UPSC IAS exam preparation - Governance in India - Lecture 8

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Ministries, Secretariats and Departments

[हिंदी में पढ़ें ]

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1.0 Introduction

In a (quasi) federal Government like India, there is a clear cut demarcation between the Union government, the State governments and their areas of legislation. By the enactment of the 73rd and 74th Amendments, India has created a third structure of governance - the local government. However, the most influential level among these continues to be of the central government which determines to a great extent, the role and responsibilities of other organs. There is no mention of the machinery of the government or the term like the Secretariat in the Constitution. There is simply a provision [Article 77(3)] which empowers the President of India to make rules for the transaction of business. The Government of India (Allocation of Business) Rules, 1961 are made by the President of India under this Article for the allocation of business of the Government of India. The Ministries/Departments of the Government are created by the President on the advice of the Prime Minister under these Rules. The business of the Government are transacted in the Ministries/Departments, Secretariats and offices (referred to as 'Department') as per the distribution of subjects specified in these Rules. Each of the Ministries is assigned to a Minister by the President on the advice of the Prime Minister. Each department is generally under the charge of a Secretary to assist the Minister on policy matters and general administration.

1.1 Transaction of government business

Among the rules issued by the President for the convenient transaction of the business of the Government under Article 77(3) of the Constitution, are

1. The Government of India (Allocation of Business) Rules, 1961; and
2. The Government of India (Transaction of Business) Rules, 1961.

The Allocation of Business Rules allocate the business of the Government among its different departments which are assigned to the charge of the Ministers by the President on the advice of the Prime Minister. In relation to the business allotted to a Minister, these rules also permit the association of another Minister or Deputy Minister to perform such functions as may be specifically assigned to him. The Transaction of Business Rules seek to define the authority, responsibility and obligations of each department in the matter of disposal. Let us now take a look at the various parts of Indian Constitution to understand the relevant portions for this study. Clearly, Parts V, VI, VIII, IX, IX A, IX B and X are of interest to us.

1.2 Relevant Articles of the Constitution

Article - 53 : The President and Vice-President

1. The executive power of the Union shall be vested in the President and shall be exercised by him either directly or through officers subordinate to him in accordance with this Constitution.
2. Without prejudice to the generality of the foregoing provision, the supreme command of the Defence Forces of the Union shall be vested in the President and the exercise there of shall be regulated by law.
3. Nothing in this article shall—

• be deemed to transfer to the President any functions conferred by any existing law on the Government of any State or other authority; or
• prevent Parliament from conferring by law functions on authorities other than   the President.

Article - 74 : Council of Ministers

1. There shall be a Council of Ministers with the Prime Minister at the head to aid and   advise the President who shall, in the exercise of his functions, act in accordance with such advice:[Provided that the President may require the Council of Ministers to reconsider such   advice, either generally or otherwise, and the President shall act in accordance with the   advice tendered after such reconsideration.]
2. The question whether any, and if so what, advice was tendered by Ministers to the   President shall not be inquired into in any court. 

Article - 75 : Council of Ministers

• The Prime Minister shall be appointed by the President and the other Ministers shall be appointed by the President on the advice of the Prime Minister.

1. The total number of Ministers, including the Prime Minister, in the Council of Ministers shall not exceed fifteen percent of the total number of members of the House of the People.
2. A member of either House of Parliament belonging to any political party who is disqualified for being a member of  that House under paragraph 2 of the Tenth Schedule shall also be disqualified to be appointed as a Minister under clause (1) for duration of the period commencing from the date of his disqualification till the date on which the term of his office as such member would expire or where he contests any election to either House of Parliament before the expiry of such  period, till the date on which he is declared elected, whichever is earlier.

• The Ministers shall hold office during the pleasure of the President.
• The Council of Ministers shall be collectively responsible to the House of the People.
• Before a Minister enters upon his office, the President shall administer to him the oaths of office and of secrecy according to the forms set out for the purpose in the Third Schedule.
• A Minister who for any period of six consecutive months is not a member of either House of Parliament shall at the expiration of that period cease to be a Minister.
• The salaries and allowances of Ministers shall be such as Parliament may from time to time by law determine and, until Parliament so determines, shall be as specified in the Second Schedule.

Article - 77 : Conduct of business of the Government of India

1. All executive action of the Government of India shall be expressed to be taken in the name of the President.
2. Orders and other instruments made and executed in the name of the President shall be authenticated in such manner as may be specified in rules to be made by the President, and the validity of an order or instrument which is so authenticated shall not be called in question on the ground that it is not an order or instrument made or executed by the President.
3. The President shall make rules for the more convenient transaction of the business of the Government of India, and for the allocation among Ministers of the said business.

Article - 352 : Proclamation of Emergency 

1. If the President is satisfied that a grave emergency exists whereby the security of India or of any part of the territory thereof is threatened, whether by war or external aggression or [armed rebellion], he may, by Proclamation, make a declaration to that effect [in respect of the whole of India or of such part of the territory thereof as may be specified in the Proclamation].[Explanation - A Proclamation of Emergency declaring that the security of India or any part of the territory thereof is threatened by war or by external aggression or by armed rebellion may be made before the actual occurrence of war or of any such  aggression or rebellion, if the President is satisfied that there is imminent danger thereof.]
2. A Proclamation issued under clause (1) may be varied or revoked by a subsequent Proclamation.
3. The President shall not issue a Proclamation under clause (1) or a Proclamation varying such Proclamation unless the decision of the Union Cabinet (that is to say, the Council consisting of the Prime Minister and other Ministers of Cabinet rank appointed under article 75) that such a Proclamation may be issued has been communicated to him in writing. [ (4), (5), (6), (7) and (8) are not of relevance to this discussion ]

Thus, these articles create the constitutional framework for the President, Prime Minister, Council of Ministers and the Cabinet a far as governance structures are concerned.

2.0 The Council Of ministers

All Cabinet members are mandated by the constitution to be members of either House of the Parliament of India. In a departure from the norm, the long-serving Prime Minister, Shri Manmohan Singh, was a member of the upper house, the Rajya Sabha.  Most, but not all, previous Prime Ministers have been elected members of the Lok Sabha. There are three categories of ministers in the COM (Council of Ministers), in descending order of rank:

Union Cabinet Minister – senior minister in-charge of a ministry. A cabinet minister may also hold additional charge of other Ministries, where no other Cabinet minister is appointed 

Minister of State (Independent Charge) – with no overseeing Union cabinet minister for that portfolio

Minister of State (MoS) – junior minister reporting to overseeing cabinet minister, usually tasked with a specific responsibility in that ministry. For instance, an MoS in the Finance Ministry may only handle taxation.

2.1 The Cabinet and the Council of Ministers

Though these terms are used interchangeably, they differ from each other in composition, functions and role.

3.0 MINISTRIES AND DEPARTMENTS

A normal Ministry is made up of one or more departments, each under the charge of a Secretary. Head of the Ministry is usually a Cabinet Minister, with a Minister of State to aid him. The Minister(s) is helped by the Secretariat (of Ministry) in carrying out the duties. The Minister decides the macro-policy matters, and the execution, implementation and modification is done by the Departments (in the Secretariat).

A department is responsible for the formulation of the policies of the Government within its sphere of responsibility and also for the execution and review of those policies.

For the efficient disposal of business allotted to it, a department is divided into wings, divisions, branches and sections.

A department is normally headed by a Secretary to the Government of India who acts as the Administrative Head of the Department and Principal Adviser of the Minister on all matters of policy and Administration within the department.

Where the volume of work in a department exceeds the manageable charge of a Secretary, one or more wings may be established with a Secretary/Special Secretary/Additional Secretary/Joint Secretary in charge of each wing. Such a functionary is normally vested with the maximum measure of independent functioning and responsibility in respect of the business falling within his wing subject, however, to the overall responsibility of the Secretary for the Administration of the department as a whole.

A section is generally the lowest organisational unit in a department with a well-defined area of work. It normally consists of assistants and clerks supervised by a Section Officer/OS/Head Clerk. Initial handling of cases (including noting and drafting) is generally done by assistants and clerks who are also known as the dealing hands.

While the above represents the commonly adopted pattern of organisation of a department, there are certain variations, the most notable among them being the desk officer system. In this system the work of a department at the lowest level is organised into distinct functional desks, each manned by an officer of appropriate rank, e.g. Under Secretary or Section Officer, who handles the cases himself and is provided adequate stenographic/clerical assistance.

4.0 The Cabinet Secratariat

The Cabinet Secretariat was created in 1947. It is headed politically, by the Prime Minister and administratively, by the Cabinet Secretary. Today, the Cabinet Secretariat has three wings - Civil Wing, Military Wing and Intelligence Wing. In 1988, the Directorate of Public Grievances was set up as its organ.The Cabinet Secretariat has subject related advisors to the Prime Minister. 

The function of the Cabinet Secretariat is to provide secretarial assistance to the cabinet and its various committees and make preparations them for the meetings of the cabinet, providing information and material necessary for its deliberations; it keeps a record of the discussions and decision of the cabinet. Besides, circulation of memorandum on issues awaiting cabinet approval and circulation of the cabinet decisions to all the ministries and preparation and submission of monthly summaries on a large number of specified subjects to the cabinet are also the functions of the Cabinet Secretariat. It also oversees the implementation of the cabinet decisions by the concerned ministries and other executive agencies. For this purpose, it can call for information from the various ministries /departments. In accordance with the instructions issued by the cabinet secretariat, each ministry sends it a monthly statement showing the progress in the cases relating to cabinet decisions.

The next important role of the cabinet secretariat is that of functioning as the prime coordinating agency in the government of India. Several cases are brought before the cabinet secretariat involving the President, the Prime Minister, various ministries and the Parliament, on which it provides aid, advice and assistance.

4.1 Main Functions of Cabinet Secretariat

The main function of the Cabinet Secretariat is to give advise and support relating to

1. Cases involving Legislation including the issuing of ordinances
2. Addresses and messages of the President to the Parliament
3. Cases involving negotiation with foreign countries on treaties and agreements etc.
4. Proposals for sending delegations of persons abroad in any capacity
5. Proposals to appoint public committees of enquiry and consideration of reports of such enquiries
6. Cases involving financial implications
7. Cases which a minister puts to the cabinet for decision and directions. Cases of disagreements among ministries
8. Proposals to vary or reverse decisions
9. Cases which the President or the Prime Minister may require to be put before the cabinet, and 
10. Proposals to withdraw prosecutions instituted by the government.

4.2 Cabinet Secretary

Cabinet Secretary, as stated earlier, is the administrative head of the cabinet secretariat. The office of Cabinet Secretary was created in 1950. The Cabinet Secretary functions under the leadership of the Prime Minister who is its minister in charge at the political level. He is drawn from the seniormost officers of the Indian Administrative Services. It is expected that he should be a man of rich administrative experience.

Although the chief function of the Cabinet Secretary is to provide assistance to the council of ministers, infact, he deals primarily with cabinet affairs. For this purpose, though, he keeps contact with the various ministers, and keeps a close touch with the secretaries incharge of different ministries / departments. He is also the head of the civil services and ensures that the moral of the civil servants remain high. He has to act as a buffer between the politicians and the civil servants and protect the interest of the latter in situations of conflict between the two. It is a dream-post for every bureaucrat. Eminent civil servants have occupied this post are Naresh Chandra, B.G. Deshmukh, T.N. Seshan etc.

In the meetings of the cabinet, the Cabinet Secretary draws up the minutes which contain the decisions reached. After the Prime Minister’s’approval these are circulated by him to the ministers and the secretaries concerned. He has to maintain complete secrecy about these matters. The Cabinet Secretary is to ensure that the decisions of the cabinet are implemented properly. He maintains a close proximity with the Prime Minister. He advises the Prime Minister on whatever matter his advice is sought. One important function of the Cabinet Secretary is to preside over the meetings of the Committee of Secretaries on administration which is set up to resolve inter ministerial disputes. He also presides over the Chief Secretaries conferences.

In relation to the Prime Minister and the country as a whole, the Cabinet Secretary has yet another role to play. Like all civil servants, he provides the element of stability and continuity when a Prime Minister resigns or dies. A caretaker Prime Minister and a Ministry does exist in the interim period, but it is at this time that the services of the Cabinet Secretary are of immense value. He is the chief coordinator of the Union Government. The Cabinet Secretary provides the eyes and ears for the Prime Minister to keep in touch with the process of official business in the Central Government.

5.0 The Central Secretariat

The Central Secretariat refers to various offices and departments which are run by secretaries to the Union Government. There are different types of Government offices in the administrative structure of India which vary in their nature and range of functions. Right at the top of all this is the Secretariat. The main function of the head, i.e. the Secretary, is to advise the relevant Minister in the policy and administration matters. In order to enable him to discharge his function properly, it is necessary that he should be equipped with an office. This office is the Central Secretariat.

The Constitution of India reposes the executive authority of the Indian Union in the President of the country. All executive actions of the Union government is taken in his name. However, the Indian President is a mere constitutional and formal head and there is a Council of Ministers with the Indian Prime Minister at its head to aid and advise the President in the exercise of his functions. In other words, the real executive authority is vested in the cabinet of which the Prime Minister is the dominant head. The ministers cannot work all alone simply because it is all too complex, and needs strong assistance. For purposes of administration, therefore, the government of India is divided into ministries and departments which together constitute the ‘Central Secretariat’. To implement the policies enunciated by the ministers in consultation with the Secretariat, there are attached offices, subordinate offices and other field agencies.

The word Secretariat means the secretary’s office. The three essential components of the government at the centre are: (i) the Minister, (ii) the Secretary, and (iii) the executive head. The most important function of the minister is to decide upon policy; of the secretary to provide the material by which to reach such decisions and to oversee the implementation of such decisions; and of the executive head to carry the decisions into effect. The first two functionaries, namely, the minister and the secretary are served by the secretariat organization called a ministry or department. Orders and instructions issued by the secretariat are considered as orders of the Government of India. The central secretariat, thus, occupies a key position in the administrative hierarchy. Literally speaking, the secretariat is nothing but a conglomeration of various ministries/departments of the Central Government.

The secretariat works as a single unit with collective responsibility as in the case of the council of ministers. Under rules, each secretariat department is required to consult any other department that may be interested or concerned before disposing of a case. Secretaries, thus, are secretaries to the union government as a whole and not to any particular minister. A secretariat officer of and above the rank of an under secretary signs on behalf of the President of India, that is, the entire central government. The Prime Minister is free to send for any secretary for consultation.

The secretariat's primary responsibility is to assist and advise the ministers in respect to the following matters:

1. Making and modifying policies from time to time
2. Forming legislation rules and regulations
3. Sectoral planning and programme formulation
4. Budgeting and control of expenditure
5. Supervision and control over execution of policies and programmes by field agencies and evaluation of results
6. Coordination and integration of policies and programmes, contact with state governments
7. Developing greater organizational competence, and
8. Assisting the minister in discharge of his parliamentary responsibilities.

5.1 The Tenure System

As defined by S.R. Maheshwari, “the superior positions in the Secretariat are as a rule managed by officers who come from the States (and also from certain Central services) for a specified period and who, after serving their ‘tenure’ would (or should), revert to their respective states or services. In official parlance, this arrangement is known as the tenure system”. Thus, under tenure system of staffing, every official so deputed has to work in the Central Secretariat for a fixed period, which differs from one grade to another in the Secretariat hierachy as mentioned below. 

1. Secretary and Joint-Secretary 5 years
2. Deputy Secretary 4 years
3. Under Secretary 3 years

5.2 Details of posts and grades

At present the grades of officers in the Central Secretariat are as follows:

1. Secretary
2. Additional Secretary
3. Joint Secretary
4. Deputy Secretary
5. Under Secretary

The first three grades constitute what is administrative parlance may be called 'Top Management' while the grades of deputy secretary and under secretary, are referred to as the 'Middle Management'. The Secretary is the administrative head of the ministry department and the principal adviser to the Minister. He represents his ministry / department before the committees of Parliament.

He is supposed to keep himself fully informed of the work of his ministry/department by demanding weekly summaries on the nature of cases disposed of by lower levels and the manner of their disposal. Where the charge of a Secretary is too large, he may be assisted by a joint or additional secretary who formally functions as Secretary in relation to the subject allotted to him in the ministry / department. The function of the latter is to relieve the Secretary of a bloc of work and to deal, where necessary, direct with the minister. The Secretary, however, is invariably kept informed on all these direct dealings with the minister, for he is not formally relieved of his responsibility as head of the ministry / department.

The deputy secretary is an officer who, as his designation implies, acts on behalf of the Secretary. He should dispose of as many cases as possible on his own. Only on more important cases he should - in fact must - seek the Secretary's instruction either by refening to him in writing or discussing with him orally.

The under secretary should dispose of minor cases on his own. He should submit more important matters to the deputy secretary in such a form that the latter is able to deal with them quickly. It must be stressed here that the functionaries at these different levels are supposed to perform their functions, keeping in mind the interests of the Government of India as a whole. The Secretary, in other words, is the Secretary to the Government of India, not to his minister alone. This is true of lower levels as well. 

6.0 The Prime Minister’s Office (PMO)

The Prime Minister as the head of the government and the real executive authority, plays a very significant and crucial role in the politico-administrative system of the country. In the fulfillment of his various responsibilities he is assisted by the Prime Minister's Office (PMO). It provides secretarial assistance and crucial advice to the Prime Minister. He plays an important role in the process of decision making at the top level in the government of India. However, it is an extra-constitutional body. It has a status of a department of the government of India, though there are no attached and subordinate office(s) under it. It came into existence in August, 1947 when India emerged as an independent nation and was called the Prime Ministers Secretariat. In June 1977 its name was changed and now it is known as Prime Minister's Office (PMO).

The Prime Minister’s office is headed by the Principal Secretary.

6.1 Composition

PMO is headed politically by the Prime Minister and administratively by the principal secretary. It consists of some additional secretaries and joint secretaries. The Principal Secretary to the Prime Minister (PM) plays an important role and performs the following functions:

1. Deals with all governmental files in the office
2. Puts before the Prime Minister(PM) all important documents and information fororders and instructions
3. Prepares notes on matters to be discussed by the PM with important dignitaries
4. On the directions of the PM looks after the affairs of different ministries and departments
5. Coordinates the activities of various personnel in the office

The PMO performs several other functions such as: Maintaining liaison with central ministries and the state governmentts, help the PM in discharging his responsibilities as chairman of the Planning Commission and the National Development Council acts as the public relations agency of the PM and is considered as the 'think-tank'of the PM. It also deals with all such subjects which are not allotted to any ministry or department. 

Over the years, it has grown very big and powerful. At present, the PMO has over 350 people under its roof. This large establishment runs as a 'parallel' administration, i.e., every ministry department of the central government is duplicated here. The critics have described the PMO variously as 'super cabinet', 'micro cabinet', 'super secretariat', 'the government of India' and so on. PMO has specially been strengthened during Smt. Indira Gandhi and Sri Rajiv Gandhi's time and continues to be so till today.

7.0 List of Ministries/Departments (51 Ministries and 54 departments)

• Ministry of Agriculture & Farmers Welfare

1. Department of Agriculture Cooperation & Farmers Welfare (DACFW)
2. Department of Agricultural Research and Education (DARE)
3. Department of Animal Husbandry, Dairying and Fisheries (DAHDF)

• Ministry of AYUSH (Ayurveda, Yoga and Naturopathy, Unani, Siddha and Homeopathy)
• Ministry of Chemicals and Fertilizers

1. Department of Chemicals and Petrochemicals
2. Department of Fertilizers
3. Department of Pharmaceuticals

• Ministry of Civil Aviation
• Ministry of Coal
• Ministry of Commerce and Industry

1. Department of Commerce
2. Department of Industrial Policy & Promotion

• Ministry of Communications and Information Technology

1. Department of Electronics and Information Technology (Deity)
2. Department of Posts
3. Department of Telecommunications (DOT)

• Ministry of Consumer Affairs, Food and Public Distribution

1. Department of Consumer Affairs
2. Department of Food and Public Distribution

• Ministry of Corporate Affairs
• Ministry of Culture
• Ministry of Defence

1. Department of Defence
2. Department of Defence Production 
3. Department of Defence Research and Development (DRDO)
4. Department of Ex-Servicemen Welfare

• Ministry of Development of North Eastern Region (DONER)
• Ministry of Drinking Water and Sanitation 
• Ministry Earth Sciences

1. India Meteorological Department

• Ministry of Environment, Forests and Climate Change (MoEFCC)
• Ministry of External Affairs

1. Ministry Division of Overseas Indian Affairs

• Ministry of Finance

1. Department of Disinvestment and Public Asset Management
2. Department of Economic Affairs (DEA) 
3. Department of Expenditure
4. Department of Financial Services (DFS)
5. Department of Revenue

• Ministry of Food Processing Industries (MOFPI)
• Ministry of Health & Family Welfare

1. Department of Health & Family Welfare
2. Department of Health Research

• Ministry of Heavy Industries & Public Enterprises

1. Department of Heavy Industry
2. Department of Public Enterprises

• Ministry of Home Affairs

1. Central Armed Police Forces
2. Central Police Organisation
3. Department of Border Management
4. Department of Home
5. Department of Internal Security 
6. Department of Jammu and Kashmir Affairs
7. Department of Official Language
8. Department of States

• Ministry of Housing and Urban Poverty Alleviation
• Ministry of Human Resource Development

1. Department of Higher Education
2. Department of School Education and Literacy

• Ministry of Information and Broadcasting
• Ministry of Labour and Employment
• Ministry of Law and Justice

1. Department of Justice
2. Department of Legal Affairs
3. Legislative Department

• Ministry of Micro, Small and Medium Enterprises
• Ministry of Mines
• Ministry of Minority Affairs
• Ministry of New and Renewable Energy 
• Ministry of Panchayati Raj
• Ministry of Parliamentary Affairs
• Ministry of Personnel, Public Grievances & Pensions

1. Department of Administrative Reforms and Public Grievances (DARPG)
2. Department of Pension and Pensioners' Welfare (DOP & PW)
3. Department of Personnel and Training (DOPT)

• Ministry of Petroleum & Natural Gas
• Ministry of Power
• Ministry of Railways
• Ministry of Road Transport and Highways
• Ministry of Rural Development

1. Department of Land Resources
2. Department of Rural Development (DRD)

• Ministry of Science & Technology

1. Department of Biotechnology (DBT)
2. Department of Science and Technology (DST)
3. Department of Scientific and Industrial Research (DSIR)

• Ministry of Shipping
• Ministry of Skill Development and Entrepreneurship
• Ministry of Social Justice and Empowerment

1. Department of Empowerment of Persons with Disabilities
2. Department of Social Justice and Empowerment

• Ministry of Statistics and Programme Implementation (MoSPI)
• Ministry of Steel
• Ministry of Textiles
• Ministry of Tourism
• Ministry of Tribal Affairs
• Ministry of Urban Development
• Ministry of Water Resources, River Development and Ganga Rejuvenation
• Ministry of Women and Child Development
• Ministry of Youth Affairs and Sports

1. Department of Sports
2. Department of Youth Affairs

• Ministry of Department of Atomic Energy (Independent Department)
• Ministry of Department of Space (Independent Department)

8.0ADMINISTRATIVE REFORMS COMMISSIONS (ARC)

First Administrative Reforms Commission 

The first Administrative Reforms Commission was constituted by the Government of India on 5 January 1966 for reviewing the public administration system of India and recommending measures for making administration fit for carrying out the social and economic policies of the government and being responsive to the people. The Commission was Chaired initially by Morarji R Desai, MP, and later on by K.Hanumanthaiah, MP when Morarji R Desai became the Deputy Prime Minister of India. The Commission submitted its reports in 20 parts containing 537 major recommendations till the mid-seventies.

The Commission submitted the following 20 reports before winding up in mid-1970s : 

1. Problems of Redress of Citizens Grievances (Interim), 
2. Machinery for Planning, 
3. Public Sector Undertakings, 
4. Finance, Accounts & Audit, 
5. Machinery for Planning (Final), 
6. Economic Administration, 
7. The Machinery of GOI and its procedures of  work,
8. Life Insurance Administration, 
9. Central Direct Taxes Administration, 
10. Administration of UTs & NEFA, 
11. Personnel Administration, 
12. Delegation of Financial & Administrative Powers, 
13. Center-State Relationships, 
14. State Administration,
15. Small Scale Sector, 
16. Railways, 
17. Treasuries, 
18. Reserve Bank of India,
19. Posts and Telegraphs, and 
20. Scientific Departments.

Based on inputs received from various administrative Ministries, a report indicating implementation position was placed before the Parliament in November,1977.

Second Administrative Reforms Commission 

• The Second ARC was setup by the Government of India on 31 August 2005 under the Chairmanship of Shri M. Veerappa Moily with the mandate to suggest measures to achieve a proactive, responsive, accountable, sustainable and efficient administration for the country at all levels of the government. The Commission submitted its report in 15 parts during June 2006 to May 2009.
• The Commission was given the mandate to suggest measures to achieve a proactive, responsive, accountable, sustainable and efficient administration for the country at all levels of the government. The Commission was asked to, inter alia, consider the following : (i) Organisational structure of the Government of India (ii) Ethics in governance (iii) Refurbishing of Personnel Administration (iv) Strengthening of Financial Management Systems (v) Steps to ensure effective administration at the State level (vi) Steps to ensure effective District Administration (vii) Local Self-Government/Panchayati Raj Institutions (viii) Social Capital, Trust and Participative public service delivery (ix) Citizen-centric administration (x) Promoting e-governance (xi) Issues of Federal Polity (xii) Crisis Management (xiii) Public Order
• The commission presented the following 15 Reports : (1) Right to Information - Master Key to Good Governance (09.06.2006), (2) Unlocking Human Capital - Entitlements and Governance-a Case Study (31.07.2006), (3) Crisis management - From Despair to Hope (31.10.2006), (4) Ethics in Governance (12.02.2007), (5) Public Law and Order - Justice for each..... peace for all (25.06.2007), (6) Local Governance  (27.11.2007), (7) Capacity Building for PEACE Resolution - Friction to Fusion (17.3.2008), (8) Combating Terrorism, (9) Social Capital - A Shared Destiny, (10) Refurbishing of Personnel Administration - Scaling New Heights, (11) Promoting e-Governance - The Smart Way Forward (A. 20.01.2009), (12) Citizen Centric Administration - The Heart of Governance, (13) Organisational Structure of Government of India, (14) Strengthening Financial Management Systems, and (15) State and District Administration. 

8.1 General Recommendations for improving the organisational structure of government of India :

• Optimum size of government workforce : An optimum size of government workforce is essential for its effective functioning. While an oversized government may prove to be a burden on the exchequer apart from breeding inefficiency, an understaffed government may fail to deliver. 
• Formation of new departments : Creating new departments to deal with individual subjects has the advantage of focusing greater attention and resources on that field but it also carries with it the disadvantages of lack of coordination and inability to adopt an integrated approach to national priorities and problems. For example, ‘Transport’ is an extremely important subject which requires an integrated approach. Different aspects of this subject are dealt with in different Ministries. The Ministry of Civil Aviation deals, inter-alia, with aircraft and air navigation and other aids relating to air navigation and carriage of passengers and goods by air; while the Ministry of Railways is responsible for all aspects of rail transport; Ministry of Shipping, Road Transport and Highways deals with maritime shipping and navigation, highways and motor vehicles and the Ministry of Urban Development deals with planning and coordination of urban transport systems. Thus, ‘Transport’ as a subject has been fragmented into multiple disciplines and assigned to independent ministries making the necessary integrated national approach to this important sector difficult. Democracies like the UK and the USA have attempted to achieve this by having between 15 and 25 ministries headed by Cabinet Ministers and assisted by other Ministers. To implement this concept, Ministry concept need to be redefined. A Ministry would mean a group of departments whose functions and subjects are closely related and is assigned to a First or Coordinating Minister for the purpose of providing overall leadership and coordination. This concept of a Ministry and the Coordinating (or First) Minister may be explicitly laid down in the Allocation of Business Rules. Adequate delegation among the Ministers would have to be laid down in the Transaction of Business Rules. As a consequence of this, rationalization of Secretary level posts wherever required may also need to be carried out. Individual departments or any combination of these could be headed by the Coordinating (or First) Minister, other Cabinet Minister(s)/Minister(s) of State. 
• Creation of Effective Executive Agencies : Separation of policy formulation and implementation call for changes in how the policy implementing agencies are structured. It is necessary that implementation bodies need to be restructured by giving them greater operational autonomy and flexibility while, at the same time, making them responsible and accountable for what they do. It is advisable that, for the purpose, autonomous organizations like executive agencies be set up to carry out operational responsibilities. The executive agency is not a policy-making body. The line departments of the government are not in a position to optimally deliver government services largely because of the overwhelming nature of centralised controls they are subjected to and the lack of operational autonomy and flexibility. Centralised controls as they exist now reinforce a focus on inputs rather than results and are a great stumbling block to performance. At present, micro-management is the culture in the ministries. 
• Internal structure of the ministry : A department in the Government of India has a vertical hierarchical structure with the Secretary as the administrative head and several levels comprising Special Secretary/Additional Secretary, Joint Secretary, Director/ Deputy Secretary, Under Secretary and Section Officer/Desk Officer. A hierarchical multi-level structure has certain strengths but several weaknesses. While such a system enables a vertical division of labour with extensive supervision and checks and balances at different levels, it also causes delays due to sequential examination, dilutes rather than enhances accountability, prevents an inter-disciplinary approach towards solving problems and kills creativity. For routine regulatory matters such as issue of licenses/permissions etc., such a rigid hierarchical structure with prescribed workflows and adequate delegation may be appropriate, but for functions like policy formulation, managing change, crafting a holistic approach on inter-disciplinary matters, problem solving etc. it does not give optimum results and infact could be counterproductive. A new approach to policy making would call for restructuring the design of the ministries to make them less hierarchical, by creating flatter structures with team-based orientation. The ministries, as they function now, are centralized, hierarchical organizations tightly divided into many layers, boxes and silos. Much of the civil service hierarchies in the ministries continue to be structured along traditional lines of authority, carefully regulated to ensure that as few mistakes are made as possible. The staff in the ministries is more concerned with internal processes than with results. The systemic rigidities, needless complexities and over-centralization in the policy-making structures are too complex and too constraining. There are too many decision points in the policy structures, and there are a large number of veto points to be negotiated for a decision to emerge.
• Simplification of Governmental Processes : Government organizations are bureaucratic. The term ‘bureaucratic’ often carries a negative image and denotes red tapism, insensitivity and the rule bound nature of an organization. When Max Weber propounded ‘bureaucracy’ as a form of organization he meant organizations structured along rational lines, where:

1. offices are placed in a hierarchical order
2. operations are governed by impersonal rules thereby reducing discretion. There is a set of rules and procedures to cater for every situation 
3. officials are given specific duties and areas of responsibility
4. appointments are made on the basis of qualifications and merit 

• Unlike a commercial organization which is driven by the sole profit motive, government organizations have multiple objectives, government organizations function in a more complex environment, the situations which government organizations face are much more varied and challenging and above all government organizations are accountable to several authorities and, above all, to the people. In a commercial organization, the test of profitability determines the decision. This is not possible in government organizations and therefore rules and procedures are developed to minimize discretion, and guide the decision making process within the organization. 
• The current procedures have several strengths as well as weaknesses.
• Ensure proper coordination among different levels : There is need for ensuring extensive horizontal coordination where policies are spread over a number of departments and where policy delivery mechanisms are distributed in different parts of the government. Coordination between Government Departments can be achieved through various formal and informal mechanisms. The formal mechanisms may include inter-Ministerial committees and working groups that are set up from time to time to deliberate on specific issues or to oversee the implementation of different government schemes and programmes. Coordination is also achieved through inter-Ministerial consultations which could occur through movement of files or through meetings between the representatives of the concerned Ministries. There are other issues and problems for which high level inter-Ministerial coordination would be required. In such cases, the extent and quality of coordination would depend on the skill of the coordinator and the spirit with which the members participate. To achieve the necessary coordination, a Secretary should function as a member of a team rather than as a spokesperson of his/her Department’s stated position. Furthermore, effective functioning of the existing mechanisms comprising the Cabinet Secretariat, Committee of Secretaries, Group of Ministers and Cabinet Committees should, therefore, be adequate to meet the requirement of inter-Ministrial coordination. 

IRON MAN SARDAR VALLABH BHAI PATEL

INDIAN ADMINISTRATION'S MOST DIFFICULT YEARS - 1945 to 1955

1. The second World War broke out in 1939, and Britain decided to make India a belligerent in the war. At the same time, many agitations and movements through the 1940s had created a difficult situation for the British in India, and by 1944, it was clear that they were in a mood to leave. The sentiment was cemented with the defeat of Winston Churchill in elections, and the arrival of Labour Party's PM Clement Attlee.
2. Recruitment to the Indian Civil Service and the Indian Police had been first slowed down and then stopped because of the war and likelihood of constitutional change, resulting in wide gaps in those services. In the meantime there had been considerable dilution of standards as a result of large numbers of ad-hoc appointments to the other services; and preoccupation with work connected with the war and civil supplies had caused neglect and dislocation of the normal activities of government The administrative structure was there but in a weakened state and the administration was generally in a rundown condition.
3. Uncertainty about the picture that might emerge from the impending constitutional changes, and its effect on their own future had tended to affect the zest and self-confidence of the senior civil services. There was, further, the rising tide of communalism with ominous potential of violence. Such briefly was the background of the administrative situation which the Sardar as Home Minister in the interim government faced in 1946.
4. As the year 1945 advanced and the constitutional negotiations were taking their tortuous course, Sardar Patel started thinking of the future. The first momentous step he took was in October 1945, to have a resolution adopted at a conference of the Congress Chief Ministers (inspite of opposition initially from some of them) authorizing the setting up of two all-India services, the IAS and the IPS, to succeed the ICS and I.P.
5. The Muslim League's firm thinking was that if India was to remain united it could only be on the basis of a weak Centre, with its jurisdiction limited to External Affairs, Defence, and Communications,, with no scope in such a constitutional arrangement for any all India Administrative or Police Service. If there was partition the question of such services would obviously not arise.
6. By October 1945 Sardar Patel had corne to the conclusion that with the intransigent attitude of the League partition was probably unavoidable, and that India must have new services, as successors to the ICS and IP, which, apart from filling the existing wide gaps in these services, would contribute to the unify of the country and the strength of the administrative structure, and make for a high standard of efficiency and uniformity.
7. The Sardar had a deep understanding of the lessons of lndian history. Regional and other narrow loyalties, leading to chronic divisiveness, had had free play in periods of absence of a central authority or its weakness. He was convinced that all-India services for general and law and order administration would be valuable adjuncts of a strong constitutional authority at the Centre, which however was to be consistent with the federalism of our Constitution, of which he was to be one of the main architects.
8. Sardar Patel was acutely conscious of the historical and cultural factors, and of the debilitating effect of a long period of subjection on the moral fibre of the Indian people, which were likely in combination to make India a "soft" state, prone to vacillation in critical situations or when faced with hard options. His experience of dealing with the Congress organisation and of the Provincial Ministries had strengthened his apprehensions. 
9. A group of civil servants, asked by Lord Wavell to study the relative prospects of India and China had reported even in 1944 that India would go for softer options; and as is well known many years later, Gunnar Myrdal categorized India as a "soft state". 
10. The Sardar did therefore believe that it was essential for independent India's administrative machinery to have a strong frame, capable of withstanding stresses, and of maintaining discipline in administration and peace and order in society. For decades the ICS and IP had been referred to pejoratively as the steel frame of imperial rule. This was a just enough description of their role as instruments for preserving British rule against the rising tide of lndian nationalism. 
11. But the Sardar conceived of the successor services in a role fundamentally different in objectives and style of functioning but retaining the element of firmness. They were to be the servants of the Indian people, total in their loyalty to the country and dedicated to executing with devotion the laws and policies of lndian governments. He laid down the broad principles on which entrants to the Administrative Service were to be trained. 
12. They were to be moulded into patriotic Indians, not as English country gentlemen oriented to working as agents of imperial rule as had been the aim even for lndians in the ICS. They were to have an all-lndia and not a parochial outlook and they were to have understanding of our past and of Indian culture and social conditions. lt was these basic ideas in which the IAS training institute was designed and later developed into the Academy of Public Administration.
13. He did not believe that everything that had come down from the previous regime needed to be discarded any more than it was necessary to demolish every edifice erected in the past. Four years after lndependence it was said by way of criticism. that with the IAS and IPS the 'steel frame' had been continued and the administrative machinery had not been overhauled. Administrative machinery, unlike for instance, an automobile, cannot be sent to a workshop for overhauling! Short of a violent revolution it can only be repaired and improved adapted to perform new tasks and to serve changed purposes. 
14. The problems of peace and order had not disappeared with lndependence - public order had still to be maintained and the laws enforced without fear or favour. Extraneous influences and improper interference with administrative processes and in the execution of development and welfare programmes had to be resisted and only an administration with a strong frame could do so. 
15. To quote from Sardar Patel's own formulation in 1948: An "all-lndia service, efficient, disciplined and contented, assured of its prospects as a result of diligent and honest work is a sine qua non of sound administration under a democratic regime even more than under an authoritarian rule. The service must be above party and we should ensure that political considerations either in its discipline or in its control are reduced to the minimum, if not eliminated altogether."
16. With the new all-lndia services, the strengthening of the police forces in the States as enjoined by the Sardar and the reorganisation of the Central Secretariat services carried through under his directions, the administration worked well enough during the difficult fifties.
17. Communal peace was generally maintained, the gigantic task of rehabilitating millions of uprooted human beings was carried through, and two general elections on adult franchise were conducted fairly and peacefully. The dwindling remants of the ICS and IP, members of the IAS and IPS and of the Central services, worked with missionary zeal. Working first in a State beset with problems, and from 1956 at the Centre, many public servants felt the glow of a new dawn and strove to the limit of their capacity to prove worthy of the responsibility that had been placed on them. 
18. Sardar Patel's public acknowledgement of the patriotism and dedication of public servants and his expression of trust in thern, gave them the self-assurance without which they could not have given their best. In a meeting held in the Central Secretariat to pay homage to Sardar Patel, a resolution was adopted by the gathering of civil servants to rededicate themselves to the service of the country and prove worthy of the confidence he had reposed in him.
19. In 1949 the Sardar said in the Constituent Assembly "..... As a man of experience I tell you do not quarrel with the instruments with which you want to work. It is a bad workman who does so. Every rnan wants some sort of encouragement. Nobody wants to put in work when every day he is criticized and ridiculed in public...." Proceeding further he enunciated the doctrine of intellectual integrity of civil servants and their sharing responsibility with a sharpness. He said, 'Today my Secretary can write a note opposed to my views. I have given that freedom to all my Secretaries. I have told them "If you do not give your honest opinion for fear that it will displease your Minister, please then you had better go." '
20. We have had for many years a generally 'soft' administration reflecting the character of a 'soft' state. The Sardar did not live long enough after lndependence to 'endow the new state, and its administrative apparatus, with a durable toughness. We make laws and regulations in plenty but do not enmbrace them with rigour they are often allowed to be transgressed with impunity. One notices among many of our public functionaries a tendency to move from passivity to over-reaction to situations, and to alternate between failure to use power and its abuse. Energetic action in a crisis, followed by a period of complacence only leads to another crisis, when a steadily firm administration backed by a strong political will, and anticipation of likely developments are called for. That was the Sardar's way of doing things.
21. The idea of a "committed" civil service, committed to the current social philosophy of the party in power at the time, and not merely to carrying out loyally the government's programme, was the doctrine canvassed in the seventies by Indira administration.  That idea has no open supporters now but there is implicit in certain attitudes, and the desire that civil servants should identify themselves with their Ministers. Such an idea would have been an anathema to the Sardar.  

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