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Role of civil services in a democracy
1.0 INTRODUCTION
Running a big democracy with all its problems, and expectations, is far from easy. In a parliamentary democracy, people are the source of all power. In a republican system power vests with the elected representatives of the people. The ultimate responsibility for running the administration rests with the elected representatives of the people in the form of the Parliament.
The ministers are accountable to the legislature, elected by the people on the basis of universal adult franchise. The ministers are thus indirectly responsible to the people. But the handful of ministers cannot be expected to deal personally with the manifold problems of modern administration. This is where the civil service officers play an important role. The ministers lay down the policy and it is for the civil servants execute this policy. The executive decisions are implemented by the Indian civil servants.
The members of civil services serve at the pleasure of the President of India and Article 311 (Dismissal, removal or reduction in rank of persons employed in civil capacities under the Union or a State) of the constitution protects them from politically motivated or vindictive (revengeful) action.
A member of the civil services in discharge of his/her functions is to be guided by maintaining absolute integrity, allegiance to the constitution and the law of the nation, patriotism, national pride, devotion to duty, honesty, impartiality and transparency.
The Government of India promotes values and a certain standard of ethics of requiring and facilitating every civil servant:
- To discharge official duty with responsibility, honesty, accountability and without discrimination;
- To ensure effective management, leadership development and personal growth;
- To avoid misuse of official position or information and
- To serve as instruments of good governance and foster social economic development.
A healthy working relationship between Ministers and civil servants is critical for good governance. Things can otherwise come to a screeching halt.
While the principles governing the roles and responsibilities of Ministers and civil servants are well defined in political theory, in the actual working of this relationship this division of responsibility becomes blurred with both sides often encroaching upon the other's sphere of responsibility. In any democracy, Ministers are responsible to the people through Parliament and therefore the civil servants have to be accountable to the Minister.
However, an impartial civil service is responsible not only to the government of the day but to the Constitution of the land to which they have taken an oath of loyalty. At the same time, implementing the policies of the duly elected government is a core function of civil servants. That is why the division of responsibility between the civil servants and ministers needs to be more clearly defined. A framework in which responsibility and accountability is well defined would be useful.
The Indian Constitution provides for separation of powers between the legislature, executive and judiciary and responsibilities for each one of them.
Since India is a parliamentary democracy, there is an interface between the legislature and the executive at the level of the Council of Ministers, which is collectively responsible to the legislature. In terms of Articles 53 and 154, the executive power of the Union and the States vests in the President or Governor directly or through officers subordinate to him. These officers constitute the permanent civil service and are governed by Part XIV of the Constitution (Articles 308-323).
2.0 History of Civil Service in India
Since ancient India to the days of the Mughal empire, the kings had their own systems of administration and recruited men to run it. But they had never followed a systematic system and pattern of recruitment and training of their employees. It was the British East India Company who, for the first time in India, introduced the cadre based civil services which eventually became the steel framework of the administrative machinery of British India.
Both under the East India Company and under the administration of the British Queen, the system of the civil services underwent changes and developed gradually through three distinct periods following the gradual changes in the nature, functions and responsibilities of the Company.
2.1.1 Till 1740
During this period the primary concern of the East India Company was mainly trade due to which they had to deal with administration occasionally. During this period the Company servants were generally visionary youths "who were more hopeful than useful." A four-graded regular civil service was introduced in this period. The four grades were apprentices, writers, junior factors and the senior factors respectively. These graded servants required only one qualification - the quality of a good penmanship. Later on they were required to have the knowledge of commercial accounts also. Moreover, a candidate willing to be appointed in any of the above four posts had to submit a petition for the same and obtain a nomination from any one of the directors of the Company.
2.1.2 1741–1833
The Battle of Plassey (1757) enabled the British East India Company to acquire political power in Bengal, Bihar and Orissa and gradually the whole of India. As a consequence trade became less important than administration. The Company had gained enormous power as well as responsibility and had various categories of servants or employees in its services.
To train up the civil servants the Company set up a college in 1806 where admissions were made only through the preliminary examinations conducted by the India House. Only the candidates nominated by the Directors were eligible for admission in that college and they were also to appear in the examinations of the classics and the arithmetic papers. The college had framed a syllabus that would help the students to learn mainly the subjects and the language helpful for them in their future life and work in India. This system continued till the Charter Act of 1853 replaced the system of nomination by the directors of the Company by a system of competitive examination.
2.1.3 1833 onwards
The third phase began in 1833 and continued till the rest of the period of British rule in India. With growing political clout and geographical dominance, the main concern of the British East India Company and its servants was to administer their dominions in India. To administer such a dominion a group of regular and well organized civil servants were extremely essential and hence necessary arrangements were made accordingly. They had already organized a cadre based civil service where entry could be made only through the competitive examinations. It was declared that "the object of the competitive examination was to acquire a formal and scholastic pedantry, but to train the mind for the highest purposes of active life." It was expected that such a competitive examination system would surely produce a group of highly efficient administrators for the British government in India.
The Charter Act of 1873 had allowed the Indians or the natives of the British India to join the covenanted Civil Service. But due to their own economic and social reasons, the typical Indian could not go to England to compete in the examination there. Moreover, the Act of Parliament of 1870 had also provided the Indians of sufficient merit and ability with additional facilities for employment in the Civil Service. In 1886, The Aitchinson Commission had also recommended "to transfer a number of posts to a lower service in each province to provide opportunities to the Indians as junior civilians." Following this recommendation the then British government of India had transferred 108 posts to the provincial services. These too had encouraged the Indians to demand the holding of the competitive examination in India also. This demand was, however, not accepted.
The Islington Commission (1912) rather suggested to increase the reservation of the posts for a minimum of 25% for the Indians because it was found that, the number of Indians in civil services added upto only 63 (5%). Eventually the number of Indians in the service was increased to 33% with an annual increase of 1.5%. Moreover under the supervision of the Civil Service Commission, a system of competitive examination was also set up in India. The system continued till 1923. In 1923, the Lee Commission recommended that while 40% of the employments in the Civil Service would be made by the Europeans and for the other 40% the Indians would be appointed, the remaining 20% superior posts were to be filled in by promotion only. This system continued till the independence of India. The Indians tightened their grip over this covenanted service especially after 1939, a process which began shortly after 1919. When India became independent in 1947 with the transfer of power, the nomenclature of Indian Civil Service was also changed into the Indian Administrative Service.
For more than 150 years the main pillar of British imperialism in India was its Civil Service. It greatly helped the British imperialists preserve law and order in the domain especially in the period when the nationalist movement and militancy became the rule of the day. It also created a highly prestigious and privileged class in the society. Set in hierarchies, it created a separate class possessing strength and efficiency who always remained aloof, exclusive and class conscious. Some of this attitude has surely remained alive till this day, in some of its practitioners!
The special characteristics of the Civil Service during British period were that firstly, it was a close well-knit administrative service, and secondly, it was designed to maintain stability and continuity of the British power.
Indianisation of the superior Civil Services became one of the major demands of the political movement compelling the British Indian Government to consider setting up of a Public Service Commission for recruitment to its services in the territory. The first Public Service Commission was set up on October 1st, 1926. It had only limited advisory functions. This could not satisfy the hopes of the indian people. Hence the Federal Public Service Commission was setup under the Government of India Act 1935. Under this Act, for the first time, provision was also made for the formation of Public Service Commissions at the provincial level.
The Constituent Assembly, after independence, saw the need for giving a secure and autonomous status to Public Service Commissions both at Federal and Provincial levels for ensuring unbiased recruitment to Civil Services as also for protection of service interests. With the promulgation of the new Constitution for independent India on 26th January, 1950, the Federal Public Service Commission was accorded a constitutional status as an autonomous entity and given the title - Union Public Service Commission.
3.0 CONSTITUTIONAL PROVISIONS REGARDING CIVIL SERVANTS
The Union Public Service Commission has been established under Article 315 of the Constitution of India. The Commission consists of a Chairman and ten Members.
The terms and conditions of service of Chairman and Members of the Commission are governed by the Union Public Service Commission (Members) Regulations, 1969.
The Commission is serviced by a Secretariat headed by a Secretary with two Additional Secretaries, a number of Joint Secretaries, Deputy Secretaries and other supporting staff.
The Union Public Service Commission has been entrusted with the following duties and role under the Constitution:
- Recruitment to services & posts under the Union through conduct of competitive examinations;
- Recruitment to services & posts under the Central Government by Selection through Iinterviews;
- Advising on the suitability of officers for appointment on promotion as well as transfer-on-deputation;
- Advising the Government on all matters relating to methods of Recruitment to various services and posts;
- Disciplinary cases relating to different civil services; and
- Miscellaneous matters relating to grant of extra ordinary pensions, reimbursement of legal expenses etc.
The major role played by the Commission is to select persons to man the various Central Civil Services and Posts and the Services common to the Union and States (viz. All-India Services).
Under Article 320(3) of the Constitution the Commission are required to be consulted on the quantum of penalties in disciplinary cases affecting a person serving under the Government of India in a civil capacity.
Article 321 also empowers the Parliament to extend the functions of the Public Service Commission to any local authority or other body corporate constituted by Law or by any public institutions.
The Commission has a duty, under Article 323 of the Constitution to present annually to the President a report as to the work done by the Commission and on receipt of such report, the president shall cause a copy there of together with the Memorandum explaining, as respect the cases, if any, where the advice of the Commission was not accepted, the reasons for such non-acceptance to be laid before each House of the Parliament.
The All India Services Act, 1951 and Rules and Regulations framed thereunder regulate the recruitment and conditions of service in respect of the All India Services viz. Indian Administrative Service, Indian Police Service and Indian Forest Service.
As far as direct recruitment to the Indian Administrative Service and Indian Police Service Examination are concerned, it is done through the Civil Services Examination and for the Indian Forest Service through the Indian Forest Service Examination held by the Commission.
The relevant Rules and Regulations provide that 33% of the vacancies in the IAS/IPS/IFS should be filled by promotion from amongst the officers of the State Service in consultation with the Commission. The Selection Committee presided over by Chairman/Member of the Commission consists of senior Government representatives of the Central Government and the State.
In accordance with the provisions contained in Article 320 of the Constitution read with the provisions of Union Public Service Commission (Exemption from Consultation) Regulations 1958, Recruitment Rules of all Group 'A' and Group 'B" posts in various Ministries/Departments of Government of India are required to be framed in Consultation with the Commission. Consultation with the Commission is also necessary for framing/amending Recruitment Rules for certain categories of posts under the Employees State Insurance Corporation, The Delhi Municipal Corporation, The New Delhi Municipal Council, Employees Provident Fund Organisation etc. under the relevant Acts made by Parliament in pursuance of the provisions of Article 321.
All proposals for framing/amending Recruitment Rules are examined keeping in view the cadre structure of the organisation and the circulars issued by the Govt. from time to time. After approval, the Commissions' advice in the matter is communicated to the Ministry/Department concerned. More than 14000 Recruitment Rules have been framed/amended so far.
4.0 Civil servant Vs. The Politician
A civil servant is required to implement the orders of government without bias, with honesty and without fear or favour. It is precisely in this area that a difference of opinion often occurs between the political executive and the civil servants. Due to the uncertanity prevailing at the time of independence it was decided to continue with the existing administrative structure which resulted in a ‘colonial hangover’. However relations between ministers and civil servants were characterized by mutual respect and understanding of each other's respective roles, with neither encroaching upon the other's domain.
In subsequent years, matters started changing for the worse. While some civil servants did not render objective and impartial advice to their Ministers, often some Ministers began to resent advice that did not fit in with short-term political interests. The rise of coalition politics further increased the dependence of bureacracy. There was also a tendency for some Ministers at the Union and the State levels to focus more on routine administrative matters such as transfers in preference to policy making. At the same time, some civil servants learnt the art of 'manoeuvering' for favours in return for pliability (easily bent) in their decision making.
This trend was further accentuated by rising materialism and acquisitiveness in society as well as decline in values across the board. As a result, 'political neutrality' which was the hallmark of the civil service in the pre-Independence era as well as in the period right after Independence, was gradually eroded. These trends led to the phenomenon of 'politicization of the civil service' in India. Infact 1965-1980 is generally known as the era of ‘committed bureaucracy’.
4.1 Areas of friction
The following are the usual areas in which disagreements exists between the legislature and the bureaucracy.
- The concept of neutrality
- Advisory role of civil servants in policy making
- Statutory role of the civil servants
- Discharge of delegated functions
- Appointment/Recruitment to the civil services
- Transfer and posting of the civil services
It was Sardar Patel's vision that the Civil Services should strengthen cohesion and national unity. He wanted a strong and vibrant federal administrative system in which the All India Services would play an important role. True to his conviction, despite several impediments, the Civil Services have provided the framework for the administration of the country. The values of integrity, impartiality and merit remain the guiding principles of our civil services.
In his speech at the dawn of independence, Sardar Patel advised the civil services officers as follows:
"Above all I would advise you to maintain to the utmost the impartiality and incorruptibility of administration. A Civil Servant cannot afford to, and must not, take part in politics. Nor must he involve himself in communal wrangles. To depart from the path of rectitude in either of these respects is to debase public service and to lower its dignity. Similarly no service worth the name can claim to exist if it does not have in view the achievement of the highest standard of integrity".
Unfortunately, this vision of civil service neutrality no longer holds good. Changes in governments particularly at the state level often lead to wholesale transfer of civil servants. Political neutrality is no longer the accepted norm with many civil servants getting identified, rightly or wrongly, with a particular political dispensation. There is a perception that officers have to cultivate and seek patronage from politicians for obtaining suitable positions even in the Union Government. As a result, the civil services in public perception are often seen as increasingly politicized.
Preserving the political neutrality and impartiality of the civil services is a big challenge today. The onus for this lies equally on the political executive and civil servants.
4.2 Political vs programme neutrality
As observed by Paul Appleby, civil servants should not confuse 'political neutrality' with 'programme neutrality'. At the stage of policy formulation, the role of civil servants is to render free and frank advice which should not be coloured by any political considerations. Once a policy or programme has been approved by the elected government, it is the duty of the civil servant to faithfully and enthusiastically see to its implementation.Not carrying out this task in the right spirit would amount to misconduct inviting appropriate sanctions.
4.3 Advisory role of civil servants in policy making
One of the most important functions of the civil servant is to advise the government on policy. Policy making is the ultimate responsibility of the Minister. After a policy is approved by the elected government, it is duty of the civil servant to implement such policy in the right earnest whether he/she agrees with it or not. At the same time, it is the duty of the civil servant to provide the factual basis, thorough analysis of all possible implications of any measure under consideration and free and frank advice, without fear or favour, at the stage of policy formulation.
It is unfortunate that at times senior civil servants get bogged down in routine administrative decision making and are unable to contribute adequately to this crucial aspect of their functions. However, for civil servants to be able to provide appropriate policy inputs, they must acquire the necessary combination of a broad perspective of the sector as well as of the Government as a whole, combined with conceptual clarity and requisite knowledge.
If a policy that is being formulated is perceived by the civil servant to be against public interest, his/her responsibility is to convince the political executive about the adverse implications of such a policy. However, if the political executive does not agree with such an advice, there is little that the civil servant can do other than putting his/her views clearly on record. It is for the other institutional mechanisms such as the Parliament, the CAG, the judiciary and ultimately the electorate to hold the political executive to account for bad policy.
4.4 Statutory role of civil servants
Civil servants are required to discharge statutory functions under various legislative enactments which may sometimes be quasi-judicial in nature. The role of the executive magistrate under the Cr. PC, the role of an Assessing Officer under the Income Tax Act and of the SHO under the Cr. PC and the respective Police Acts are some examples of such functions. It has been observed that there is an increasing trend on the part of the senior functionaries both in the civil services as well as elected representatives including Ministers to interfere in such statutory functions. Acquiescence (acceptance without protest) in the face of such interference is primarily the fault of the officer who has been entrusted with these statutory functions although those bringing such extraneous pressures should also be held to account.
4.5 Discharge of delegated functions
In a democracy, the ultimate executive authority for all purposes lies with the political executive which is accountable to the people through Parliament. However, like in any large organization, government also has to function through a hierarchy of functionaries to carry out defined tasks at different levels and in different locations. This necessitates on practical considerations the delegation of authority and responsibility to the civil servants at different levels in government. Such delegation is in line with the principles of subsidiarity which helps to take government closer to the people. The principles of sound management demand that authority and responsibility should go hand-in-hand.
It has been observed that there is an increasing tendency in government departments to centralize authority and also after having first delegated authority downwards, to interfere in decision making of the subordinate functionaries. This is an unfortunate trend and it is for those holding leadership positions in government both in the political executive and in the civil services to correct it since such centralization leads to inefficiencies and poor service delivery. It is also for the legislature to correct this trend by means of legislative enactments in certain critical areas as has been done for local bodies through Constitutional amendments (73rd and 74th) followed by State laws.
5.0 Appointments/Recruitment to the Civil Services
The Constitution of India provides for an independent Union Public Service Commission (UPSC) and State Public Service Commissions (PSCs). It lays down that it shall be the duty of the Union and the State Public Service Commissions to conduct examinations for appointments to the services of the Union and the services of the States respectively. However, while the UPSC enjoys an untarnished reputation for having developed a fair and transparent recruitment system, the same cannot be said for all the State PSCs.
In addition, a large number of recruitments to various positions is done by departments of government and different organizations under their control both at the Union and the State government levels. Examples of such large scale recruitments which have often been the subject of complaints and controversies are recruitments to the posts of Police constables, teachers(chautala case), bus-drivers and conductors etc. It is essential to lay down certain principles/norms for such recruitments to avoid complaints of favoritism, nepotism (Favoritism shown to relatives or close friends by those in power), corruption and abuse of power that have often characterized these recruitment exercises.
These principles should ensure:
- Well-defined merit-based procedure for recruitment to all government jobs
- Wide publicity and open competition for recruitment to all posts
- Minimization, if not elimination, of discretion in the recruitment process
- Selection primarily on the basis of written examination or on the basis of performance in existing public/board/university examination with minimum weight age to interview.
5.1 Postings and transfers of civil servants
The National Commission to Review the Working of the Constitution made the following observations regarding transfers and postings of civil servants:
"Arbitrary and questionable methods of appointments, promotions and transfers of officers by political superiors also led to corrosion of the moral basis of its independence".
It has strengthened the temptation in services to collusive practices with politicians to avoid the inconvenience of transfers and to gain advantages by ingratiating ("with open arms and an ingratiating smile") themselves to political masters! They would do the politicians' biddings rather than adhere to rules.
To prevent this from happening, it is necessary that a better arrangement be conceived under the Constitution. The question of appointments, transfers and placements is not to be left to the discretion of the politicians or administrative bosses but be entrusted to independent and autonomous boards. The supreme court in a recent decision has suggested a fixed tenure for bureaucrats. It has also suggested that reasons for the legislature refusing to comply with the advise of the bureaucrats should be recorded in writing.
Civil Service Boards should be constituted under statutory provisions. They should be expected to function like the UPSC. Reputed management experts from institutes of management, well known for their excellence, should be inducted into these boards to provide a broad based pool of expertise. The principle is not to take politics out of personnel policy but to make knowledge and information institutionally available to the political decision-makers on the basis of appropriate parliamentary legislation under Article 309.
The sanctity of parliamentary legislation under Article 309 is needed to counteract the publicly known trends of the play of unhealthy and destabilizing influences in the management of public services in general and higher civil services in particular.
Arbitrary and motivated transfers of government servants which are not in public interest and good governance have become a matter of great concern particularly in some States although the position is somewhat better at the Union Government level.
The Union Government has initiated measures in order to ensure security of tenure to civil servants. The Rules governing the All India Services have been amended and provision made for fixation of tenures of posts encadred with the AIS. For example, the Indian Administrative Service (Cadre) Rules, 1955, have been amended and a new clause inserted, as below:
The Central Government, in consultation with the State Government or State Governments concerned, may determine the tenure of all or any of the cadre posts specified for the State concerned in item 1 of the Schedule to the Indian Administrative Service (Fixation of Cadre Strength) Regulation, 1955.
A cadre officer, appointed to any post for which the tenure has been so determined, shall hold the minimum tenure as prescribed except in the event of promotion, retirement, deputation outside the State or training exceeding two months. An officer may be transferred before the minimum prescribed tenure only on the recommendation of a Committee on Minimum Tenure as specified in the Schedule annexed to these rules.
6.0 CIVIL SERVICES REFORMS
Since independence, there have been about fifty Commissions and Committees at the Union Government level to look into what can be broadly characterised as administrative reforms. The First Administrative Reforms Commission set up in January, 1966 was asked, in particular, to consider all aspects relating to the following subjects:
- The machinery of the Government of India and its procedures of work
- The machinery for planning at all levels
- Centre-State relationship
- Financial administration
- Personnel administration
- Economic administration
- Administration at the state level
- District administration
- Agricultural administration and
- Problems of redress of citizens grievances.
The Commission submitted 20 Reports in all, as per the details given below, before winding up in mid-1970:
These 20 reports contained 537 major recommendations. Based on the inputs received from various administrative Ministries, a report indicating the implementation position was placed in Parliament in November, 1977.
A list of the recommendations of the First ARC that are relevant to this Report are outlined below:
- Need for specialization: The first ARC recognized the need for specialization as the functions of Government had become diversified. A method of selection for senior management posts in functional areas and outside functional areas was laid down.
- Unified Grading structure: A unified grading structure based on qualifications and nature of duties and responsibilities was suggested.
- Recruitment: On this subject, the ARC recommended that
- A single competitive examination for the Class I services, with the age limit raised to 26 years.
- Lateral entry to technical posts at senior levels.
- Direct recruitment to Class II services to be discontinued.
- A simple objective type test to be conducted for recruitment of clerical staff.
- Recruitment to Central Government posts in certain sectors to be made from among the State Government employees.
- Recruitment Agencies:
- A new procedure for appointment of members of the UPSC and the State Public Service Commission was suggested.
- Setting up of Recruitment Boards for selection of clerical staff was recommended.
- Training: a national policy on Civil Service Training to be devised.
- Promotions:Detailed guidelines for promotion were outlined.
- Conduct and Discipline: Reforms in disciplinary enquiry proceedings and setting up of Civil Service Tribunals was suggested.
- Service Conditions : Th e Commission also gave recommendations on matters related to overtime allowances, voluntary retirement, exit mechanism, quantum of pension, government holidays, incentives and awards to be given on timely completion of projects, and establishing work norms for various posts that may be reviewed by the StaffInspection Unit.
Apart from the First Administrative Reforms Commission, as stated earlier, several other Commissions and Committees were set up over the years to examine various aspects of Civil Services Reforms.
7.0 THE FUTURE OF CIVIL SERVICE IN INDIA
In post-liberalised India, the All-India Services (AIS) are ordained the role of a facilitator, and not necessarily one of a regulator. This took the sheen off the AIS (to some extent) and its pre-eminence in economic decision-making is being encumbered.
Besides, in the past three decades regional parties have taken over the reins at the State level and the immediacy of the next election drove the agendas of these parties in power.
The AIS officers are made to toe the line of the political bosses. The concept of a "committed bureaucracy" is being encouraged subtly.
Furthermore, the ethos of society itself is getting metamorphosed. Ill-gotten wealth now bestows instant respectability.
Civil servants taking to politics is a detestable phenomenon. This trend severally compromises neutrality during their tenure in service. Traditionally, civil servants were sent as Governors, post-retirement. Now even for this honour civil servants are cultivating politicians unabashedly. Most of the evils perpetuated by 'to-retire' civil servants are their craving for post-retirement sinecures.
Vinod Mehta, in his book The Lucknow Boy, pays tribute to Dr. E.A.S. Sarma, who fought the PMO to uphold steadfastly what, he thought, was in the larger interest of the nation. The case pertained to licensing norms in telecom sector.
Recently, in Andhra Pradesh, some officers who withstood the onslaught of a former CM are breathing easy, and their successors who obeyed the 'diktats' of the former CM are under the CBI scanner.
Ralph Waldo Emerson said "the only person you are destined to become is the person you decide to be." The destiny of civil servants is in the conduct of its own brethren. Unless we steadfastly return to the old edicts of professionalism, anonymity, integrity and neutrality, the evanescent goodwill will be completely eroded.
The need of the hour is silent hard work. One should leave the system unheard, unsung and unwept and while in the system one should be free, fair and frank.
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