties against themal administration, abuse of administrative discretion, corrupt practices, favouritism, nepotism andpolitical pressure of bureaucracy.



The institution of Ombudsman owes its origin to Sweden and other Scandinevian countries.For the first time, in 1908, judicial ombudsman was appointed in Sweden. In the new constitutionof Sweden, a special provision was made for the appointment of Ombudsman. Here theOmbudsman investigates all kinds of administrative corruption. Besides, the submission of hisreport to the Parliament he initiates criminal proceedings against every offending official in thecourt. He investigates all public complaints.

Indian Model of Ombudsman- Lok Pal and Lok Ayukta

Corruption has become a regular feature of Indian administration. Corruption and Indianadministration have become synonymous. Efforts have been made from time to time for combatingcorruption. There have been demands for the appointment of Ombudsman. In 1956, the famousjurist and M.P Dr. L.M. Sighri from Jodhpur suggested the adoption of the institution ofOmbudsman in India. In 1963, the Rajastan Reforms committee recommended the appointment ofOmbudsman to hear complaints against officials and ministers. In 1966, the AdministrativeReforms Committee, under the Chairmanship of the Ex-prime minister Morarji Desai suggested theappointment of Lok Pal and Lok Ayuktas to remove the grievances of the people to and to conductcorrupt practices. But no bill could be passed on the basis of ARC’s recommendations. In 1971efforts were made to present the Lok Pal bill in Lok sabha, but there was a controversy over somepoints among the major political parties. The bone of contention was the inclusion of the PrimeMinister within the jurisdiction of the Lok Pal. Again in 1985, 1986, 1970, efforts were made topass the Lok Pal bill, but failed. The matter was revived during the prime ministership of V.P.Singhand the bill known as the Lok Pal Bill, 1990, was passed in the Lok Sabha. This bill brought allofficers including the Prime Minister within the ambit of the Law. But y the fall of the NationalFront government in November 1990 changed the whole matter. Lok Pal bills were also presentedin 1996, 1998 and 2001 by the successive governments, but could not pass.

The Lok Pal bill of 1990 have five main features. 1) The institution of the Lokpal will be aplural body consisting of a chairman and two other members selected from among the existing orretired judges of the Supreme Court. The Chairman will enjoy the status and emoluments of thechief justice of India.

2) Lok pal shall be provided a separate and independent secretariat with a trained staff.

3) The pay and other allowances of Lok Pal shall be similar to those of the Chief Justice of theSupreme Court. The other two members shall have the salaries and allowances equivalent to thejudges of the Supreme Court.

4) According to Section 8(3) of the Lok Pal Act 1990, no government shall transfer any underconsideration case with Lok Pal to any other Enquiry commission or any other commission.

5) The Lok Pal shall also be empowered to make enquiry into the allegations of corruption orpolitical abuse of power against the Prime Minister.



Characteristics of Lok Pal Institution

1. Lok Pal shall be independent and impartial. He shall have the Liberty to work without alltypes of external pressures.

2. The Lok Pal shall be appointed by the President in consultation with the Prime Minister andthe Chief Justice of India. In this regard the leaders of the opposition shall also be taken intoconfidence.

3. There shall be one chairman and two other members of the institution of Lok Pal. The statusof the Lok Pal shall be equivalent to the Chief Justice of the Supreme Court.

4. The Lok Pal shall not depend upon the executive for its administrative activities. He shall beprovided with separate administrative organization, Personnel and a secretariat.

5. The tenure of the office of the Lok Pal shall be for five years. He shall not work in any otheroffice after his retirement.

6. The process of impeachment of the Lok Pal shall be similar to the judges of the SupremeCourt.

7. Lok Pal has the authority to investigate into all the cases of corruption relating toadministrative personnel, the Prime Minister, other Ministers, MPs, Chief Ministers, StateMinisters and MLAs.

8. On complaints, matters having retrospective effect of five years, can be taken up by the LokPal.

9. During the process of inquiry, Lok Pal shall have the power to summon reports, documentsor other information from any department. If he feels necessary, any officer can also becalled upon to give testimony before the institution.

10. There shall be no intervention in the proceedings of enquiry of the Lok Pal from anyquarter. Even judiciary cannot interfere in its proceedings. The annual report of the Lok Palshall be presented in the Parliament.

Subject Not within the Jurisdiction of Lok Pal

1. The matters pertaining to foreign policy and of international relation.

2. Functions performed under the Act of 964, relating to aliens or extradiction Bill 1962.

3. The matter concerning acceptance or rejection of awards and honours.

4. Inquiry of crime, or the functions for the security of the state, for passport etc.

5. Decision for taking or not taking the recourse to court.

6. Salaries, appointment, discipline, dismissal, service conditions etc of civil service.However, complaints for pension and Provident Fund can be admitted.



LOK AYUKTA IN THE STATE

On the pattern of Lok Pal, in the states, the institution of Lok Ayukta has been introduced.Maharastra is the first state to set up the institution of Lok Ayukta and Deputy Lok Ayukta. In thesame pattern Madhya Pradesh has also enacted a Lok Ayukta and Deputy Lok Ayukta and DeputyLok Ayukta Act, 1981. But the Act of Madhya Pradesh is weaker since the members of theLegislature do not come under the jurisdiction of Lok Ayukta, and so are the speaker, Deputyspeaker and the judges of the High Court. In Rajastan, to check the misuse of power and corruption,and to provide the clean administration to the people, in 1973, a secretariat was set up. Here theLok Ayukta has the power to investigate cases against State ministers, public servants, chairman ofdistrict boards etc. Here there is a novel system that the Lok Ayukta can automatically investigatematters of corruption. In the same way, most of the states have made provision for the office of LokAyukta.

Each state has its own act for the institution of Lok Ayukta with separate provision, butthere are some common features.

1. The appointment of Lok Ayukta is made by the governor in consultation with the ChiefJustice and the leaders of opposition.

2. The pay, allowances and conditions of service of Lok Ayukta are similar to the ChiefJustice of the High Court. Other members of the institution get their emoluments similar tothe judges of the High Court.

3. Even in the states a separate secretariat and administrative set up has been provided.

4. They are independent and impartial in their routine work and decisions. They suffer from noexternal or internal pressure.

5. The tenure of the office of Lok Ayukta is five years.

6. The process of impeachment of Lok Ayukta is also similar to that of a judge of the HighCourt.

7. Each year the Lok Ayukta submits his report of activities to the governor, who in turnplaces it before both of the houses of State legislature.

To conclude, we can say that duties and powers of Lok Ayukta are similar to those of theLok Pal of the Union government. But there is separate Act for each state, thee are some dissimilarities as well. At the centre, there is a provision to include Prime Minister under thejurisdiction of Lok Pal, but the state level the Chief Ministers have not been included.

The process of Lodging complaints

The process of lodging complaints with Lok Ayukta has been made easier. Any aggrievedperson, if he is not a government servant, can lodge his complaint either personally or by post. AtRajasthan, the person can also authorize another person to make complaint on his behalf. There is aprovision in some states that a person behind the police lock up can also lodge a complaint with theLok Ayukta.



MODULE VIII

COMPARATIVE PUBLIC ADMINISTRATION

By 1960’s , both Political Science and Public administration had moved into a “postbehavioural era’- During this period substantial attention was given to developing an approachwhich was interdisciplinary, value-laden and philosophically non parochial. Comparative publicadministration has gained momentum at this period. Woodraw Wilson was the foremost thinkerwho have emphasized the need for comparative method in studying public administration way backin 1887. Robert Dahl was more emphatic in seeking two importance of comparison as a prerequisite for the development of the science of public administration. F.W. Riggs corroboratedRobert Dahl’s idea of comparative studies. Research studies received massive impetus after theformation of the co-operative Administrative group (CAG) in 1960 as a committee of the Americansociety for Public Administration. The committee was headed by F.W. Riggs for a long time. In1962 it received financial support from the Ford Foundation.

The primary interest of the Ford Foundation was on administrative problems faced bydeveloping countries. CAG was expected to study these problems in the context of the Socio-economic environmental factors that exist in developing countries. The Ford Foundation had astrong development administration focus and was interested in transferring knowledge to thesecountries through technical assistance projects and domestically based development within targetedcountries.

The CAG developed a programme with three objects; (1) encouraging research, 2)encouraging teaching, 3) contributing to more effective public policy formulation in the area ofdevelopment administration. Several studies carried out during this time were based on regions,such as Asia, Latin America and Africa. Other studies were based on themes such as urban studies,international administration and comparative legislative studies.

Between 1970 and 1980m there was a decrease in the interest and support for comparativepublic administration. The Ford Foundation grants to American society for Public Administrationended and no substitute financial sponsor in the Untied states materialized. In 1973, the CAGended as an organsiation. It merged with the International committee of the American Society forPublic Administration to form a new section on International and Comparative Administration(SICA). Cold Well observed that the ultimate purpose of the comparative public administrationmovement has been “to hasten the emergence of universally valid body of knowledge concernadministrative behaviour – in brief, to contribute to a genuine and generic discipline of publicadministration.”

Comparative Public Administration has two major differences with traditional publicadministration. Firstly, public administration generally is ethnocentric, whereas comparativeadministration is cross-cultural in orientation and thrust. The earlier belief was that cultural factorsdid not make any difference in administrative settings, because principles, after all, were principles.



But Dahl and Waldo and others pointed out that cultural factors could make public administrationdifferent in different parts of the globe. Secondly, while public administration has attempted tobuild theory and to seek knowledge for the sake of knowledge, the latter has a purely scholarlythrust as opposed to a professional one.

Behaviouralism has contributed to the stimulation of comparative public administration.Behaviouralism in administrative studies started with the famous Hawthorne experiments and thosedeveloped by Chester Bernard and Herbert Simon. The behavioural approach in publicadministration has motivated a great deal of scientific research and systematic theory construction.The testing of hypotheses in cross-cultural contexts has made the study of comparative publicadministration a necessity. Students of comparative public administration have shown a dominantinterest in the interactions between the political system and its bureaucracy in cross culturalsettings.

Comparative Public Administration emphasized the following aspects:-

1. Organisations must be viewed as embedded in specific cultures and political settings.

2. The principles of public administration are seriously inadequate

3. Both the study and practice of administration are pervasively value loaded and

4. Any proper discipline must have complementary pure and applied aspects.

Purpose of Comparative Public Administration

1. To learn the distinctive features of a system or a cluster of systems.

2. To explain the factors responsible for the cross national and cross cultural differences inbureaucratic behaviour.

3. To examine the census for the success or failure of particular administrative features inparticular ecological settings and

4. To understand strategies of administrative reform.

Conceptual Approaches

a) Bureaucratic System Approach: The most influential of these approaches or Mar Weber’s idealtype bureaucratic model. The Weberian model by itslef may not serve a an adequate tool, but it canprovide a frame of reference for comparative analysis.

The scholars who have contributed to the comparative studies of comparative bureaucraticsystems are Morre Berger, Alfred Diament, Ferrel Heady, Robert Presthus and Michael Crozier.

The comparative approach to bureaucracies had been of two kinds: (a) examination ofinternal processes of bureaucratic organization, such as decision making, planning etc. and (b)examination of the relationship between organization and the external environment.



b) Decision making approach: In the comparative study of public administration, the decisionmaking approach was advocated by Martin Landan. He observed that in developing societies,planning, programming and other facts of decision making should be given considerable attention.Landau stressed the need to enhance the decision making capacities of the administrative systemsof developing nations.

c. Input output system approach: One of the major approaches in this category, the general systemsapproach, views an administrative system as a sub-system of society. It looks at the various parts ofan administrative system (for example formal organization, informal organization, roles andindividuals) and examines the interlinkages among them. Besides, the approach analyses thedynamic interactions between the administrative system and its external environment.

In 1957, Rigg-the foremost theorist of comparative public administration- introduced animportant theoretical construct in comparative public administration in the form of “agrariantransitia industria’ typology. He was influenced by Talcott Parsons, Marion Levy, F.X.Sulton etc .Later Riggs came out with his well known model of “prismatic society”.

Another scholar who employs the systems concept in comparative public administration isJohn.T. Dorsey, whose ‘information energy’ model is based on a synthesis of the concepts ofgeneral system theory, communication and cybernetics and energy and energy conversion. Hisbasic hypothesis is that a society’s degree of development may be measured in terms of the size ofinformation and energy surplus.

d. Component Approach:

A well-known conceptual approach in comparative public administration is of developmentadministration. While the development approach emphasizes the problems of developing countries,it is argued that even those countries which are industrially advanced, face the challenge of socialchange. Therefore, development has universal implications and relevance. That is howdevelopment approach has come to be treated as an important component of comparative publicadministration.

Significance of Comparative Public Administration

The scope and importance of the study of comparative public administration is growing dayby day. Two factors make comparative studies significant. The first factor relates to the academicstudy of public administration. It is believed that through comparative public administration,hypotheses, generalisations, models and theories can be constructed which can collectively help inthe scientific study of public administration. The old principles of administration is not consideredvalid any more and now it is believed that generalisations related to administrative structures andbehavior emerge out of comparative studies in different nations and cultures, which can provide ascientific basis to the study of public administration.

The study of comparative Public administration also contributes to a greater understandingof the individual characteristics of administrative systems functioning in different nations and



cultures. Besides, comparative studies also help in explaining factors responsible for cross nationaland cross cultural similarities as well as differences in the administrative systems.

The second important function of comparative public administration relates to its relevanceto the empirical world. Through a study of comparative public administration, administrators,policy makers and academicians can examine causes for the success or failure of particularadministrative structures and patterns in different nations and cultures, which can provide ascientific basis to the study of public administration.

The study of comparative public administration also contributes to a greater understandingof the individual characteristics of administrative systems functioning in different nations andcultures. Besides, comparative studies also help in explaining factors responsible for cross nationaland cross cultural similarities as well as differences in the administrative systems.

The second important function of comparative public administration relates to its relevanceto the empirical world. Through a study of comparative public administration, administrators,policy makers and academicians can examine causes for the success or failure of particularadministrative structures and patterns in different environmental settings. It also helps to study theimpact of environmental factors on the efficiency and effectiveness of administrative structures.Again an administrator or policy maker can have greater insight into the process and strategies ofadministrative reforms. In other words, through comparative public administration, we learn aboutthe administrative practices followed in various nations and then we can endeavor to adopt thosepractices which can fit in our own nations and systems.

On the whole, comparative public administration definitely boosted the academic utility ofthe subject by providing scientific and systematic vision in improving knowledge about otheradministrative systems, so that suitable administrative reforms could be undertaken, therebyproviding practical applicability too.

Definitely comparative public administration have an important role in making thediscipline broader, useful and inter disciplinary catering to cross cultural, temporal settings. Withincreasing interactions with politics and administration machinery, it brought politics andadministration closer in providing practical solutions and inducing scientific outlook in theorybuilding.



MODULE IX

PERSPECTIVES IN PUBLIC ADMINSITRATION

a. Administration Reforms Movement (1870-1926)

Public Administration as an independent academic discipline is not old one. Exactly it wasborn in 1887 when Woodrow Wilson’s article entitled ‘The study of Administration’ was publishedin Political Science Quarterly. Pubic Administration has passed through several phases ofdevelopment. The first phase was from 1887 to 1926 – a period of administration reformsmovement.

Public Administration as a discipline was born in the United States. Woodrow Wilson, theformer President of U.S.A is regarded as the father of the discipline of Public Administration. Itwas he who emphasized the need for a separate study of Public Administration. He made adistinction between Politics and Administration and argued; “it is getting to be harder to run aconstitution than to frame one”. Wilson’s name is associated with two notable features. He isregarded as the founder of the discipline of Public Administration. Secondly, he is the originator ofPolitics – administration dichotomy which came to dominate the scene for quite some time.

Until 1900 no notable event took place with regard to the discipline of PublicAdministration. It was Frank J Goodnow who developed the Wilsonian theme further and withgreater courage and conviction. He argued that Politics and administration were two distinctfunctions of a government. To him, “politics was to do with policies or expressions of the statewill” while administration “has to do with the execution of these policies”.

In the early part of the 20th century many American universities began to take active interestin the reform movement in government and thus scholars got attracted to the field of publicadministration. In 1914, the American Political Science Association published a report whichdelineated the objectives of the teaching of Political Science. One of the objectives proclaimed wasto “prepare specialists for governmental positions”. Thus Public Administration was recognized asan important sub area of Political Science. In 1926, the first text book on the subject appeared ie the“Introduction to the study of Public Administration’ by L.D. White. This book emphasizes theneed for separating politics and administration and efficiency and economy are the watchwards ofPublic administration.

b. Scientific Management

The first coherent theory of organization is referred to as “Scientific Management”, whichcame to be formulated in the beginning of the 20th century. At the time, there was complete absenceof standardization of methods of work. The conditions in the factories were unplanned. Themanagement were not concerned about the efficiency of methods of work. It was against such ageneral background of managerial unconcern for methods and tools of work that scientificmanagement emerged as a new philosophy of management. F.W. Taylor is regarded as the father of



Scientific Management. Taylor pointed out, “Management is a true Science, resting upon clearlyfixed laws, rules and principles, as a foundation”. “The same principles can be applied with equalforce to all social activities; to the management of our homes, the management of our farms, themanagement of the business of our tradesmen, large and small, of our churches, our philanthropicinstitutions, our universities and our governmental departments”.

It is a fact that the overall goal of Scientific Management is higher industrial efficiency.What distinguishes scientific management form other approaches is its assumptions, specificobjectives and techniques. Two assumptions made by Taylor are (1) the application of the methodsof science to organizational problems leads to higher industrial efficiency, observation,measurement and experimental comparison are these methods, and (2) the incentive of higherwages will promote the mutuality of interest between workers and managers, which will lead tohigher productivity.

There are other specific objectives embodies in Scientific Management. It seeksstandardization of working conditions like best temperature and humidity, standardization of workmethods, planning of daily task etc. Motion study, which is the observation of all the motions thatcompromise a particular job and the determination of the best set of motions, is a technique ofstandardization of work methods. Time study is the technique to be employed for planning thedaily task. Yet another objective is the encourage the “high performer” to stay and the ‘lowperformer’ to leave. This is secured through ‘Differential Piecework plan”. Under this plan thosewho produce above standard receive higher wages than those who produce below standard.

The problem with Taylor’s Scientific Management is that scientific management viewedman as a machine and to make him as efficient as a machine itself. This is not acceptable tomodern man. It oversimplified the worker motivation. Taylor’s view was that an employee ismotivated by high wages and to isolate man from social environment is erroneous. Thepsychological aspects is completely neglected in the Scientific Management theory.

C. Human Relations Movement:- Human Element in Public Administration

The Human Relations theory was the product of the Hawthrone experiments conductedunder the leadership of Elton Mayo. The starlting findings in the said experiments have ushered in anew vista in the organization theory, subsequently known as the human relations theory. Incomparison with the organizational approach of classical theory, the human relations is a socio-psychological approach to organization and management. It concentrates on human factor and thecomplex interpersonal and social relations between people in organizational situations. The maincontribution of human relations approach lies in highlighting the social and psychological side ofhuman behavior. The tenants of the human relations school are as follows:-

1. An organization is not merely a techno-economic system. It is very much a social system.

2. The behavior of an individual is dominated by the informal group of which he is a part.



3. An individual employee cannot be motivated by economic incentives alone. His social andpsychological needs must be satisfied to improve the level of motivation. Social satisfactionat the work place leads to higher performance.

4. Employees are capable of self-direction and control. The employee centred and participativestyle of leadership is more effective than task-centered leadership.

5. Management requires social skills to make employees feel that they are a part of theorganization. Organization must take interest in employee development and welfare.

However, the human relations approach suffers from the following limitations.

1. The human relations is not a really employee-oriented approach. It seeks to manipulate andexploit the emotions of employees for the benefit of the organization. It gives workers afalse sense of participation and happiness.

2. The approach ignores the wider environmental issues such as the work task, organizationstructure and trade union. Social environment may fail to motivate employees if they findthe work task highly momentous.

3. The human relations approach is based on a wrong assumption that satisfied workers aremore productive workers.

4. The approach overstresses the social psychological side of management and undermines therole of economic incentives in work motivation. If the employees feel that salary levels aretoo low, they are likely to be dissatisfied despite cordial inter-personal relations.

In spite of such limitations, Human Relations theory emphasized human factor inadministration.

d) Minnobrook I: New Public Administration

In the late 1960’s a new perspective, which was distinctly public perspective gainedattention of the scholars. This was new public administration. During this period, a group of youngscholars from America voiced strong resentment against the contemporary nature of discipline. Inthe Minnobrook Conference I (1968), they advocated for what is known as ‘new publicadministration’ to make the study and practice of the subject relevant to the needs of the emergingpost-industrial society. This conference was truly a wake up call for the theorists and practionersalike to make the discipline socially relevant and accountable. It was held in the backdrop of aturbulent time which was marked by a series of contemporary developments like social upheavalsin the form of ethnic conflicts across the American cities, campus clashes, Vietnam war and itsrepercussions in American society and the like. These developments coupled with a deep sense ofdissatisfaction among the practitioners regarding the present state of the discipline, had ushered inqualitatively improved phase in public administration, which is termed as New PublicAdministration. The Minnobrook conference I was famous for bringing about a new era in publicadministration informed with relevance, values, social equity and change. Public interest formedthe core of the deliberations.



The Minnoobrook conference may rightly be credited with the honour of having producedthe first coherent grammar of New Public Administration. It was this conference which expresseddeep dissatisfaction with the existing system. It was the first one which sought to give a new imageto public administration a subject actively concerned with the problems of society and full ofreformist intentions.

e. Minnobrook II: Variations in Foundations

The Minnobrook Conference II, which was held in 1988, is another land mark in theevolution of Public Administration. The outcome of the conference gave birth to the New PublicManagement (NPM) approach to governance. Its emergence reflected that took place in theWestern nations. State as major dispenser of social justice had been increasingly questioned acrossthe globe since the late 1970’s. The popular approach was against the state for its dismalperformance in almost every sphere – social, economic and political. Recent changes in the form ofgovernance in the advanced Western democracies underwent great change, especially the publicsector management. This led to the development of the concept of New Public Management. NPMis depicted as a normative conceptualization of public administration consisting of inter-relatedcomponents. They are providing high quality services that citizens value, increasing the autonomyof public managers, rewarding organizations and individuals on the basis of their effort,maintaining an open minded attitude about which public purposes should be performed by theprivate sector, rather than public sector.

f. New Public Management

New Public Management is the new strategy of administrative reform having growingacceptance in the world. The main features of the New Public Management (NPM) are:-

1. It proposes a thorough organizational revamping so that organizational structure willbecome conducive for organizational leadership.

2. One of major hallmarks of NPM is the empowerment of citizens.

3. It calls for more autonomy for public sector managers.

4. Another feature of NPM is the application of rigorous performance measurement.

5. It suggests disaggregation of public bureaucracies into agencies, which will deal with eachother on a user-pay basis.

6. The NPM favours cost-cutting in public sector.

7. It encourages quasi-markets.

8. It believes in a decentralized form of governance.

The NPM focuses on the entrepreneurial government. It is a participatory management andcommunity owned governance, in which citizens are considered as active consumers and not aspassive recipients of programems and policies. The main motto is the empower citizens.



The publication of “Reinventing government’ by Osborne and Gaebler (1992) redefined thefunctions of the government. The authors argue in favour of “entrepreneurial government” that iscertain to bring about radical changes by a) improving public management through performance,measurement and evaluation, b) reducing budgets, c) downsizing the government, d) selectiveprivatization of public enterprises and e) contracting out in selective areas. Thus, in focus is on de-bureaucratization, democratization and decentralization of the administrative processes in theinterest of the citizens. In addition to formal governments, the role of non-governmentalorganizations (NGOs) and community based organizations has been acknowledged assupplementary public agencies.

To sum up, NPM is a reform programme that has caught the fancy of the developed anddeveloping countries and aims to make public administration more efficient, effective andresponsive. However, it is not seen as an unmitigated blessing. Critics debate its major premise ofthe superiority of the private over the public sector and its lack of concern for ethics and such othercrucial issues. However, it is certain that it is an attempt to give market orientation to the publicsector, adopt modern management approaches and techniques, down size bureaucracy andempower the lower echelons and increase popular participation in governance. In the governmentsector, equity is equally important. Thus it is suggested that the administrative reforms patterned inthe NPM doctrine must promote four E’s (Economy, efficiency, effectiveness and equity) bystriking a proper balance among them.

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